Prison Phone Justice

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

PLEASE RETAIN THIS DOCUMENT
FOR FUTURE REFERENCE.

January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

TABLE OF CONTENTS

Page
1.

Executory Clause

3

2.

Non-Assignment Clause

3

3.

Comptroller’s Approval

3

4.

Workers’ Compensation Benefits

3

5.

Non-Discrimination Requirements

3

6.

Wage and Hours Provisions

3

7.

Non-Collusive Bidding Certification

4

8.

International Boycott Prohibition

4

9.

Set-Off Rights

4

10.

Records

4

11.

Identifying Information and Privacy Notification

4

12.

Equal Employment Opportunities For Minorities and Women

13.

Conflicting Terms

5

14.

Governing Law

5

15.

Late Payment

5

16.

No Arbitration

5

17.

Service of Process

5

18.

Prohibition on Purchase of Tropical Hardwoods

19.

MacBride Fair Employment Principles

6

20.

Omnibus Procurement Act of 1992

6

21.

Reciprocity and Sanctions Provisions

6

22.

Compliance with New York State Information Security Breach and Notification Act

6

23.

Compliance with Consultant Disclosure Law

6

24.

Procurement Lobbying

7

25.

Certification of Registration to Collect Sales and Compensating Use Tax by Certain

7

4-5

5-6

State Contractors, Affiliates and Subcontractors
26.

Page 2

Iran Divestment Act

7

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STANDARD CLAUSES FOR NYS CONTRACTS

STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment
or other agreement of any kind (hereinafter, "the contract" or
"this contract") agree to be bound by the following clauses
which are hereby made a part of the contract (the word
"Contractor" herein refers to any party other than the State,
whether a contractor, licenser, licensee, lessor, lessee or any
other party):
1. EXECUTORY CLAUSE. In accordance with Section 41
of the State Finance Law, the State shall have no liability
under this contract to the Contractor or to anyone else beyond
funds appropriated and available for this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with
Section 138 of the State Finance Law, this contract may not be
assigned by the Contractor or its right, title or interest therein
assigned, transferred, conveyed, sublet or otherwise disposed
of without the State’s previous written consent, and attempts
to do so are null and void. Notwithstanding the foregoing,
such prior written consent of an assignment of a contract let
pursuant to Article XI of the State Finance Law may be
waived at the discretion of the contracting agency and with the
concurrence of the State Comptroller where the original
contract was subject to the State Comptroller’s approval,
where the assignment is due to a reorganization, merger or
consolidation of the Contractor’s business entity or enterprise.
The State retains its right to approve an assignment and to
require that any Contractor demonstrate its responsibility to do
business with the State. The Contractor may, however, assign
its right to receive payments without the State’s prior written
consent unless this contract concerns Certificates of
Participation pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with
Section 112 of the State Finance Law (or, if this contract is
with the State University or City University of New York,
Section 355 or Section 6218 of the Education Law), if this
contract exceeds $50,000 (or the minimum thresholds agreed
to by the Office of the State Comptroller for certain S.U.N.Y.
and C.U.N.Y. contracts), or if this is an amendment for any
amount to a contract which, as so amended, exceeds said
statutory amount, or if, by this contract, the State agrees to
give something other than money when the value or
reasonably estimated value of such consideration exceeds
$10,000, it shall not be valid, effective or binding upon the
State until it has been approved by the State Comptroller and
filed in his office. Comptroller's approval of contracts let by
the Office of General Services is required when such contracts
exceed $85,000 (State Finance Law Section 163.6-a).
However, such pre-approval shall not be required for any
contract established as a centralized contract through the
Office of General Services or for a purchase order or other
transaction issued under such centralized contract.
4. WORKERS' COMPENSATION BENEFITS. In
accordance with Section 142 of the State Finance Law, this

Page 3

APPENDIX A

contract shall be void and of no force and effect unless the
Contractor shall provide and maintain coverage during the life
of this contract for the benefit of such employees as are
required to be covered by the provisions of the Workers'
Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS. To the
extent required by Article 15 of the Executive Law (also
known as the Human Rights Law) and all other State and
Federal statutory and constitutional non-discrimination
provisions, the Contractor will not discriminate against any
employee or applicant for employment because of race, creed,
color, sex (including gender identity or expression), national
origin, sexual orientation, military status, age, disability,
predisposing genetic characteristics, marital status or domestic
violence victim status. Furthermore, in accordance with
Section 220-e of the Labor Law, if this is a contract for the
construction, alteration or repair of any public building or
public work or for the manufacture, sale or distribution of
materials, equipment or supplies, and to the extent that this
contract shall be performed within the State of New York,
Contractor agrees that neither it nor its subcontractors shall, by
reason of race, creed, color, disability, sex, or national origin:
(a) discriminate in hiring against any New York State citizen
who is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the
performance of work under this contract. If this is a building
service contract as defined in Section 230 of the Labor Law,
then, in accordance with Section 239 thereof, Contractor
agrees that neither it nor its subcontractors shall by reason of
race, creed, color, national origin, age, sex or disability: (a)
discriminate in hiring against any New York State citizen who
is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the
performance of work under this contract. Contractor is subject
to fines of $50.00 per person per day for any violation of
Section 220-e or Section 239 as well as possible termination
of this contract and forfeiture of all moneys due hereunder for
a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public
work contract covered by Article 8 of the Labor Law or a
building service contract covered by Article 9 thereof, neither
Contractor's employees nor the employees of its
subcontractors may be required or permitted to work more
than the number of hours or days stated in said statutes, except
as otherwise provided in the Labor Law and as set forth in
prevailing wage and supplement schedules issued by the State
Labor Department.
Furthermore, Contractor and its
subcontractors must pay at least the prevailing wage rate and
pay or provide the prevailing supplements, including the
premium rates for overtime pay, as determined by the State
Labor Department in accordance with the Labor Law.
Additionally, effective April 28, 2008, if this is a public work
contract covered by Article 8 of the Labor Law, the Contractor
understands and agrees that the filing of payrolls in a manner
consistent with Subdivision 3-a of Section 220 of the Labor
Law shall be a condition precedent to payment by the State of

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STANDARD CLAUSES FOR NYS CONTRACTS

any State approved sums due and owing for work done upon
the project.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In
accordance with Section 139-d of the State Finance Law, if
this contract was awarded based upon the submission of bids,
Contractor affirms, under penalty of perjury, that its bid was
arrived at independently and without collusion aimed at
restricting competition. Contractor further affirms that, at the
time Contractor submitted its bid, an authorized and
responsible person executed and delivered to the State a noncollusive bidding certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In
accordance with Section 220-f of the Labor Law and Section
139-h of the State Finance Law, if this contract exceeds
$5,000, the Contractor agrees, as a material condition of the
contract, that neither the Contractor nor any substantially
owned or affiliated person, firm, partnership or corporation
has participated, is participating, or shall participate in an
international boycott in violation of the federal Export
Administration Act of 1979 (50 USC App. Sections 2401 et
seq.) or regulations thereunder. If such Contractor, or any of
the aforesaid affiliates of Contractor, is convicted or is
otherwise found to have violated said laws or regulations upon
the final determination of the United States Commerce
Department or any other appropriate agency of the United
States subsequent to the contract's execution, such contract,
amendment or modification thereto shall be rendered forfeit
and void. The Contractor shall so notify the State Comptroller
within five (5) business days of such conviction, determination
or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its
common law, equitable and statutory rights of set-off. These
rights shall include, but not be limited to, the State's option to
withhold for the purposes of set-off any moneys due to the
Contractor under this contract up to any amounts due and
owing to the State with regard to this contract, any other
contract with any State department or agency, including any
contract for a term commencing prior to the term of this
contract, plus any amounts due and owing to the State for any
other reason including, without limitation, tax delinquencies,
fee delinquencies or monetary penalties relative thereto. The
State shall exercise its set-off rights in accordance with normal
State practices including, in cases of set-off pursuant to an
audit, the finalization of such audit by the State agency, its
representatives, or the State Comptroller.
10. RECORDS. The Contractor shall establish and maintain
complete and accurate books, records, documents, accounts
and other evidence directly pertinent to performance under
this contract (hereinafter, collectively, "the Records"). The
Records must be kept for the balance of the calendar year in
which they were made and for six (6) additional years
thereafter. The State Comptroller, the Attorney General and
any other person or entity authorized to conduct an
examination, as well as the agency or agencies involved in this

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APPENDIX A

contract, shall have access to the Records during normal
business hours at an office of the Contractor within the State
of New York or, if no such office is available, at a mutually
agreeable and reasonable venue within the State, for the term
specified above for the purposes of inspection, auditing and
copying. The State shall take reasonable steps to protect from
public disclosure any of the Records which are exempt from
disclosure under Section 87 of the Public Officers Law (the
"Statute") provided that: (i) the Contractor shall timely inform
an appropriate State official, in writing, that said records
should not be disclosed; and (ii) said records shall be
sufficiently identified; and (iii) designation of said records as
exempt under the Statute is reasonable. Nothing contained
herein shall diminish, or in any way adversely affect, the
State's right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION.
(a) Identification Number(s). Every
invoice or New York State Claim for Payment submitted to a
New York State agency by a payee, for payment for the sale of
goods or services or for transactions (e.g., leases, easements,
licenses, etc.) related to real or personal property must include
the payee's identification number. The number is any or all of
the following: (i) the payee’s Federal employer identification
number, (ii) the payee’s Federal social security number, and/or
(iii) the payee’s Vendor Identification Number assigned by the
Statewide Financial System. Failure to include such number
or numbers may delay payment. Where the payee does not
have such number or numbers, the payee, on its invoice or
Claim for Payment, must give the reason or reasons why the
payee does not have such number or numbers.
(b) Privacy Notification. (1) The authority to request the
above personal information from a seller of goods or services
or a lessor of real or personal property, and the authority to
maintain such information, is found in Section 5 of the State
Tax Law. Disclosure of this information by the seller or lessor
to the State is mandatory. The principal purpose for which the
information is collected is to enable the State to identify
individuals, businesses and others who have been delinquent
in filing tax returns or may have understated their tax
liabilities and to generally identify persons affected by the
taxes administered by the Commissioner of Taxation and
Finance. The information will be used for tax administration
purposes and for any other purpose authorized by law. (2) The
personal information is requested by the purchasing unit of the
agency contracting to purchase the goods or services or lease
the real or personal property covered by this contract or lease.
The information is maintained in the Statewide Financial
System by the Vendor Management Unit within the Bureau of
State Expenditures, Office of the State Comptroller, 110 State
Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR
MINORITIES AND WOMEN. In accordance with Section
312 of the Executive Law and 5 NYCRR 143, if this contract
is: (i) a written agreement or purchase order instrument,
providing for a total expenditure in excess of $25,000.00,

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STANDARD CLAUSES FOR NYS CONTRACTS

whereby a contracting agency is committed to expend or does
expend funds in return for labor, services, supplies,
equipment, materials or any combination of the foregoing, to
be performed for, or rendered or furnished to the contracting
agency; or (ii) a written agreement in excess of $100,000.00
whereby a contracting agency is committed to expend or does
expend funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property and
improvements thereon; or (iii) a written agreement in excess
of $100,000.00 whereby the owner of a State assisted housing
project is committed to expend or does expend funds for the
acquisition, construction, demolition, replacement, major
repair or renovation of real property and improvements
thereon for such project, then the following shall apply and by
signing this agreement the Contractor certifies and affirms that
it is Contractor’s equal employment opportunity policy that:
(a) The Contractor will not discriminate against employees or
applicants for employment because of race, creed, color,
national origin, sex, age, disability or marital status, shall
make and document its conscientious and active efforts to
employ and utilize minority group members and women in its
work force on State contracts and will undertake or continue
existing programs of affirmative action to ensure that minority
group members and women are afforded equal employment
opportunities without discrimination. Affirmative action shall
mean recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination and rates
of pay or other forms of compensation;
(b) at the request of the contracting agency, the Contractor
shall request each employment agency, labor union, or
authorized representative of workers with which it has a
collective bargaining or other agreement or understanding, to
furnish a written statement that such employment agency,
labor union or representative will not discriminate on the basis
of race, creed, color, national origin, sex, age, disability or
marital status and that such union or representative will
affirmatively cooperate in the implementation of the
Contractor's obligations herein; and
(c)
the Contractor shall state, in all solicitations or
advertisements for employees, that, in the performance of the
State contract, all qualified applicants will be afforded equal
employment opportunities without discrimination because of
race, creed, color, national origin, sex, age, disability or
marital status.
Contractor will include the provisions of "a", "b", and "c"
above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair,
renovation, planning or design of real property and
improvements thereon (the "Work") except where the Work is
for the beneficial use of the Contractor. Section 312 does not
apply to: (i) work, goods or services unrelated to this contract;
or (ii) employment outside New York State. The State shall
consider compliance by a contractor or subcontractor with the
requirements of any federal law concerning equal employment

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APPENDIX A

opportunity which effectuates the purpose of this section. The
contracting agency shall determine whether the imposition of
the requirements of the provisions hereof duplicate or conflict
with any such federal law and if such duplication or conflict
exists, the contracting agency shall waive the applicability of
Section 312 to the extent of such duplication or conflict.
Contractor will comply with all duly promulgated and lawful
rules and regulations of the Department of Economic
Development’s Division of Minority and Women's Business
Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict
between the terms of the contract (including any and all
attachments thereto and amendments thereof) and the terms of
this Appendix A, the terms of this Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by
the laws of the State of New York except where the Federal
supremacy clause requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any
interest to be paid to Contractor for late payment shall be
governed by Article 11-A of the State Finance Law to the
extent required by law.
16. NO ARBITRATION. Disputes involving this contract,
including the breach or alleged breach thereof, may not be
submitted to binding arbitration (except where statutorily
authorized), but must, instead, be heard in a court of
competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of
service allowed by the State Civil Practice Law & Rules
("CPLR"), Contractor hereby consents to service of process
upon it by registered or certified mail, return receipt requested.
Service hereunder shall be complete upon Contractor's actual
receipt of process or upon the State's receipt of the return
thereof by the United States Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in
writing, of each and every change of address to which service
of process can be made. Service by the State to the last known
address shall be sufficient. Contractor will have thirty (30)
calendar days after service hereunder is complete in which to
respond.
18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants that
all wood products to be used under this contract award will be
in accordance with, but not limited to, the specifications and
provisions of Section 165 of the State Finance Law, (Use of
Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by the State
or any governmental agency or political subdivision or public
benefit corporation. Qualification for an exemption under this
law will be the responsibility of the contractor to establish to
meet with the approval of the State.

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STANDARD CLAUSES FOR NYS CONTRACTS

In addition, when any portion of this contract involving the
use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor will
indicate and certify in the submitted bid proposal that the
subcontractor has been informed and is in compliance with
specifications and provisions regarding use of tropical
hardwoods as detailed in §165 State Finance Law. Any such
use must meet with the approval of the State; otherwise, the
bid may not be considered responsive. Under bidder
certifications, proof of qualification for exemption will be the
responsibility of the Contractor to meet with the approval of
the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES.
In accordance with the MacBride Fair Employment Principles
(Chapter 807 of the Laws of 1992), the Contractor hereby
stipulates that the Contractor either (a) has no business
operations in Northern Ireland, or (b) shall take lawful steps in
good faith to conduct any business operations in Northern
Ireland in accordance with the MacBride Fair Employment
Principles (as described in Section 165 of the New York State
Finance Law), and shall permit independent monitoring of
compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is the
policy of New York State to maximize opportunities for the
participation of New York State business enterprises,
including minority and women-owned business enterprises as
bidders, subcontractors and suppliers on its procurement
contracts.
Information on the availability of New York State
subcontractors and suppliers is available from:
NYS Department of Economic Development
Division for Small Business
Albany, New York 12245
Telephone: 518-292-5100
Fax: 518-292-5884
email: opa@esd ny.gov
A directory of certified minority and women-owned business
enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business Development
633 Third Avenue
New York, NY 10017
212-803-2414
email: mwbecertification@esd.ny.gov
https://ny.newnycontracts.com/FrontEnd/VendorSearchPu
blic.asp
The Omnibus Procurement Act of 1992 requires that by
signing this bid proposal or contract, as applicable,
Contractors certify that whenever the total bid amount is
greater than $1 million:

Page 6

APPENDIX A

(a) The Contractor has made reasonable efforts to encourage
the participation of New York State Business Enterprises as
suppliers and subcontractors, including certified minority and
women-owned business enterprises, on this project, and has
retained the documentation of these efforts to be provided
upon request to the State;
(b) The Contractor has complied with the Federal Equal
Opportunity Act of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make reasonable efforts to
provide notification to New York State residents of
employment opportunities on this project through listing any
such positions with the Job Service Division of the New York
State Department of Labor, or providing such notification in
such manner as is consistent with existing collective
bargaining contracts or agreements. The Contractor agrees to
document these efforts and to provide said documentation to
the State upon request; and
(d) The Contractor acknowledges notice that the State may
seek to obtain offset credits from foreign countries as a result
of this contract and agrees to cooperate with the State in these
efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS.
Bidders are hereby notified that if their principal place of
business is located in a country, nation, province, state or
political subdivision that penalizes New York State vendors,
and if the goods or services they offer will be substantially
produced or performed outside New York State, the Omnibus
Procurement Act 1994 and 2000 amendments (Chapter 684
and Chapter 383, respectively) require that they be denied
contracts which they would otherwise obtain. NOTE: As of
May 15, 2002, the list of discriminatory jurisdictions subject
to this provision includes the states of South Carolina, Alaska,
West Virginia, Wyoming, Louisiana and Hawaii. Contact
NYS Department of Economic Development for a current list
of jurisdictions subject to this provision.
22. COMPLIANCE WITH NEW YORK STATE
INFORMATION
SECURITY
BREACH
AND
NOTIFICATION ACT. Contractor shall comply with the
provisions of the New York State Information Security Breach
and Notification Act (General Business Law Section 899-aa;
State Technology Law Section 208).
23.
COMPLIANCE
WITH
CONSULTANT
DISCLOSURE LAW. If this is a contract for consulting
services, defined for purposes of this requirement to include
analysis, evaluation, research, training, data processing,
computer programming, engineering, environmental, health,
and mental health services, accounting, auditing, paralegal,
legal or similar services, then, in accordance with Section 163
(4-g) of the State Finance Law (as amended by Chapter 10 of
the Laws of 2006), the Contractor shall timely, accurately and
properly comply with the requirement to submit an annual
employment report for the contract to the agency that awarded

January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

the contract, the Department of Civil Service and the State
Comptroller.

limited to, imposing sanctions, seeking compliance,
recovering damages, or declaring the Contractor in default.

24. PROCUREMENT LOBBYING. To the extent this
agreement is a "procurement contract" as defined by
State Finance Law Sections 139-j and 139-k, by signing this
agreement the contractor certifies and affirms that all
disclosures made in accordance with State Finance Law
Sections 139-j and 139-k are complete, true and accurate. In
the event such certification is found to be intentionally false or
intentionally incomplete, the State may terminate the
agreement by providing written notification to the Contractor
in accordance with the terms of the agreement.

The state agency reserves the right to reject any bid, request
for assignment, renewal or extension for an entity that appears
on the Prohibited Entities List prior to the award, assignment,
renewal or extension of a contract, and to pursue a
responsibility review with respect to any entity that is awarded
a contract and appears on the Prohibited Entities list after
contract award.

25. CERTIFICATION OF REGISTRATION TO
COLLECT SALES AND COMPENSATING USE TAX
BY CERTAIN STATE CONTRACTORS, AFFILIATES
AND SUBCONTRACTORS.
To the extent this agreement is a contract as defined by Tax
Law Section 5-a, if the contractor fails to make the
certification required by Tax Law Section 5-a or if during the
term of the contract, the Department of Taxation and Finance
or the covered agency, as defined by Tax Law 5-a, discovers
that the certification, made under penalty of perjury, is false,
then such failure to file or false certification shall be a material
breach of this contract and this contract may be terminated, by
providing written notification to the Contractor in accordance
with the terms of the agreement, if the covered agency
determines that such action is in the best interest of the State.
26. IRAN DIVESTMENT ACT. By entering into this
Agreement, Contractor certifies in accordance with State
Finance Law §165-a that it is not on the “Entities Determined
to be Non-Responsive Bidders/Offerers pursuant to the New
York State Iran Divestment Act of 2012” (“Prohibited Entities
List”) posted at:
http://www.ogs ny.gov/about/regs/docs/ListofEntities.pdf
Contractor further certifies that it will not utilize on this
Contract any subcontractor that is identified on the Prohibited
Entities List. Contractor agrees that should it seek to renew or
extend this Contract, it must provide the same certification at
the time the Contract is renewed or extended. Contractor also
agrees that any proposed Assignee of this Contract will be
required to certify that it is not on the Prohibited Entities List
before the contract assignment will be approved by the State.
During the term of the Contract, should the state agency
receive information that a person (as defined in State Finance
Law §165-a) is in violation of the above-referenced
certifications, the state agency will review such information
and offer the person an opportunity to respond. If the person
fails to demonstrate that it has ceased its engagement in the
investment activity which is in violation of the Act within 90
days after the determination of such violation, then the state
agency shall take such action as may be appropriate and
provided for by law, rule, or contract, including, but not

Page 7

January 2014

Notice to Bidders
1. Read the entire Request for Proposal (RFP) document. Note the key issues such as event
dates, mandatory requirements, and proposal packaging requirements.
2. The successful bidder must meet all of the mandatory requirements. Only one contract will
result from this RFP.
3. Bidders are permitted to communicate with the designated contacts only. Note the names and
contact information for these contacts (Section 1.6).
4. Any amendments, transcripts, clarifications, responses to questions, and updates to this RFP
will be posted on the NYS Contract Reporter (www.nyscr.ny.gov) and the DOCCS Web site
(http://www.doccs.ny.gov/RFPs/rfps.html).
5. To submit a proposal, bidders must attend the mandatory Bidders’ Conference (Section 2.6).
6. Take full advantage of the Questions and Answers opportunities. All questions must be
submitted in writing to the designated email address by the date and time specified in Section
1.7, Schedule of Events.
7. Bidders’ proposals must address all amendments, clarifications, or updates pertaining to this
solicitation document.
8. Review the RFP document and your proposal. Make sure all requirements are addressed and
all submission copies are identical and complete.
9. Complete and submit with your proposals all required forms. Use the Bidders’ Check list in
Attachment C. All required forms are either included or links are provided for the latest revised
documents.
10. Package your proposals as instructed in Section 9.3.
11. Submit you proposals so that they are received by the designated due date and time (see
Section 1.7). DOCCS will not consider proposal submissions that arrive after the time
specified on the due date.

NYS Department of Corrections & Community Supervision

Inmate Telephone System

Table Of Contents

1

INTRODUCTION .................................................................................................................. 1
DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION (DOCCS) MISSION STATEMENT ................1

BACKGROUND ....................................................................................................................... 1
OVERVIEW OF EXISTING INMATE TELEPHONE SYSTEM (ITS) ..................................................... 2
PURPOSE .............................................................................................................................. 2
ISSUING AGENCY ................................................................................................................... 3
DESIGNATED CONTACTS ........................................................................................................ 3
SCHEDULE OF EVENTS ........................................................................................................... 4
2

BIDDER INFORMATION...................................................................................................... 5
TERM OF AGREEMENT ............................................................................................................ 5
COMPLETENESS OF PROPOSAL .............................................................................................. 5
MODIFICATIONS OF BIDS ........................................................................................................ 5
WITHDRAWAL OF BIDS ........................................................................................................... 5
INCURRING COSTS ................................................................................................................. 5
MANDATORY BIDDERS’ CONFERENCE ..................................................................................... 5
PRIME CONTRACTOR RESPONSIBILITY .................................................................................... 6
BEST VALUE .......................................................................................................................... 6
TERMS/DEFINITIONS ............................................................................................................... 6
NYS AND DOCCS POLICIES .................................................................................................. 7

3
3.1.1
3.1.2
3.1.3
3.1.4
3.1.5
3.1.6

3.1.7
3.1.8

SCOPE OF SERVICES ........................................................................................................ 8
SYSTEMS ARCHITECTURE ....................................................................................................... 8
Proposed Deployment Model............................................................................................ 8
Scalability ......................................................................................................................... 8
Network Services .............................................................................................................. 8
System Trunking............................................................................................................... 9
Call Quality ....................................................................................................................... 9
Continuity of Services ....................................................................................................... 9
Backup ......................................................................................................................... 9
Uninterruptible Power ................................................................................................... 9
Single Clock Source ......................................................................................................... 9
Recording and Monitoring ................................................................................................. 9
Investigative Support .................................................................................................. 10
Simultaneous Access.................................................................................................. 10
Storage ....................................................................................................................... 10
Chain of Evidence....................................................................................................... 10
Retrieval ..................................................................................................................... 10
Equipment and Network Access ................................................................................. 11
Access to Recordings ................................................................................................. 11
Call Monitoring Suppression ....................................................................................... 11

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NYS Department of Corrections & Community Supervision

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Table Of Contents

3.2.1
3.2.2
3.2.3

3.2.4
3.3.1
3.3.2
3.3.3
3.3.4
3.3.5
3.3.6
3.3.7
3.3.8
3.3.9
3.4.1
3.4.2
3.4.3
3.4.4
3.4.5
3.4.6
3.4.7
3.4.8
3.4.9
3.4.10
3.4.11
3.4.12
3.4.13
3.4.14
3.4.15
3.4.16
3.4.17
3.4.18
3.5.1
3.5.2
3.5.3
3.5.4
3.5.5
3.5.6

SYSTEMS MANAGEMENT ...................................................................................................... 11
Fault Management .......................................................................................................... 11
Configuration Management............................................................................................. 12
Provisioning and Active Directory ............................................................................... 12
Accounting Management ................................................................................................ 12
Third Party Auditing .................................................................................................... 12
Call Detail Records (CDR) .......................................................................................... 12
Performance Management ............................................................................................. 12
MANDATORY FUNCTIONS ...................................................................................................... 12
Alert Groups ................................................................................................................... 13
Pre-recorded Names ...................................................................................................... 13
Access to Rape Crisis Programs .................................................................................... 13
Access to Toll-Free Assistance Lines ............................................................................. 14
Announcements.............................................................................................................. 14
Automatic Number Identification ..................................................................................... 14
Billing Name and Address Lookup .................................................................................. 14
Class of Restriction (COR).............................................................................................. 15
Investigative tip line ........................................................................................................ 15
MANDATORY FEATURES ....................................................................................................... 15
Harassment Blocks ......................................................................................................... 15
Call Termination ............................................................................................................. 15
Number Control .............................................................................................................. 16
Personal Allowed Numbers (PAN) .................................................................................. 16
Phone Scheduler ............................................................................................................ 16
Personal Identification Number (PIN) .............................................................................. 16
Administration ................................................................................................................. 16
Third Party Call Detection ............................................................................................... 16
Hours of Operation ......................................................................................................... 16
Call Duration ................................................................................................................... 16
Telephone Testing .......................................................................................................... 16
Languages...................................................................................................................... 17
ANI Verification ............................................................................................................... 17
Telecommunications Relay Services for the Deaf ........................................................... 17
Telephone Accommodations for the Visually Impaired.................................................... 17
Call Pattern Analysis and Alerting ................................................................................... 17
Voice Recognition, Identification, and Analysis ............................................................... 17
Emergency Shut Down ................................................................................................... 18
EQUIPMENT ......................................................................................................................... 18
Telephones..................................................................................................................... 18
Portable Phones ............................................................................................................. 18
Pedestal and Enclosures ................................................................................................ 19
Tablets ........................................................................................................................... 19
Device Specifications .................................................................................................. 19
Wiring ............................................................................................................................. 19
Compliance .................................................................................................................... 20

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Table Of Contents

3.5.7
3.5.8
3.5.9
3.5.10
3.5.11

3.7.1
3.7.2
3.7.3
3.7.4
3.7.5
3.7.6
3.7.7
3.7.8
3.8.1

3.8.2
3.8.3
3.8.4
3.8.5
3.9.1
3.9.2

3.11.1
3.11.2
3.11.3
3.11.4
3.11.5

Restoration of Facilities .................................................................................................. 20
Inventory......................................................................................................................... 20
Environmental................................................................................................................. 20
Servers and Processors ................................................................................................. 20
New Equipment .............................................................................................................. 20
SOFTWARE ENHANCEMENTS AND UPGRADES ........................................................................ 20
MAINTENANCE ..................................................................................................................... 21
Maintenance Responsibility ............................................................................................ 21
Damage .......................................................................................................................... 21
Maintenance Window ..................................................................................................... 21
Maintenance Center Location ......................................................................................... 21
Maintenance Staff Experience ........................................................................................ 21
Preventive Maintenance ................................................................................................. 21
Remedial Maintenance ................................................................................................... 22
Maintenance Request Reports ....................................................................................... 22
TRANSITION/MIGRATION ....................................................................................................... 22
Project Management....................................................................................................... 22
Project Manager ......................................................................................................... 23
DOCCS’ Resources .................................................................................................... 23
Site Survey ................................................................................................................. 23
Call Recording Migration ................................................................................................ 23
Fallback Plan .................................................................................................................. 23
Acceptance Testing ........................................................................................................ 23
Equipment Disposal ........................................................................................................ 23
DATA EXCHANGE ................................................................................................................. 24
National Information Exchange Model (NIEM) Standards ............................................... 24
Data Reconciliation ......................................................................................................... 24
INFORMATION OWNERSHIP ................................................................................................... 24
SECURITY ............................................................................................................................ 24
ITS System Security ....................................................................................................... 24
Jurisdiction ..................................................................................................................... 24
Compliance .................................................................................................................... 25
Background Checks........................................................................................................ 25
Information Security Breach............................................................................................ 25
PHASE-OUT PLAN ................................................................................................................ 25
TRAINING............................................................................................................................. 25
DOCUMENTATION ................................................................................................................. 25
REPORTING ......................................................................................................................... 26

4

CUSTOMER SERVICE ...................................................................................................... 27

4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7

SUPPORT SERVICES FOR DOCCS ........................................................................................ 27
Principal Technical Support Representatives .................................................................. 27
Toll-Free Access............................................................................................................. 27
DOCCS’ Authorized Representatives ............................................................................. 27
Gate Clearance .............................................................................................................. 27
Ticketing System ............................................................................................................ 27
DOCCS’ Access to Customer Information ...................................................................... 27
Court Evidence and Expert Witness Testimony .............................................................. 28
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Table Of Contents

4.2.1
4.2.2
4.2.3
4.2.4
4.2.5
4.2.6
4.2.7
4.2.8

SUPPORT SERVICES FOR CUSTOMERS .................................................................................. 28
Toll-Free Access............................................................................................................. 28
Executive Order Number 26 ........................................................................................... 28
Customer Account Access .............................................................................................. 28
Customer Outreach ........................................................................................................ 28
Call Blocking ................................................................................................................... 28
Vendor Account Policies ................................................................................................. 29
Vendor Policy Changes .................................................................................................. 29
Aggregated Billing Account for DOCCS-Approved Organizations ................................... 29

5

PERFORMANCE STANDARDS ........................................................................................ 30

5.1.1
5.1.2
5.2.1
5.2.2
6

SERVICE OBJECTIVES .......................................................................................................... 30
Facility Service Objectives .............................................................................................. 30
Customer Service Objectives .......................................................................................... 30
RESOLUTION OF REPORTED PROBLEMS ................................................................................ 31
Failure to comply ............................................................................................................ 32
Escalation Requirements ................................................................................................ 32
PERFORMANCE REVIEWS ..................................................................................................... 33
VENDOR QUALIFICATIONS ............................................................................................. 34

6.4.1
6.4.2

COMPANY EXPERIENCE ........................................................................................................ 34
PAST PERFORMANCE ........................................................................................................... 34
Security Incidents ........................................................................................................... 34
Performance Data .......................................................................................................... 34
Legal Validity .................................................................................................................. 34
STAFF QUALIFICATIONS ....................................................................................................... 34
Staffing Numbers and Qualifications ............................................................................... 35
Staff Disqualification ....................................................................................................... 35
Staff Resignation or Discharge ....................................................................................... 35
VENDOR RESPONSIBILITY ..................................................................................................... 35
Vendor Responsibility Requirements .............................................................................. 35
Complaint History ........................................................................................................... 36

7

RATES, FEES AND COSTS .............................................................................................. 37

6.2.1
6.2.2
6.2.3
6.3.1
6.3.2
6.3.3

7.2.1
7.2.2
7.2.3
7.2.4
7.2.5
7.3.1
7.3.2

NO COMMISSIONS ................................................................................................................ 37
RATE STRUCTURE................................................................................................................ 37
Domestic ........................................................................................................................ 37
International.................................................................................................................... 37
Rate Requirements ......................................................................................................... 37
Ancillary Service Charges ............................................................................................... 37
Calling Patterns .............................................................................................................. 37
BILLING ............................................................................................................................... 38
Collect and Prepaid ........................................................................................................ 38
NYS DOCCS Liability ..................................................................................................... 38
FINANCIAL STABILITY ........................................................................................................... 39

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Table Of Contents

8

CONTRACTUAL ISSUES .................................................................................................. 40

APPENDIX A / ORDER OF PRECEDENCE ................................................................................. 40
ETHICS COMPLIANCE ........................................................................................................... 40
PROCUREMENT LOBBYING ACT ............................................................................................ 40
SALES AND COMPENSATING USE TAX CERTIFICATION REQUIREMENTS ................................... 40
ENCOURAGING THE USE OF NYS BUSINESS .......................................................................... 41
DIVERSITY PRACTICES ......................................................................................................... 41
M/WBE AND EEO REQUIREMENTS ....................................................................................... 41
USE OF SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES IN CONTRACT PERFORMANCE ... 41
INDEMNIFICATION ................................................................................................................. 42
CONTRACTOR INSURANCE REQUIREMENTS ........................................................................... 42
CONSULTANT DISCLOSURE REPORTING REQUIREMENTS ....................................................... 48
FREEDOM OF INFORMATION LAW/TRADE SECRETS ................................................................ 49
EXECUTIVE ORDER NUMBER 26 ............................................................................................ 49
EXECUTIVE ORDER 38 .......................................................................................................... 49
PERFORMANCE/PAYMENT BOND REQUIREMENT .................................................................... 50
LICENSED OR PATENTED COMPONENTS ................................................................................ 50
PERPETUAL LICENSE ........................................................................................................... 50
ESCROW OF SOFTWARE ....................................................................................................... 50
BREACH OF SERVICES ......................................................................................................... 50
GENERAL REQUIREMENTS .................................................................................................... 50
EQUIPMENT AND LICENSES UPON TERMINATION .................................................................... 51
8.21.1
Agency Termination ........................................................................................................ 52
8.21.2
Procurement Lobbying Termination ................................................................................ 52
CONTRACT TERMS ............................................................................................................... 52
NONDISCLOSURE AGREEMENT ............................................................................................. 52
CONTRACT PROVISIONS ....................................................................................................... 53
POTENTIAL ANNUAL REVENUE PAYMENTS ............................................................................ 53
INMATE SECURE MESSAGING OPTION ................................................................................... 53
9

9.3.1
9.3.2
9.3.3
9.3.4
9.3.5
9.4.1
9.4.2
9.4.3
9.4.4
9.4.5

ADMINISTRATIVE PROCEDURES ................................................................................... 54
COMMUNICATION WITH DOCCS............................................................................................ 54
PROCUREMENT RIGHTS ........................................................................................................ 54
PROPOSAL FORMAT, PACKAGING, AND SUBMISSION INSTRUCTIONS ....................................... 54
Proposal Content ............................................................................................................ 56
Other legal documents (required but not subject to pass/fail disqualification): ................ 56
Technical Proposal ......................................................................................................... 56
Cost Proposal ................................................................................................................. 57
Diversity Practices Questionnaire ................................................................................... 57
PROPOSAL EVALUATION ...................................................................................................... 57
Mandatory Requirements (Pass/Fail) .............................................................................. 57
Technical Evaluation (95 points) ..................................................................................... 57
Cost Evaluation (5 points) ............................................................................................... 58
Composite Scores .......................................................................................................... 58
Debriefings ..................................................................................................................... 58

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Appendices And Attachments

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

APPENDIX B

GENERAL SPECIFICATIONS

APPENDIX C

M/WBE FORMS AND INFORMATION

APPENDIX D

SAMPLE CONTRACT

APPENDIX E

VENDOR RESPONSIBILITY INFORMATION

APPENDIX F

VENDOR REFERENCE FORM

APPENDIX G

STAFF QUALIFICATION FORM

APPENDIX H

COST PROPOSAL FORM

APPENDIX I

NON-DISCLOSURE AGREEMENT

APPENDIX J

NOTICE INTENT TO BID & PRE-REGISTRATION BIDDERS’ CONFERENCE

APPENDIX K

PROPOSAL RESPONSE FORMS

APPENDIX L

PERFORMANCE/PAYMENT BOND: SAMPLE BOND

APPENDIX M

DIVERSITY PRACTICES QUESTIONNAIRE

ATTACHMENT A

MAP OF NYS CORRECTIONAL FACILITIES

ATTACHMENT B NYS DOCCS POPULATION AND PHONE DETAIL
ATTACHMENT C PROPOSAL SUBMISSION CHECKLIST AND REQUIRED DOCUMENTS
ATTACHMENT D DATA EXCHANGE SPECIFICATIONS
ATTACHMENT E

RANGE OF ACADEMIC CAPABILITIES FOR TABLETS

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1 Introduction
Department of Corrections and Community Supervision (DOCCS) Mission Statement
Vision
Enhance public safety by having incarcerated persons return home under
supportive supervision less likely to revert to criminal behavior.
Mission Statement
To improve public safety by providing a continuity of appropriate treatment
services in safe and secure facilities where all inmates’ needs are addressed
and they are prepared for release, followed by supportive services for all
parolees under community supervision to facilitate a successful completion of
their sentence.
Goals
•
Create and maintain an atmosphere where all inmates, parolees, staff, volunteers
and visitors feel secure.
•
Develop and implement individualized treatment plans for each inmate and
parolee that includes post release reentry plans.
•
Teach inmates and parolees the need for discipline and respect, and the
importance of developing a principled work ethic.
•
Establish a risks/needs/responsivity approach to programming, treatment, and
community supervision to ensure a continuity of services.
•
Assist all staff by providing the requisite training and resources needed to perform
their duties while enhancing their skills.
•
Offer career development opportunities for all staff.
Ensure workforce stability through mentoring and succession planning.
•
•
•
•
•
•
•
•
•
•

Values
Operate with ethical behavior.
Recognize the value of each person.
Protect human dignity.
Offer leadership and support to all.
Offer respect and structure at all times.
Policies
Offer opportunities for inmates and parolees to improve their skills, and to receive
individual treatment services, based on their ability and willingness to participate.
Provide psychiatric and medically necessary services to those requiring such care
and treatment so that each inmate and parolee can maximize his/her own state of
health and rehabilitation.
Provide a level of community supervision based on the releasee's needs and
behavior.
Establish an orderly and productive environment that fosters respect through open
communication, sound structure and fair treatment.

Background
DOCCS utilizes a wide range of centralized services to support the Department’s staff at 54
correctional facilities and other central office or regional sites. These functions are provided primarily
through the NYS Office for Information Technology Services (OITS), which serves as a single point
of contact for facility telecommunications and networking needs and uses its aggregated purchasing

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capability to enhance facility operations on behalf of DOCCS. These services include but are not
limited to the following:












Telecommunications
Data Communications
Cabling and Infrastructure
Mainframe and Citrix Applications
Video Teleconferencing

Inmate Telephone Systems
Customer Service Desk
Desktop Support & Administration
Server Administration
User and Account Provisioning

Overview of Existing Inmate Telephone System (ITS)
Pursuant to New York State Correction Law, Section 623, DOCCS and its current ITS service provider
collectively manage the Inmate Call Home Program, which allows inmates to place telephone calls
to family and friends. The current ITS supporting the Inmate Call Home Program is a customized
network comprised of premise-based communication equipment and a single centralized call
processing and data collection and storage devices. The system supports approximately 3,685
inmate telephones ranging from installations with as few as four (4) telephones to facilities with as
many as 180. A list of the DOCCS’ locations and the number of phones supported in each may be
found in Attachment B. The telephone instruments are wired with standard category three cables.
DOCCS does not guarantee the number of facilities or other locations or the number of phones at
any of the facilities or other locations.
DOCCS maintains mainframe applications that provide authorized staff with administrative functions
and tools that allow the DOCCS’ Guidance staff the ability to maintain individual inmate calling lists.
Each inmate is allowed to place collect or pre-paid calls between the hours of 7:00 a.m. and 11:00
p.m. ET to any of the fifteen (15) telephone numbers appearing on their personal allowed list for a
maximum duration of thirty minutes per call. In a six-month period, the ITS processed approximately
7.7 million calls totaling nearly 112 million minutes of traffic.
DOCCS desires to contract for a comprehensive, full featured ITS that will serve all New York State
Correctional Facilities, inmates and their families, and will support related administrative and
investigatory activities. DOCCS’ intent is to implement an enterprise ITS solution that can be
deployed statewide and managed as a single platform to provide pre-paid and collect calling. The
goal is to smoothly migrate from the existing ITS to a new system within ninety (90) calendar days of
the contract approval and with no disruption of service.
Purpose
The purpose of this Request for Proposals (RFP) is to solicit proposals that will lead to a contract with
a responsive and qualified vendor for a new inmate telephone system that offers the lowest possible
rate for inmates and their families and provides DOCCS with the following scope of services:









Project management and implementation services to assure a timely execution of the
procured services and the migration and integration of existing information
Administrative, operational and support services necessary for the ITS to fulfill DOCCS
requirements and service levels
Migration from the current system, services and equipment to the new ITS
Operation of a secure, high availability environment
Provisioning, deployment, and ongoing support of all equipment including telephony devices,
servers, communication components, monitoring workstations and any circuits and related
hardware and software that provide for a fully functioning system
An operational environment that will assure that all information provided by the State will at
all times reside within the United States only
Operational procedures, training, tools and documentation necessary to operate, backup,
recover and administer the ITS services

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



Inmate Telephone System

Necessary staffing and support facilities to operate and maintain the ITS and meet the
required service levels including a dedicated Program Manager
Interfaces to receive and provide information between the ITS and DOCCS’ internal
applications services
Customer service support to meet the needs of DOCCS’ inmates, families and friends, and
authorized system users

Issuing Agency
The issuing agency of this RFP is the New York State Department of Corrections and Community
Supervision (DOCCS). This RFP outlines the terms and conditions as well as all applicable
information required for submitting a bid. Bidders must strictly adhere to the bid submission date and
time provided in Section 1.7 to prevent disqualification.
Designated Contacts
All inquiries concerning this RFP must be addressed in writing to the DOCCS’ designated contact
as follows:
Designated Contact
Alternate Contact
Velma Berry
Email: doccscontracts@doccs.ny.gov
Phone: (518) 436-7886 extension 3135
Fax: (518) 436-1519

Frank Arpey
Email: doccscontracts@doccs.ny.gov
Phone: (518) 436-7886 extension 3135
Fax: (518) 436-1519

All inquiries must be submitted by email or written document to the designated contact(s). Please
use RFP 2016-02 in the subject line and specify the location (particular section and paragraph) of
this RFP. Bidders are responsible for ensuring delivery of their questions.
All bidders must develop technical and cost proposals that reflect the terms of the contract
provisions described in this RFP. All clarifications and exceptions including those relating to the
terms and conditions of the proposed contract are to be resolved prior to the submission of a
proposal. Answers to all questions of a substantive nature will be given to all bidders in the form of
a formal addendum, and this addendum will be annexed to and become a part of the resulting
contract.

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2 Bidder Information
Term of Agreement
The Agreement shall run for five (5) years beginning October 1, 2017, through September 30, 2022,
contingent on approval of the Office of the State Comptroller (OSC). DOCCS reserves the sole right
to renew the Agreement for two additional one-year periods under the same terms and rates by
notifying the contractor of its intention no less than one-hundred-eighty (180) days before the
expiration of the original Agreement or the initial one year renewal period.
DOCCS reserves the right to seek a refresh of any or all equipment and/or software provided or
maintained as a result of this RFP after the fourth year of this agreement.
DOCCS reserves the right to seek reduced rates and/or new terms of agreement from the contractor
prior to any extension.
Completeness of Proposal
Bidders must submit proposals describing the complete range of services specified in this RFP. It is
the responsibility of the bidder to verify the completeness of its proposal and its suitability to meet the
requirements of this RFP. Proposals that fail to meet the mandatory requirements will be disqualified.
Modifications of Bids
Once submitted, proposals may not be modified unless DOCCS specifically requests a clarification
or explanation. Any clarification or explanation submitted by a bidder shall be done so in written form
only. Modifications submitted by a bidder after the formal submission date that are not in response
to a written request from DOCCS shall not be accepted.
Withdrawal of Bids
Bids cannot be withdrawn for a minimum of 120 days after the bid submission date (see State Finance
law Section 163.9(e).) Written requests to withdraw proposals after the 120-day period may be
granted only with written permission from DOCCS.
Incurring Costs
DOCCS shall not be held liable for any costs incurred by the bidder in the preparation, production or
submission of a proposal, or for any work performed by a bidder prior to the approval of an award
Agreement.
DOCCS shall not be held liable for any costs incurred by a bidder for the bidder's requirement to
attend the mandatory Bidders’ conference to be held at the location specified in Section 2.6.
DOCCS shall not be held liable for any costs incurred by a bidder in modifying or explaining details
of the bidder's proposal in response to questions from DOCCS.
DOCCS shall not be held liable for any costs incurred by a bidder for any negotiations with DOCCS
required to finalize and sign a formal Agreement document.
Mandatory Bidders’ Conference
Bidders intending to submit a proposal shall be required to attend a mandatory bidders’ conference
to be held on the day indicated in Section 1.7, Schedule of Events, at DOCCS Training Academy,
1134 New Scotland Road, Albany, NY 12208, beginning at 1:00 p.m. ET. Only bidders who attend
the mandatory bidders’ conference will be qualified to submit proposals.
All attendees must be preregistered to be admitted to the mandatory bidders’ conference and must
present U.S. government or state issued picture identification. Bidders must preregister at least two
(2) business days prior to the conference date by completing Appendix J and emailing the form to
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the address specified in Section 1.6. It is the responsibility of all bidders to ensure proper delivery of
the emailed notices.
Bidders should email all questions to be considered at the Bidders’ Conference to the designated
contacts identified in Section 1.6 no later than one (1) business day prior to the conference. A list of
all questions sent in by all interested parties may be made available at the start of the mandatory
bidders’ conference.
Questions not submitted prior to the mandatory bidders’ conference may be answered at the
conference only if DOCCS believes doing so would be in the best interest of the State.
All answers provided for written questions at the mandatory bidders’ conference shall be supplied to
all attendees in writing by the due date for the Official Response to Bidders’ Questions (Section 1.7).
All responses provided at the bidders’ conference will be unofficial until issued in written form. All
subsequent questions must be submitted in writing by the due date in Section 1.7, Schedule of
Events. Answers to all questions and a copy of the Bidders’ Conference transcript will be posted on
the NYS Contract Reporter and the DOCCS’ Web site no later than the date published in Section 1.7.
If there is a conflict between the Official Responses to the Questions and the transcript from the
Bidders’ Conference, the Official Responses will take precedence.
Prime Contractor Responsibility
Bidders may submit a proposal utilizing the services of subcontractors for any aspect of this
procurement; the prime contractor must assume complete responsibility and liability for the delivery
of all services. Subcontractors may be used to meet the qualifications required herein; however,
subcontractors must be fully disclosed in the same manner as required of the prime contractor and
must provide the same information including Vendor Responsibility Questionnaires company finances
and staff qualifications. The roles and responsibilities of each proposed subcontractor must be clearly
delineated in the bidder’s response to Section 3.1.1, Proposed Deployment Model, and bidders
should inform all subcontractors that references for the related areas of service must be provided as
indicated in Section 6.1, Company Experience.
Best Value
The contract resulting from this RFP will be awarded to the qualified bidder whose proposal is
determined to provide the best value to the State as defined in NYS Finance Law § 163.
Terms/Definitions
The terms shall, must, and will designate mandatory requirements. If a Bidder fails to meet any of
these requirements they will be disqualified from further consideration.
The terms bidder, vendor, contractor, and provider are used interchangeably herein and shall have
the same meaning.
The name of this agency, NYS Department of Corrections and Community Supervision, is used
interchangeably herein with Department and DOCCS.

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3 Scope of Services
This section provides information for the required features, functions and capabilities of the proposed
services. All of the items identified in this section should be at no additional cost to DOCCS.
The bidder must describe all of the required features, functions and capabilities of the proposed
services including how the features are expected to function and the expected performance levels for
each feature.
New York State will not be a test site for unproven technology. For all technology proposed, your
references must include at least two sites where this technology has been in service as an integrated
part of the inmate phone system for at least six (6) months. An onsite or real-time demonstration of
the technology must be provided prior to finalization of the scoring for this procurement.
Systems Architecture
Any proposed architecture must meet the general business needs of DOCCS and will be considered
and evaluated for its relative merit. Bidders may propose an architecture that is fully hosted, partially
hosted, centralized, distributed, or any combination thereof.
Provide information on your proposed system architecture addressing each subsection and
request under Section 3.1.
3.1.1
Proposed Deployment Model
Describe in detail the proposed solution’s deployment model.
Include in your response a detailed drawing of your recommended model in Microsoft Visio
format, and


Illustrate how the proposed system will provide 99.9% yearly availability.



Describe the reliability of your offerings and indicate how your solution will provide
99.9% availability.



Indicate any single points of failure within your solution.



Describe any vendor partnerships required to make the system fully functional and
the system component(s) each party is responsible for operating and maintaining.



Indicate why your proposed deployment model is superior over other architectures.

3.1.2
Scalability
The contractor must be able to accommodate an increase in services during the term of the
contract as directed by DOCCS at no increase in cost and continue to meet all service and
performance requirements. The system must be able to incrementally increase to support a 50%
increase in volume and/or end-user devices.
Describe how your solution will meet this requirement and what actions would be needed
to fulfill the demand.
3.1.3
Network Services
Unless otherwise agreed to by DOCCS, the contractor shall replace all circuits required to
provide connectivity from each location to the contractor’s proposed services. Unless otherwise
agreed to by DOCCS, no proposed solution shall utilize existing or future DOCCS’
telecommunication services installed at DOCCS locations. The contractor must be the customer
of record for all telecommunication services used to support the proposed solution.

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3.1.4
System Trunking
The system must be engineered to ensure that all outbound calls are totally non-blocked. The
solution proposed must reserve separate bandwidth or channels for each phone without
impacting the required bandwidth for the operational characteristics of the system.
Describe how your solution will meet this requirement; detail the trunking requirements
and the formula that will be used to fulfill the requirement.
3.1.5
Call Quality
The contractor shall be required to provide telephone reception quality at least equal to current
reception quality levels and shall accept DOCCS’ decision regarding such determination. If an
IP based solution is proposed, the bidder must detail which codec will be utilized and substantiate
a Mean Opinion Score (MOS) of no less than 3.9 for the chosen codec.
Describe how your solution will meet or exceed these requirements.
3.1.6
Continuity of Services
The vendor must provide sufficient redundancy and business continuity recovery capability to
meet a three (3) hour Recovery Time Objective (RTO) and a zero (0) Recovery Point Objective
(RPO) of all ITS components.
Describe how your solution provides operational redundancy, fault tolerance, and
recovery so that services to DOCCS are not significantly diminished and that service
levels, as defined in Section 5, will continue to be met.
Backup
The vendor shall be responsible for performing all system and database back-ups
and archiving. The vendor shall provide all archival hardware, supplies, and
network and recovery procedures to ensure that no data will be lost.
The vendor must back up all DOCCS information and store copies securely off site
in compliance with DOCCS security policies. Vendor must certify the availability
and integrity of back-up data and the media on which it resides.
Describe how you will meet these requirements including frequency of
backups, off-site location(s) and security of transfers.
Uninterruptible Power
The solution must assure no loss of ITS functions for a minimum of three (3) hours
due to a loss of commercial power in the DOCCS’ facilities. The vendor must
provide an ITS capable of full recovery from a power outage automatically once
commercial power is restored.
Describe how your solution will meet this requirement including what
facilities and services DOCCS must provide.
3.1.7
Single Clock Source
The vendor shall ensure that inmate call processing equipment, call detail recording, and
recorded conversations will be synchronized from a single time-of-day clock source for all of
DOCCS’ locations.
Describe how your solution will meet this requirement.
3.1.8
Recording and Monitoring
The system must provide undetected monitoring of real-time inmate conversations, store and
replay of historical conversations with the option of storing to removable media, and the ability to
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lock certain call recordings from deletion. These capabilities shall be provisioned to allow access
to some or all features by unique user ID. (e.g. Facilities staff may only monitor calls in real time,
while investigative staff have the full feature set.) All removable media must be encrypted.
DOCCS is interested in understanding all features available for managing the recorded call
search, playback, and copying processes.
Identify removable media to be provided and describe all features that will allow
DOCCS to streamline and accelerate these functions and download selected
recording(s) to external media if desired.
Describe how your solution will meet this requirement.
Investigative Support
The vendor shall provide live, real-time investigative analysis that allows authorized
users employed by the vendor and by the Department to view and analyze a
percentage of call data to establish links between selected inmates and called
parties, to include activities such as gang, drug, victimization, extortion, and other
nefarious activities.
The system should also be able to provide reports on call-pattern analysis and callvolume distortions in real time.
Describe the proposed system’s ability to fulfill the real-time analysis
requested above, the number of analysts, and the percentage of calls that will
be analyzed.
Simultaneous Access
Recording or monitoring equipment may be centralized or hosted and shall have
the capability of undetected recording of every completed inmate telephone call for
the duration of that call. The vendor shall provide the ability and bandwidth for a
minimum of 20 simultaneous users who can listen to any recording at one time at
any facility or any combination of facilities while continuing to meet the requirements
of Section 3.1.4, System Trunking.
Describe how you intend to meet this requirement, explain whether the
recording will be hosted or centralized, detail the bandwidth and equipment
requirements required to meet this objective.
Storage
The vendor must store all call recordings and associated call detail records for
twelve (12) months at no additional charge to DOCCS. All calls locked by DOCCS
for investigative purposes shall be stored indefinitely by the contractor and remain
available throughout the life of the contract period at no cost to DOCCS. At the end
of the contract period, all locked calls will be turned over to the succeeding
contractor without additional cost to DOCCS.
Chain of Evidence
The vendor must assure that the chain of evidence is protected when copying
recordings to removable media and vendor must provide the software or tools
necessary for playback.
Describe how you will provide this function and explain its capabilities.
Retrieval
The system shall permit authorized staff to attach textual descriptions or “notes” to
each recorded call record allowing for descriptions of the recording. Each recording
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must be indexed by date, time, Automatic Number Identification (ANI), Personal
Identification Number (PIN), Terminating Number (TN), and textual “notes.” Date
and time stamps shall be identical to the date and time stamps recorded in the
system’s call detail records and call processing equipment. The recording must be
searchable by date, time, inmate's PIN, ANI, TN, “notes” or any logical combination
thereof. Search and retrieval of recorded conversations shall take no longer than
20 seconds. Search and playback of calls will not require a manual media change.
Describe how your solution will meet or exceed these requirements.
Equipment and Network Access
Network access and all equipment or software required allowing DOCCS to
monitor, retrieve, playback, and store recordings to removable media, or print local
reports shall be provided by the vendor. All removable media must be encrypted by
the proposed system. Any equipment to be deployed must be approved by DOCCS.
DOCCS currently has approximately one workstation per facility and approximately
67 remote workstations with this capability. DOCCS reserves the right to add
additional workstations at no additional cost to DOCCS.
Describe all alternative methods available to access and monitor live and
recorded calls from portable devices, including but not limited to, laptops,
tablets, and smart-phones. Include all system features available and all
standard system features not available through these devices. Identify how
access from these devices is authenticated, managed, identified and tracked
and the security features associated with each type of access.
Access to Recordings
Access to live monitoring or recordings must be controlled by a multi-level password
authentication that provides at least the following differentiating functionality:
 listening to live conversations only
 listening to live or recorded conversations with the ability to store to removable
media
Describe how your solution will meet or exceed these requirements.
Call Monitoring Suppression
DOCCS desires the ability to disable real-time call monitoring of calls made to
specific speed dial numbers (e.g. *77) or 10-digit numbers at the facility and system
level. Disabling call monitoring must not prevent these calls from being recorded.
Describe how your solution can provide this capability.
Systems Management
The contractor must provide the following system management functions.
proposed solution meets each of the following requirements in this section.

Describe how your

3.2.1
Fault Management
The bidder’s solution must provide fault management capabilities that recognize, isolate, correct
and log faults that occur in the system. The vendor must provide DOCCS with real time on-line
notification of all systems alerts and alarms including the status of all incidents.
Describe the capabilities, functionality and visibility that DOCCS will have with your fault
management offering and the functionality of your fault management solution.
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3.2.2
Configuration Management
The vendor must provide configuration management capabilities that include the provisioning of
devices, systems administration, gathering and storing of configuration data, managing version
control, tracking and scheduling of changes, and the assignment of permissions to access
system investigative features. Access to all system functions will be restricted to users
authorized by DOCCS. Each authorized user must have a unique user-ID and password.
Describe the functionality of your configuration management solution, including the
capabilities and functionality that DOCCS will have with your offering.
Provisioning and Active Directory
DOCCS provisions authorized users and applies permissions to investigative and
control features on a case-by-case basis. The State’s goal is to automate
provisioning using role-based access stored within the State’s Active Directory
structure.
Describe how Active Directory may be leveraged to automate this function
within your solution.
3.2.3
Accounting Management
The vendor must provide accounting management capabilities that at a minimum provide
account verification and correction, billing assurance and reconciliation and tracing of customer
payment, credit and call limit/blocking status and history. On a monthly basis, the vendor must
provide a billing reconciliation file to DOCCS as described in Attachment D.
Describe the functionality of your solution, including the capabilities and functionality
that DOCCS will have with your offering.
Third Party Auditing
DOCCS or its agent shall have the right to audit and review any aspects of the
contractor’s operations and systems including but not limited to data,
documentation, procedures, billing, financial records, customer service statistics,
staff backgrounds and anything related to the functioning, operations, costs, rates
or integrity of the system.
Call Detail Records (CDR)
The vendor must provide all call detail records to DOCCS in a frequency and format
as specified in Attachment D.
3.2.4
Performance Management
The vendor’s solution must provide performance management capabilities to monitor the overall
performance of the ITS and its network components.
Describe all of the following:


How you will collect and analyze performance data, monitor system health and reliability,
establish performance thresholds and provide reporting and inquiry functions.



The frequency and types of reports available.



The capabilities and functionality that DOCCS will have with your offering.

Mandatory Functions
For each function listed in this section, the bidder must describe in detail, and provide a detailed callflow diagram where specified, illustrating how its proposed solution will meet DOCCS’ requirements.
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3.3.1
Alert Groups
The system shall allow authorized users the capability of flagging specific terminating numbers
(TN) or personal identification numbers (PIN) to be placed on a watch list. When a call in
progress is detected to/from any number on the watch list, the system shall optionally attempt to
bridge the call with a pre-determined group of numbers to allow remote undetected monitoring
of the call. The bridged party shall be informed of the origination PIN or TN and enter a security
pass code to actively monitor the call.


Describe how your proposed solution will buffer or delay the monitored calls’ audio
to allow DOCCS’ staff to hear the entire call.



Explain how this buffer or delay can be adjusted and provide the parameters
available for the adjustments.



In addition to the written description, provide a call-flow diagram detailing the
entire process from the time that the inmate goes off-hook through call termination.

3.3.2
Pre-recorded Names
The system shall prompt the inmate to record his/her name when a PIN is first used. The system
must provide the ability for an inmate to playback the recorded name and rerecord the name
prior to accepting the recording. Once the recording is accepted, the inmate shall not have the
ability to modify or erase the recording without action by DOCCS to review and delete the original
recording. The recorded name shall be used in all subsequent announcements made to the
called party.
3.3.3
Access to Rape Crisis Programs
The Department must enable reasonable communication between inmates and Rape Crisis
Programs, in as confidential a manner as possible. Based upon the model currently being tested
through a pilot program, the Department has entered into cooperative agreements with regional
Rape Crisis Programs to permit direct telephone access from the inmate phone system, as well
as follow-up services via staff assisted calls and legal visits. The Department anticipates building
on this model, but must be flexible as providers change.
In the future, DOCCS anticipates continuation and expansion of a pilot project model that permits
inmates to dial a speed dial (#77) to be routed to a designated Rape Crisis Program. DOCCS
expects to designate additional numbers that can be direct dialed by any inmate either at
selected facilities or at all facilities.
A. The Department requires the ability to continue its current model of designating a
destination number for a standardized speed dial. Inmates in any facility will be permitted
to dial #77 and have their call routed to a predetermined Rape Crisis Program based upon
the facility they are in at the time of the call.
1. The Department requires the ability to change the destination number when
providers change.
2. Calls placed via #77 will be free of charge.
B. In addition, the Department requires the ability to designate certain telephone numbers as
“free” calls that can be dialed by any inmate at a designated facility or facilities, or at all
facilities.
1. Designated numbers may include direct dial (e.g., 518-xxx-xxxx) or toll free (e.g.,
800-xxx-xxxx) numbers.
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2. The Department needs the ability to add or delete individual numbers or groups of
numbers from this list throughout the life of the contract.
C. For all numbers (those associated with the #77 speed dials and other designated Rape
Crisis Program telephone numbers), DOCCS requires the ability to indicate that call detail
records should be suppressed from view at the facility level.
D. The default for these numbers would be that both call detail information and monitoring at
the facility level is suppressed. However, DOCCS should be able to independently change
each of these rules for each telephone numbers. Call detail information will not be
suppressed from certain Central Office level reports.
In all cases, calls are recorded and accessible to Central Office investigators (e.g., Office
of Special Investigations).
3.3.4
Access to Toll-Free Assistance Lines
The Department requires the ability to designate certain telephone numbers as “free” calls (e.g.
smokers’ quit line, substance abuse help line, etc.) that can be dialed by any inmate using an
agreed upon speed dial number at a designated facility or facilities, or at all facilities.
Designated numbers may include direct dial (e.g., 518-xxx-xxxx or toll free 800-xxx-xxxx)
numbers. The Department needs the ability to add or delete individual numbers or groups of
numbers from this list throughout the life of the contract. The called number must be hidden from
the inmate at all times.
3.3.5
Announcements
Upon delivery of the call, the system must clearly announce to the called party that the call is
from a NYS Correctional Facility, the facility name, and the inmate’s pre-recorded name. The
system shall allow the called party to optionally hear current rates and actively accept or deny
the call by pressing a key on the touch-tone dial pad. The event shall be identified and recorded
in call detail records.
In addition to a written description, provide a call-flow diagram detailing the entire
process from the time that the inmate goes off-hook until call termination.
3.3.6
Automatic Number Identification
The Automatic Number Identifier (ANI) for all ITS calls must identify to the called party both New
York State Department of Corrections and Community Services and the specific correctional
facility name from which the call originated. DOCCS requires a unique ten-digit telephone
number be used to identify each of its correctional facilities to the called party and, the ten-digit
numbers used for ANI be phantom telephone numbers incapable of receiving incoming calls.
The unique telephone station identifier (i.e. extension number, port assignment, or location) used
to identify the individual ITS telephones within a facility must not be used as part of the ANI
information transmitted to the called party.
Describe how this capability will be provided.
3.3.7
Billing Name and Address Lookup
The system shall allow authorized DOCCS’ staff to perform billing name and address lookup of
the called party number using at a minimum the Local Exchange Carrier (LEC) Line Information
Data Base (LIDB.)
Describe how this capability will be provided and any additional capabilities that are
available.

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3.4.3
Number Control
The system must provide the ability to block numbers globally (e.g. 800/900 numbers) while
allowing individual telephone numbers within a blocked area code. DOCCS must be able to
apply these blocks on a facility-by-facility and system-wide basis at a minimum.
3.4.4
Personal Allowed Numbers (PAN)
The system shall provide the ability to restrict inmate calling to a pre-approved list not to exceed
15 numbers. The list shall be refreshed and batch updated as specified in Attachment D.
The system must provide a telephone COR which allows calls to be placed from specific
telephones without an active PAN list.
3.4.5
Phone Scheduler
The system shall provide the ability for DOCCS to make individual phones, groups of phones or
the entire system active or inactive based upon on an independent schedule.
3.4.6
Personal Identification Number (PIN)
The system must provide the ability to force an eight (8) character Personal Identification Number
(PIN) before processing a call. The proposed solution must validate the PIN number and inmate
location prior to allowing each call. The DOCCS’ list shall be refreshed and batch updated as
specified in Attachment D.
3.4.7
Administration
The system must provide the ability to administer system functions and features including but
not limited to inmate accounts, PINs, PANs, phone schedules and access through what is
commonly referred to as access control lists. Access to functions and features will require
separate permissions be associated with a unique user-id.
Describe in detail how the permissions-based access will operate and how many unique
levels of access can be created. A minimum of four (4) levels is required; greater than four
(4) levels is preferred.
3.4.8
Third Party Call Detection
Describe how the system detects an attempt to bridge a call in progress to a third party
and provide options to disconnect the call, flag the call, or play a voice prompt warning.
The event must be captured in call detail records.
3.4.9
Hours of Operation
The solution shall allow DOCCS to set parameters that determine the hours of operations for
inmate phone services. The default shall be set to allow services to be available from 7:00 a.m.
to 11:00 p.m. ET. At DOCCS direction, individual phones or groups of phones may be further
restricted.
3.4.10
Call Duration
The system shall allow DOCCS to control the maximum call duration at each facility. Current
call duration is one half (1/2) hour.
3.4.11
Telephone Testing
The vendor shall provide the ability to allow DOCCS staff to test telephones at any location, at
no charge to DOCCS, to assure that they are fully operational. The vendor shall provide unique
PINs with a DOCCS-defined PAN list to be used by DOCCS’ staff when testing phones.

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3.4.12
Languages
The system prompts will be available in all of the following languages: English, Spanish, Chinese,
Russian, Haitian Creole, Korean, and Italian. (See Section 4.2.2 for more information about
required languages.) The selected Contractor will agree to support additional languages during
the life of the resulting contract.
Describe how your proposed system is able to support other languages. Include all the
languages that will be supported.
3.4.13
ANI Verification
The vendor shall test all inmate telephones for location accuracy and verify the Automatic
Number Identifier (ANI) at implementation, during activation of new equipment and at a minimum,
annually thereafter.
3.4.14
Telecommunications Relay Services for the Deaf
The vendor shall provide telecommunications relay devices for the deaf compliant with the
Americans with Disability Act (ADA), and the Federal Communications Commission (FCC) and
New York State Public Service Commission’s (PSC) rules and regulations throughout the term
of the agreement.
Explain how your solution can extend telecommunications services for inmates who are
deaf or hard of hearing and all monitoring, recording and reporting capabilities that will
be available with this service. Include details that show how the proposed plan will be in
compliance with the ADA, the FCC and PSC rules and regulations at no additional cost to
DOCCS or the account holders throughout the term of the agreement, recognizing that
TTY technology will cease to be supported during the term of this agreement.
3.4.15
Telephone Accommodations for the Visually Impaired
The vendor must propose devices accessible to the visually impaired and that are compliant with
the ADA, the FCC and the PSC rules and regulations throughout the term of the agreement.
This functionality will be required at approximately 10 correctional facilities on phones that will
be identified by the Department and may be changed from time-to-time at the Department’s
discretion.
Explain how your solution can extend telecommunications services to visually impaired
inmates and all monitoring, recording and reporting capabilities that will be available with
the services. Include details that show how the proposed plan will be in compliance with
the ADA, and the FCC and PSC rules and regulations at no additional cost to DOCCS or
the account holders throughout the term of the agreement, recognizing that TTY
technology will cease to be supported during the term of this agreement.
3.4.16
Call Pattern Analysis and Alerting
The system shall provide the ability to identify trends within inmate calling patterns and issue an
indicator to authorized personnel when pattern changes occur. DOCCS shall specify the alert
thresholds.
Explain how your system can be utilized to perform this function, including, but not
limited to, call-alerting parameters, which can be set by DOCCS; notification capabilities
(real-time and historic); and reporting capabilities.
3.4.17
Voice Recognition, Identification, and Analysis
The system shall provide voice biometric authentication: It will create and store voice prints for
all inmates and will compare the caller’s voice to the stored voice print using a set of
measurements and comparison methods at the beginning of the call. Calls attempted by an
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inmate determined not to be the inmate of record will be disallowed, flagged accordingly, and
reported through standard call detail reporting. Additionally, the inmate’s voice will be
monitored continuously throughout the call. The system should have the ability to detect an
additional/different voice print on a call in progress, identify the inmate, flag the call, and report
the occurrence through standard call detail reporting. The system will also have the ability to
send a real-time alert to designated staff for specified inmates.
Required
Describe how the proposed system will provide for voice recognition,
identification, and analysis including the following:
A. A solution for verification of inmate identity via voice identification prior
to call initiation
B. A solution for continuous monitoring and immediate detection and
identification of additional/different voices during the entire call
C. A solution for providing real-time alerts for the detection of preidentified inmates
Describe how the solution will address voice analysis, voice stress
analysis, and voice pattern analysis.
Optional/Desirable
D. Describe any additional features if available with the proposed system
including the ability to compare called parties by voice and identify
potential matches for all inmate calls statewide.
3.4.18
Emergency Shut Down
The system shall provide for the emergency shutdown of all phones in a facility or portion thereof
at each facility and provide a master control in Central Office that cannot be overridden at a
facility. Therefore, the system shall provide the ability to disconnect any phone or group of
phones locally or remotely.
Describe in detail how this is accomplished.
Equipment
The vendor shall provide all equipment required to provide ITS services for all of the DOCCS’ facilities
and locations at no cost to DOCCS. All equipment must be described in the vendor’s proposal. The
vendor must propose equipment that is appropriate for a correctional facility environment. Upon
successful installation, all telephones, pedestals, and wiring will become the property of DOCCS.
3.5.1
Telephones
All devices provided must be hearing aid compatible and include volume controls on the housing
with a 24-inch hand set cable, and be appropriate for a correctional facility environment. The
devices provided must be equivalent to or better than the currently installed devices which are
Wintel - Tall Blue with Volume Ctrl & 24-inch Cord Duraclear handset. At its sole discretion,
DOCCS may direct the reuse or replacement of currently installed telephones at some or all
locations.
3.5.2
Portable Phones
The vendor shall provide portable (wired) phones that plug into standard jacks as required. At
its sole discretion, DOCCS may direct the reuse or replacement of currently installed portable
telephones at some or all locations.
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3.5.3
Pedestal and Enclosures
The vendor must provide pedestals as specified by DOCCS for both inside and outside locations
at DOCCS’ direction. At its sole discretion, DOCCS may direct the reuse or replacement of
currently installed pedestals and enclosures at some or all locations.
3.5.4
Tablets
The vendor’s solution must provide tablets (tablet) for a portion of the Department’s specialty
populations such as Special Housing Units and Regional Mental Health Unit, etc. (approximately
5,000) to allow inmates to complete telephone calls via the tablet from their cell. Telephone calls
completed via tablets must conform to all requirements and mandatory features of this RFP.
Further, the tablets must provide a variety of off-line entertainment, as well as educational and
religious content that is age-appropriate for a complete range of academic capabilities (see
Attachment E). The successful bidder will work with DOCCS to finalize this content for the tablets.
Device Specifications
The vendor-provided tablets must conform, at a minimum, to the following:











High-quality construction with a shatter-resistant and tamper-proof housing
A 7” to 10” touch screen
Sound limited to included earbuds only
An internal, rechargeable, non-removable battery
No camera
User anonymity: no sign-on required to access preloaded content
Content in Spanish (or language translation capabilities)
No ability for inmates to download any content; devices must have preloaded
content; DOCCS administrators must have the ability to add/remove content
No ability to connect to any wireless network, except the ITS
At the Bidders’ Conference, provide a sample tablet for DOCCS review of
the durability and suitability for use in a secure environment.
o

If rejected, each vendor will have the opportunity to provide an
alternative device prior to RFP evaluation.

The vendor’s proposal must address the following:







Describe how the proposed solution will operate.
Detail the secure network to be provided for phone services through the
tablets.
Provide details of the device to be provided.
Demonstrate that you can meet the minimal standards for entertainment,
educational, and religious content. See Attachment E.
Describe how DOCCS will be able to add/remove content as necessary.
Provide details of the solution that will prohibit online access.

3.5.5
Wiring
The vendor is responsible for the installation and maintenance of all ITS wiring from the
Intermediate Distribution Frame (IDF) to the telephone and/or wireless tablet instruments.
Category 3 or better cabling is required. At its sole discretion, DOCCS may direct the reuse or
replacement of current wiring at some or all locations. All wiring and cabling shall be performed
in accordance with manufacturer standards and guidelines and industry practices. All
installations shall be labeled and documented as mutually agreed upon between DOCCS and
the vendor.
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3.5.6
Compliance
All equipment, wiring and component installations shall conform to all applicable building codes,
electric codes and accepted industry standards.
3.5.7
Restoration of Facilities
The contractor shall restore all damaged walls, ceiling and facilities to their original condition and
in compliance with all applicable building codes and requirements resulting from contractor
actions and activities. All work must be pre-approved by DOCCS.
3.5.8
Inventory
The vendor must maintain a current inventory of all equipment and components and provide the
inventory to DOCCS as requested.
Provide a sample inventory report with the proposal.
3.5.9
Environmental
DOCCS will provide space, electricity and HVAC to support up to two (2) nineteen-inch racks for
premise-based equipment. The vendor is responsible for any additional requirements beyond
ambient temperature and standard power.
Describe any additional requirements in your proposal and include the plan to provide
those requirements.
3.5.10
Servers and Processors
Provide full specifications and product literature/brochures for all equipment required including,
but not limited to, call processors, servers, storage devices, workstations and related
components.
3.5.11
New Equipment
The contractor shall replace all existing premise-based equipment between the main distribution
frame and the network point of presence with new equipment. All call processors, routers,
multiplexers, channel banks, gateways, switches or any required system component shall be
new.
Provide full specifications and product literature/brochures for all proposed new
components.
Software Enhancements and Upgrades
The vendor shall provide software enhancements and upgrades for either proprietary or third-party
software required by the proposed Inmate Telephone System (ITS), including wireless tablets, when
the enhancement and upgrades are generally available in a customer production environment. The
vendor shall be responsible for maintaining the installed ITS at the latest general release of the
system software for all systems including the system administration or system reporting
terminals/PCs. The vendor must upgrade or replace all third-party software and/or hardware prior to
any end-of-support date set by the third-party provider. All software changes shall be preapproved by
DOCCS and must utilize approved change management procedures and configuration management
processes as defined under Configuration Management in Section 3.2.2.
Provide complete documentation for all software upgrades or enhancements.

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Maintenance
The vendor shall be solely responsible for the maintenance and support for all system components
including telephones, pedestals, enclosures, circuits, network components, software, call processors
and all other elements of the system.
Describe the maintenance and support capabilities, methods and procedures as related to the
subsections below.
3.7.1
Maintenance Responsibility
Malfunctions which cannot be immediately diagnosed and pinpointed to a certain item of
equipment or particular service will require the participation of all service suppliers until
responsibility for the problem has been unequivocally established. As a part of maintenance
responsibilities, the contractor shall represent DOCCS with the regulated telephone company,
network provider, or any other third-party service provider, in order to identify and correct
problems with service.
In no instance shall the failure to resolve the issue of responsibility relieve the contractor from
the obligation to restore system operability with the least impact on the availability of service.
3.7.2
Damage
The vendor shall be responsible for the repair or replacement of all equipment damaged
regardless of the cause including, but not limited to, inmate damage, natural disaster, and
DOCCS’ actions or operations at no cost to DOCCS.
3.7.3
Maintenance Window
All scheduled maintenance must be performed outside of the normal ITS operating hours which
are currently 7:00 a.m. to 11:00 p.m. ET.
3.7.4
Maintenance Center Location
Within 14 days of notification of selection, the vendor shall detail the location and number of
maintenance staff, the staff experience, DOCCS’ facilities to be supported by each location, and
procedures to provide on-site maintenance service at all the DOCCS’ locations with vendor
provided equipment to meet DOCCS performance requirements. If the origination points for the
maintenance staff are their homes, rather than a maintenance center, the staffs’ origination
addresses must be provided. It is a mandatory requirement of this RFP that the vendor agrees
to have maintenance personnel within a three (3) hour drive from their origination addresses to
each of DOCCS’ locations throughout New York State. Failure to do so will result in a breach of
contract. A map of the DOCCS’ facility locations is provided in Attachment B.
3.7.5
Maintenance Staff Experience
Service personnel must be trained and experienced with installation and maintenance of the
proposed system and equipment. DOCCS reserves the rights to request copies of training
certificates for service personnel and to reject any maintenance personnel it determines to be
unqualified to perform maintenance service on the proposed equipment.
3.7.6
Preventive Maintenance
The vendor shall conduct an on-site inspection and preventative maintenance service for all
premise-based equipment provided on a quarterly basis at a minimum. The vendor shall certify
the completion of the quarterly inspection and notify DOCCS of any equipment changes. Provide
a sample of the proposed preventive maintenance report and certification form, including but not
limited to, components to be tested, and pass/fail criteria for each component.
The proposed schedule shall be consistent with DOCCS’ operating requirements and shall be
based upon the specific needs of the equipment being maintained.
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3.7.7
Remedial Maintenance
DOCCS will maintain a call screening service for all facilities. All service calls will be placed by
DOCCS or its agent. Facilities will have the option to call in service issues at DOCCS sole
discretion. Remedial maintenance shall be performed upon notification to the vendor that the
equipment/service is inoperable or unsuitable for operation. The contractor shall be responsible
for assuring that on premise service for each request is provided in accordance with the DOCCS’
service requirements as defined in Section 5.
3.7.8
Maintenance Request Reports
The vendor shall furnish DOCCS with a monthly report, in a format to be determined by DOCCS,
of all maintenance requests. The report shall include, at a minimum, the following data for each
request for assistance:


Date and time notified



Date and time of arrival



Description of malfunction reported



Diagnosis of failure and work performed



Date and time failure was corrected



Name of person performing the service



Name of person and agency reporting trouble

Transition/Migration
The vendor shall assume responsibility for all inmate telephone services effective on a specific date
to be set by DOCCS prior to the official contract award and act as the DOCCS’ agent to assure
uninterrupted ITS operations as of that date. The vendor shall be responsible for establishing
agreements with the existing provider as required to maintain all existing services and functions.
Pursuant to the previous ITS contract, the existing vendor has committed to deliver to DOCCS a
Phase-Out plan 80 calendar days before contract completion or termination and to maintain contract
compliance during the period of time leading up to the contract expiration of termination. During
turnover of the ITS systems to the successor contractor, the incumbent will deliver an inventory of all
vendor-owned property at all DOCCS’ locations and any outstanding requests/enhancements/issues
to DOCCS. At DOCCS’ direction, the existing vendor will turn over all vendor-provided equipment at
all DOCCS’ locations by close of business on the last day of the contract.
Describe the plan to migrate from the current DOCCS’ ITS system to the proposed system.
3.8.1
Project Management
Submit a proposed Project Plan in Microsoft Project format. Such plan must effect full
statewide implementation within the required 90-day transition period. The Plan must include at
least the following elements:
 Implementation plan

 Communications plan for
the DOCCS’ users and the
DOCCS’ users
 Performance and service
plan
 Project reporting process
mechanisms

 Migration plan
 Fallback plan
 Risk management and mitigation
plan
 Acceptance test plan

level
and

 Change management process

 Training plan
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non-

 Configuration management plan
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Project Manager
The vendor shall provide a fulltime project manager for the duration of the implementation
until DOCCS has accepted all system components and services. The project manager
shall be responsible for the development and implementation of the project plan, all
transition and migration requirements and acceptance testing. Within 14 days of the
notification of tentative contract award, the selected bidder must provide a résumé for its
proposed Project Manager for DOCCS’ approval. The State reserves the right to require
additional information, including the use of direct interviews and demonstrations, to make
a determination of the proposed Project Manager’s qualifications. DOCCS reserves the
right to accept or reject any proposed candidates for this position.
DOCCS’ Resources
In the Proposal, provide a breakdown of DOCCS’ staff resources required for
implementation, migration, and operation of their proposed solution.
Site Survey
After notice of tentative away, the selected vendor shall be responsible for performing a
site survey at all of DOCCS’ facilities and identifying all installation and facility issues that
could impact implementation.
3.8.2
Call Recording Migration
DOCCS currently stores one year of recordings within the existing ITS platform. The vendor
must transfer existing recordings from the current vendor system to the proposed system without
loss of information, chain of custody and playback ability.
Describe the plan for this migration.
3.8.3
Fallback Plan
As part of the proposal, provide details and procedures for the fallback plan to restore all
services to the prior system in the event of failure upon cutover.
3.8.4
Acceptance Testing
The project plan must include a draft Acceptance Test developed by the vendor. DOCCS will
evaluate this plan for comprehensiveness and reserves the right to make modifications to
the plan to meet DOCCS’ needs. Failure to successfully complete the Acceptance Test may
result in termination of vendor services and cancellation of the contract. DOCCS shall be the
sole determinant of the success of the Acceptance Test. Billing for services under the contract
will be contingent on the satisfactory completion of the Acceptance Test. If the initial acceptance
test is not successfully accomplished, DOCCS, at its sole discretion, may require a retest of one
or more of the acceptance test criterion.
3.8.5
Equipment Disposal
The contractor shall be responsible for the removal and environmentally certified disposal of all
existing unused ITS equipment no later than 120 days after the successful completion of the
acceptance test.
The contractor will be responsible for removal of all equipment replaced during the term of the
contract at no cost to DOCCS. All data and software must be completely removed and destroyed
in compliance with DOCCS security policies and procedures and certification of the completed
decimation process provided.

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Data Exchange
The ITS contractor and DOCCS’ computing systems routinely exchange data to provide timely
updates to the ITS that allow proper validation of an attempted call prior to processing. The contractor
must comply with the frequency and data exchange format as specified in Attachment D, Data
Exchange Elements, and provide communication access for the data exchange 24 hours per day.
Where appropriate, DOCCS will make a reasonable attempt to add or modify formats or schemas to
accommodate the vendor for new services implemented resulting from a contract award. Data
Exchange Specifications are subject to change during the resulting contract term.
3.9.1
National Information Exchange Model (NIEM) Standards
The contractor agrees to migrate the existing data exchange requirements to data standards
consistent with the NIEM as they become operational for ITS data elements at no cost to
DOCCS. The bidder may find additional information regarding NIEM standards at
http://www.niem.gov.
3.9.2
Data Reconciliation
The vendor shall provide on a weekly basis all data to DOCCS in a format specified by DOCCS
in Attachment D for the purposes of data reconciliation. DOCCS will reconcile the vendor’s data
and transmit exceptions in the same format as the daily modifications as specified in Attachment
D. The vendor shall accept the modifications as the master record.
Information Ownership
DOCCS shall own all inmate data, call recordings, and customer account records (collect call, prepaid, and credit), and DOCCS’ information developed, stored or used in the ITS. The vendor shall
act as custodian of that information in accordance with applicable statutes, policies, regulations and
procedures and shall provide the information to DOCCS upon request in a form and manner specified
by DOCCS. The vendor agrees not to sell, use, share or display any data or to use data for any other
purpose unless agreed upon, in writing, by DOCCS.
Security
Due to the sensitive, public safety nature of the services under the resulting contract, the vendor must
describe, in detail, the security measures that will be taken for personnel, data, communications,
systems and facilities in a Security Plan.
The security plan must address the steps the vendor will take with regard to protecting all information
and services that result from this RFP.
Describe the security plan, including specific processes and procedures that your company
will take to ensure the confidentiality of all information and data.

3.11.1
ITS System Security
The vendor shall describe the ITS system security for all data stored locally or in a central
database.
Describe the proposed security system. All information must be encrypted.
3.11.2
Jurisdiction
The vendor must guarantee DOCCS that it will not transport or make available physically,
electronically, verbally or in any other form or manner, any data (either test or production)
provided or produced under the contract that is awarded as a result of this RFP outside of the
borders of the United States.
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3.11.3
Compliance
The vendor will comply with all the DOCCS’ security policies and procedures and requirements
as well as State security policies including, but not limited to, the NYS Enterprise Information
Security Office (EISO). Information for this Security Policy is available at
www.its.ny.gov/eiso/policies/security.
3.11.4
Background Checks
The vendor’s personnel must meet DOCCS’ requirements for background checks and be subject
to ongoing review to assure that staff continues to meet security screening standards.
3.11.5
Information Security Breach
The vendor shall notify DOCCS immediately if it experiences any security breach that may cause
DOCCS’ data and/or customer’s data to be corrupted or inappropriately accessed or used. Such
notice shall occur within four (4) hours of any incident.
Provide a copy of your data security breach notification and response procedures.
Phase-Out Plan
The vendor shall provide DOCCS with a full explanation on how it will handle a transition situation at
the end of the contract period. Any DOCCS-owned equipment located outside DOCCS’ sites, such
as recording equipment and software, must be provided to the next contractor or DOCCS at no cost.
DOCCS shall own all premised-based equipment installed and all data. At DOCCS direction, the
contractor must provide any and all data including call recordings to the new vendor or DOCCS.
Training
The vendor shall specify the training requirements and expected roles and responsibilities for all of
DOCCS’ ITS staff required for the planning, implementation and on-going operation of the ITS. The
vendor shall provide all training at no cost to DOCCS.
The vendor will deliver the needed training in a manner, at a location and according to a schedule
approved by DOCCS. All training will include proficiency testing and additional training will be
provided at no additional cost until all participants achieve proficiency. The vendor will provide
refresher training or training for new staff as needed at no cost.
List and describe all training, including the title, length, general content, and the proposed
schedule for the training.
Documentation
The vendor must provide full, complete and up-to-date documentation specific to DOCCS’
implementation no later than seven (7) business days prior to the beginning of implementation. The
documentation shall include at a minimum the following:









Detailed flowchart(s) depicting the entire inmate call process from the moment an inmate picks
up the receiver to the completion of the call. The flow chart(s) shall include the time intervals
for each phase of call completion.
Network diagrams and documentation of all circuits, routers, switches and other components
and the service provider(s) responsible for diagnostics and repair of each component shown.
Documentation of security and operational procedures
User documentation for administrators
User documentation for investigators
User documentation for correctional facility staff
Training information for inmates

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


Information for called parties
Technical system documentation



Customer-accessed web site design and content for account management and trouble
reporting

Reporting
The vendor shall describe all available reports, standard and ad-hoc, including the file formats
available, that are part of its solution; provide DOCCS with online access to run such reports; describe
any methodology in which DOCCS may create its own custom reports; and explain how the data
may be formatted, retrieved and transmitted to a DOCCS’ workstation. On a monthly basis, the
vendor shall provide, at a minimum, detailed reports in a format specified by DOCCS for



all service level and performance requirement items as specified in Section 5; and
the number of calls, minutes, actual duration, billed duration, and revenue broken down by
local, intralata, interlata, interstate and international destinations and the totals for each month
and facility.

On an annual basis, the vendor shall provide a summary report containing the information identified
above and any other customer account related information that DOCCS determines necessary.
Provide sample reports in proposal illustrating your capabilities to include specific details as
described above.
END OF SECTION 3: TECHNICAL REQUIREMENTS

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4 Customer Service
Support Services for DOCCS
4.1.1
Principal Technical Support Representatives
The vendor shall assign primary and secondary representatives who will be knowledgeable of
DOCCS’ operational and support requirements and service levels and who will act as the
DOCCS’ principal liaisons for both Technical and Customer Support and be available 24 hours
per day. When the primary liaison is unavailable, the secondary shall assume those duties.
DOCCS prefers that the primary contact be resident in New York State. Within 14 days of
notification of the tentative contract award, the selected bidder must provide résumés of the
proposed representatives for DOCCS approval. The State reserves the right to require additional
information, including direct interviews and demonstrations, to facilitate a determination of the
proposed representatives’ qualifications. DOCCS reserves the right to accept or reject any
proposed candidates for this position.
4.1.2
Toll-Free Access
The vendor must provide DOCCS with toll-free access for technical support that is available 24
hours per day, 365 days per year. Customer support access to knowledgeable personnel must
be available within ten (10) minutes of the contact initiation by DOCCS.
4.1.3
DOCCS’ Authorized Representatives
DOCCS will establish an authorized list of individuals or titles who have the authority to open
trouble tickets and request maintenance dispatch or support services. The vendor will only act
on the request of an authorized individual on the list.
4.1.4
Gate Clearance
The vendor shall be responsible for establishing all gate clearances in conformance with
DOCCS’ policies and procedures for on-site visits.
4.1.5
Ticketing System
The vendor shall utilize an automated ticketing system to log, track, manage and assure
appropriate response to all calls for support. DOCCS and/or its representatives shall be provided
real-time access to this system including the ability to create new tickets and run reports on
service tickets related to services provided to DOCCS. Reporting capabilities associated with
this system must comply with Section 3.15 above. The vendor must be prepared to work with
DOCCS to integrate the proposed ticketing system with the trouble ticket system utilized by
DOCCS.
Describe how this system will provide the required functions and explain the system’s
capabilities. Include details as to what level of visibility and access DOCCS will have.
4.1.6
DOCCS’ Access to Customer Information
The vendor shall provide DOCCS and/or its representatives with secure online, real-time access
to all customer information regarding account status and history.
Describe how this function will be provided, and explain its capabilities. Include details
as to what level of visibility, access, and reporting DOCCS’ ITS staff will have.

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4.1.7
Court Evidence and Expert Witness Testimony
The vendor shall provide verification that its methods and procedures meet accepted legal
standards for chain of evidence in legal proceedings. At no cost to DOCCS, the vendor shall
provide affidavits as required throughout the term of the contract, support any legal proceedings,
and provide expert witness testimony as needed. In the last five (5) years DOCCS has
experienced approximately ten (10) incidents requiring expert witness services.
Support Services for Customers
DOCCS requires that the vendor provide account holders with responsible, reliable customer service
and support as outlined herein. The vendor shall utilize an automated ticketing system to log, track,
manage, and assure appropriate response to all calls for support from Customers. Reporting
capabilities associated with this system must comply with Section 3.15 above.
Describe how this system will provide the required functions and explain the system’s
capabilities. Include details as to what level of visibility and access DOCCS’ ITS staff will have.
4.2.1
Toll-Free Access
The vendor shall provide toll-free telephone access to knowledgeable customer service staff for
at least the normal inmate telephone operating hours, which are currently 7:00 a.m. to 11:00
p.m. ET, 365 days per year. All customer service representatives must have access to up-todate customer account information including at a minimum billing, payment and blocked call
status and history.
4.2.2
Executive Order Number 26
Bidders should review this executive order prior to submitting proposals. You may access the
executive order on the Governor’s Web site: No.26 STATEWIDE LANGUAGE ACCESS POLICY
In the event that translation/interpretation services are required for languages other than the
Spanish language, the selected Contractor must agree to comply with any requests by DOCCS
to provide documents or other assistance to allow for translation or interpretation to be
conducted.
4.2.3
Customer Account Access
The vendor shall provide customers with secure web-based access to account information
including billing, payment and blocked call status and history. Customers should be provided
the capability to securely add funds to their pre-paid account online. The vendor must transfer
all existing accounts at no cost to the account holders.
Describe how your solution provides this functionality and explain its capabilities.
4.2.4
Customer Outreach
DOCCS meets periodically with inmate advocacy groups to discuss a variety of issues. The
vendor’s representative(s) will be required to attend such meetings to discuss ITS related issues.
4.2.5
Call Blocking
The vendor must notify customers prior to initiating a block on collect calls. If a collect call
account is in arrears and the vendor applies a block, the vendor must provide an opportunity for
the customer to establish a pre-pay account.
Provide details on how this will occur, at a minimum provide details for the following:

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

The steps initiated to contact the customer and describe how many and what
types of attempts will be made



What procedures are followed
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

The timeframes between each step in the process



The specific reasons why a call is blocked



Any automatic processes that trigger a block



What are the procedures and timeframes for customers to remove a block

4.2.6
Vendor Account Policies
Identify in the proposal all policies including, but not limited to, call limits, billing amount limits,
collect or pre-payment caps, and call-blocking criteria they plan to apply to customer accounts.
DOCCS reserves the right to accept or reject any or all proposed policies.
4.2.7
Vendor Policy Changes
The vendor must notify DOCCS and the customers (all account holders) before implementing
policy changes including, but not limited to, call limits, billing amount limits, collect or pre-payment
caps and call-blocking criteria. All policy changes must be pre-approved by DOCCS and the
appropriate regulatory authority.
4.2.8
Aggregated Billing Account for DOCCS-Approved Organizations
During the term of the contract, DOCCS may identify individuals or organizations that are
approved to receive, at no additional charge, a single monthly bill for multiple accounts with billing
detail at the individual account, groups (i.e. location specific) and master account level.
Describe how such billing will be performed, and identify any limitations associated
with such aggregate billing. Include a sample bill reflecting monthly billing for
individual lines, groups of lines and the master account.

END OF SECTION 4: CUSTOMER SERVICE

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5

Inmate Telephone System

Performance Standards

Service Objectives
The vendor must provide services that meet the performance levels delineated below.
Describe what steps will be taken to meet or exceed DOCCS’ performance and service-level
objectives for the Inmate Telephone System:
5.1.1

Facility Service Objectives
A. Equipment
1. Installation: Time from vendor receipt of order to working installed equipment.
Performance Standard: 20 calendar days
2. Maintenance: Monthly Meantime to Repair
Performance Standard: 8 hours

B. System Software
1. Updates/new releases: Time from availability to system-wide deployment
Performance Standard: 6 months
C. Network
2. Service: Monthly Availability (entire system)
Performance Standard: 99.99% (7x24x365)
5.1.2

Customer Service Objectives
A. DOCCS as customer
1. Service
a. Resolution Rates
Performance Standard: >70% of calls resolved on first call
b. Wait times
Performance Standard: Monthly mean wait time < 60 seconds
c. Access to technical support
Performance Standard: Within 10 minutes 100% of the time
2. System Availability per site: Monthly Availability within operational hours.
Performance Standard: 99.9%
3. Data Transfer and availability
a. Timing
Performance Standard: Occurs within scheduled window 98% of the
time
b. Accuracy
Performance Standard: 98% of transfers complete and correct on first
transfer; 100% on second transfer.

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4. Inmate Calls
a. Drops and Disconnects
Performance Standard: Less than 2% per site per month
b. Voice Quality
Performance Standard: Meet quality standard 99% per month
c. Complaints
Performance Standard: Less than 5% of average annual population per
month

B. Inmates, family & friends as customers
1. Service
a. Resolution rate
Performance Standard: >70% of calls resolved on first call
b. Wait times
Performance Standard: Monthly mean wait time <60 seconds
c. Abandoned calls
Performance Standard: Not to exceed 10% of calls per month
d. Complaints
Performance Standard: Not to exceed 5% of accounts per year
Resolution of Reported Problems
DOCCS has established priority levels 1-5 for problem reporting. Level 1 problems shall be the
highest priority and level 5 the lowest. DOCCS has the sole authority to determine the priority level
of each reported problem and to determine if the problem has been resolved and the issue closed.
Resolution time is based on a 24-hour-per-day basis, 365-days-per-year service.
Describe what steps will be taken to meet or exceed DOCCS’ problem resolution objectives.
A. Priority Level 1 includes, but is not limited to the following:
1.
2.
3.
4.

Loss of critical functionality
50% or more phones in a facility out of service
Loss of administrative or investigative access or function
Loss of monitoring or recording function

Performance Standard: The time requirement for resolution of Level 1 Problems is
4 hours.
B. Priority Level 2 includes, but is not limited to the following:
1. Loss of significant functionality
2. Data exchange failure
3. 20%--49% of phones in a facility out of service

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Performance Reviews
The vendor shall provide monthly, quarterly, and annual performance reports that meet DOCCS’
specifications. The reports will include the data elements noted in Section 5 above along with the
raw numbers used to achieve the percentages. Additionally, every quarter, the vendor shall provide
a face-to-face review of all performance indicators and trends and a summary of service issues. The
vendor shall provide an annual review of the operational status, the financial status, the cost and rate
analysis as well as an overall contract review. All reports and reviews will be presented to DOCCS’
staff.
Provide examples of draft reports.

END OF SECTION 5: PERFORMANCE REQUIREMENTS

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6 Vendor Qualifications
Company Experience
The bidder shall submit satisfactory evidence that, in the sole judgment of DOCCS, it has at least
three (3) years current experience providing ITS production systems and services for commercial or
government clients. The proposed system must be a commercially available system and have been
in full production for at least one (1) year for at least three (3) customers that serve at least a total of
500 inmate telephones each.
The bidder shall submit three (3) client references to support their experience claims. Incomplete
or incorrect client contact information will be evaluated to the bidder’s detriment. Current employees
of DOCCS may not be used as references. Bidders should advise proposed references that
DOCCS will be calling them and confirm the references willingness to participate. The
information must be provided using Appendix F, Vendor Reference Form.
New York State will not be a test site for unproven technology. For all technology proposed, your
references must include at least two sites where this technology has been in service as an integrated
part of the inmate phone system for at least six (6) months. An onsite or real-time demonstration of
the technology must be provided prior to finalization of the scoring for this procurement.
The subcontractors that will be used to perform any aspect of the work must complete Appendix F by
providing three (3) references in the relative field of services. In addition, subcontractors must have
at least three (3) years current experience providing the services in the specific field of service.
Provide the names of any federal, state or local correctional facilities and/or systems where
the subcontractors’ services have been used in the past three (3) years.
Past Performance
6.2.1
Security Incidents
Provide details on all incidents of security breaches, lost or misused data in last three (3)
years including, but not limited to, the nature and extent of the incident, remedial actions
taken, and current status.
6.2.2
Performance Data
Provide detailed performance information for the three (3) referenced systems identified
in Section 6.1. At a minimum the performance information shall include the items
identified in Section 5.1, Service Objectives.
6.2.3
Legal Validity
Provide documentation of the validity of its chain of evidence methodology and its
acceptance in legal proceedings. Include the number of legal cases in last three (3) years
where the methodology was successful, and explain any instances where the validity of
the chain of evidence was not accepted.
Staff Qualifications
Provide information regarding the qualifications and experience of the individuals that will be
the primary points of contact for both customer and technical services as outlined in Section
4.1.1. Provide résumés and completed Staff Qualification Forms (Appendix G) for at least three
(3) reference projects/assignments. Include the dates of the relevant experience in the résumés
and qualification forms.

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6.3.1

Inmate Telephone System

Staffing Numbers and Qualifications
Provide the following:


The number of staff by functional area, work shift, average years of experience and
turnover rates for the last three (3) years



The ratio of customer service staff to the number of active accounts



The ratio of the number of technical support staff to the number of installed sites

6.3.2
Staff Disqualification
DOCCS shall have the right to require the contractor to remove any individual assigned to this
project at any time during the term of this contract at DOCCS’ sole discretion.
6.3.3
Staff Resignation or Discharge
The contractor shall immediately notify DOCCS of the resignation or discharge of the primary
points of contact assigned to this project. Transfer of knowledge must occur prior to the
departure of any staff members. The contractor shall propose a qualified replacement for
DOCCS’ review and approval.
Vendor Responsibility
6.4.1
Vendor Responsibility Requirements
DOCCS conducts a review of prospective contractors (“Bidders”) to provide reasonable
assurances that the Bidder is responsive and responsible. A Vendor Responsibility
Questionnaire is used for non-construction contracts and is designed to provide information to
assess a Bidder’s responsibility to conduct business in New York based upon financial and
organizational capacity, legal authority, business integrity, and past performance history. By
submitting a bid, Bidder agrees to fully and accurately complete the Vendor Responsibility
Questionnaire. The Bidder acknowledges that the State’s execution of the Contract will be
contingent upon the State’s determination that the Bidder is responsible, and that the State will
be relying upon the Bidder’s responses to the questionnaire when making its responsibility
determination. See Appendix E for details.
The bidder agrees that if it is found by the State that the bidder’s responses to the
questionnaire were intentionally false or intentionally incomplete, on such finding, DOCCS will
terminate the Contract. In no case shall such termination of the Contract by the State be
deemed a breach thereof, nor shall the State be liable for any damages for lost profits or
otherwise, which may be sustained by the Contractor as a result of such termination.
The Contractor shall at all times during the Contract term remain responsible. The Contractor
agrees, if requested by the Commissioner of DOCCS or his designee, to present evidence of
its continuing legal authority to do business in New York State, integrity, experience, ability,
prior performance, and organizational and financial capacity.
The DOCCS’ Commissioner or his designee, in his or her sole discretion, reserves the right to
suspend any or all activities under this Contract, at any time, when he or she discovers
information that calls into question the responsibility of the Contractor. In the event of such
suspension, the Contractor will be given written notice outlining the particulars of such
suspension. Upon issuance of such notice, the Contractor must comply with the terms of the
suspension order. Contract activity may resume at such time as the DOCCS’ Commissioner or
his designee issues a written notice authorizing a resumption of performance under the
Contract.

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6.4.2
Complaint History
The vendor shall provide full disclosure of complaints lodged against it to the Better
Business Bureau, the FCC, any state public service commissions or similar agency and
any state Attorneys General within the last three (3) years.

END OF SECTION 6: VENDOR QUALIFICATIONS

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7 Rates, Fees and Costs
The vendor is responsible for ensuring that all telephone services and rates comply with all applicable
regulations including but not limited to the NYS Public Service Commission (PSC) and the Federal
Communications Commission (FCC) throughout the term of this agreement. All rates shall be fixed
for the term of the contract (Section 2.1) unless rate reductions are mandated by changes to state
and/or federal regulations.
No Commissions
Effective April 1, 2007, pursuant to New York Correction Law §623, the New York State
Department of Corrections and Community Supervision does not receive commissions from inmate
telephone traffic nor is it soliciting commissions from any contract award resulting from this RFP.
Rate Structure
Please use Appendix H, Cost Proposal Form, to submit all of the required information.
7.2.1
Domestic
The rate proposed and charged by the vendor shall be a single, per minute rate inclusive of all
fees, taxes, connect charges or other costs for all calls within the United States, its territories
and protectorates, and Canada. The rate shall be the same for pre-paid and collect calls. Call
rates may not exceed $0.050.
7.2.2
International
Although DOCCS does not allow international calls currently, the vendor shall propose a rate
structure for international calls detailing rates by country. The rates for international calls shall
be a single per minute rate by country inclusive of all fees, taxes, connect charges or other
costs. DOCCS reserves the right to implement any alternative international calling services
and does not guarantee minimum international calling volume. Any location not within the area
defined as covered by the domestic rate as detailed above shall be treated as international.
The rate for each country shall be the same rate for pre-paid and collect calls. Also, please
propose a blended rate that would be applicable for all countries at a per-minute rate.
7.2.3
Rate Requirements
The Vendor shall provide rates based on three decimal places (e.g. $0.000) in the appropriate
table in Appendix H. Rates shall apply only from called party acceptance of a call until the call
is terminated rounded to the nearest whole minute (calls lasting up to and including 29 seconds
over a whole minute shall be rounded down, calls greater than or equal to 30 seconds over a
whole minute shall be rounded up.) There shall be no charge for the time for prompts, rate
information or other functions. There shall be no additional charges or fees added to the cost
of a call. Provide the types of federal and state taxes and surcharges in the table as indicated
in Appendix H. Do not enter the monetary charge for the taxes or surcharges.
7.2.4
Ancillary Service Charges
 No provider shall charge an Ancillary Service Charge other than those permitted charges
identified by the Federal Communications Commission and approved by DOCCS.


No provider shall charge a rate for a permitted Ancillary Service Charge in excess of
those rates approved by the Federal Communications Commission and approved by
DOCCS.

7.2.5
Calling Patterns
Bidders will be provided with media containing call detail records for a six (6) month period prior
to release of the RFP at the mandatory bidders’ conference. It will be the sole responsibility
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of the bidder to analyze the call patterns and data contained on the media. DOCCS shall
not be responsible for establishing or guaranteeing any minimum number of calls,
minutes used, or revenue generated.
Billing
Billing and account management should be as easy to use and understandable as possible. Vendors
shall describe how their approach will support that objective and include narrative responses with the
Cost Proposal form (Appendix H). Please reference the subsections/paragraph for all responses.
Describe the billing methodology, procedures, and practices noting particularly how it will
assure the accuracy of its billing and maximize calling opportunities for inmates and their
families and friends.
Include in the description if the bidder proposes to direct bill the called parties for collect calls
or if billing will be performed by a third party or Local Exchange Carrier (LEC). If the LEC or a
third party is responsible for the billing of collect calls the vendor shall identify all such parties
within NYS with which they have this agreement.
7.3.1
Collect and Prepaid
The vendor billing options shall be limited to collect and pre-paid by the called party. DOCCS
must pre-approve all billing and payment options. DOCCS may consider additional billing and
payment options during the contract term solely at DOCCS discretion.
The vendor shall


not restrict the pre-paid account holder from receiving the full dollar amount of services
up to the balance held by the vendor;



fully describe the process for a customer to initiate a pre-paid account that shall include
all vendor policies, customer requirements, any and all fees and charges associated with
a collect or pre-paid account regardless of the purpose of the fees or charges, any and all
credit card fees or charges associated with funding a pre-paid account, and the minimum
and maximum deposits allowed;



fully describe the processes and policies of said pre-paid account after said account is
initiated, including but not limited to, account activation, deposits, how to review account
activity, checking account balance, obtaining refunds, how to close an account, or how to
report fraudulent charges;



fully describe in the proposal any fees (including refill fees), charges, penalties or the like
that will be incurred by the account holder throughout the entire use of the account;



not collect any fees or charges for calls or account maintenance, including, but not limited
to, account activation, deposits, account activity or inactivity, account balance refunds,
account closing, or third party charges unless such fees or charges are included in its
proposal and agreed to by DOCCS. All existing accounts with the current DOCCS ITS
service provider will be transferred without charge to the account holders. DOCCS, at its
sole discretion, reserves the right to reject any and all such fees and charges. Fees and
charges deemed to be appropriate will be included in the overall cost evaluation of the
vendor’s proposal.

7.3.2
NYS DOCCS Liability
DOCCS shall have no responsibility or liability and shall be held harmless for all costs for any
call billing, charges, payments, uncollectible charges, or fraud under this contract. DOCCS shall
not be held liable for any potential revenue loss to the vendor due to any decision on the part of
DOCCS to disconnect third party calls after detection or for any other limitation of services or
access including but not limited to disciplinary actions and lockdowns.
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Financial Stability
The vendor shall provide evidence of its financial stability and resources to continue operations to
meet the requirements of this RFP.
At a minimum, the vendor should provide the most recently available certified audited
financial annual report, the most recent Dun and Bradstreet report and such other materials
necessary to demonstrate its financial soundness.

END OF SECTION 7: RATES, FEES, AND COSTS

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8 Contractual Issues
Appendix A / Order of Precedence
Appendix A — Standard Clauses for New York State Contracts, dated January 2014, attached
hereto, is hereby expressly made a part of this solicitation document as fully as if set forth at length
herein. The agreement resulting from a successful award will include the following documents.
Conflicts between these documents will be resolved in the following descending order of
precedence:
 Appendix A
 The Contract resulting from this RFP
 DOCCS Request for Proposal Number 2016-02 (this Document) including any
addenda
 Selected Contractor’s Proposal/Bid
Ethics Compliance
All proposers/contractors and their employees must comply with the requirements of §§73 and 74 of
the Public Officers Law, other state codes, rules, regulations, and executive orders establishing
ethical standards for the conduct of business with New York State. In signing the Contract, the
Contractor certifies full compliance with those provisions for any present or future dealings,
transactions, sales, contracts, services, offers, relations, etc., involving New York State and/or its
employees. Failure to comply with those provisions may result in disqualification from the proposal
process, termination of contract, and/or other civil or criminal proceedings as required by law.
Procurement Lobbying Act
New York’s Legislative Law and the State Finance Law have been amended to regulate lobbying on
procurement contracts. Chapter 1 of the Laws of 2005, State Finance Law § 139-j and k, which can
be accessed through the NYS Office of General Services links below, imposes certain restrictions
on communications between the Department and the bidder during the procurement process. The
bidder is restricted from making contacts, beginning with the date of the bid advertisement in the
NYS Contract Reporter through final approval of the contract award by the Office of the State
Comptroller, with anyone other than the designated contact person identified in the RFP, unless it is
contact that is among certain statutory exceptions as per State Finance Law § 139-k (3) (a). The
designated staff are identified in Section 1.6 RFP. Department staff are required to obtain certain
information when contacted during the “restricted period” and to make a determination of
responsibility of the bidder pursuant to these two statutes. Certain findings of non-responsibility can
result in rejection of the proposal, and in the event of two findings within a four-year period, the
bidder is debarred from future State contracts. It is DOCCS’ policy to immediately report to its
ethics officer and/or inspector general any impermissible contact by any offeror (bidder) and, in
addition, to comply with all requirements of the procurement lobbying and procurement stewardship
acts. More information about State Finance Law Sections 139-j and k can be found on the website
of the Office of General Services by accessing the following:
http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-j.htm
and http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-k.htm
All bidders must submit a completed Procurement Lobbying Certificate related to State Finance
Law 139-j and k (Attachment C).
Sales and Compensating Use Tax Certification Requirements
Complete Form ST-220-CA Contractor Certification. The Contractor must file Form ST-220-CA
to certify that it has filed Form ST-220-TD with the Tax Department and that the information
contained on Form ST-220-TD is correct and complete as of the date that the Contractor files Form
ST-220-CA. Access and complete Form ST-220-CA by using the following link:
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http://www.tax.ny.gov/pdf/current forms/st/st220ca fill in.pdf Please note that Form ST-200-TD
must be filed with the NYS Tax Department at the address on the front page of the form. You can
access Form ST-220-TD using the following link:
http://www.tax.ny.gov/pdf/current forms/st/st220td fill in.pdf For Questions and Answers
Concerning Tax Law Section 5-a, go to NYS Department of Tax and Finance at
http://www.tax.ny.gov/pdf/publications/sales/pub223.pdf .
Encouraging the Use of NYS Business
In an ongoing effort to use New York State (NYS) businesses, DOCCS encourages bidders to partner
with NYS subcontractors and/or suppliers. For this solicitation, bidders should identify the NYS
businesses that they plan to use if awarded the contract resulting from this solicitation by completing
the form entitled Encouraging Use of New York State Businesses in Contract Performance. If known,
please identify the businesses and attach the requested information. Return the completed form with
your proposal. If you do not plan to partner with a NYS business, please indicate this on the form and
return it with your proposal. This form is included in Attachment C.
Diversity Practices
DOCCS has determined, pursuant to New York State Executive Law Article 15-A, that the
assessment of the diversity practices of respondents to this procurement is practical, feasible, and
appropriate. Diversity practices are the efforts of contractors to include New York State-certified
Minority and Women-owned Business Enterprises (“M/WBEs”) in their business practices. Diversity
practices may include past, present, or future actions and policies, and include activities of
contractors contracts with private entities and governmental units other than the State of New York.
Assessing the diversity practices of contractors enables contractors to engage in meaningful,
capacity-building collaborations with M/WBEs.
Accordingly, respondents to this procurement shall be required to include as part of the technical
proposal response to this procurement, as described in this RFP herein, the Diversity Practices
Questionnaire as provided by the Division of Minority and Women’s Business Development.
Bidders must complete the questionnaire in Appendix M. The bidders’ responses will be evaluated
using a predetermined rating scale.
M/WBE and EEO Requirements
See Appendix C for Contractor requirements and procedures. The selected bidder will be required
to return a completed Utilization Plan (Form M/WBE 100-G) and a completed Staffing Plan (Form
EEO 100) as part of the contract resulting from this RFP. Appendix C will be included in the
Contract resulting from this RFP.
Use of Service-Disabled Veteran-Owned Business Enterprises in Contract Performance
Article 17-B of the Executive Law enacted in 2014 acknowledges that Service-Disabled VeteranOwned Businesses (SDVOBs) strongly contribute to the economies of the State and the nation. As
defenders of our nation and in recognition of their economic activity in doing business in New York
State, bidders/proposers for this contract for commodities, services or technology are strongly
encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the contract.
Such partnering may be as subcontractors, suppliers, protégés or other supporting roles. SDVOBs
can be readily identified on the directory of certified businesses at:
http://www.ogs.ny.gov/Core/SDVOBA.asp
Bidders/proposers need to be aware that all authorized users of this contract will be strongly
encouraged to the maximum extent practical and consistent with legal requirements of the State
Finance Law and the Executive Law to use responsible and responsive SDVOBs in purchasing and
utilizing commodities, services and technology that are of equal quality and functionality to those
that may be obtained from non-SDVOBs. Furthermore, bidders/proposers are reminded that they
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must continue to utilize small, minority and women-owned businesses consistent with current State
law. Utilizing SDVOBs in State contracts will help create more private sector jobs, rebuild New York
State’s infrastructure, and maximize economic activity to the mutual benefit of the contractor and its
SDVOB partners. SDVOBs will promote the contractor’s optimal performance under the contract,
thereby fully benefiting the public sector programs that are supported by associated public
procurements.
Public procurements can drive and improve the State’s economic engine through promotion of the
use of SDVOBs by its contractors. The State, therefore, expects bidders/proposers to provide
maximum assistance to SDVOBs in their contract performance. The potential participation by all
kinds of SDVOBs will deliver great value to the State and its taxpayers.
Indemnification
The Contractor shall assume all risks of liability for its performance, or that of any of its officers,
employees, subcontractors, independent contractors, agents or any other person or entity
performing contractual duties on Contractor’s behalf, of any contract resulting from this solicitation
and shall be solely responsible and liable for all liabilities, losses, damages, costs or expenses,
including attorney's fees, arising from any claim, action or proceeding relating to or in any way
connected with the performance of this Agreement and covenants and agrees to defend, indemnify
and hold harmless the State of New York, its agents, officers and employees, from any and all
claims, suits, causes of action and losses of whatever kind and nature, arising out of or in
connection with its performance of any contract resulting from this solicitation, including negligence,
active or passive or improper conduct of the Contractor, its officers, agents, subcontractors or
employees, or the failure by the Contractor, its officers, agents, subcontractors or employees to
perform any obligations or commitments to the State or third parties arising out of or resulting from
any contract resulting from this solicitation. Such indemnity shall not be limited to the insurance
coverage herein prescribed.
Contractor Insurance Requirements
Prior to the commencement of the work to be performed by the Contractor hereunder, the Contractor
shall file with The People of the State of New York, DOCCS, Certificates of Insurance (hereinafter
referred to as “Certificates”), evidencing compliance with all requirements. Such Certificates shall be
of a form and substance acceptable to DOCCS.
Certificate acceptance and/or approval by DOCCS does not and shall not be construed to relieve
Contractor of any obligations, responsibilities or liabilities under the Contract.
Contractors shall be required to procure, at their sole cost and expense, and shall maintain in force
at all times during the term of any Contract resulting from this Solicitation, policies of insurance as
required by this Section. All insurance required by this Section shall be written by companies that
have an A.M. Best Company rating of “A-,” Class “VII” or better. In addition, companies writing
insurance intended to comply with the requirements of this Section should be licensed or authorized
by the New York State Department of Financial Services to issue insurance in the State of New York.
DOCCS may, in its sole discretion, accept policies of insurance written by a non-authorized carrier or
carriers when certificates and/or other policy documents are accompanied by a completed Excess
Lines Association of New York (ELANY) affidavit or other documents demonstrating the company’s
strong financial rating. If, during the term of a policy, the carrier’s A.M. Best rating falls below “A-,”
Class “VII,” the insurance must be replaced, on or before the renewal date of the policy, with insurance
that meets the requirements above.
Bidders and Contractors shall deliver to DOCCS evidence of the insurance required by this
Solicitation and any Contract resulting from this Solicitation in a form satisfactory to DOCCS. Policies
must be written in accordance with the requirements of the paragraphs below, as applicable. While
acceptance of insurance documentation shall not be unreasonably withheld, conditioned or delayed,
acceptance and/or approval by DOCCS does not, and shall not be construed to, relieve Bidders or
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Contractors of any obligations, responsibilities or liabilities under this Solicitation or any Contract
resulting from this Solicitation.
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 term of the Contract.
A. General Conditions Applicable to Insurance. All policies of insurance required by this
Solicitation or any Contract resulting from this Solicitation shall comply with the following
requirements:
1. Coverage Types and Policy Limits. The types of coverage and policy limits required from
Bidders and Contractors are specified in Paragraph B Insurance Requirements below.
2. Policy Forms. Except as otherwise specifically provided herein, or agreed to in the
Contract resulting from this Solicitation, all policies of insurance required by this Section
shall be written on an occurrence basis.
3. Certificates of Insurance/Notices. Bidders and Contractors shall provide DOCCS with a
Certificate or Certificates of Insurance, in a form satisfactory to DOCCS as detailed below,
and pursuant to the timelines set forth in Section B below. Certificates shall reference the
Solicitation or award number and shall name The New York State Department of
Corrections and Community Supervision, Harriman Campus, 1220 Washington Avenue,
Albany, New York 12226-2050, as the certificate holder.
Certificates of Insurance shall


Be in the form acceptable to DOCCS and in accordance with the New York State
Insurance Law (e.g., an ACORD certificate);



Disclose any deductible, self-insured retention, aggregate limit or exclusion to the
policy that materially changes the coverage required by this Solicitation or any
Contract resulting from this Solicitation;



Refer to this Solicitation and any Contract resulting from this Solicitation by award
number;



Be signed by an authorized representative of the referenced insurance carriers;
and



Contain the following language in the Description of Operations / Locations /
Vehicles section: Additional insured protection afforded is on a primary and noncontributory basis. A waiver of subrogation is granted in favor of the additional
insureds.

Only original documents (certificates of insurance and any endorsements and other
attachments) or electronic versions of the same that can be directly traced back to the
insurer, agent or broker via e-mail distribution or similar means will be accepted.
DOCCS generally requires Contractors to submit only certificates of insurance and
additional insured endorsements, although DOCCS reserves the right to request other
proof of insurance. Contractors should refrain from submitting entire insurance
policies, unless specifically requested by DOCCS. If an entire insurance policy is
submitted but not requested, DOCCS shall not be obligated to review and shall not be
chargeable with knowledge of its contents. In addition, submission of an entire
insurance policy not requested by DOCCS does not constitute proof of compliance
with the insurance requirements and does not discharge Contractors from submitting
the requested insurance documentation.
4. Primary Coverage. All liability insurance policies shall provide that the required coverage
shall be primary and non-contributory to other insurance available to the People of the
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State of New York, the New York State Department of Corrections and Community
Supervision, any entity authorized by law or regulation to use the Contract and their
officers, agents, and employees. Any other insurance maintained by the People of the
State of New York, the New York State Department of Corrections and Community
Supervision, any entity authorized by law or regulation to use the Contract and their
officers, agents, and employees shall be excess of all applicable Contractor’s insurance,
including any umbrella and/or excess policies, and shall not contribute with the
Bidder/Contractor’s insurance.
5. Breach for Lack of Proof of Coverage. The failure to comply with the requirements of
this Section at any time during the term of the Contract shall be considered a breach of
the terms of the Contract and shall allow the People of the State of New York, the New
York State Department of Corrections and Community Supervision, any entity authorized
by law or regulation to use the Contract and their officers, agents, and employees to avail
themselves of all remedies available under the Contract or at law or in equity.
6. Self-Insured Retention/Deductibles. Certificates of Insurance must indicate the
applicable deductibles/self-insured retentions for each listed policy. Deductibles or selfinsured retentions above $100,000.00 are subject to approval from DOCCS. Such
approval shall not be unreasonably withheld, conditioned or delayed. Bidders and
Contractors shall be solely responsible for all claim expenses and loss payments within
the deductibles or self-insured retentions. If the Bidder/Contractor is providing the
required insurance through self-insurance, evidence of the financial capacity to support
the self-insurance program along with a description of that program, including, but not
limited to, information regarding the use of a third-party administrator shall be provided
upon request. If the Contractor is unable to meet their obligation under any deductible,
self-insured retention or self-insurance, neither the People of the State of New York nor
DOCCS will be obligated to drop down to cover the amount of the self-insured retention
or deductible or any remaining portion thereof.
7. Subcontractors. Prior to the commencement of any work by a Subcontractor, the
Contractor shall require such Subcontractor to procure policies of insurance as required
by this Section and maintain the same in force during the term of any work performed by
that Subcontractor.
8. Waiver of Subrogation. For all liability policies and the workers’ compensation insurance
required below, the Bidder/Contractor shall cause to be included in its policies insuring
against loss, damage or destruction by fire or other insured casualty a waiver of the
insurer’s right of subrogation against The People of the State of New York, the New York
State Department of Corrections and Community Supervision, any entity authorized by
law or regulation to use the Contract and their officers, agents, and employees, or, if such
waiver is unobtainable (i) an express agreement that such policy shall not be invalidated
if the Contractor waives or has waived before the casualty, the right of recovery against
The People of the State of New York, the New York State Department of Corrections and
Community Supervision, any entity authorized by law or regulation to use the Contract
and their officers, agents, and employees or (ii) any other form of permission for the
release of The People of the State of New York, the New York State Department of
Corrections and Community Supervision, any entity authorized by law or regulation to use
the Contract and their officers, agents, and employees. A Waiver of Subrogation
Endorsement shall be provided upon request. A blanket Waiver of Subrogation
Endorsement evidencing such coverage is also acceptable.
9.

Additional Insured. The Contractor shall cause to be included in each of the liability
policies required below, ISO form CG 20 10 11 85 (or a form or forms that provide
equivalent coverage, such as the combination of CG 20 10 04 13 and CG 20 37 04 13)
and form CA 20 48 10 13 (or a form or forms that provide equivalent coverage), naming

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as additional insureds: The People of the State of New York, the New York State
Department of Corrections and Community Supervision, any entity authorized by law or
regulation to use the Contract and their officers, agents, and employees. An Additional
Insured Endorsement evidencing such coverage shall be provided to DOCCS pursuant to
the timelines set forth in Section B below. A blanket Additional Insured Endorsement
evidencing such coverage is also acceptable. For Contractors who are self-insured, the
Contractor shall be obligated to defend and indemnify the above-named additional
insureds with respect to Commercial General Liability and Business Automobile Liability,
in the same manner that the Contractor would have been required to pursuant to this
Section had the Contractor obtained such insurance policies.
10. Excess/Umbrella Liability Policies. Required insurance coverage limits may be
provided through a combination of primary and excess/umbrella liability policies; however,
a minimum of one million dollars ($1,000,000.00) must be primary coverage for general
liability and auto liability. All Contractor’s applicable insurance policies, including umbrella
and excess insurance, will be primary to any insurance, self-insurance, deductible or selfinsured retention of the People of the State of New York, the New York State Department
of Corrections and Community Supervision, or any entity authorized by law or regulation
to use the Contract and their officers, agents, and employees. If coverage limits are
provided through excess/umbrella liability policies, then a Schedule of underlying
insurance listing policy information for all underlying insurance policies (insurer, policy
number, policy term, coverage and limits of insurance), including proof that the
excess/umbrella insurance follows form must be provided upon request.
11. Notice of Cancellation or Non-Renewal. Policies shall be written so as to include the
requirements for notice of cancellation or non-renewal in accordance with the New York
State Insurance Law. Within five (5) business days of receipt of any notice of cancellation
or non-renewal of insurance, the Contractor shall provide DOCCS with a copy of any such
notice received from an insurer together with proof of replacement coverage that complies
with the insurance requirements of this Solicitation and any Contract resulting from this
Solicitation.
12. Policy Renewal/Expiration Upon policy renewal/expiration, evidence of renewal or
replacement of coverage that complies with the insurance requirements set forth in this
Solicitation and any Contract resulting from this Solicitation shall be delivered to DOCCS.
If, at any time during the term of any Contract resulting from this Solicitation, the coverage
provisions and limits of the policies required herein do not meet the provisions and limits
set forth in this Solicitation or any Contract resulting from this Solicitation, or proof thereof
is not provided to DOCCS, the Contractor shall immediately cease work. The Contractor
shall not resume work until authorized to do so by DOCCS.
13. Deadlines for Providing Insurance Documents after Renewal or Upon Request. As
set forth herein, certain insurance documents must be provided to the DOCCS
Procurement Services contact identified in the Contract Award Notice after renewal or
upon request. This requirement means that the Contractor shall provide the applicable
insurance document to DOCCS as soon as possible but in no event later than the following
time periods:


For certificates of insurance: 5 business days



For information on self-insurance or self-retention programs: 15 calendar days



For other requested documentation evidencing coverage: 15 calendar days



For additional insured and waiver of subrogation endorsements: 30 calendar days

Notwithstanding the foregoing, if the Contractor shall have promptly requested the
insurance documents from its broker or insurer and shall have thereafter diligently taken
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



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Products/completed operations for a term of no less than three [1-3]
years, commencing upon acceptance of the work, as required by the
Contract;
Explosion, collapse and underground hazards; and
Contractor means and methods].

2. Business Automobile Liability Insurance: Such insurance shall cover liability arising
out of any automobile used in connection with performance under the Contract, including
owned, leased, hired and non-owned automobiles bearing or, under the circumstances
under which they are being used, required by the Motor Vehicles Laws of the State of New
York to bear, license plates.
In the event that the Contractor does not own, lease or hire any automobiles used in
connection with performance under the Contract, the Contractor does not need to obtain
Business Automobile Liability Insurance, but must attest to the fact that the Contractor
does not own, lease or hire any automobiles used in connection with performance under
the Contract on a form provided by DOCCS. If, however, during the term of the Contract,
the Contractor acquires, leases or hires any automobiles that will be used in connection
with performance under the Contract, the Contractor must obtain Business Automobile
Liability Insurance that meets all of the requirements of this section and provide proof of
such coverage to DOCCS in accordance with the insurance requirements of any Contract
resulting from this Solicitation.
In the event that the Contractor does not own or lease any automobiles used in connection
with performance under the Contract, but the Contractor does subcontract, hire and/or
utilize non-owned automobiles in connection with performance under the Contract, the
Contractor subcontractor or owner of the automobile(s) must: (i) obtain Business
Automobile Liability Insurance as required by this Solicitation or any Contract resulting
from this Solicitation, except that such insurance may be limited to liability arising out of
hired and/or non-owned automobiles, as applicable; and (ii) attest to the fact that the
Contractor does not own or lease any automobiles used in connection with performance
under the Contract, on a form provided by DOCCS. If, however, during the term of the
Contract, the Contractor acquires or leases any automobiles that will be used in
connection with performance under the Contract, the Contractor must obtain Business
Automobile Liability Insurance that meets all of the requirements of this Section and
provide proof of such coverage to DOCCS in accordance with the insurance requirements
of any Contract resulting from this Solicitation.
3. Workers’ Compensation Insurance and Disability Benefits Requirements
Sections 57 and 220 of the New York State Workers’ Compensation Law require the
heads of all municipal and state entities to ensure that businesses applying for contracts
have appropriate workers’ compensation and disability benefits insurance coverage.
These requirements apply to both original contracts and renewals. Failure to provide
proper proof of such coverage or a legal exemption will result in a rejection of a
Bid or any contract renewal. A Bidder will not be awarded a Contract unless proof
of workers’ compensation and disability insurance is provided to DOCCS. Proof of
workers’ compensation and disability benefits coverage, or proof of exemption must be
submitted to DOCCS at the time of Bid submission, policy renewal, contract renewal,
and upon request. Proof of compliance must be submitted on one of the following forms
designated by the New York State Workers’ Compensation Board. An ACORD form is
not acceptable proof of New York State workers’ compensation or disability
benefits insurance coverage.
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Proof of Compliance with Workers’ Compensation Coverage Requirements:
 Form CE-200, Certificate of Attestation for New York Entities With No Employees and
Certain Out of State Entities, That New York State Workers’ Compensation and/or
Disability Benefits Insurance Coverage is Not Required, which is available on the
Workers’ Compensation Board’s website (www.wcb.ny.gov);
 Form C-105.2 (9/07), Certificate of Workers’ Compensation Insurance, sent to DOCCS
by the Contractor’s insurance carrier upon request, or if coverage is provided by the
New York State Insurance Fund, they will provide Form U-26.3 to DOCCS upon
request from the Contractor; or
 Form SI-12, Certificate of Workers’ Compensation Self-Insurance, available from the
New York State Workers’ Compensation Board’s Self-Insurance Office, or
 Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group SelfInsurance, available from the Contractor’s Group Self-Insurance Administrator.
Proof of Compliance with Disability Benefits Coverage Requirements:
 Form CE-200, Certificate of Attestation for New York Entities With No Employees and
Certain Out of State Entities, That New York State Workers’ Compensation and/or
Disability Benefits Insurance Coverage is Not Required, which is available on the
Workers’ Compensation Board’s website (www.wcb.ny.gov);
 Form DB-120.1, Certificate of Disability Benefits Insurance, sent to DOCCS by the
Contractor’s insurance carrier upon request; or
 Form DB-155, Certificate of Disability Benefits Self-Insurance, available from the New
York State Workers’ Compensation Board’s Self-Insurance Office.
An instruction manual clarifying the New York State Workers’ Compensation Law
requirements is available for download at the New York State Workers’ Compensation
Board’s website, http://www.wcb.ny.gov. Once on the site, click on the
Employers/Businesses tab and then click on Employers’ Handbook.
Consultant Disclosure Reporting Requirements
Pursuant to New York State Finance Law, Section 163(4)(g), state agencies must require all
contractors, including subcontractors, that provide consulting services for State purposes pursuant
to a contract to submit an annual employment report for each such contract, such report to include
for each employment category within the contract: the number of employees employed to provide
services under the contract, the number of hours they work, and the total compensation under the
contract for those employees. Consulting services are defined as analysis, evaluation, research,
training, data processing, computer programming, engineering, environmental, health, and mental
health services, accounting, auditing, paralegal, legal, or similar services.
Upon notification of award for this RFP, the selected Contractor must complete Form A, State
Consultant Services. The completed Form A should include information for all employees that will
be providing services under the contract resulting from this IFB.
The Contractor must submit Form B, State Consultant Services Contractor’s Annual Employment
Report (Attachment C), to report annual employment information required by the statute. This form
captures historical information, detailing actual employment data for the most recently concluded
State fiscal year (April 1 – March 31). Submit Form B to DOCCS Budget & Finance Unit, the
Consultant Reporting Section of the Bureau of Contracts at OSC, and the Department of Civil
Services at the addresses provided below.
Submit the completed Form B annually by May 15 for each State fiscal year (or portion thereof) the
contract is in effect, as follows:
Contracting Agency: DOCCS
NYS Department of Corrections and Community Supervision
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Sandra Downey, Director Budget and Finance
1220 Washington Avenue
Albany, New York 12226-2050
OSC: Consultant Reporting Sections of the Bureau of Contracts
NYS Office of the State Comptroller
Bureau of Contracts
110 State Street, Floor 11
Albany, NY 122236
Attention: Consultant Reporting
DCS:

NYS Department of Civil Service
Alfred E. Smith Office Building
Albany, NY 12239
Forms A and B as well as the instructions are found in Attachment C.
Freedom of Information Law/Trade Secrets
During the evaluation process, the content of each bid will be held in confidence and details of any
bid will not be revealed (except as may be required under the Freedom of Information Law or other
State law). The Freedom of Information Law provides for an exemption from disclosure for trade
secrets or information the disclosure of which would cause injury to the competitive position of
commercial enterprises. This exception would be effective both during and after the evaluation
process. Should you feel your firm’s bid contains any such trade secrets or other confidential or
proprietary information, you must submit a request to except such information from
disclosure. Such request must be in writing, must state the reasons why the information should be
accepted from disclosure and must be provided at the time of submission of the subject information.
Requests for exemption of the entire contents of a bid from disclosure have generally not been
found to be meritorious and are discouraged. Kindly limit any requests for exemption of information
from disclosure to bona fide trade secrets or specific information, the disclosure of which would
cause a substantial injury to the competitive position of your firm.
Executive Order Number 26
Bidders should review this executive order prior to submitting proposals. You may access the
executive order on the Governor’s Web site: STATEWIDE LANGUAGE ACCESS POLICY In the
event that translation/interpretation services are required for languages other than the Spanish
language, the selected Contractor must agree to comply with any requests by DOCCS to provide
documents or other assistance to allow for translation or interpretation to be conducted. Any costs
associated with the translation or interpretation services will be incurred by DOCCS.
Executive Order 38
Limits on State-Funded Administrative costs & Executive Compensation: Bidders should review
Executive Order 38 and the rules and regulations prior to submitting proposals. More specifically,
Bidders should review the restrictions on allowable administrative expenses, the limits on executive
compensation, and the reporting requirements. It is the obligation of the selected Contractor, not
the State, to determine if Executive Order 38 is applicable. In addition, the selected Contractor
must include a provision in any agreement with a subcontractor or agent stating that if said
subcontractor or agent is receiving State funds or State-authorized payments from the Contractor to
provide program or administrative services under the Contract resulting from this RFP, the
subcontractor must also comply with Executive Order 38.
All Contractors doing business with DOCCS should be familiar with Executive Order 38 and the
applicable DOCCS Rules and Regulations for the executive order.
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Bidders and Contractors may access the executive order using this link, executiveorder38.ny.gov,
or from the DOCCS’ Web site at www.doccs.ny.gov. The applicable DOCCS Rules and Regulations
for the executive order are located in the 7 New York Codes, Rules, and Regulations (NYCRR) Part
513.
Performance/Payment Bond Requirement
Prior to the commencement of performance of the work to be undertaken pursuant to the Contract,
DOCCS requires the Contractor to furnish without cost to DOCCS a performance/payment bond as
security for the faithful performance of the Contract in the amount of Ten Million Dollars
($10,000,000.00), which shall be in the exact form and language of the sample bond attached as
Appendix L. The surety must be authorized to do business as a surety in the State of New York, and
its name must appear on the current list of sureties acceptable to the Treasury Department of the
United States in effect at the time of submission of the Performance and Payment Bond to DOCCS.
In addition, the aggregate underwriting limitations on any one risk as set forth in the aforementioned
list of approved Treasury Department sureties shall equal or exceed the penal sum of the
Performance and Payment Bond.
Licensed or Patented Components
The vendor must identify any software that is not owned by the vendor or any patented or proprietary
components and provide details on the vendor’s authorization to use and resell such components
including duration of agreement and source.
Perpetual License
The vendor shall provide to DOCCS a perpetual non-exclusive license for all software utilized in the
delivery of services under this contract. The license shall continue after the termination of the
contract, but DOCCS shall not be entitled to free upgrades or support after contract termination.
Escrow of Software
Upon award the vendor shall escrow all software and routines, documentation and operational
information necessary for the full production operation of the ITS with an escrow agent approved by
DOCCS. The escrow agreement shall specify that the software source and production code and all
related material shall be provided to DOCCS at no cost in the event that the vendor is unable or
unwilling to meet its obligations under this contract. In such event DOCCS shall be deemed to have
full ownership rights to the software and materials. The vendor shall at all times assure that the
escrowed software and materials are for the current DOCCS’ production system.
Breach of Services
In the event of any material breach of service by the contractor, the Department shall give written
notice specifying the material breach. If such written notice of material breach is given and the
provider does not correct the breach to DOCCS satisfaction within thirty (30) days after receipt of the
written notice, DOCCS shall have the right to unilaterally and immediately terminate the Agreement
and seek a replacement provider in order to maintain telephone service to the inmates without penalty
to DOCCS.
General Requirements
The Bidder agrees to
1. adhere to all State and Federal laws and regulations in connection with the contract;
and,
2. at a minimum, notify DOCCS of any changes in the legal status or principal ownership of
the company, forty five (45) days in advance of said change.
The Bidder agrees that
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3. in any contract resulting from this RFP, it shall be completely responsible for its work,
including any damages or breakdowns caused by its failure to take appropriate action;
and,
4. any contract resulting from this RFP may not be assigned, transferred, conveyed or the
work subcontracted without the prior written consent of the Commissioner of DOCCS.
5. For reasons of safety and public policy, in any contract resulting from this RFP, the use
of illegal drugs and/or alcoholic beverages by the Contractor or its personnel shall not be
permitted while performing any phase of the work herein specified.
6. For purposes of any contract resulting from this RFP, the State will not be liable for any
expense incurred by the Contractor for any parking fees or as a consequence of any
traffic infraction or parking violations attributable to employees of the Contractor.
7. The Commissioner’s interpretation of specifications shall be final and binding upon the
Contractor.
8. The Commissioner of DOCCS will make no allowance or concession to the bidder for
any alleged misunderstanding because of quantity, quality, character, location or other
conditions.
9. Should it appear that there is a real or apparent discrepancy between different sections
of specifications concerning the nature, quality or extent of work to be furnished, it shall
be assumed that the bidder has based its bid on the more expensive option. Final
decision will rest with the Commissioner of DOCCS.
10. Inspection – For purposes of any contract resulting from this RFP, the quality of service
is subject to inspection and may be made at any reasonable time by the State of New
York. Should it be found that quality of services being performed is not satisfactory and
that the requirements of the specifications are not being met, the Commissioner of
DOCCS may terminate the contract and employ another contractor to fulfill the
requirements of the contract. The existing Contractor shall be liable to the State of New
York for costs incurred on account thereof.
11. Stop Work Order - The Commissioner of DOCCS reserves the right to stop the work
covered by this RFP and any contract(s) resulting therefrom at any time that it is deemed
the successful Bidder is unable or incapable of performing the work to the state’s
satisfaction. In the event of such stopping, DOCCS shall have the right to arrange for the
completion of the work in such manner as it may deem advisable and if the cost thereof
exceeds the amount of the bid, the successful Bidder shall be liable to the State of New
York for any such costs on account thereof. In the event that DOCCS issues a stop work
order for the work as provided herein, the Contractor shall have ten (10) working days to
respond thereto before any such stop work order shall become effective.
12. It is the Contractor's responsibility to maintain the equipment and materials provided for
the work consistent with applicable safety regulations, health codes, and all policies or
directives established by DOCCS. Failure to account for all equipment, materials, and
tools or to report missing equipment, materials, and tools immediately may result in the
termination of the contract.
13. DOCCS reserves the right to reject and bar from the facility any employee hired by the
Contractor.
Equipment and Licenses Upon Termination
Upon contract termination all installed equipment, wiring, servers, communications components and
related elements shall become the property of DOCCS without further cost to DOCCS. This shall
explicitly include a perpetual license for all installed software. DOCCS shall own all elements required
to continue the operation of a fully functional production system. The contractor shall provide all ITS
services including but not limited to call recording and customer service and billing required by this
contract for ninety (90) days after the contract termination date.

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8.21.1
Agency Termination
DOCCS reserves the right to cancel the complete contract or any part thereof, at any time,
giving the Contractor thirty (30) days written notice for convenience or unavailability of funds.
If in the judgment of DOCCS, the Contractor fails or refuses to perform the work in accordance
with the contract, DOCCS may terminate the contract immediately by written notice for cause.
Upon written notice to the Contractor, and a reasonable opportunity to be heard with
appropriate DOCCS’ officials or staff, the contract may be terminated by the DOCCS’
Commissioner or his designee at the Contractor’s expense where the Contractor is
determined by the DOCCS Commissioner or his designee to be non-responsible. In such
event, the DOCCS Commissioner or his designee may complete the contractual requirements
in any manner he may deem advisable and pursue available legal or equitable remedies for
breach.
DOCCS may, upon a thirty (30) day notice, terminate the contract resulting from this RFP in
the event of the awarded Bidder’s failure to comply with any of the bid’s requirements unless
the awarded Bidder obtained a waiver of the requirement.
In addition, DOCCS may also terminate any contract resulting from this RFP upon ten (10)
days written notice if the Contractor makes any arrangement or assignment for the benefit of
creditors.
Furthermore, DOCCS shall have the right, in its sole discretion, at any time to terminate a
contract resulting from this RFP, or any unit portion thereof, with or without cause, by giving
thirty (30) days written notice of termination to the Contractor.
Any termination by DOCCS under this Section shall in no event constitute or be deemed a
breach of any contract resulting from this RFP and no liability shall be incurred by or arise
against DOCCS, its agents and employees therefore for lost profits or any other damages.
8.21.2
Procurement Lobbying Termination
DOCCS reserves the right to terminate this contract in the event it is found that the certification
filed by the Offeror in accordance with New York State Finance Law §139-k was intentionally
false or intentionally incomplete. Upon such finding, DOCCS may exercise its termination
right by providing written notification to the Offeror in accordance with the written notification
terms of this contract.

1.

2.

3.

4.

Contract Terms
All provisions and requirements of Appendix A, Standard Clauses for New York State Contracts,
which is attached hereto and forms a part hereof, will be incorporated into any contract resulting
from this RFP, and will be binding upon the parties to such contract.
All provisions and requirements that are attached hereto and form a part hereof, will be
incorporated into any contract resulting from this RFP, and will be binding upon the parties to
such contract.
It is stipulated and agreed by the parties that the law of the State of New York shall solely and in
all respects govern with relation to any dispute, litigation, or interpretation arising out of or
connected with any contract resulting from this RFP.
Any contract resulting from this RFP shall not be deemed executed, valid or binding unless and
until approved in writing by the Attorney General and the Comptroller of the State of New York.

Nondisclosure Agreement
Upon contract award, the selected vendor will be required to sign the non-disclosure agreement in
Appendix I.

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Contract Provisions
The entire RFP plus clarification questions and answers as well as the selected vendor’s proposal
shall be included in the final contract.
Potential Annual Revenue Payments
It is understood between the parties that, in the event a change is made to the law in New York
State with respect to the permissible use of telephone revenue, the parties will meet in a good faith
effort to negotiate a possible amendment regarding phone rates that are charged, which would be
consistent with the change in such law. It is further understood that if an amendment is negotiated
and agreed to, it would also have to be approved by all necessary governmental entities, including,
but not limited to, the Office of the State Comptroller, and that said agreement would also have to
meet any governmental regulatory restrictions that may apply.
Moreover, in the event of such a change as stipulated above, the parties will have an understanding
that the revenue set-aside from the use of the inmate telephone system will not exceed $ 2 million.
Inmate Secure Messaging Option
DOCCS is exploring the possibility of offering inmates the ability to communicate with those
individuals listed on the inmates’ call lists, using secure messaging and utilizing the infrastructure as
described in the successful bidder’s proposal response to this RFP. If DOCCS decides to implement
this feature in the future, with a 90-day notice to the contractor selected, the following information will
be applicable:
 The vendor will provide the ability for inmates to access and utilize secure messaging,
including the sending and receiving of secure messages to those individuals on the inmates’
call lists.


The vendor will identify and detail any costs associated with accessing, sending, or receiving
secure messages, including any additional surcharges or handling fees assessed by the
vendor that will be charged to the friends and family sending the secure messages. The cost
to send or receive secure messages must be less than the cost to send an equivalent written
letter.



The ability to conduct investigative analysis of the secure messages, including, but not limited
to, key word searches, analytics, and investigative software, which shall be described in detail
by the vendor.
The vendor’s proposed costs will conform to all other applicable rules within the contents of
the resulting contract and this RFP, including all investigative, analytic and reporting
capabilities. Prior to implementation of secure messaging, the vendor will provide information
to DOCCS regarding all aspects of this additional service as follows:
o A detailed plan for inmates to access secure messaging, including those in restricted
or specialized housing.
o Ability to send and receive secure messaging via a tablet or third party device.
o Ability to perform translation of foreign languages secure messages.
o A mechanism to securely monitor and review secure messages before they are sent
or received by the inmate.



Any amendment to the original contract agreement resulting from this solicitation will be subject to
approval by the Office of the Attorney General and the Office of the State Comptroller.
END OF SECTION 8: CONTRACTUAL ISSUES

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9 Administrative Procedures
Communication with DOCCS
All inquiries concerning this RFP must be addressed in writing to the DOCCS’ designated contact as
specified in Section 1.6. DOCCS’ employees should not be contacted regarding this RFP except as
authorized by the DOCCS’ designated contact person identified in Section 1.6. Any unauthorized
contact shall constitute grounds for disqualification and rejection of the bidder’s proposal.
Procurement Rights
The state of New York reserves the rights for the following:
1. Reject any and all bids received in response to this Solicitation.
2. Withdraw the RFP at any time, at the agency’s sole discretion.
3. Disqualify a bidder from receiving the award if the bidder, or anyone in the bidder’s employ,
has previously failed to perform satisfactorily in connections with public bidding or contracts.
4. Correct bidders’ mathematical errors and waive or modify other minor irregularities in bids
received, after prior notification to the bidder.
5. Adjust any bidder’s expected costs of the bid price based on a determination of the
evaluation committee that the selection of the said bidder will cause the state to incur
additional costs.
6. Utilize any and all ideas submitted in the bids received.
7. Negotiate with bidders responding to this solicitation within the solicitation requirements to
serve the best interests of the state.
8. Begin contract negotiations with another bidding contractor to serve the best interests of the
state should DOCCS be unsuccessful negotiating a contract with the selected contractor
within 21 days of the selection notification.
9. Waive any nonmaterial requirement not met by all bidders.
10. Not make an award under this solicitation.
11. Make an award under this solicitation in whole or in part.
12. Make multiple contract awards pursuant to the solicitation.
13. Have any service completed via separate competitive bid or other means, as determined to
be in the best interest of the state.
14. Seek clarifications of bids.
15. If two or more offers are found to be substantially equivalent, the Commissioner of DOCCS,
at his sole discretion, will determine award.
Proposal Format, Packaging, and Submission Instructions
Package the Technical, Cost, and Diversity Practices proposal components separately. All
components should be clearly labeled with RFP 2016-02, the component name, and the bidder’s
name.


Submit two (2) originals of the completed Technical Proposal, and ten (10) copies for a total
of twelve (12) Technical Proposals including Appendix K, Proposal Response Forms, and
required documents. The narrative responses must correspond with the relative
sections/paragraphs of the RFP. An original signature should be applied to each original and
copy. Include one electronic copy in PDF format of the technical proposal on an electronic
medium.



Submit two (2) original signed Cost Proposal Forms and attachments in a separate sealed
and labeled envelope with the narrative responses for Section 7 and the documentation to
substantiate financial stability.



Submit two (2) original signed Diversity Practices Questionnaires with attached sheets in a
separate sealed and labeled envelope.

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

Submit proposals so that they will be in the possession of the DOCCS’ contact person by 3:00
PM EDT on the day indicated in Section 1.7. It is the sole responsibility of bidders to insure
the proposals are received by the bid closing date and time.



It shall be the responsibility of each bidder to see that its material is appropriately contained
in some physical form that best guards against the loss of property in transit or in handling by
DOCCS once received.



Submit the proposal so that updated pages can be easily incorporated into the original.



Place the official name of the firm submitting the proposal so that it appears on the outside
front cover of each binder and/or envelope with the name of the designated contact person(s)
as provided in Section 1.6 of the RFP. Every copy of the proposal should have each major
section separated with index tabs to identify the major sections of the proposal so that the
proposal corresponds with the sections in the table of contents.



Complete the forms in Appendix K, Proposal Response Forms, ensuring each box is
checked to indicate that the bidder has read and agreed to the requirements in each of the
sections of the RFP and has included the required supporting documentation with its
proposals. The completed set of Response Forms shall be included in Technical Proposal
component of the bidder’s proposal with the narrative text the bidder deems relevant.



Include all required substantiating documentation and responses as specified in the RFP and
the Response Forms for Sections 2 through 7 of the proposal. The substantiating
documentation and responses shall cross reference the associated paragraph number of the
RFP. It is not necessary to repeat each paragraph text as it appears in the RFP, it is only
necessary to ensure that the Proposal Response form is properly completed and the
responses and required documentation are cross referenced to the appropriate RFP
paragraph number.



Identify all supporting documentation required in the RFP. DOCCS will not accept links to
external websites in place of documentation. If the required documentation does not lend itself
to being bound in the format specified, uniquely identify the documentation and reference it
accordingly.



This Request for Proposals is comprised of the RFP title page and Notice to Bidders page,
the table of contents, the pages numbered sequentially in the footer ending with page number
58 and all of the Appendices and Attachments. If the bidder determines that a page(s) is
missing or otherwise defective, the bidder should contact DOCCS immediately so that a
corrected copy can be issued to the bidder. Bidders must ensure that all pages have been
included in the RFP downloaded from the NYS Contract Reporter or DOCCS’ Web site.



Only those Bidders who furnish all required information will be considered.
Submit all required bid documents including signed bid addenda if any by the Proposal Due
Date and time (Section 1.7), to the following address:
Proposal Submission for RFP2016-02
NYS Department of Corrections & Community Supervision
Division of Support Operations / Contract Procurement Unit
Attention: Velma Berry
550 Broadway
Menands, NY 12204
DOCCS will not consider emailed or faxed bid submissions.

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COST PROPOSALS WILL NOT BE OPENED UNTIL THE TECHNICAL EVALUATION HAS
BEEN COMPLETED.
9.3.1 Proposal Content
Entire proposal:
1. Completed and signed Application Cover Sheet and Individual, Corporation, Partnership,
or LLC Acknowledgment (within Attachment C). Return as cover sheet and second page
for the Technical Proposal.
2. Procurement Lobbying Certification (within Attachment C).
3. Appendix K, Proposal Response Forms, and the Technical Response Narrative: two (2)
originals, plus ten (10) copies, plus one electronic copy in PDF format on an electronic
medium.
4. Appendix H, Cost Proposal Form: two (2) original signed Cost Proposal Forms with
attachments, narratives for Section 7, and documentation to substantiate financial
stability submitted in a separate sealed and labeled envelope.
5. Appendix M, Diversity Practices Questionnaire: two (2) original completed, signed, and
notarized questionnaires. Follow the instructions on the questionnaire, complete the
questions, include the attached sheets as instructed, and submit the completed
questionnaires (plus documents) in a separate sealed and labeled envelope.
9.3.2 Other legal documents (required but not subject to pass/fail disqualification):
See Attachment C, Bidders’ Checklist and Required Documents, due with the technical
proposal or as a contingency for the tentative award:
 Online (or hard copy) Vendor Responsibility Questionnaire (Appendix E)
 M/WBE and EEO Required forms (Appendix C)
 Encouraging Use of NYS Businesses in Contract Performance (within
Attachment C)
 Vendor Reference Form (Appendix F)
 Staff Qualification Form (Appendix G)
 Non-Disclosure Agreement (Appendix I)
 Performance/Payment Bond (Appendix L)
 Form A, State Consultant Services – Contractor’s Planned Employment (within
Attachment C)
 Form ST-220-CA (Section 8.4)
 Verification Workers’ Compensation and NYS Disability Coverage (Section 8.10)
9.3.3 Technical Proposal
The Technical Proposal shall be defined as the bidder’s narrative responses to the entire RFP
as outlined in Appendix K, the completed and signed Appendix K, and all requested
attachments and documentation. The Technical Response shall contain the following:
A.

The completed Proposal Response Forms (Appendix K) signed by the bidder’s
representative having the authority to commit the company to the obligations set
forth in the proposal.

B.

Narrative responses to all requirements and issues in the RFP cross referenced to
the sections and paragraph numbers in the RFP.

C.

Requested documentation.

D.

All forms included or cited in the RFP completed as required (Attachment C).

Read and follow the instructions for Appendix K before completing the form and the technical
proposal narrative. Prepare the technical proposal narrative identifying the section/subsection
and paragraph with which your responses correspond.
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9.3.4 Cost Proposal
The Cost Proposal shall be defined as the completed Cost Proposal Form (Appendix H)
showing the costs for all Contract Services requested herein; responses cross referenced to
the subsections and paragraphs in Section 7 of the RFP; and documentation to substantiate
the bidder’s financial stability (Section 7.4). The costs shall be considered all inclusive. The
Cost Proposal Form is to be packaged in a separate envelope labeled as RFP 2016-02 Cost
Proposal Form. Include the bidder’s name on the envelope. In the event the bidder is
disqualified during the technical evaluation phase, the Cost Proposals will not be considered.
The Cost Proposal Form must be signed by the bidder’s representative having the authority
to commit the company to the obligations set forth in the proposal.
9.3.5 Diversity Practices Questionnaire
Bidders must complete Appendix M, Diversity Practices Questionnaire, as described in this
RFP herein. The bidders’ responses will be evaluated using a separate predetermined rating
scale. The resulting scores assigned for diversity practice will be worth up to 2% of the
technical score. The Diversity Practices response is to be packaged in a separate envelope
labeled as RFP 2016-02 Diversity Practices Questionnaire.
Proposal Evaluation
Bidders’ proposals will be evaluated in an objective, comprehensive manner. The evaluation criteria
will be applied uniformly and equally, ensuring that each qualified bidder has an opportunity to be
fairly considered.
The process used to evaluate the proposals will proceed through the following phases:
9.4.1 Mandatory Requirements (Pass/Fail)
The proposals will be reviewed to determine that the bidder has met all mandatory
requirements. Failure to meet any mandatory requirement will disqualify the bidder from
further consideration.
New York State will not be a test site for unproven technology. For all technology proposed,
your references must include at least two sites where this technology has been in service as
an integrated part of the inmate phone system for at least six (6) months. An onsite or realtime demonstration of the technology must be provided prior to finalization of the scoring for
this procurement.
9.4.2 Technical Evaluation (95 points)
The Technical Evaluation team will evaluate and rate the bidders’ proposals using a rating
scale and a predetermined scoring tool and award points for responses to the
sections/subsections as indicated in the Appendix K. Responses to Appendix M, Diversity
Practices Questionnaire, will be evaluated separately using a predetermined scale. The final
Diversity Practices score for each bidder will be included in the Technical Evaluation score.
Each bidder’s technical proposal, as defined in Section 9.3.3, will be evaluated in three
categories:
A. Delivery of Services
B. Telecommunication Capabilities
C. Business Operations Capabilities

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NYS Department of Corrections and Community Supervision

Inmate Telephone System

9.4.3
Cost Evaluation (5 points)
The Cost Evaluation will include the narrative response for Section 7.3 submitted with Appendix
H, Proposal Cost Form, and the total requested Account Fees in Appendix H. The cost score will
be calculated using a predetermined rating scale to evaluate responses to 7.3 and by assigning
the highest possible score to the proposal with the lowest total account fees. All bidders’ total
account fees will be prorated by comparing it to the lowest total proposed account fees. Bidders
should include the requested Financial Statements in Section 7.4 with their Cost Proposal
submissions.
9.4.4
Composite Scores
If proposals satisfy the Mandatory Requirements (pass/fail), the points awarded for the Cost
Evaluation and Technical Evaluation categories will be combined to arrive at a composite
score. The proposals will then be ranked from highest to lowest score.
In accordance with State Finance Law §163(10)(a), when price and other factors are found to be
substantially equivalent, the determination of the commissioner or agency head to award a
contract to one or more of such bidders shall be final. The basis for determining the award shall
be documented in the procurement record.
9.4.5
Debriefings
Bidders will be accorded fair and equal treatment with respect to their opportunity for debriefing.
Prior to the final contract award, DOCCS shall, upon request, provide a debriefing which would
be limited to review of the requesting bidder's proposal. After the final contract award, DOCCS
shall, upon request, provide a debriefing to any bidder that responded to the RFP, regarding the
reason that the bid submitted by the unsuccessful bidder was not selected for a contract award.
The post award debriefing should be requested by the bidder within thirty (30) days of contract
approval as posted on the OSC website (web address below).
http://www.openbooknewyork.com/
END OF SECTION 9: ADMINISTRATIVE PROCEDURES

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Appendix A Standard Clauses For New York State Contracts

PLEASE RETAIN THIS DOCUMENT
FOR FUTURE REFERENCE.

STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

TABLE OF CONTENTS

Page
1.

Executory Clause

3

2.

Non-Assignment Clause

3

3.

Comptroller’s Approval

3

4.

Workers’ Compensation Benefits

3

5.

Non-Discrimination Requirements

3

6.

Wage and Hours Provisions

7.

Non-Collusive Bidding Certification

4

8.

International Boycott Prohibition

4

9.

Set-Off Rights

4

10.

Records

4

11.

Identifying Information and Privacy Notification

12.

Equal Employment Opportunities For Minorities and Women

5

13.

Conflicting Terms

5

14.

Governing Law

5

15.

Late Payment

5

16.

No Arbitration

5

17.

Service of Process

5

18.

Prohibition on Purchase of Tropical Hardwoods

6

19.

MacBride Fair Employment Principles

6

20.

Omnibus Procurement Act of 1992

6

21.

Reciprocity and Sanctions Provisions

6

22.

Compliance with New York State Information Security Breach and Notification Act

7

23.

Compliance with Consultant Disclosure Law

7

24.

Procurement Lobbying

7

25.

Certification of Registration to Collect Sales and Compensating Use Tax by Certain 7

3-4

4-5

State Contractors, Affiliates and Subcontractors
26.

Iran Divestment Act

7

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STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease,
amendment or other agreement of any kind (hereinafter,
"the contract" or "this contract") agree to be bound by the
following clauses which are hereby made a part of the
contract (the word "Contractor" herein refers to any party
other than the State, whether a contractor, licenser,
licensee, lessor, lessee or any other party):

unless the Contractor shall provide and maintain
coverage during the life of this contract for the benefit of
such employees as are required to be covered by the
provisions of the Workers' Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS. To the
extent required by Article 15 of the Executive Law (also
known as the Human Rights Law) and all other State and
Federal statutory and constitutional non-discrimination
provisions, the Contractor will not discriminate against
any employee or applicant for employment because of
race, creed, color, sex (including gender identity or
expression), national origin, sexual orientation, military
status,
age,
disability,
predisposing
genetic
characteristics, marital status or domestic violence victim
status. Furthermore, in accordance with Section 220-e of
the Labor Law, if this is a contract for the construction,
alteration or repair of any public building or public work or
for the manufacture, sale or distribution of materials,
equipment or supplies, and to the extent that this contract
shall be performed within the State of New York,
Contractor agrees that neither it nor its subcontractors
shall, by reason of race, creed, color, disability, sex, or
national origin: (a) discriminate in hiring against any New
York State citizen who is qualified and available to
perform the work; or (b) discriminate against or intimidate
any employee hired for the performance of work under
this contract. If this is a building service contract as
defined in Section 230 of the Labor Law, then, in
accordance with Section 239 thereof, Contractor agrees
that neither it nor its subcontractors shall by reason of
race, creed, color, national origin, age, sex or disability:
(a) discriminate in hiring against any New York State
citizen who is qualified and available to perform the work;
or (b) discriminate against or intimidate any employee
hired for the performance of work under this contract.
Contractor is subject to fines of $50.00 per person per day
for any violation of Section 220-e or Section 239 as well
as possible termination of this contract and forfeiture of all
moneys due hereunder for a second or subsequent
violation.

1. EXECUTORY CLAUSE. In accordance with Section
41 of the State Finance Law, the State shall have no
liability under this contract to the Contractor or to anyone
else beyond funds appropriated and available for this
contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with
Section 138 of the State Finance Law, this contract may
not be assigned by the Contractor or its right, title or
interest therein assigned, transferred, conveyed, sublet or
otherwise disposed of without the State’s previous written
consent, and attempts to do so are null and void.
Notwithstanding the foregoing, such prior written consent
of an assignment of a contract let pursuant to Article XI of
the State Finance Law may be waived at the discretion of
the contracting agency and with the concurrence of the
State Comptroller where the original contract was subject
to the State Comptroller’s approval, where the
assignment is due to a reorganization, merger or
consolidation of the Contractor’s business entity or
enterprise. The State retains its right to approve an
assignment and to require that any Contractor
demonstrate its responsibility to do business with the
State. The Contractor may, however, assign its right to
receive payments without the State’s prior written consent
unless this contract concerns Certificates of Participation
pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with
Section 112 of the State Finance Law (or, if this contract
is with the State University or City University of New York,
Section 355 or Section 6218 of the Education Law), if this
contract exceeds $50,000 (or the minimum thresholds
agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an
amendment for any amount to a contract which, as so
amended, exceeds said statutory amount, or if, by this
contract, the State agrees to give something other than
money when the value or reasonably estimated value of
such consideration exceeds $10,000, it shall not be valid,
effective or binding upon the State until it has been
approved by the State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of
General Services is required when such contracts exceed
$85,000 (State Finance Law Section 163.6-a). However,
such pre-approval shall not be required for any contract
established as a centralized contract through the Office of
General Services or for a purchase order or other
transaction issued under such centralized contract.
4. WORKERS' COMPENSATION BENEFITS. In
accordance with Section 142 of the State Finance Law,
this contract shall be void and of no force and effect
Standard Clauses

6. WAGE AND HOURS PROVISIONS. If this is a public
work contract covered by Article 8 of the Labor Law or a
building service contract covered by Article 9 thereof,
neither Contractor's employees nor the employees of its
subcontractors may be required or permitted to work more
than the number of hours or days stated in said statutes,
except as otherwise provided in the Labor Law and as set
forth in prevailing wage and supplement schedules issued
by the State Labor Department. Furthermore, Contractor
and its subcontractors must pay at least the prevailing
wage rate and pay or provide the prevailing supplements,
including the premium rates for overtime pay, as
determined by the State Labor Department in accordance
with the Labor Law. Additionally, effective April 28, 2008,
if this is a public work contract covered by Article 8 of the
Labor Law, the Contractor understands and agrees that
the filing of payrolls in a manner consistent with
Subdivision 3-a of Section 220 of the Labor Law shall be
a condition precedent to payment by the State of any
3

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STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

State approved sums due and owing for work done upon
the project.

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

7. NON-COLLUSIVE BIDDING CERTIFICATION. In
accordance with Section 139-d of the State Finance Law,
if this contract was awarded based upon the submission
of bids, Contractor affirms, under penalty of perjury, that
its bid was arrived at independently and without collusion
aimed at restricting competition. Contractor further
affirms that, at the time Contractor submitted its bid, an
authorized and responsible person executed and
delivered to the State a non-collusive bidding certification
on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In
accordance with Section 220-f of the Labor Law and
Section 139-h of the State Finance Law, if this contract
exceeds $5,000, the Contractor agrees, as a material
condition of the contract, that neither the Contractor nor
any substantially owned or affiliated person, firm,
partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50
USC App. Sections 2401 et seq.) or regulations
thereunder. If such Contractor, or any of the aforesaid
affiliates of Contractor, is convicted or is otherwise found
to have violated said laws or regulations upon the final
determination of the United States Commerce
Department or any other appropriate agency of the United
States subsequent to the contract's execution, such
contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify
the State Comptroller within five (5) business days of such
conviction, determination or disposition of appeal
(2NYCRR 105.4).

11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION.
(a) Identification Number(s). Every
invoice or New York State Claim for Payment submitted
to a New York State agency by a payee, for payment for
the sale of goods or services or for transactions (e.g.,
leases, easements, licenses, etc.) related to real or
personal property must include the payee's identification
number. The number is any or all of the following: (i) the
payee’s Federal employer identification number, (ii) the
payee’s Federal social security number, and/or (iii) the
payee’s Vendor Identification Number assigned by the
Statewide Financial System. Failure to include such
number or numbers may delay payment. Where the
payee does not have such number or numbers, the
payee, on its invoice or Claim for Payment, must give the
reason or reasons why the payee does not have such
number or numbers.

9. SET-OFF RIGHTS. The State shall have all of its
common law, equitable and statutory rights of set-off.
These rights shall include, but not be limited to, the State's
option to withhold for the purposes of set-off any moneys
due to the Contractor under this contract up to any
amounts due and owing to the State with regard to this
contract, any other contract with any State department or
agency, including any contract for a term commencing
prior to the term of this contract, plus any amounts due
and owing to the State for any other reason including,
without limitation, tax delinquencies, fee delinquencies or
monetary penalties relative thereto. The State shall
exercise its set-off rights in accordance with normal State
practices including, in cases of set-off pursuant to an
audit, the finalization of such audit by the State agency,
its representatives, or the State Comptroller.

(b) Privacy Notification. (1) The authority to request the
above personal information from a seller of goods or
services or a lessor of real or personal property, and the
authority to maintain such information, is found in Section
5 of the State Tax Law. Disclosure of this information by
the seller or lessor to the State is mandatory. The principal
purpose for which the information is collected is to enable
the State to identify individuals, businesses and others
who have been delinquent in filing tax returns or may have
understated their tax liabilities and to generally identify
persons affected by the taxes administered by the
Commissioner of Taxation and Finance. The information
will be used for tax administration purposes and for any
other purpose authorized by law. (2) The personal
information is requested by the purchasing unit of the
agency contracting to purchase the goods or services or
lease the real or personal property covered by this
contract or lease. The information is maintained in the
Statewide Financial System by the Vendor Management
Unit within the Bureau of State Expenditures, Office of the
State Comptroller, 110 State Street, Albany, New York
12236.

10. RECORDS. The Contractor shall establish and
maintain complete and accurate books, records,
documents, accounts and other evidence directly
pertinent to performance under this contract (hereinafter,
collectively, "the Records"). The Records must be kept
for the balance of the calendar year in which they were
made and for six (6) additional years thereafter. The
State Comptroller, the Attorney General and any other
Standard Clauses

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STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR
MINORITIES AND WOMEN. In accordance with Section
312 of the Executive Law and 5 NYCRR 143, if this
contract is: (i) a written agreement or purchase order
instrument, providing for a total expenditure in excess of
$25,000.00, whereby a contracting agency is committed
to expend or does expend funds in return for labor,
services, supplies, equipment, materials or any
combination of the foregoing, to be performed for, or
rendered or furnished to the contracting agency; or (ii) a
written agreement in excess of $100,000.00 whereby a
contracting agency is committed to expend or does
expend funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property
and improvements thereon; or (iii) a written agreement in
excess of $100,000.00 whereby the owner of a State
assisted housing project is committed to expend or does
expend funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property
and improvements thereon for such project, then the
following shall apply and by signing this agreement the
Contractor certifies and affirms that it is Contractor’s equal
employment opportunity policy that:

312 does not apply to: (i) work, goods or services
unrelated to this contract; or (ii) employment outside New
York State. The State shall consider compliance by a
contractor or subcontractor with the requirements of any
federal law concerning equal employment opportunity
which effectuates the purpose of this section. The
contracting agency shall determine whether the
imposition of the requirements of the provisions hereof
duplicate or conflict with any such federal law and if such
duplication or conflict exists, the contracting agency shall
waive the applicability of Section 312 to the extent of such
duplication or conflict. Contractor will comply with all duly
promulgated and lawful rules and regulations of the
Department of Economic Development’s Division of
Minority and Women's Business Development pertaining
hereto.
13. CONFLICTING TERMS. In the event of a conflict
between the terms of the contract (including any and all
attachments thereto and amendments thereof) and the
terms of this Appendix A, the terms of this Appendix A
shall control.
14. GOVERNING LAW. This contract shall be governed
by the laws of the State of New York except where the
Federal supremacy clause requires otherwise.

(a)
The Contractor will not discriminate against
employees or applicants for employment because of race,
creed, color, national origin, sex, age, disability or marital
status, shall make and document its conscientious and
active efforts to employ and utilize minority group
members and women in its work force on State contracts
and will undertake or continue existing programs of
affirmative action to ensure that minority group members
and women are afforded equal employment opportunities
without discrimination. Affirmative action shall mean
recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination and
rates of pay or other forms of compensation;

15. LATE PAYMENT. Timeliness of payment and any
interest to be paid to Contractor for late payment shall be
governed by Article 11-A of the State Finance Law to the
extent required by law.
16. NO ARBITRATION. Disputes involving this contract,
including the breach or alleged breach thereof, may not
be submitted to binding arbitration (except where
statutorily authorized), but must, instead, be heard in a
court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods
of service allowed by the State Civil Practice Law & Rules
("CPLR"), Contractor hereby consents to service of
process upon it by registered or certified mail, return
receipt requested. Service hereunder shall be complete
upon Contractor's actual receipt of process or upon the
State's receipt of the return thereof by the United States
Postal Service as refused or undeliverable. Contractor
must promptly notify the State, in writing, of each and
every change of address to which service of process can
be made. Service by the State to the last known address
shall be sufficient. Contractor will have thirty (30)
calendar days after service hereunder is complete in
which to respond.

(b) at the request of the contracting agency, the
Contractor shall request each employment agency, labor
union, or authorized representative of workers with which
it has a collective bargaining or other agreement or
understanding, to furnish a written statement that such
employment agency, labor union or representative will not
discriminate on the basis of race, creed, color, national
origin, sex, age, disability or marital status and that such
union or representative will affirmatively cooperate in the
implementation of the Contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or
advertisements for employees, that, in the performance of
the State contract, all qualified applicants will be afforded
equal employment opportunities without discrimination
because of race, creed, color, national origin, sex, age,
disability or marital status.

18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants
that all wood products to be used under this contract
award will be in accordance with, but not limited to, the
specifications and provisions of Section 165 of the State
Finance Law, (Use of Tropical Hardwoods) which
prohibits purchase and use of tropical hardwoods, unless
specifically exempted, by the State or any governmental

Contractor will include the provisions of "a", "b", and "c"
above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair,
renovation, planning or design of real property and
improvements thereon (the "Work") except where the
Work is for the beneficial use of the Contractor. Section
Standard Clauses

5

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STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

agency or political subdivision or public benefit
corporation. Qualification for an exemption under this law
will be the responsibility of the contractor to establish to
meet with the approval of the State.

Contractors certify that whenever the total bid amount is
greater than $1 million:
(a) The Contractor has made reasonable efforts to
encourage the participation of New York State Business
Enterprises as suppliers and subcontractors, including
certified
minority
and
women-owned
business
enterprises, on this project, and has retained the
documentation of these efforts to be provided upon
request to the State;

In addition, when any portion of this contract involving the
use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor will
indicate and certify in the submitted bid proposal that the
subcontractor has been informed and is in compliance
with specifications and provisions regarding use of
tropical hardwoods as detailed in §165 State Finance
Law. Any such use must meet with the approval of the
State; otherwise, the bid may not be considered
responsive. Under bidder certifications, proof of
qualification for exemption will be the responsibility of the
Contractor to meet with the approval of the State.

(b) The Contractor has complied with the Federal Equal
Opportunity Act of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make reasonable efforts to
provide notification to New York State residents of
employment opportunities on this project through listing
any such positions with the Job Service Division of the
New York State Department of Labor, or providing such
notification in such manner as is consistent with existing
collective bargaining contracts or agreements. The
Contractor agrees to document these efforts and to
provide said documentation to the State upon request;
and

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In
accordance with the MacBride Fair Employment
Principles (Chapter 807 of the Laws of 1992), the
Contractor hereby stipulates that the Contractor either (a)
has no business operations in Northern Ireland, or (b)
shall take lawful steps in good faith to conduct any
business operations in Northern Ireland in accordance
with the MacBride Fair Employment Principles (as
described in Section 165 of the New York State Finance
Law), and shall permit independent monitoring of
compliance with such principles.

(d) The Contractor acknowledges notice that the State
may seek to obtain offset credits from foreign countries as
a result of this contract and agrees to cooperate with the
State in these efforts.

20. OMNIBUS PROCUREMENT ACT OF 1992. It is the
policy of New York State to maximize opportunities for the
participation of New York State business enterprises,
including minority and women-owned business
enterprises as bidders, subcontractors and suppliers on
its procurement contracts.

21. RECIPROCITY AND SANCTIONS PROVISIONS.
Bidders are hereby notified that if their principal place of
business is located in a country, nation, province, state or
political subdivision that penalizes New York State
vendors, and if the goods or services they offer will be
substantially produced or performed outside New York
State, the Omnibus Procurement Act 1994 and 2000
amendments (Chapter 684 and Chapter 383,
respectively) require that they be denied contracts which
they would otherwise obtain. NOTE: As of May 15, 2002,
the list of discriminatory jurisdictions subject to this
provision includes the states of South Carolina, Alaska,
West Virginia, Wyoming, Louisiana and Hawaii. Contact
NYS Department of Economic Development for a current
list of jurisdictions subject to this provision.
22. COMPLIANCE WITH NEW YORK STATE
INFORMATION
SECURITY
BREACH
AND
NOTIFICATION ACT. Contractor shall comply with the
provisions of the New York State Information Security
Breach and Notification Act (General Business Law
Section 899-aa; State Technology Law Section 208).

Information on the availability of New York State
subcontractors and suppliers is available from:
NYS Department of Economic Development
Division for Small Business
Albany, New York 12245
Telephone: 518-292-5100
Fax: 518-292-5884
email: opa@esd.ny.gov
A directory of certified minority and women-owned
business enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business
Development
633 Third Avenue
New York, NY 10017
212-803-2414
email: mwbecertification@esd.ny.gov
https://ny.newnycontracts.com/FrontEnd/VendorSear
chPublic.asp

23. COMPLIANCE WITH CONSULTANT DISCLOSURE
LAW. If this is a contract for consulting services, defined
for purposes of this requirement to include analysis,
evaluation, research, training, data processing, computer
programming, engineering, environmental, health, and
mental health services, accounting, auditing, paralegal,
legal or similar services, then, in accordance with Section
163 (4-g) of the State Finance Law (as amended by
Chapter 10 of the Laws of 2006), the Contractor shall

The Omnibus Procurement Act of 1992 requires that by
signing this bid proposal or contract, as applicable,
Standard Clauses

6

January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

timely, accurately and properly comply with the
requirement to submit an annual employment report for
the contract to the agency that awarded the contract, the
Department of Civil Service and the State Comptroller.

determination of such violation, then the state agency
shall take such action as may be appropriate and
provided for by law, rule, or contract, including, but not
limited to, imposing sanctions, seeking compliance,
recovering damages, or declaring the Contractor in
default.

24. PROCUREMENT LOBBYING. To the extent this
agreement is a "procurement contract" as defined by
State Finance Law Sections 139-j and 139-k, by signing
this agreement the contractor certifies and affirms that all
disclosures made in accordance with State Finance Law
Sections 139-j and 139-k are complete, true and accurate.
In the event such certification is found to be intentionally
false or intentionally incomplete, the State may terminate
the agreement by providing written notification to the
Contractor in accordance with the terms of the
agreement.

The state agency reserves the right to reject any bid,
request for assignment, renewal or extension for an entity
that appears on the Prohibited Entities List prior to the
award, assignment, renewal or extension of a contract,
and to pursue a responsibility review with respect to any
entity that is awarded a contract and appears on the
Prohibited Entities list after contract award.

25. CERTIFICATION OF REGISTRATION TO
COLLECT SALES AND COMPENSATING USE TAX BY
CERTAIN STATE CONTRACTORS, AFFILIATES AND
SUBCONTRACTORS.
To the extent this agreement is a contract as defined by
Tax Law Section 5-a, if the contractor fails to make the
certification required by Tax Law Section 5-a or if during
the term of the contract, the Department of Taxation and
Finance or the covered agency, as defined by Tax Law 5a, discovers that the certification, made under penalty of
perjury, is false, then such failure to file or false
certification shall be a material breach of this contract and
this contract may be terminated, by providing written
notification to the Contractor in accordance with the terms
of the agreement, if the covered agency determines that
such action is in the best interest of the State.
26. IRAN DIVESTMENT ACT. By entering into this
Agreement, Contractor certifies in accordance with State
Finance Law §165-a that it is not on the “Entities
Determined to be Non-Responsive Bidders/Offerers
pursuant to the New York State Iran Divestment Act of
2012”
(“Prohibited
Entities
List”)
posted
at:
http://www.ogs.ny.gov/about/regs/DOCCS/ListofEntities.
pdf
Contractor further certifies that it will not utilize on this
Contract any subcontractor that is identified on the
Prohibited Entities List. Contractor agrees that should it
seek to renew or extend this Contract, it must provide the
same certification at the time the Contract is renewed or
extended. Contractor also agrees that any proposed
Assignee of this Contract will be required to certify that it
is not on the Prohibited Entities List before the contract
assignment will be approved by the State.
During the term of the Contract, should the state agency
receive information that a person (as defined in State
Finance Law §165-a) is in violation of the abovereferenced certifications, the state agency will review
such information and offer the person an opportunity to
respond. If the person fails to demonstrate that it has
ceased its engagement in the investment activity which is
in violation of the Act within 90 days after the
Standard Clauses

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January 2014

Appendix B

General Specifications

General Specifications

Appendix B

WARRANTIES
a. Product Performance: Where Contractor,
Product manufacturer or service provider
generally
offers
additional
or
more
advantageous warranties than set forth below,
Contractor shall offer or pass through any such
warranties to DOCCS and the State of New
York (hereinafter “Authorized User(s)” or State.

awarded by a court of competent jurisdiction
arising from any breach of Contractor’s
warranties as set forth herein.
c.
Product Warranty for Deliverables:
During the Project warranty period, defects in
the materials or workmanship of components or
deliverables specified and furnished by or
through Contractor shall be repaired or
replaced by Contractor at no cost or expense to
the Authorized User. Contractor shall extend
the Project warranty period for individual
component(s), or for the system as a whole, as
applicable, by the cumulative period(s) of time,
after notification, during which an individual
component or the system requires servicing or
replacement (down time) or is in the possession
of the Contractor, its agents, officers,
Subcontractors, distributors, resellers or
employees (“extended warranty”).

In addition, Contractor hereby warrants and
represents that the Products acquired by the
Authorized User under the terms and conditions
of this Contract conform to the manufacturer's
specifications, performance standards and
documentation, and the documentation fully
describes the proper procedure for using the
Products.
Contractor further warrants and represents that
Products, components or deliverables specified
and furnished by or through Contractor shall
individually, and where specified and furnished
as a system, be free from defects in material
and workmanship and will conform with all
requirements of the Contract for the warranty
period, or for a minimum of one (1) year from
the date of acceptance, whichever is longer
(“Project warranty period”).

Where Contractor, the Independent Software
Vendor (ISV), or other third-party manufacturer
markets any project deliverable delivered by or
through Contractor with a standard commercial
warranty, such standard warranty shall be in
addition to, and not relieve the Contractor from,
Contractor’s warranty obligations during the
Project warranty and extended warranty
period(s). Where such standard commercial
warranty covers all or some of the Project
warranty or extended warranty period(s),
Contractor shall be responsible for the
coordination during the Project warranty or
extended warranty period(s) with ISV or other
third party manufacturer(s) for warranty repair
or replacement of ISV or other third-party
manufacturer’s Product.

Unless recycled or recovered materials are
available
in
accordance
with
the
Remanufactured, Recycled, Recyclable or
Recovered Materials clause, Product offered
shall be standard new equipment, current
model or most recent release of regular stock
product with all parts regularly used with the
type of equipment offered. Contractor further
warrants and represents that no attachment or
part has been substituted or applied contrary to
the manufacturer’s recommendations and
standard practice.

Where Contractor, ISV or other third-party
manufacturer markets any Project Deliverable
with a standard commercial warranty which
goes beyond the Project warranty or extended
warranty period(s), Contractor shall notify the
Authorized User and pass through the
manufacturer’s standard commercial warranty
to Authorized User at no additional charge;
provided, however, that Contractor shall not be
responsible for coordinating services under the
third-party extended warranty after expiration of

b. Title and Ownership: Contractor warrants
and represents that it has (i) full ownership,
clear title free of all liens, or (ii) the right to
transfer or deliver specified license rights to any
Products acquired by Authorized User under
this Contract. Contractor shall be solely liable
for any costs of acquisition associated
therewith.
Contractor shall indemnify
Authorized Users and hold Authorized Users
harmless from any damages and liabilities
(including reasonable attorneys’ fees and costs)

General Specifications

1

Appendix B

General Specifications

Appendix B

the Project warranty and extended warranty
period(s).

iii) data entry or processing, or iv) contract
administration services (e.g., billing, invoicing,
claim processing), Contractor warrants that
services shall be provided in an accurate and
timely manner without interruption, failure or
error due to the inaccuracy of Contractor’s
business operations in processing date/time
data (including, but not limited to, calculating,
comparing, and sequencing) various date/time
transitions, including leap year calculations.
Contractor shall be responsible for damages
resulting from any delays, errors or untimely
performance resulting therefrom, including but
not limited to the failure or untimely
performance of such services.

The Commissioner agrees that Contractor is
not responsible for any modification of the
Products made by an Authorized User without
Contractor’s approval.
d. Replacement Parts Warranty: If during the
regular or extended warranty periods, parts or
components break or fail to perform as
intended, the Contractor shall promptly repair
or, upon demand, replace the defective unit or
component part affected. All costs for labor and
material and transportation incurred to repair or
replace defective Product during the warranty
period(s) shall be borne solely by the
Contractor, and the State or Authorized User
shall in no event be liable or responsible
therefor.

This Date/Time Warranty shall survive beyond
termination or expiration of this contract as long
as the Product is used by the governmental
entity, or its successor, for whom the Product
was originally purchased.” Nothing in this
warranty statement shall be construed to limit
any rights or remedies otherwise available
under this Contract for breach of warranty.

Any Product or parts thereof replaced by the
Contractor under the Contract warranty shall be
replaced at no cost to the Authorized User and
guaranteed for the greater of: a) the Warranty
Period set forth under paragraph (a) above; or
b) if a separate warranty for that Product or
parts thereof is generally offered by the
manufacturer, the standard commercial
warranty period offered by the manufacturer for
the individual part or component.

g.
Workmanship Warranty:
Contractor
warrants that the services acquired under this
Contract will be provided in a professional and
workmanlike manner in accordance with
industry standards. The Authorized User must
notify Contractor of any services warranty
deficiencies within ninety calendar days from
performance of the services that gave rise to the
warranty claim.

e. Virus Warranty: The Contractor represents
and warrants that any Licensed Software
acquired by the Authorized User does not
contain any known viruses. Contractor is not
responsible for viruses introduced at Licensee’s
site.

h. Miscellaneous: The Authorized User shall
promptly notify the Contactor and the
Commissioner in writing of any claim of breach
of any warranty provided herein.

f. Date/Time Warranty: Contractor warrants
that Product furnished pursuant to this Contract
shall, when used in accordance with the
Product documentation, be able to accurately
process date/time data (including, but not
limited to, calculating, comparing, and
sequencing) transitions, including leap year
calculations. Where a Contractor proposes or
an acquisition requires that specific Products
must perform as a package or system, this
warranty shall apply to the Products as a
system.

The rights and remedies of the State and the
Authorized Users provided in this clause are in
addition to and do not limit any rights afforded
to the State and the Authorized Users by any
other clause of the Contract.
INDEMNIFICATION Contractor shall be fully
liable for the actions of its agents, employees,
partners or Subcontractors and shall fully
defend, indemnify and hold harmless the
Authorized Users from suits, actions, damages
and costs of every name and description
relating to personal injury and damage to real
or personal tangible property caused by any
intentional act or negligence of Contractor, its

Where Contractor is providing ongoing
services, including but not limited to:
i)
consulting,
integration,
code
or
data
conversion, ii) maintenance or support services,

General Specifications

2

Appendix B

General Specifications

Appendix B

agents, employees, partners or
Subcontractors, which shall arise from or result
directly or indirectly from this Contract, without
limitation; provided, however, that the
Contractor shall not indemnify to the extent
any claim, loss or damage arising hereunder
solely due to the negligent act, failure to act,
gross negligence or willful misconduct of the
Authorized Users.

defend, indemnify and hold the Authorized
Users harmless from and against any and all
damages, expenses (including reasonable
attorneys' fees), claims, judgments, liabilities
and costs in any action for infringement of a
patent, copyright, trademark, trade secret or
other proprietary right provided: a) such claim
arises solely out of the Products as supplied by
the Contractor, and not out of any modification
to the Products made by Authorized User or by
someone other than Contractor at the direction
of the Authorized User without Contractor’s
approval, or by reason of an off-the-shelf
component; and b) Authorized User gives
Contractor prompt written notice of any such
action, claim suit or threat of suit alleging
infringement.

The State shall give Contractor: (i) prompt
written notice of any action, claim or threat of
suit, or other suit, (ii) the opportunity to take
over, settle or defend such action, claim or suit
at Contractor's sole expense, and (iii)
assistance in the defense of any such action,
claim or suit at the expense of Contractor.
In the event that an action or proceeding at law
or in equity is commenced against the
Authorized User arising out of a claim for
death, personal injury or damage to real or
personal tangible property caused by any
intentional or willful act, gross negligence, or
negligence of Contractor, its agents,
employees, partners or Subcontractors, which
shall arise from or result directly or indirectly
from the Products supplied under this
Contract, and Contractor is of the opinion that
the allegations in such action in whole or in
part are not covered by the indemnification and
defense provisions
set forth in the Contract, Contractor shall
immediately notify the Authorized User and the
New York State Office of the Attorney General
in writing and shall specify to what extent
Contractor believes it is obligated to defend
and indemnify under the terms and conditions
of the Contract and to what extent it is not so
obligated to defend and indemnify. Contractor
shall in such event attempt to secure a
continuance to permit the State and the
Authorized User to appear and defend their
interests in cooperation with Contractor, as is
appropriate, including any jurisdictional
defenses the State and Authorized User may
have. In the event of a dispute regarding the
defense, the Contractor and the Attorney
General shall try to reach an amicable
resolution, but the Attorney General shall have
the final determination on such matters.

At Authorized User’s option, Contractor may
be given the opportunity to take over, settle or
defend such action, claim or suit at
Contractor's sole expense, and to provide
assistance in the defense of any such action,
claim or suit at the expense of Contractor.
Such indemnity shall only be applicable in the
event of claims, judgments, liabilities
and/or costs that may be finally assessed
against Authorized User in any action for
infringement of a patent, or of any copyright,
trademark, trade secret or other third party
proprietary right except to the extent such
claims, judgments, liabilities and/or costs arise
solely from the Authorized Users negligent act,
failure to act, gross negligence or willful
misconduct.
If usage of a Product shall be enjoined for any
reason or if Contractor believes that it may be
enjoined, Contractor shall have the right, at its
own expense and sole discretion to take action
in the following order of precedence: (i) to
procure for the Authorized User the right to
continue Usage (ii) to modify the service or
Product so that usage becomes non-infringing,
and is of at least equal quality and
performance; or (iii) to replace such Product or
parts thereof, as applicable, with non-infringing
Product of at least equal quality and
performance. If the above remedies are not
available, the parties shall terminate the
Contract, in whole or in part as necessary and
applicable, provided that the Authorized User

INDEMNIFICATION RELATING TO THIRD
PARTY RIGHTS The Contractor will also

General Specifications

3

Appendix B

General Specifications

Appendix B

a. Contractor’s liability for any claim, loss or
liability arising out of, or connected with the
Products provided, and whether based upon
default, or other liability such as breach of
contract, warranty, negligence,
misrepresentation or otherwise, shall in no
case exceed direct damages in: (i) an amount
equal to two (2) times the charges specified in
the Purchase Order for the Products and
services, or parts thereof forming the basis of
the Authorized User’s claim (said amount not
to exceed a total of twelve (12) months
charges payable under the applicable
Purchase Order) or (ii) five hundred thousand
dollars ($500,000), whichever is greater.
b. The Authorized User may retain such
monies from any amount due Contractor as
may be necessary to satisfy any claim for
damages, costs and the like asserted against
the Authorized User unless Contractor at the
time of the presentation of claim shall
demonstrate to the Authorized User’s
satisfaction that sufficient monies are set aside
by the Contractor in the form of a bond or
through insurance coverage to cover
associated damages and other costs.
c. Notwithstanding the above, neither the
Contractor nor the Authorized User shall be
liable for any consequential, indirect or special
damages of any kind which may result directly
or indirectly from such
performance, including, without limitation,
damages resulting from loss of use or loss
of profit by the Authorized User, the
Contractor, or by others.

is given a refund for any amounts paid for the
period during which usage was not feasible.
In the event that an action at law or in equity is
commenced against the Authorized User
arising out of a claim that the Authorized User's
use of the Product under the Contract infringes
any patent, copyright, trademark, trade secret
or proprietary right, and Contractor is of the
opinion that the allegations in such action in
whole or in part are not covered by the
indemnification and defense provisions set
forth in the Contract, Contractor shall
immediately notify the Authorized User and the
Office of the Attorney General in writing and
shall specify to what extent Contractor believes
it is obligated to defend and indemnify under
the terms and conditions of the Contract and to
what extent it is not so obligated to defend and
indemnify. Contractor shall in such event
protect the interests of the Authorized User
and seek to secure a continuance to permit the
Authorized User to appear and defend their
interests in cooperation with Contractor, as is
appropriate, including any jurisdictional
defenses the Authorized User may have. This
constitutes the Authorized User’s sole and
exclusive remedy for patent infringement, or
for infringement of any other third party
proprietary right.
LIMITATION OF LIABILITY Except as
otherwise set forth in the Indemnification
clause and the Indemnification Relating to
Third Party Rights clause, the limit of liability
shall be as follows:

General Specifications

4

Appendix B

Appendix C

M/WBE Forms and Information

NEW YORK STATE CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS
ENTERPRISES
New York State Law
Pursuant to New York State Executive Law Article 15-A, the Department of Corrections and
Community Supervision (DOCCS) recognizes its obligation under the law to promote
opportunities for maximum feasible participation of certified minority and women-owned business
enterprises and the employment of minority group members and women in the performance of
DOCCS contracts.
In 2006, the State of New York commissioned a disparity study to evaluate whether minority and
women-owned business enterprises had a full and fair opportunity to participate in State
contracting. The findings of the study were published on April 29, 2010, under the title “The State
of Minority and Women-Owned Business Enterprises: Evidence from New York” (“Disparity
Study”). The report found evidence of statistically significant disparities between the level of
participation of minority and women-owned business enterprises in State procurement contracting
versus the number of minority and women-owned business enterprises that were ready, willing,
and able to participate in state procurements. As a result of these findings, the Disparity Study
made recommendations concerning the implementation and operation of the statewide certified
minority and women-owned business enterprise program. The recommendations from the
Disparity Study culminated in the enactment and the implementation of New York State Executive
Law Article 15-A, which requires, among other things, that DOCCS establishes goals for
maximum feasible participation of New York State Certified minority and women-owned business
enterprises (“M/WBE”) and the employment of minority group members and women in the
performance of New York State contracts.
Business Participation Opportunities for M/WBE’s
For purposes of this solicitation, DOCCS hereby establishes an overall goal of 30% for M/WBE
participation, 15% for Minority-Owned Business Enterprises (“MBE”) participation and 15% for
Women-Owned Business Enterprises (“WBE”) participation (based on the current availability of
qualified MBE’s and WBE’s). A contractor on the subject contract must document “Good Faith
Efforts” to provide meaningful participation by M/WBE’s as subcontractors or suppliers in the
performance of the contract and contractor agrees that DOCCS may withhold payment pending
receipt of the required M/WBE documentation. The directory of New York State Certified
M/WBE’s can be viewed at: http://www.esd.ny.gov/mwbe.html . For guidance on how DOCCS
will determine a contractor’s “Good Faith Efforts”, refer to 5 NYCRR §142.8.
In accordance with 5 NYCRR §142.13, contractor acknowledges that if it is found to have willfully
and intentionally failed to comply with the M/WBE participation goals set forth in the contract, such
finding constitutes a breach of contract and DOCCS may withhold payment from the contractor
as liquidated damages.
Such liquidated damages shall be calculated as an amount equaling the difference between: (1)
all sums identified for payment to M/WBE’s had the contractor achieved the contractual M/WBE
goals; and (2) all sums actually paid to M/WBE’s for work performed or materials supplied under
the contract.
M/WBE Forms and Information

Appendix C

1

APPENDIX C
By submitting a bid or proposal, a bidder on the contract agrees to submit the following documents
and information as evidence of compliance with the foregoing:
A. Bidders are required to submit an M/WBE Utilization Plan (Form M/WBE 100) with their
bid or proposal. The utilization plan shall list the M/WBE’s the contractor intends to use
to perform the State contract and a description of the contract scope of work that the
contractor intends to structure to meet the goals on the State contract, and the estimated
or, if known, actual dollar amounts to be paid to and performance dates of each component
of a State contract that the contractor intends to be performed by a NYS certified minority
or woman-owned business. Any modifications or changes to the agreed participation by
NYS certified M/WBE’s set forth in the utilization plan submitted with the bid or proposal,
after the contract award and during the term of the contract, must be reported on a revised
M/WBE utilization plan submitted to DOCCS.
B. DOCCS contracting unit will review the submitted M/WBE utilization plan and advise the
bidder of their acceptance or issue a notice of deficiency within 20 days of receipt.
C. If a notice of deficiency is issued, bidder agrees that it shall respond to the notice of
deficiency within seven (7) business days of receipt by submitting to the contracting unit,
a written remedy in response to the notice of deficiency. If the written remedy that is
submitted is not timely or is found by DOCCS to be inadequate, DOCCS shall notify the
bidder and direct the bidder to submit, within five (5) business days, a request for a partial
or total waiver of M/WBE participation goals on a M/WBE Request Form Waiver (Form
M/WBE 102). Failure to file the waiver form in a timely manner may be grounds for
disqualification of the bid or proposal.
D. DOCCS may disqualify a bidder as being non-responsive under the following
circumstances:
a. If a bidder fails to submit an M/WBE Utilization Plan,
b. If a bidder fails to submit a written remedy to a notice of deficiency,
c. If a bidder fails to submit a request for waiver, or
d. If DOCCS determines that the bidder has failed to document good faith efforts.
Contractors shall attempt to utilize, in good faith, any MBE or WBE identified within its M/WBE
Utilization Plan, during the performance of the contract. Requests for a partial or total waiver of
established goal requirements made subsequent to contract award may be made at any time
during the term of the contract to DOCCS, but must be made no later than prior to the submission
of a request for final payment on the contract.
Contractors are required to submit an M/WBE Quarterly Compliance and Sub-Contractor
Payment Report on Form M/WBE 101 to the contracting unit by the 15th day following each end
of quarter over the term of the contract documenting the progress made toward achievement of
the M/WBE goals of the contract.
Equal Employment Opportunity Requirements
By submission of a bid or proposal in response to this solicitation, the bidder/contractor agrees
with all of the terms and conditions of Appendix A including Clause 12 – Equal Employment
Opportunities for Minorities and Women. The contractor is required to ensure that it and any
subcontractors awarded a subcontract over $25,000 for the construction, demolition,
M/WBE Forms and Information

Appendix C

2

APPENDIX C
replacement, major repair, renovation, planning or design of real property and improvements
thereon (the “Work”) except where the work is for the beneficial use of the contractor, shall
undertake or continue programs to ensure that minority group members and women are afforded
equal employment opportunities without discrimination because of race, creed, color, national
origin, sex, age, disability, or marital status. For these purposes, equal opportunity shall apply in
the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer,
layoff, termination, and rates of pay or other forms of compensation. This requirement does not
apply to: (1) work, goods, or services unrelated to the contract; or (2) employment outside of New
York State.
Bidder further agrees, where applicable, to submit with the bid a Staffing Plan (Form EEO 100)
identifying the anticipated work force to be utilized on the contract and if awarded a contract, will,
upon request, submit to the DOCCS an EEO Workforce Quarterly Compliance Report (Form EEO
101) identifying the workforce actually being utilized on the contract.
Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and
Federal statutory and constitutional non-discrimination provisions, the contractor and subcontractors will not discriminate against any employee or applicant for employment because of
race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability,
predisposing genetic characteristic, marital status, or domestic violence victim status, and shall
also follow the requirements of the Human Rights Law with regard to non-discrimination on the
basis of prior criminal conviction and prior arrest.
Please note: Failure to comply with the foregoing requirements may result in a finding of nonresponsiveness, non-responsibility, and/or a breach of the contract, leading to the withholding of
funds, suspension or termination of the contract or such other actions or enforcement proceedings
as allowed by the contract.

M/WBE Forms and Information

Appendix C

3

_________________________________is designated as the Minority Business
(Name of Designated Liaison)
Enterprise Liaison responsible for administering the Minority and Women-Owned
Business Enterprises- Equal Employment Opportunity (M/WBE-EEO) program.

M/WBE Contract Goals
No less than 30% Minority and Women-Owned Business Enterprise Participation.
________% Minority-Owned Business Enterprise Participation
________% Women-Owned Business Enterprise Participation

EEO Contract Goals
________% Minority Labor Force Participation
________% Female Labor Force Participation

____________________________________________
(Authorized Representative)

Title: ________________________________________
Date: ________________________________________

DOCCS M/WBE EEO POLICY STATEMENT
(7/12)
2

Appendix D

Sample Contract

RFP 2016-02 Inmate Telephone System

Sample Contract

AGREEMENT
This AGREEMENT made this 1 day of Month 2016 between the NEW YORK
STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
(hereinafter referred to as “DOCCS”), with its principal office located at The Harriman State
Campus, 1220 Washington Avenue, Albany, New York 12226 and Legal Name of
Contractor (hereinafter “CONTRACTOR”), with its principal office located at address of
the Contractor’s Corporate Headquarters and

WHEREAS, pursuant to New York Correction Law § 112(1), the Commissioner of
DOCCS is given the authority to contract with private entities for the performance of such
functions deemed necessary or desirable to promote the efficient operation of DOCCS, as
well as the fulfillment of all lawful responsibilities of DOCCS; and
WHEREAS, the CONTRACTOR is ready, willing and able to provide such services
and possesses or can make available all necessary qualified personnel, licenses, facilities
and expertise to perform or have performed the services required pursuant to the terms
of this AGREEMENT.

NOW THEREFORE, in consideration of the promises, responsibilities and
covenants herein, the STATE and the CONTRACTOR agree as follows:
I.

A.

TERM

When signed by the parties, this AGREEMENT shall commence on Month 1, 2016,
and be in effect through Month 30, 2021 (“Term”) unless terminated earlier
pursuant to its terms.

II.

A.

AMENDMENTS

This AGREEMENT may be amended only upon the mutual written agreement of
the parties.

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RFP 2016-02 Inmate Telephone System

B.

Sample Contract

To modify the AGREEMENT within an existing Term or Renewal Term, the parties
shall draft an Amendment to the Agreement.

III.

TERMINATION

A. Event of default: The contract may be terminated in the event of breach of any of its
provisions by the Contractor, or if the Contractor’s Services are deemed unsatisfactory
in DOCCS’s sole discretion, due to Contractor’s fault or negligence, or that of its
officers, employees, subcontractors, agents, licensees, licensors, or affiliates. In such
event, DOCCS will send a written cure notice in accordance with the Notice provisions
of the contract, and Contractor shall have thirty (30) days to correct the deficiencies
noted. If the deficiencies are not corrected, DOCCS may terminate this contract
immediately upon written notice.

B. Deficient Certifications: If the awarded contract has a value greater than $15,000,
DOCCS shall have the right to terminate in the event the State Finance Law sections
139-j and 139-k certifications executed by the Contractor are found to be false or
incomplete. If the contract has a value of greater than $100,000 and Contractor’s
sales for the immediately preceding four quarters were greater than $300,000, or if the
contract has a value of $125,000 or greater, DOCCS shall have the right to terminate
in the event the Contractor’s Department of Taxation and Finance Contractor
Certification form, ST 220-CA, statements are found to be false or incomplete.

C. Lack of Funds: If for any reason the State of New York terminates or reduces its
appropriations to DOCCS, the awarded contract may be terminated or reduced at
DOCCS's discretion, provided that no such reduction or termination shall apply to
allowable costs already incurred by the Contractor where funds are available to the
DOCCS for payment of such costs. In any event, no liability shall be incurred by the
State (including DOCCS) beyond monies available for the purposes of the awarded
contract.

D. DOCCS may terminate the awarded contract, upon written notice, in the event of any
of the following: (i) Contractor makes an assignment for the benefit of creditors; (ii) a
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RFP 2016-02 Inmate Telephone System

Sample Contract

petition in bankruptcy or any insolvency proceeding is filed by or against Contractor
and is not dismissed within thirty (30) days from the date of filing; or (iii) all or
substantially all of Contractor’s property is levied upon or sold in any judicial
proceeding.

E. Convenience of DOCCS: The contract may be terminated at any time upon receipt of
thirty (30) days prior written notice given by DOCCS for whatever reason.
F. DOCCS reserves the right to terminate immediately for cause.
G. This AGREEMENT may be terminated at any time upon mutual written
consent of DOCCS and the CONTRACTOR.

H. In the event of the termination of this AGREEMENT by either party, DOCCS shall be
liable for the actual and necessary expenses for services provided by CONTRACTOR
up to and including the effective date of termination.

IV.

CONTRACTOR RESPONSIBILITY

A. The CONTRACTOR shall, at all times during the AGREEMENT term remain
responsible.

The CONTRACTOR agrees, if requested by the Commissioner of

DOCCS or his designee, to present evidence of its continuing legal authority to do
business in New York State, integrity, experience, ability, prior performance, and
organizational and financial capacity.

B. The Commissioner of DOCCS or his designee, in his sole discretion, reserves the right
to suspend any or all activities under this AGREEMENT, at any time, when he
discovers information that calls into question the responsibility of the CONTRACTOR.
In the event of such suspension, the CONTRACTOR will be given written notice
outlining the particulars of such suspension. Upon issuance of such notice, the

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RFP 2016-02 Inmate Telephone System

Sample Contract

CONTRACTOR must comply with the terms of the suspension order. Contract activity
may resume at such time as the Commissioner of DOCCS or his designee issues a
written notice authorizing a resumption of performance under the Contract.
C. Upon written notice to the CONTRACTOR, and a reasonable opportunity to be heard
with appropriate DOCCS officials or staff, the AGREEMENT may be terminated by the
Commissioner of DOCCS or his designee at the CONTRACTOR’S expense where the
CONTRACTOR is determined by the DOCCS Commissioner or his designee to be
non-responsible. In such event, the Commissioner or his designee may complete the
contractual requirements in any manner he may deem advisable and pursue available
legal or equitable remedies for breach.

V.

REQUEST FOR PROPOSALS

A.

After a recent Request for Proposals (RFP) for an Inmate Telephone System,

DOCCS has determined that the CONTRACTOR is the successful bidder resulting in the
best value for the state and the CONTRACTOR is willing and able to provide the services
required.

VI.

A.

SCOPE OF SERVICES

Pursuant to this AGREEMENT, CONTRACTOR shall provide an inmate telephone

system in accordance with DOCCS’ Request for Proposals (hereinafter “RFP”) 2016-02,
a true copy of which is annexed hereto and made a part hereof as Appendix B; and the
CONTRACTOR’S

proposal for said RFP, a true copy of which is annexed hereto and

made part of as Appendix C.

C. It is expressly understood and agreed by CONTRACTOR that any and all services
and products specified in this AGREEMENT shall be provided only at the direction
of DOCCS.

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RFP 2016-02 Inmate Telephone System

VII.

A.

Sample Contract

COMPENSATION

All compensation that will be paid to the CONTRACTOR is set forth in Appendix

D, which is attached hereto and made a part of hereof. Appendix D consists of the
CONTRACTOR’S Cost Proposal submitted in response to RFP 2016-02.

B.

The selected Contractor will bill DOCCS twice each year during the term of the

resulting contract. The first bill/invoice will be for the period beginning July 1, 2016, through
December 31, 2016, and the second bill/invoice will be for the period beginning January
1, 2017, through June 30, 2017. The billing for subsequent years will be for July through
December and January through June.

C.

The selected CONTRACTOR shall provide complete and accurate billing invoices

to DOCCS in order to receive payment. Billing invoices submitted to DOCCS must contain
all information and supporting documentation required by the Contract, DOCCS, and
OSC. Payment for invoices submitted by the CONTRACTOR shall only be rendered
electronically unless payment by paper check is expressly authorized by the DOCCS’
Commissioner, in the Commissioner’s sole discretion, due to extenuating circumstances.
Such electronic payment shall be made in accordance with ordinary State procedures and
practices. The CONTRACTOR shall comply with the State Comptroller’s procedures to
authorize electronic payments.
Comptroller’s

website

at

Authorization forms are available at the State

www.osc.state.ny.us/epay/index.htm,

epundit@osc.state.ny.us or by telephone at (518) 474-4032.

by

e-mail

at

CONTRACTOR

acknowledges that it will not receive payment on any invoices submitted under the
resulting Contract if it does not comply with the State Comptroller’s electronic payment
procedures, except where the Commissioner has expressly authorized payment by paper
check as set forth above.

VIII.

A.

CONFIDENTIALITY

CONTRACTOR acknowledges that any and all information, records, files,

documents or reports contained in any media format (e.g. print, electronic) provided to
CONTRACTOR by the DOCCS or otherwise encountered by CONTRACTOR in the
Appendix D

Page 5

RFP 2016-02 Inmate Telephone System

Sample Contract

provision of services pursuant to this AGREEMENT shall be considered extremely
confidential and shall be handled accordingly at all times. Neither CONTRACTOR nor
any of its employees, servants, subcontractors, agents or volunteers shall at any time be
permitted to utilize any such confidential information for any purpose outside the scope of
this AGREEMENT without the express prior written authorization of DOCCS.
CONTRACTOR shall educate, monitor and be responsible for its employees, servants,
subcontractors, agents and volunteers providing services for CONTRACTOR pursuant to
this AGREEMENT concerning these confidentiality requirements. Any breach of the
confidentiality requirements set forth in this Section or in Appendix B by CONTRACTOR
or by any of its employees, servants, subcontractors, agents or volunteers may result in
the immediate termination of this AGREEMENT by the DOCCS and may subject the
CONTRACTOR to further penalties. Annexed hereto as Appendix E is a copy of the NonDisclosure Agreement.

IX.

A.

INDEPENDENT CONTRACTOR
It is expressly understood and agreed that CONTRACTOR’S status hereunder is

that of an independent contractor and that no official, employee, servant, subcontractor,
agent or volunteer of CONTRACTOR is an employee of the DOCCS or the State of New
York. CONTRACTOR is solely responsible for the work, compensation, benefits and
personal conduct of all such persons assigned to the provision of services pursuant to this
AGREEMENT.

Nothing contained in this Section or in any other provision of this

AGREEMENT shall be construed to impose any liability or duty to the DOCCS or the State
of New York to persons, firms, consultants or corporations employed or engaged or
otherwise utilized by the CONTRACTOR, either directly or indirectly, in any capacity
whatsoever, nor shall the DOCCS or the State of New York be liable for any acts,
omissions, obligations and taxes of any nature, including unemployment insurance and
worker’s compensation, of CONTRACTOR or any of its officials, employees, servants,
subcontractors, agents or volunteers.
X.

ASSIGNMENT

Appendix D

Page 6

RFP 2016-02 Inmate Telephone System

A.

Sample Contract

The rights and obligations of CONTRACTOR under this AGREEMENT may not be

assigned, conveyed, transferred, or subcontracted by CONTRACTOR without prior written
authorization of the DOCCS as set forth in Appendix A.
XI.

NOTICES

A.
All notices made pursuant to this AGREEMENT shall be in writing and shall be
delivered to the addresses set forth below or to such addresses as the parties may from
time to time provide to each other. Said notices should be served via registered mail or
personally.

Notification to DOCCS:

NYS DOCCS
Contract Procurement Unit
The Harriman State Campus
1220 Washington Avenue
Albany, New York 12226

Notification to CONTRACTOR:
Contractor Name
President – Government Division
Street Address
City, State 40223

or any other address as may be hereinafter designated by written notice. No notice shall
be effective until received by the addressee.

Communications concerning the daily

functions and operation of the scope of services are not to be considered as notices. Thus,
such communications may be done via telephone, e-mail, fax, United States Postal
Service or other means.
XII.

a.

MISCELLANEOUS PROVISIONS

Entire Agreement:

This AGREEMENT, including the face page and all its

appendices, constitutes the entire AGREEMENT between the parties and supersedes all
other communications between the parties relating to the subject matter herein.

Appendix D

Page 7

RFP 2016-02 Inmate Telephone System

b.

Sample Contract

Appendix A: DOCCS Appendix A (Standard Clauses as required by the Attorney

General for all State contracts) is attached hereto and made a part hereof.

c.

Order of Precedence: In the event of any conflict between the terms of this

AGREEMENT and the terms of its Appendices, the following order of precedence shall
apply:
1. Appendix A;
2. AGREEMENT;
3. Appendix B;
4. Appendix C;
5. Appendix D;
6. Appendix E; and
7. Appendix F.

d.

Controlling Statutes: This AGREEMENT shall be governed by and construed in

accordance with the laws of the State of New York.

e.

Unenforceability: If any part of this AGREEMENT is found to be unenforceable for

any reason, that part shall be deemed deleted and all other terms, conditions, and
provisions of this AGREEMENT shall remain in full force and effect.

f.

Captions: The captions contained in this AGREEMENT are intended for

convenience and reference purposes only and shall in no way be deemed to define, limit
or describe the scope or intent of this AGREEMENT, or any provision thereof, or in any
way affect this AGREEMENT.

g.

Defense and Indemnification: The contractor shall provide for the complete

defense of the State, the Department, its officials, employees, and agents and for their
complete indemnification from judgments, settlements, or losses that result from actions,
claims, or proceedings, both judicial and administrative, that arise out of the contractor’s
performance of this contract. The contractor’s duty to indemnify shall not be lessened by
its utilization of subcontractors and shall cover direct, indirect, special and consequential
damages.

Appendix D

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RFP 2016-02 Inmate Telephone System

h.

Sample Contract

Force Majeure: Neither party shall be liable for losses, defaults, or damages, under

this AGREEMENT which result from delays in performing, or inability to perform, all or any
of the obligations or responsibilities imposed upon it pursuant to the terms and conditions
of this AGREEMENT, due to or because of acts of God, the public enemy, acts of
government, earthquakes, floods, strikes, typhoons, civil strife, fire or any cause beyond
the reasonable control of the party that was so delayed in performing or so unable to
perform, provided that such party was not negligent and shall have used reasonable
efforts to avoid and overcome such cause. Such party will resume full performance of
such obligations and responsibilities promptly upon removal of any such cause.

i.

Non-sectarian: CONTRACTOR is a non-sectarian organization and does not have

as one of its purposes the advancement of any religion.

j.

Strict Adherence: The failure of DOCCS to insist upon strict adherence to any

provision, fiscal obligation, reporting or other requirement of this AGREEMENT shall not
be considered to constitute a waiver or constructive modification to deprive DOCCS of the
right to insist upon strict adherence to the terms of this AGREEMENT in the future.

k.

M/WBE: By signing said AGREEMENT, CONTRACTOR agrees to comply with all

requirements of Minority and Women Business Enterprise Laws, Regulations and Rules
(M/WBE) Annexed hereto as Appendix F is a copy of the M/WBE policy.

Appendix D

Page 9

Appendix E
Vendor Responsibility
Information

Vendor Responsibility

1. General Responsibility
The CONTRACTOR shall at all times during the Contract term remain responsible. The
CONTRACTOR agrees, if requested by the Commissioner of DOCCS or his designee, to present
evidence of its continuing legal authority to do business in New York State, integrity, experience,
ability, prior performance, and organizational and financial capacity.
2. Suspension of Work for Non-Responsibility
DOCCS’ Commissioner or his designee, in his or her sole discretion, reserves the right to suspend
any or all activities under this Contract, at any time, when he or she discovers information that
calls into question the responsibility of the CONTRACTOR. In the event of such suspension, the
CONTRACTOR will be given written notice outlining the particulars of such suspension. Upon
issuance of such notice, the CONTRACTOR must comply with the terms of the suspension order.
Contract activity may resume at such time as the DOCCS’ Commissioner or his designee issues
a written notice authorizing a resumption of performance under the Contract.
3. Termination for Non-Responsibility
Upon written notice to the CONTRACTOR, and a reasonable opportunity to be heard with
appropriate DOCCS officials or staff, the Contract may be terminated by the DOCCS’
Commissioner or his designee at the CONTRACTOR’S expense where the CONTRACTOR is
determined by the DOCCS Commissioner or his designee to be non-responsible. In such event,
the DOCCS’ Commissioner or his designee may complete the contractual requirements in any
manner he may deem advisable and pursue available legal or equitable remedies for breach.
4. Vendor Responsibility Questionnaire
DOCCS recommends that vendors file the required Vendor Responsibility Questionnaire online
using the New York State VendRep System. To enroll in and use the NYS VendRep System,
see the VendRep System Instructions available at http://www.osc.state.ny.us/vendrep/index.htm
or go directly to the VendRep System online at portal.osc.state.ny.us/Enrollment.
Vendors must provide their New York State Vendor Identification Number when enrolling. To
request assignment of a Vendor ID or for VendRep System assistance, contact the Office of the
State Comptroller’s (OSC) Help Desk at 866 370-4672 or 518 408-4672 or by email at
ciohelpdesk@osc.state.ny.us.
Vendors opting to complete and submit a paper questionnaire can obtain the appropriate
questionnaire from the VendRep Web site, www.osc.state.ny.us/vendrep/forms vendor.htm,
or the OSC Help Desk for a copy of the paper form.
5. The Contractor must remain a responsible vendor throughout the duration of the contract and, if
at any time the Contractor is found to be not responsible or there is a question as to the
vendor’s responsibility, any activities pursuant to the contract may be suspended. Finally, the
contract may be terminated following a finding of non-responsibility.
To assist the State in determining the responsibility of the bidder, the bidder should complete
and certify (or recertify) the Questionnaire no more than six (6) months prior to the bid due date.
A Bidder’s Questionnaire cannot be viewed by DOCCS until the Bidder has certified the
Questionnaire. It is recommended that all Bidders become familiar with all of the requirements

RFP 2016-02

Appendix E

Vendor Responsibility
of the Questionnaire in advance of the bid opening to provide sufficient time to complete the
Questionnaire.
The Bidder agrees that if it is found by the State that the bidder’s responses to the questionnaire
were intentionally false or intentionally incomplete, on such finding, DOCCS may terminate the
Contract. In no case shall such termination of the Contract by the State be deemed a breach
thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be
sustained by the Contractor as a result of such termination.

RFP 2016-02

Appendix E

Appendix F

Vendor Reference Form

RFP 2016-02

Vendor Reference Form

Vendor Reference Form
Complete a separate set of forms for the prime contractor and for each proposed subcontractor.
Bidders and subcontractors should inform references in advance that DOCCS will be contacting
them regarding the reference.
Prime Contractor Name:
Subcontractor Name (if applicable):
Complete a separate form for each of three (3) references
Reference Information
Reference organization name:
Address:
City:
State, zip code:
Contact person:
Name:
Title/position:
Phone number:
Email:
Services/systems bidder provided:
Initial Installation date:
System currently installed (model/release; indicate if same as proposed to DOCCS)

Number of locations/facilities:
Number phones:
Number inmates served:
Number of users:
Number of called party accounts:

RFP 2016-02

Page 1

Appendix F

RFP 2016-02

Vendor Reference Form

Vendor Reference Form
Percentage of billings by type:
Collect:
Pre-paid:
International:
Performance statistics for past 12 months:
System availability:
Network availability:
Mean time to repair (MTTR) premise equipment:
Number of system problems reported:
Mean time to resolve by priority level
Priority 1:
Priority 2:
Priority 3:
Customer service performance for the last 12 months:
Average hold time:
Per cent of hang ups/dropped calls:
Number of complaints:
Mean resolution time:

Inmate calls performance for the last 12 months
Availability:
Percent of drops and disconnects:
Number of complaints:

RFP 2016-02

Page 2

Appendix F

Appendix G Staff Qualification Form

RFP 2016-02

Staff Qualification Form

Appendix G

Complete a separate form for each proposed staff person and attach full résumé.
Vendor Name:
Name of Proposed Staff:
Position and Title:
Name of Firm:
Telephone Number:
Role in This Contract:
Years of Experience - Total:
Years of Experience - With Current Firm:
Education (Degree(s) and Specialization):

Staff Qualification Form

Appendix G

References
Complete a separate form for each of three (3) references
Relevant Project:
Relevancy to DOCCS Requirements:
Reference Organization Name:
Address:
City, State, Zip Code:
Contact Name:
Title/Position:
Phone Number:
Email:
Specific Role:
Dates of relevant experience:
Brief Description (Brief scope, size, cost etc.):

Appendix G

Appendix H Cost Proposal Form

Cost Proposal Form

RFP 2016-02

Appendix H

Account Holder Fees:
Itemize any fees below that may be incurred by account holders throughout the entire use and closure of
the account:
Account Fees
Example: Automated payment fees1

Amount Charged
Account Holders
$3.00

Total of all fees:

Federal and State Surcharges and Taxes:
Identify all federal and state surcharges and taxes that will be applied to the proposed rates for directbilled and prepaid calls (do not include amount of tax or surcharge):
Taxes and Surcharges

1

Automated payments include payments by interactive voice response (IVR).

Appendix H

Cost Proposal Form

Appendix I

Non-Disclosure Agreement

NEW YORK STATE
DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
NON-DISCLOSURE AGREEMENT
This Non-Disclosure Agreement is entered into on the ___ day of _______, 20__by and
between the New York State Department of Corrections and Community Supervision
(hereinafter “DOCCS”), located at The Harriman State Campus, 1220 Washington Avenue,
Albany, New York 12226 and ________________________________ (hereinafter “Recipient”)
located at ________________________________________.
The DOCCS is a law enforcement agency that is responsible for the confinement of
inmates and supervises parolees in New York State. DOCCS possesses information relating to
inmates and/or parolees that is confidential and is maintained for public safety and welfare.
NOW THEREFORE, in consideration for the mutual undertakings of the DOCCS and the
Recipient under this Agreement, the parties agree as follows:
1. Confidential Information
The Recipient acknowledges that during the course of the engagement at DOCCS, there
may be confidential information disclosed to them including, but not limited to:
Technical information: methods, processes, formulae, systems, techniques, computer
programs, research projects, plans, drawings, blueprints, and design specifications
Business information: vendor lists, customer lists, constituent lists, financial data,
statistical data, strategic plans, offender/releasee case files and the contents thereof,
photographs, laboratory reports, charts, studies, NYSID/DIN Numbers, employee
information/personnel files, all information concerning employment applicants,
information relating to any victim/family of a victim and/or correspondence, social
security numbers, dates of birth, drug and alcohol tests and treatment information, health
and/or mental health information including but not limited to, all records subject to the
laws, rules, and regulations of the Health Insurance Portability and Accountability Act of
1996 (HIPAA), rap sheets, photos and fingerprint data, documents/data not created by
DOCCS, legal documents, correspondence, and litigation files, DOCCS policies,
procedures and manuals, equipment used by DOCCS, or information regarding DOCCS’s
business dealings and relations with other parties.
2. Confidentiality
No Use. Recipient agrees not to use the Confidential Information in any way, except for
the purpose of the projects or assignments they are performing for DOCCS.
No Disclosure. Recipient agrees to use its best efforts to prevent and protect the
Confidential Information, or any part thereof, from disclosure to any person other than
Recipient’s employees and/or consultants designated by DOCCS having a need of
disclosure in connection with Recipient’s authorized use of the Confidential Information.
This
includes
employees
and
consultants
that
may
not

be directly working on the project or job. Recipient agrees not to disclose the nature of
the work to any third party without prior written DOCCS consent. In the circumstance
where the signer of this document is representing a Recipient with more than one
employee, the Recipient also agrees that all of its current and future staff who may be
involved in the relationship with DOCCS have been and will be instructed in the
requirements of this agreement.
Protection of Secrecy. Recipient agrees to take all steps reasonably necessary to protect
the secrecy of the Confidential Information, and to prevent the Confidential Information
from falling into the public domain or into the possession of unauthorized persons. Such
steps shall include keeping Confidential Information stored in a locked office/facility
where only authorized personnel would have access.
3. Limits on Confidential Information. Confidential Information shall not be deemed
proprietary and the Recipient shall have no obligation to respect such information where
the information:
a. was known to Recipient prior to receiving any of the Confidential Information
from DOCCS;
b. has become publicly known through no wrongful act of Recipient;
c. was received by Recipient without breach of this Agreement from a third party
without restriction as to the use and disclosure of the information;
d. was independently developed by the Recipient without the use of the Confidential
Information; or
e. was ordered to be publicly released by the requirement of a government agency or
judicial proceeding.
4. Maintenance, Return, and Destruction of the DOCCS Confidential Material. Upon the
DOCCS’s direction, Recipient will return any Confidential Information whether
electronic, paper, or other media within 48 hours of agreement termination. Returned
electronic information to DOCCS must be decrypted. Copies whether electronic, paper,
or other media within 48 hours of agreement termination, will be destroyed by
methodology chosen by DOCCS.
5. Ownership of Confidential Information.
Recipient agrees that all Confidential
Information shall remain the property of DOCCS, and that DOCCS may use such
Confidential Information for any purpose without obligation to Recipient. Nothing
contained herein shall be construed as granting or implying any transfer of rights to
Recipient in the Confidential Information. All products, whether physical or intellectual,
produced in this relationship are DOCCS property and the Recipient has no rights to
claim, distribute, or market such product or related DOCCS information without prior
written consent from DOCCS Management, except to the degree that a valid contract
between Recipient and DOCCS explicitly grants such rights. Recipient will comply with
all DOCCS security policies, procedures and standards and follow best industry accepted
security practices.
6. Term and Termination. This Agreement may be terminated by mutual consent. The
obligations of this Agreement shall be continuing until the Confidential Information
disclosed to Recipient is no longer confidential.

7. Survival of Rights and Obligations. This Agreement shall be binding upon, inure to the
benefit of, and be enforceable by (a) DOCCS, it successors, and assigns; and (b)
Recipient, its successors and assigns.
8. Jurisdiction and Venue: The laws of the State of New York shall govern this Agreement.

If federal jurisdiction exists, we consent to exclusive jurisdiction and venue in the
federal courts in Northern District of New York. If not, we each consent to the exclusive
jurisdiction and venue in the Supreme Court of Albany County, New York.
9. Miscellaneous.
9.1 In the event that a portion of this Agreement is found to be unenforceable, the
remainder of the Agreement shall stay in effect.
9.2 Any delay or failure of either of us to exercise a right to remedy will not result in a
waiver of that, or any other right or remedy.
9.3 Each of us acknowledges that money damages may not be sufficient compensation
for a breach of this Agreement. DOCCS reserves the right to receive an injunction
from an appropriate New York State Court if the Agreement is breached.
9.4 In any dispute relating to this Agreement, the prevailing party will be entitled to
recover reasonable attorney’s fees and costs.
9.5 This agreement does not grant any implied intellectual property license to
confidential information, except as stated above.
9.1 Confidential information must be encrypted in transit or at rest. Encryption methods
must comply with New York State Office of Information Technology Services policy.
See link: http://www.its.ny.gov/.
9.2 Penalty for non-compliance. Violation of this agreement could involve penalties, up
to and including, relationship termination, and civil and criminal prosecution in
accordance to all applicable laws.
RECIPIENT: (___________________________________________________)

Name (please
print)

Signature
Title
Date
NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

Name
(please print)

Signature
Title
Date

Appendix J Notice of Intent to Bid & Pre-Registration for
Mandatory Pre-Bid Conference

Notice of Intent to Bid & Pre-Registration for Mandatory Pre-Bid Conference

REQUEST FOR PROPOSALS NUMBER:
RFP 2016-03

RFP TITLE: Inmate Telephone System

IF YOU INTEND TO SUBMIT A PROPOSAL, you should do the following:
a.
Complete Sections 2 and 3 of this form.
b.
Email the completed form to DOCCS at doccscontracts@doccs.ny.gov (enter Notice of Intent
to Bid—RFP 2016-03 in the subject line of the email).
IF YOU ARE NOT SUBMITTING A PROPOSAL, you should do the following:
a.
Complete Sections 1 and 3 of this form.
b.
Return the completed form to DOCCS by email at doccscontracts@doccs.ny.gov.
c.
Please indicate your reason for not submitting a proposal.
Section 1
We do not provide the requested service/technology/commodity. Please remove our firm from
your mailing list.
We cannot submit a bid at this time because
Please retain our firm on this list.
Section 2
We intend to submit a response to this Request for Proposals
List the individuals (4 maximum) who will attend the mandatory pre-bid conference.
Pre-registration is required for attendance.
Attendee Name

Company

Phone number

1
2
3
4

Section 3: Designated Contact Person
Name of Firm:
Fed ID. NO.:

Vendor ID

Address 1:
Address 2:
Telephone:
Printed Name:

Email:
Title:

Date:

Appendix J

1

Appendix K

Proposal Response Forms

Appendix K

Proposal Response Forms

Submit the completed Appendix K with the Technical Proposal.
Instructions:
1.

Read & Agree column: Respond to each itemized section and subsection by indicating that
you have read the information in the RFP and that you agree with the requirement by marking
the box.

2.

Supporting Document(s) Required column: If the section and/or subsection requires
supporting documentation, a Y will appear in this column. Include the requested documents.

3.

Addressed in Proposal and/or Documents Included: Mark the box in this column to indicate
that you have addressed the section/subsection and/or have included the requested
documents in your proposal.

4.

Points Awarded: Bidders will be scored on all items for which a Y appears in this column.

5.

Complete and sign the following certification.

The undersigned certifies that he/she
 is knowledgeable about the submitting Business Entity’s business and operations;
 has read and understands all of the questions contained in the RFP and the instructions on the
previous page;
 has supplied full and complete responses for every item listed on pages 2 – 7 of Appendix K
Proposal Response Form;
 confirms, to the best of his/her knowledge, information, and belief, that the Business Entity’s
responses are true, accurate and complete, including all attachments; and
 understands that New York State will rely on information disclosed in this proposal when entering into
a contract with the Business Entity.
Signature of Owner/Officer:
Printed Name of Signatory:
Title:
Name of Business:
Address:
City, State, ZIPcode:
Date:

Appendix K

Appendix L Performance/Payment Bond: Sample Bond

PERFORMANCE
AND
PAYMENT BOND: SAMPLE
STATE FINANCE LAW §137
KNOW ALL PERSONS BY THESE
PRESENTS, that
(hereinafter call the "Principal") and
(hereinafter call the "Surety")are held and
firmly bound to the New York State
Department of Corrections and Community
Supervision (hereinafter "DOCCS") in the
full and just sum of Ten million dollars
($10,000,000) good and lawful money of the
United States of America, for the payment
of which sum of money, well and truly to be
made and done, the Principal binds itself, its
heirs, executors, administrators, successors
and assigns and the Surety binds itself, its
successors and assigns, jointly and
severally, firmly by these presents.
WHEREAS, the Principal has entered into a
certain
written
Contract
No.____________bearing date on the
___________day of___________20__, with
DOCCS for the provision of services, a copy
of which Contract is annexed to and hereby
made part of this Bond as though herein set
forth in full;
NOW, THEREFORE, the conditions of this
obligation are such that if the Principal, its
representatives or assigns, shall well and
faithfully comply with and perform all the
terms, covenants and conditions of said
Contract on its part to be kept and performed
and
all
modifications,
amendments,
additions and alterations thereto that may
hereafter be made, according to the true
intent and meaning of said Contract,
including the payment of money, the repair
and/or replacement of defective work,
guarantees of maintenance for the periods
stated in the Contract, and payment of all
lawful claims to all persons furnishing labor
Appendix L

or materials to the Principal or his
subcontractors in the prosecution of the
contract work and shall fully indemnify and
save harmless DOCCS from all cost and
damage which it may suffer by reason of
failure so to do, and shall fully reimburse and
repay DOCCS for all outlay and expense
which DOCCS may incur in making good any
such default, and shall protect said DOCCS
against, and pay any and all amounts,
damages, costs and judgments which may or
shall be recovered against said DOCCS or
its trustees, officers, agents or employees or
which said DOCCS may be called upon to
pay to any person or corporation by reason
of any damages arising or growing out of the
doing of said work, the repair or maintenance
thereof, or the manner of doing the same, or
the neglect of the said Principal, or its agents,
or the improper performance of the said work
by the said Principal, or its agents, or the
infringement of any patent or patent rights by
reason of the use of any materials furnished
or work done as aforesaid or otherwise, then
this obligation shall be null and void,
otherwise to remain in full force and effect;
PROVIDED, HOWEVER, the said Surety, for
value received, hereby stipulates and
agrees, if requested to do so by DOCCS, to
fully perform and complete the work
mentioned and described in said Contract,
pursuant to the terms, conditions, and
covenants thereof, if for any cause the
Principal fails or neglects to so fully perform
and complete such payments and work and
the Surety further agrees to commence such
payment and work of completion within ten
(10) calendar days after written notice
Page 1

thereof from DOCCS and to bring such
payment current and to complete such work
within ten (10) calendar days from the
expiration of the time allowed the Principal in
the Contract for the payment or completion
thereof; and further
PROVIDED, HOWEVER, and with respect
only to items of work other than payment of
money, surety may obtain a bid or bids for
submission to DOCCS for completing the
work, and further
PROVIDED, HOWEVER, the Surety, for
value received, for itself and its successors
and assigns, hereby stipulates and agrees
that the obligation of said Surety and its Bond
shall be in no way impaired or affected by an
extension of time, modification, omission,
addition, or change in or to the said Contract
or the work to be performed thereunder, or
by any payment thereunder before the time
required therein, or by any waiver of any
provisions thereof, or by any assignment,
subletting or other transfer of any work to be
performed or any monies due or to become
due thereunder or by DOCCS' takeover, use,
occupancy or operation of any part or all of
the work covered by the Contract; and said
Surety does hereby waive notice of any and
all of such extensions, modifications,
omissions, additions, changes, payments,
waivers,
assignments,
subcontracts,

transfers, takeovers, uses, occupancies or
operations, and hereby expressly stipulates
and agrees that any and all things done and
omitted to be done by and in relation to
assignees, subcontractors, and other
transferees shall have the same effect as to
said Surety as though done or omitted to be
done by or in relation to said Principal, and
further
PROVIDED, HOWEVER, no right of action
shall accrue on this bond to or for the use of
any person or corporation other than
DOCCS named herein, its heirs, executors,
administrators or successors, and those
furnishing labor, products or materials to the
Principal or his subcontractors in the
prosecution of the contract work.
PROVIDED, HOWEVER, regardless of the
number and total claims, in no event shall the
surety be liable in the aggregate for more
than $------------------PROVIDED, HOWEVER, any suit under this
bond must be instituted before the expiration
of two (2) years from the date on which the
contract ends.

IN WITNESS WHEREOF, the Principal has hereunto set its hand and seal and the Surety has
caused this instrument to be signed by its attorney-in-fact, and its corporate seal to be hereunto
affixed this______ day of _____________. 20__.

By: ______________________________ (If Corporation, affix Corporate Seal)
Principal

By: ______________________________ (If Corporation, affix Corporate Seal)
Appendix L

Page 2

Appendix M

Diversity Practices Questionnaire

Diversity Practices Questionnaire
I, ___________________, as __________________ (title) of __________________firm or company
(hereafter referred to as the company), swear and/or affirm under penalty of perjury that the answers
submitted to the following questions are complete and accurate to the best of my knowledge:

1. Does your company have a Chief Diversity Officer or other individual who is tasked
with supplier diversity initiatives?
Yes or No
If Yes, provide the name, title, description of duties, and evidence of initiatives performed by
this individual or individuals.
(Attach additional sheets to this questionnaire; number items on the sheets to correspond with
the numbers on this questionnaire.)

2. What percentage of your company’s gross revenues (from your prior fiscal year) was
paid to New York State certified minority and/or women-owned business enterprises as
subcontractors, suppliers, joint-venturers, partners or other similar arrangement for the
provision of goods or services to your company’s clients or customers?
_____________________________________________________________________

3. What percentage of your company’s overhead (i.e. those expenditures that are not
directly related to the provision of goods or services to your company’s clients or
customers) or non-contract-related expenses (from your prior fiscal year) was paid to
New York State certified minority- and women-owned business enterprises as
suppliers/contractors?6
_____________________________________________________________________
4. Does your company provide technical training7 to minority- and women-owned
business enterprises?
Yes or No
If Yes, provide a description of such training which should include, but not be limited to, the
date the program was initiated, the names and the number of minority- and women-owned
business enterprises participating in such training, the number of years such training has been
offered and the number of hours per year for which such training occurs.
(Attach additional sheets to this questionnaire; number items on the sheets to correspond with the
numbers on this questionnaire.)

5. Is your company participating in a government approved minority- and women-owned
business enterprise mentor-protégé program?
Yes or No

6

Do not include onsite project overhead.
Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical components of
their jobs. Training can include technology applications, products, sales and service tactics, and more. Technical skills are job-specific as
opposed to soft skills, which are transferable.
7

Diversity Practices Questionnaire
If Yes, identify the governmental mentoring program in which your company participates and
provide evidence demonstrating the extent of your company’s commitment to the governmental
mentoring program.

________________________________________________________________________
(Attach additional sheets to this questionnaire; number items on the sheets to correspond with the
numbers on this questionnaire.)

6. Does your company include specific quantitative goals for the utilization of minorityand women-owned business enterprises in its non-government procurements?
Yes or No
If Yes, provide a description of such non-government procurements (including time period, goal, scope
and dollar amount) and indicate the percentage of the goals that were attained.

(Attach additional sheets to this questionnaire; number items on the sheets to correspond with the
numbers on this questionnaire.)

7. Does your company have a formal minority- and women-owned business enterprise
supplier diversity program?
Yes or No
If Yes, provide documentation of program activities and a copy of policy or program materials.

8. Does your company plan to enter into partnering or subcontracting agreements with
New York State certified minority- and women-owned business enterprises if selected
Yes or No
as the successful respondent?
If Yes, complete the attached Utilization Plan.

All information provided in connection with the questionnaire is subject to audit and any fraudulent
statements are subject to criminal prosecution and debarment.

Signature of
Owner/Official
Printed Name of
Signatory

Diversity Practices Questionnaire
Title
Name of Business
Address
City, State, Zip

STATE OF _______________________________
COUNTY OF
) ss:
On the ______ day of __________, 201___, before me, the undersigned, a Notary Public in and for
the State of __________, personally appeared _______________________________, personally
known to me or proved to me on the basis of satisfactory evidence to be the individual whose name is
subscribed to this certification and said person executed this instrument.
__________________________
Notary Public

Attachment A

Map of NYS Correctional Facilities

Attachment B NYS DOCCS Population and Phone Detail

ATTACHMENT C PROPOSAL SUBMISSION CHECKLIST AND
REQUIRED DOCUMENTS

RFP 2016-02

Attachment C

Application Cover Sheet
NYS Department of Corrections and Community Supervision
RFP 2016-02, Inmate Telephone System

Return this page with the Technical Proposal as Cover Sheet.

Applicant Legal Name:

________________________________________________

Contact Person:

________________________________________________

Business Address:

________________________________________________
________________________________________________

Phone:

________________________

E-Mail Address: _______________________________

Fax: ___________________________

Website Address:______________________________

Federal ID#: ____________________

NYS Vendor ID#:

____________________________

Submitted By:
Name of Authorized Official:

________________________________________

Title of Authorized Official:

________________________________________

Signature of Authorized Official:

________________________________________

Date:
Note:

_________________________

Signature binds applicant to a firm offer for a 120-day period from the date of the submission.

1

INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC
ACKNOWLEDGMENT

} SS.:


STATE OF
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.

RETURN BOTH PAGES AS PART OF THE PROPOSAL

RFP 2016-02

Attachment C

Procurement Lobbying Certification
By signing, the Offerer/bidder affirms that it understands and agrees to comply with the NYS
Department of Corrections and Community Supervision (DOCCS) procedures relative to
permissible contacts, as required by State Finance Law §139-j and §139-k.
Procurement Lobbying information can be accessed using the following links:
http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-j.htm and
http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-k.htm
Offerer affirms that it understands and agrees to comply with the procedures of DOCCS relative
to permissible Contacts as required by State Finance Law §139-j (3) and §139-j (6) (b).
By: _____________________________________

Date: ____________________

Name: __________________________________

Title: ___________________

1Contractor Name: _______________________________________________________
Contractor Address: _____________________________________________________
______________________________________________________________________
Prior Non-Responsibility Determinations – State Finance Law §139-k
1. Has any Government Entity made a finding of non-responsibility against this
organization/company? No

Yes

2. If yes, was the basis for the finding of non-responsibility due to a violation of SFL§139-j or due
to the intentional provision of false or incomplete information to a Government Entity?
No
Yes
3. Has any Government Entity terminated or withheld a procurement contract with this
organization/company due to the intentional provision of false or incomplete information?
No
Yes
If yes to any of the above questions, provide complete details on a separate page and
attach.
Offerer Certification:
I certify that all information provided to DOCCS with respect to State Finance Law §139-k is
complete, true and accurate.
By: ____________________________________ Date:_______________________________
Name: __________________________________Title: ______________________________

Procurement Lobbying Termination
DOCCS 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, DOCCS may exercise its termination right by
providing written notice to the Offerer/bidder in accordance with the written notification terms of the
contract.

RFP 2016-02

Attachment C

ENCOURAGING USE OF NEW YORK STATE BUSINESSES IN CONTRACT
PERFORMANCE

New York State businesses have a substantial presence in State Contracts and strongly
contribute to the economies of the state and the nation. In recognition of their economic
activity and leadership in doing business in New York State, Bidders for this contract for
commodities, services or technology are strongly encouraged and expected to consider
New York State businesses in the fulfillment of the requirements of the Contract. Such
partnering may be as subcontractors, suppliers, protégés or other supporting roles.
Bidders need to be aware that all authorized users of this Contract will be strongly
encouraged, to the maximum extent practical and consistent with legal requirements, to
use responsible and responsive New York State businesses in purchasing commodities
that are of equal quality and functionality and in utilizing services and technology.
Furthermore, Bidders are reminded that they must continue to utilize small, minority and
women-owned businesses, consistent with current State law.
Utilizing New York State businesses in State Contracts will help create more private
sector jobs, rebuild New York’s infrastructure, and maximize economic activity to the
mutual benefit of the Contractor and its New York State business partners. New York
State businesses will promote the Contractor’s optimal performance under the Contract,
thereby fully benefiting the public sector programs that are supported by associated
procurements.
Public procurements can drive and improve the State’s economic engine through
promotion of the use of New York businesses by its Contractors. The State, therefore,
expects Bidders to provide maximum assistance to New York businesses in their use of
the Contract. The potential participation by all kinds of New York businesses will deliver
great value to the State and its taxpayers.
Bidders can demonstrate their commitment to the use of New York State businesses by
responding to the question below:
Will New York State Businesses be used in the performance of this Contract? ______
Yes ______ No

If yes, identify New York State Business(es) that will be used; (Attach identifying
information).

RFP 2016-02

Attachment C

OSC CONSULTANT DISCLOSURE REPORTING REQUIREMENTS
CONTRACTOR INSTRUCTIONS
Background:
Pursuant to New York State Finance Law Section 163(4)(g), state agencies must require all contractors,
including subcontractors, that provide consulting services for State purposes pursuant to a contract to submit an annual
employment report for each such contract, such report to include for each employment category within the contract: (i)
the number of employees employed to provide services under the contract, (ii) the number of hours they work, and (iii)
their total compensation under the contract. Consulting services are defined as analysis, evaluation, research, training,
data processing, computer programming, engineering, environmental, health, and mental health services, accounting,
auditing, paralegal, legal, or similar services.
Contractors selected for award on the basis of a procurement issued by OSC (Request for Proposals, MiniBid, or Invitation for Bids) must complete Form A, State Consultant Services – Contractor’s Planned Employment
from Contract Start Date through the End of the Contract Term upon notification of award. The completed Form A
must include information for all employees that will be providing services under the contract, whether employed by the
contractor or by a subcontractor.
Contractors selected for award are also required to complete Form B, State Consultant Services
Contractor’s Annual Employment Report annually for each year of the contract term, on a State fiscal year basis.
The first report is due on May 15 for the period April 1 through March 31.
Form A must be submitted to DOCCS as the contracting agency, and Form B must be submitted to DOCCS
(as the contracting agency), the Department of Civil Service, and the Consultant Reporting Section of the Bureau of
Contracts at OSC, at the addresses provided in these instructions.
Form A, State Consultant Services – Contractor’s Planned Employment from Contract Start Date
through the End of the Contract Term and Form B, State Consultant Services Contractor’s Annual Employment
Report, are attached to these instructions. Please see these instructions for further information regarding completion
and submission of the forms.
INSTRUCTIONS
FORM A:
Upon notification of contract award, use Form A, State Consultant Services Contractor’s Planned
Employment From Contract Start Date Through the End of the Contract Term, attached to these instructions, to
report the necessary planned employment information prospectively from the start date through the end of the contract
term. This is a one-time reporting requirement.
Complete Form A for contracts for consulting services in accordance with the following:


Employment category: the specific occupation(s), as listed in the O*NET occupational classification system,
which best describe the employees anticipated to be 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 www.online.onetcenter.org to find a list of occupations.)



Number of employees: the total number of employees in the employment category anticipated to be
employed to provide services under the contract, including part time employees and employees of
subcontractors.



Number of hours to be worked: the total number of hours anticipated be worked by the employees in the
employment category.



Amount payable under the contract: the total amount payable by the State to the State contractor under
the contract, for work by the employees in the employment category, for services provided during the Report
Period.

Submit completed Form A within 48 hours of notification of selection for award to DOCCS (as the contracting agency)
at the address listed below.

2016-02

Attachment C

INSTRUCTIONS
FORM B:
Use Form B, State Consultant Services Contractor’s Annual Employment Report, attached to these
Instructions, to report the annual employment information required by the statute. This form will capture historical
information, detailing actual employment data for the most recently concluded State fiscal year (April 1 – March 31).
Submit Form B to DOCCS (as the contracting Agency), the Department of Civil Service (DCS), and to the Consultant
Reporting Section of the Bureau of Contracts at OSC at the addresses listed below.
Complete Form B for contracts for consulting services in accordance with the following:


Scope of Contract: a general classification of the single category that best fits the predominate nature of the
services provided under the contract.



Employment Category: the specific occupation(s), as listed in the O*NET occupational classification system,
which best describe 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 www.online.onetcenter.org to find a list of occupations.)



Number of Employees: the total number of employees in the employment category employed to provide
services under the contract during the Report Period, including part time employees and employees of
subcontractors.



Number of hours worked: the total number of hours worked during the Report Period by the employees in
the employment category.



Amount Payable under the Contract: the total amount paid or payable by the State to the State contractor
under the contract, for work by the employees in the employment category, for services provided during the
Report Period.

Submit the completed Form B annually by May 15th for each State fiscal year (or portion thereof) the contract
is in effect, as follows:
To DOCCS (as the contracting Agency):
By mail:

By email:

Sandra Downey, Director of Budget & Finance
NYS Department of Corrections & Community Supervision
Harriman State Campus/Building #2
1220 Washington Avenue
Albany, NY 12226-2050
doccscontracts@doccs.ny.gov

To the Consultant Reporting Section of the Bureau of Contracts at OSC:
By mail:
NYS Office of the State Comptroller
Bureau of Contracts
110 State Street, 11th Floor
Albany, NY 12236
Attn: Consultant Reporting
By fax:
(518) 474-8030 or (518) 473-8808
To DCS:
By mail:
NYS Department of Civil Service
Alfred E. Smith Office Building
Albany, NY 12239

2016-02

Attachment C

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: Department of Corrections & Community
Supervision
Contractor Name:
Contract Start Date:

/

/

Employment Category

Total this page

Contract End Date:

Number of
Employees

0

Agency Code: 10160
Contract Number:
/

/

Number of hours to
be worked

0

Amount Payable
Under the Contract

$ 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

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: Dept. of Corrections & Community Supervision
Contract Number:
Contract Term: / /
to
/ /
Contractor Name:
Contractor Address:
Description of Services Being Provided:

Agency Code: 10160

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

Total this page
Grand Total

Number of
Employees

Number of Hours
Worked

0

Amount Payable
Under the Contract

0

$ 0.00

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

/

/

Use additional pages if necessary)

Page

of

Attachment D Data Exchange Specifications

Data Exchange Specifications

1.0 Daily Exchanges
1.1
General Description
The NYS Department of Corrections and Community Supervision (DOCCS) and the ITS vendor
interact to exchange a variety of information. On a nightly basis, DOCCS provides information
concerning inmates entering and leaving DOCCS, inmates' authorized call lists, and inmates
restricted from placing calls. The vendor provides the details for the call detail records from the
previous day, both complete and incomplete.
DOCCS provides the facility location of each inmate in its population on a nightly basis. Hourly
updates are also available during normal operation hours.
On a one-time basis for start-up purposes, DOCCS will provide the vendor with a full start-up dataset
that includes all the files in the formats indicated for daily changes as described in the following pages.
The data exchanges specified in this Attachment D represent the current processing concepts and
file layouts. Changes and/or additions may be necessary based on the additional functionality to be
provided. DOCCS will coordinate with the selected vendor to define those changes and/or additions
upon contract award.
1.2
Concepts
The ITS operated by the vendor provides for call blocking by inmate. This requires the maintenance
of a file of phone numbers that each inmate is allowed to call and the authorization code (PIN) for
each inmate. DOCCS “Locator” system records information concerning each inmate's admission to
and release from DOCCS. Admission and release transactions will be passed to the vendor each
night as inmate adds and deletes. To reduce abuse of these "auth codes,” the codes will be deleted
from the vendor authorization file upon an inmate's release.
DOCCS operates a computer application that records and collects data concerning inmates' phone
calls. The Phone Number Registration subsystem records the phone numbers each inmate is allowed
to call. Each inmate is allowed to register 15 phone numbers, all others are blocked by the ITS. Any
changes to inmate allowed call lists will be sent to the vendor each night via FTP or some other
agreed upon transfer protocol. Modifications to the call list will be sent as add, delete or replace
transactions.
DOCCS inmate “Disciplinary” system records among other penalties the loss of the privilege to use
the ITS. A file of phone privilege restrictions will be sent to the vendor nightly. These transactions
will contain the date that the restrictions expire. An ancillary system to associate phones by ANI to
specific locations within specific facilities is also maintained. File transfer of ANI location file changes
will also be done on a nightly basis following the file transfer of inmate change transactions.
A nightly file of all inmates under custody along with their current facility location will be sent after the
inmate and ANI file transfer to reconcile each inmate’s current location. The vendor will receive hourly
updates during the day of all changes to inmates location that have occurred since the last hourly
update or the last nightly “Undercustody” file send was completed.
In return, the vendor must provide a call detail file to the DOCCS’ computer each night. This file,
containing the dates, times, auth-codes, phone numbers, elapsed times, etc. for each call including
uncompleted calls, will be posted to an application file to allow inquiry and reporting by authorized
DOCCS users to determine calling patterns of an individual inmate or to a specified phone number.

NYS DOCCS Data Specifications

Page 1

RFP 2016-02

Attachment D

1.3 DOCCS to Vendor Data Exchange
1.3.1 PIN
Every inmate is assigned an eight digit numeric authorization code or Personal Identification Number
(PIN) to input prior to entering the called phone number. This PIN is derived from the inmate's
DOCCS Department ID Number (DIN) as described below:


PIN = YYNNSSSS where



YY = Year portion of the inmate's DIN



NN = Alpha portion of the inmate's DIN converted to the ordinal position of the letter in the
alphabet.



SSSS= sequence number portion of the inmate's DIN

1.3.2 Nightly Batch Files
Following normal end-of-night processing for inmate systems, DOCCS will prepare and transmit the
following three files to the vendor: Inmate information change file, ANI change file, and Inmate
undercustody location file.
1.3.2.1 Inmate Information Change File
This file consists of three transaction types: Inmate changes, Restriction changes, and Phone
number changes. Although each transaction type may be prepared separately, all three
transaction types will be merged into a single file with mixed record formats detailed at the
end of this document. The transaction file will be in auth code (PIN) order within transaction
type. The transaction types are in the order stated above. The vendor must process the
transactions in the order provided. All translation of DINs to PINs will be done as part of the
file preparation.
1.3.2.1.1 Adds/Deletes/Replaces
Inmate transaction types consist of an Add, Delete or Replace transaction. Adds and
Deletes are based upon the DOCCS’ Locator System admission and release/discharge
transactions that were entered during the day. Replace transactions are generated by a
change in an inmate’s Hearing Impaired Indicator. On any given day there will be no
more than one Inmate transaction per PIN.
1.3.2.1.2 Restrictions
Restriction transaction types consist of an Add, Delete, or Replace transaction. These
transactions will come from the DOCCS’ Inmate Disciplinary System. The restriction end
date is supplied on each transaction. These records will be used to temporarily block the
use of the ITS from those inmates with penalty dates. The penalty expiration must be
checked by the vendor and the restriction removed from the vendor's authorization file on
a nightly basis, when the expiration date has been reached. This will ensure that on those
occasions when file transfer is unsuccessful, an inmate whose restriction expired the day
before will be allowed to make calls on the first day he/she should be allowed. On any
given day there will be no more than one Restriction transaction per PIN.
1.3.2.1.3 Phone Number Changes
Phone Number transaction types consist of an Add, Delete or Replace transaction.
These transactions come from the Phone Number Registration part of the DOCCS’ ITS.

NYS DOCCS Data Specifications

Page 2

RFP 2016-02

Attachment D

On any given day an inmate may have any number of Phone Number Add, Delete
and/or Replace transactions.
1.3.2.2
ANI Change File
This file consists of Adds and Deletes of ANI phone numbers. ANIs are phones within the
DOCCS facilities from which inmates are allowed to make calls. These ANI phone numbers
differ from normal phone numbers in that the middle three digits, usually the exchange, is
actually DOCCS’ three digit facility code in which the ANI is located. Each ANI phone is
assigned a class of service level, which determines what rules are to be applied to the inmates
placing calls from these phones. See the record layout and service level definitions for more
detail. On any given day there may or may not be any ANI transaction records. A file will
always be sent, containing a Header and Trailer record, even if there are no Detail records.
1.3.2.3
Inmate Undercustody Location File
This file consists of one record for each inmate who is under custody on the DOCCS Locator
System, including PIN and current facility location, at the time the file is created. This is not a
file of transactions like the Inmate and ANI files. It is a static file of the inmate population at
the given point in time. This file is used by the vendor to reconcile each inmate's current
DOCCS facility location.
1.3.3

Hourly Batch Files During Normal Operation
1.3.3.1
Locator Change File
During each hour of normal operations, DOCCS will write all inmate location changes that
occurred since the last hourly update to a file and transfer it to the vendor. Upon the first
update of the day, all location changes since the previous night's Inmate Undercustody
Location file transfer are written. This temporary file is in the same format as the nightly
location file, with a Header and Trailer record. The vendor must process these updates so
that inmates can call from their new location within an hour of entry of the DOCCS Locator
transaction recording the arrival.

1.3.4 Exchange Requirements
Each of the three nightly files has a Header record as the first record of the file and a Trailer record
as the last record of the file. The data portion of each file is labeled as a Detail record. There may
be none or many Detail records in each file. If the file transfer is unsuccessful for either the Inmate
Information Change file or the ANI Change file, the next day's data will be appended to the end of the
file. In this way, each day's transactions will be accumulated until a successful file transfer has been
completed. It should be noted that if either of these files contains more than one day's worth of
transactions, there will be a Header and Trailer record for each day. No attempt is made to
consolidate multiple days' transactions within one Header and Trailer. The vendor's program on the
receiving end must be prepared to process a file with multiple Header-Details-Trailer sequences of
data.
The Inmate Undercustody Location file does not get appended to the next night, if the file transfer is
unsuccessful. Because this is a static file, each nightly create overwrites the previous night's file.
This file will always contain only one file in Header-Details-Trailer format.
1.3.5 Sequence Requirements
The Inmate Information Change file is the first file transferred each night. The transactions in this file
must be processed in the order in which they are received by the vendor. The ANI file is the second
file transferred each night. This file should also be processed in the order in which it is received by
the vendor. After the first two files have been processed by the vendor, the third file to be transferred
NYS DOCCS Data Specifications

Page 3

ATTACHMENT E RANGE OF ACADEMIC CAPABILITIES FOR
TABLETS

NYS Department of Corrections and Community Supervision
Range of Academic Capabilities for Tablets

The contents of the tablets should provide a range of academic capabilities. Materials in the
following major categories are required for the requested phone tablets:
Educational Materials:
Literacy Materials must cover all levels of readability and be available in Spanish at the following
levels:
 Low-level reading materials for ABE and inmates with limited English proficiency. These
materials should encompass basic vocabulary, short paragraphs, and simple sentences.
 Mid-level reading materials with longer selections and more complex ideas.
 Upper-level reading materials that require higher level thinking skills, include complex
ideas, and be longer in length.
These materials should be comprised of books, texts, or passages.

Mathematics: Content must include very basic concepts such as the following:



Operations of addition, subtraction, multiplication of whole numbers
More advanced concepts such as algebra, probability, problem solving skills, etc.

Educational Games
Games should be educational in nature such as, but not limit to, the following:




Problem solving
Crosswords
Word search

Religion
Provide content as outlined on the attached table.

RFP 2016-02

Attachment E

ANDREW M. CUOMO
Governor

ANTHONY J. ANNUCCI
Acting Commissioner

Addendum I to RFP 2016-02, Inmate Telephone System

Vendor Assurance of No Conflict of Interest or Detrimental Effect

The Firm offering to provide services pursuant to this Request for Proposals 2016-02,
Inmate Telephone System, as a contractor, joint venture contractor, subcontractor, or
consultant, attests that its performance of the services outlined in this RFP does not and
will not create a conflict of interest with nor position the Firm to breach any other
contract currently in force with the State of New York.
Furthermore, the Firm attests that it will not act in any manner that is detrimental to any
State project on which the Firm is rendering services. Specifically, the Firm attests that:
1. The fulfillment of obligations by the Firm, as proposed in the response, does not
violate any existing contracts or agreements between the Firm and the State;
2. The fulfillment of obligations by the Firm, as proposed in the response, does not
and will not create any conflict of interest, or perception thereof, with any current
role or responsibility that the Firm has with regard to any existing contracts or
agreements between the Firm and the State;
3. The fulfillment of obligations by the Firm, as proposed in the response, does not
and will not compromise the Firm's ability to carry out its obligations under any
existing contracts between the Firm and the State;
4. The fulfillment of any other contractual obligations that the Firm has with the
State will not affect or influence its ability to perform under any contract with the
State resulting from this RFP;
5. During the negotiation and execution of any contract resulting from this RFP
2016-02, the Firm will not knowingly take any action or make any decision which
creates a potential for conflict of interest or might cause a detrimental impact to
the State as a whole including, but not limited to, any action or decision to divert
resources from one State project to another;

The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 │ (518) 457-8126 │ www.doccs.ny.gov

Addendum I to RFP 2016-02, Inmate Telephone System
6. In fulfilling obligations under each of its State contracts, including any contract
which results from this RFP 2016-02, the Firm will act in accordance with the
terms of each of its State contracts and will not knowingly take any action or
make any decision which might cause a detrimental impact to the State as a
whole including, but not limited to, any action or decision to divert resources from
one State project to another;
7. No former officer or employee of the State who is now employed by the Firm, nor
any former officer or employee of the Firm who is now employed by the State,
has played a role with regard to the administration of this contract procurement in
a manner that may violate section 73(8)(a) of the State Ethics Law; and
8. The Firm has not and shall not offer to any employee, member or director of the
State any gift, whether in the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form, under circumstances in which it
could reasonably be inferred that the gift was intended to influence said
employee, member or director, or could reasonably be expected to influence said
employee, member or director, in the performance of the official duty of said
employee, member or director or was intended as a reward for any official action
on the part of said employee, member or director.
Firms responding to this RFP 2016-02 should note that the State recognizes that
conflicts may occur in the future because a Firm may have existing or new relationships.
The State will review the nature of any such new relationship and reserves the right to
terminate the contract for cause if, in its judgment, a real or potential conflict of interest
cannot be cured.

“Accepted and Agreed To”:

_________________________
Signature

/

/
Name

/
Title

2

Date

ANDREW M. CUOMO
Governor

ANTHONY J. ANNUCCI
Acting Commissioner

Addendum II to RFP 2016-02, Inmate Telephone System
Amended Language and Amended Cost Proposal Form (Appendix H)

The NYS Department of Corrections and Community Supervision (DOCCS), is
amending the sections of the Request for Proposals (RFP) 2016-02, Inmate Telephone
System, as noted below. In addition, based on the changes to the language in the
following sections and the Official Responses to Questions, DOCCS is amending the
Appendix H, Cost Proposal Form.
Bidders must sign the acknowledgement at the end of this Addendum II to illustrate their
understanding of, and agreement with, the changes represented herein and agreement
to use the attached Appendix H, Amended Proposal Cost Form, to complete the
requisite Cost Proposal for this RFP solicitation.
The following RFP subsections are hereby replaced by the specific language below:
3.10 INFORMATION OWNERSHIP
DOCCS shall own all inmate data and call recordings and DOCCS’ information
developed, stored or used in the ITS. Vendor shall provide DOCCS access to customer
account records excluding private financial data.
3.12 PHASE-OUT PLAN
The vendor shall provide DOCCS with a full explanation of how it will handle a transition
to a succeeding vendor at the end of the contract period. The plan must describe how
the vendor will 1) provide any and all data including call recordings to the succeeding
vendor or DOCCS in a manner that will allow DOCCS to access individual recordings
using the succeeding vendor’s system; or 2) a mechanism that will allow DOCCS to
search for and access individual recordings for up to one year after the transition is
complete. The plan must also describe how “Flagged” call recordings, which are
retained indefinitely, will be provided and/or made accessible to DOCCS following the
transition to the succeeding vendor. The plan must also describe how the proposed
transition plan will maintain the chain of custody of individual recordings, whether
Flagged or not, should they be needed as evidence following the transition to the new
system. Any DOCCS-owned equipment located outside DOCCS’ sites, such as
recording equipment and software, must be provided to the next contractor or DOCCS
at no cost. DOCCS shall own all premised-based equipment installed and all data.

The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 │ (518) 457-8126 │ www.doccs.ny.gov

Addendum II to RFP 2016-02, Inmate Telephone System
7.2.1 Domestic
The rate proposed and charged by the vendor shall be a single, per minute rate
inclusive of all vendor fees, connect charges or other costs for all calls within the United
States, its territories and protectorates, and Canada. The rate shall be the same for prepaid and collect calls. Call rates may not exceed $0.050.
7.2.2 International
Although DOCCS does not allow international calls currently, the vendor shall propose a
rate structure for international calls detailing rates by country. The rates for international
calls shall be a single per minute rate by country inclusive of all vendor fees, connect
charges or other costs. DOCCS reserves the right to implement any alternative
international calling services and does not guarantee minimum international calling
volume. Any location not within the area defined as covered by the domestic rate as
detailed above shall be treated as international. The rate for each country shall be the
same rate for pre-paid and collect calls. Also, please propose a blended rate that would
be applicable for all countries at a per-minute rate.
In addition, based on the changes to the RFP 2016-02 language above, please use the
attached Appendix H, Amended Cost Proposal Form, attached to this Addendum II.
As provided in the response to Question 47 in the Official Responses to Questions,
please note that DOCCS will not entertain bids with a vendor as a prime on one bid and
a subcontractor to another bid. Additionally, each vendor may only be part of one
submission.”
“Accepted and Agreed To”
_________________________
Signature

/

/
Name

STATE OF NEW YORK

Date

)
)

County of _______________

/
Title

SS:

)

On the ___ day of _______________, 20___, before me personally appeared
_______________, to me known, who being by me duly sworn, ____________________, that
he/she is the ___________________, of the _____________________________, the
corporation described herein which executed the foregoing instrument; and that he/she signed
his/her name thereto by order of the board of directors of said corporation.
________________________
NOTARY PUBLIC

2

Amended Appendix H Cost Proposal Form

RFP 2016-02

Amended Cost Proposal Form

Appendix H

Account Holder Fees:
Itemize any fees below that may be incurred by account holders throughout the entire use and
closure of the account:
Account Fees
Example: Automated payment fees1

Amount Charged
Account Holders
$3.00

Total of all fees:

Federal and State Surcharges and Taxes:
Identify all federal and state surcharges and taxes that will be applied to the proposed rates for
direct-billed and prepaid calls (do not include amount of tax or surcharge):
Taxes and Surcharges

1

Automated payments include payments by interactive voice response (IVR).

Amended Appendix H

Cost Proposal Form

RFP 2016-02

INMATE TELEPHONE
SYSTEM - TECHNICAL

TABLE OF CONTENTS
APPLICATION COVER SHEET / ACKNOWLEDGEMENT 1
TABLE OF CONTENTS

1

COVER LETTER

2

EXECUTIVE SUMMARY

6

APPENDIX K – PROPOSAL RESPONSE FORMS

14

NARRATIVE RESPONSES TO REQUIREMENTS

26

2

Bidder Information

27

3

Scope of Services

32

4

Customer Service

397

5

Performance Standards

435

6

Vendor Qualifications

461

8

Contractual Issues

506

9

Administrative Procedures

525

REQUESTED DOCUMENTATION

531

COMPLETED FORMS

643

CLOSING

733

Company Summary
ATTACHMENTS

734
735

Bidder’s Conference Form

737

Addendum Acknowledgements

739

Performance Bond Commitment

764

1

COVER LETTER

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January 23, 2017

Velma Berry
NYS Department of Corrections & Community Supervision
Division of Support Operations / Contract Procurement Unit
550 Broadway
Menands, NY 12204
Dear Ms. Berry,
Securus Technologies, Inc. (hereinafter referred to as "Securus"), appreciates the
opportunity to submit our response to RFP2016-02 related to Inmate Telephone System for
the New York State Department of Corrections and Community Supervision (DOCCS).
The Securus Team held numerous meetings with the DOCCS ahead of this RFP release. The
meetings gave Securus a better understanding of the needs and challenges faced by the
DOCCS. We have listened to the DOCCS and are pleased to offer a comprehensive suite of
solutions that exceeds your RFP requirements and enhances the capabilities available to
your security and investigations staff – a priority for you according to your directives at the
Bidders’ Conference. In fact, we have listened to you and have included three distinct
additions that go above and beyond your RFP requirements:
1. Securus understands the challenges that contraband, especially cell phones, present
to DOCCS. To assist you in combating this issue, Securus is including 98 CellSense
detection devices, manufactured by MetraSens. Cellsense is a portable, ferrousmetal detection system that detects all cell phones regardless if it is switched on or
off or concealed in a body cavity. It also alerts to other ferrous metal contraband
on/in inmates such as shanks, knives, razors, lighters, tattoo guns . . . etc. Cellsense
conducts a full body scan in a single walk-by and can screen up to 30 people per
minute. It can also be placed horizontally to quickly screen mattresses, laundry, and
mail or hung up on the wall to screen staff and visitors.
2. Securus is pleased to exceed the requirement for tablets in this RFP by offering not 5000, but
12,000 tablets pre-loaded with the required content. Securus believes in the importance of
education for inmates and the positive impact that it has on morale, self-worth and
recidivism. That is why we are going the extra mile to help DOCCS deliver the best inmate
educational programs in the country.

3. In addition, this proposal includes the provision of two (2) full-time tablet administrators to
facilitate the tablet program at the direction of DOCCS. These individuals will operate within
the guidelines set forth by DOCCS personnel and will assist the DOCCS Educational staff is
delivering meaningful learning opportunities to the inmate population.

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Since your last RFP, Securus has grown significantly, and, in fact, has invested over $670M
to expand our capabilities. This includes the acquisition of Guarded Exchange, the
backbone of our Investigative Support team. We have also acquired JPay so that we can
provide our clients with electronic funds transfer services, tablets and video visitation
services that have been proven solutions in the DOC market for years. We acquired JLG
Technologies to ensure we have the best call player and voice identification biometric
capability in the industry. All of these and other investments demonstrate our commitment
to our existing clients, such as DOCCS, and have put us in the leadership position in the
industry. We now have the broadest solution set in the industry.
Our proposed solution far exceeds the current technology solutions provided to DOCCS by
adding new security and investigative resources and capabilities, as well as the best voice
biometrics system to positively identify inmates on phone calls. We will add new
capabilities to assist with call monitoring and investigative staff. And, we will meet the
Minority and Women owned business goals as set forth in the RFP. We will maintain 100%
responsibility for your local service and support for your facilities so that we can improve
your service levels and ensure that you have certified, qualified technicians available as we
transition to new technologies in your facilities.
By selecting Securus for your inmate communications and investigative services
requirements, you will be blazing a new trail of technology advancement and innovation
for DOCCS. You will be able to easily deploy new technologies that have been developed
since your last award, but have been denied to you by the limitations of your incumbent
vendor. You will enable the deployment of industry leading security and investigative
capabilities to enhance the productivity and efficiency of DOCCS administrators and
investigators.
The Primary contact for the Securus bid will be:
Mr. Adam Mercer
Advisory Account Executive – Sales, DOC
Securus Technologies, Inc.
14651 Dallas Parkway, Suite 600
Dallas, Texas 75254-8815
amercer@securustechnologies.com
(904) 613-8477

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EXECUTIVE SUMMARY

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Executive Summary
Thank you for allowing Securus the opportunity to provide you with the best-in-class
response to your RFP for an Inmate Telephone System. When we began meeting with
DOCCS staff several years ago, we made two distinct promises to you:
1. That we had done our “homework” and understood how important it was for you to
“close the gap” in terms of technologies that were available in the market but
couldn’t be offered to you through your current contract, and
2. That Securus was committed to delivering capabilities, solutions and services that
are continually being improved upon with your input
We are proud to present our response to your RFP – a response that you will find meets
and exceeds the needs of DOCCS. Your RFP presents us with the opportunity to introduce
new technologies and value-added services such as our industry leading voice biometrics
and new investigative support services to assist your intelligence gathering. It also provides
us with the opportunity to prove to you that Securus is the best partner to immediately and
significantly advance the technology capabilities that are available to DOCCS staff, AND to
continue the evolution of those capabilities throughout the life of the contract. Our
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proposal also includes consideration of partnerships and capabilities that could provide
DOCCS with additional capabilities such as offender tablets, secure e-messaging for
inmates and new kiosks that are multi-functional and able to facilitate expanded inmate
self-help capabilities.

Proposal Strategy
Our strategy in developing our proposal has been to provide the absolute maximum in
technology and investigative services, while also keeping DOCCS among the national
leaders in terms of lowest calling rates. We have paid close attention to minimizing
disruptions within your facilities and leveraging what we have learned over the course of
our twenty-nine-plus year history. This experience allows us to develop new technologies
and provide them as they become available.
In addition, Securus has seamlessly transitioned over 2,200 facilities from legacy
competitors to our Secure Call Platform (SCP). Specifically, Securus has an excellent track
record for transitioning Department of Corrections facilities from the Agencies’ current
inmate telephone system, including the States of Missouri, Connecticut, Louisiana and
Pennsylvania. We have the most experienced team of design and installation professionals
who are dedicated to making the transition to Securus seamless.
After reviewing your request for proposal, Securus is confident that our solution will
completely meet or exceed all of the specifications set forth by the state agency. More
specifically, our response will address the following evaluation criteria:


Technical Evaluation (95 points) – The Securus Technical capabilities presented
in this proposal are primarily centered on the Secure Call Platform (SCP), adding
required improvements in functionality and features, and adding technical
capabilities that address acute needs. We will immediately and significantly “close
the gap” between the technologies and capabilities that are currently available to
DOCCS and what is available in the market today. In addition, we will commit to
advancing that technology throughout the contract and make those advances
available to DOCCS, rather than holding them back as leverage for a new contract.
We have paid specific attention to the need to “describe” all products and services
throughout this document. It should be noted that Securus is prepared to
demonstrate any of these capabilities as required through the evaluation process
to ensure that DOCCS can effectively compare our proposed functional and
technical capabilities to those of other vendors or bidders.
Here are just a few examples of the new capabilities that meet and exceed your
requirements as part of our proposal:

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-

Investigative Support – Through our industry-first team of nearly 100 highly
trained analysts, we will monitor up to seven percent (7%) of all inmate calls
and provide live, real-time investigative analysis to establish links between
selected inmates and called parties and to identify activities such as gang,
drug, victimization, extortion and other nefarious activities.

-

Call Pattern Analysis and Alerting with THREADS – In addition to the
Investigative Support, we will utilize the only call pattern analysis and alerting
solution that was designed and built exclusively for law enforcement and
corrections use to identify trends within inmate calling patterns and issue an
indicator when pattern changes occur.

-

Voice Recognition, Identification and Analysis using Investigator Pro (IPRO)
– Our first-in-the-industry ability to identify, not just THAT multiple inmate
voices appear within a call, but will identify and report THE NAMES of all inmate
voices that appear within a call – Investigator Pro will verify the inmate identity
via voice identification AND continuously monitor every call to identify
additional/different voices throughout the call.

-

Compare Called Parties by Voice with Searchable Voice – This exclusive
feature of IPRO compares called parties by voice and identifies potential
matches for all inmate calls statewide. It gives investigators the ability to select
a voice sample from either the inmate or called party side of an inmate's
telephone call and then use that sample to search for all other calls where that
voice occurs. Tablets –Securus has chosen to include not 5000, but 12,000 of
the most widely-used inmate tablets in the entire country. These devices will
come pre-loaded with DOCCS-approved and authorized content, including offline entertainment, as well as educational and religious content and will also
allow inmates to place telephone calls via the tablet from their cell, while
maintaining all requirements and mandatory features of this RFP. Securus
believes in the importance of education for inmates and the positive impact
that it has on morale, self-worth and recidivism. That is why we are going the
extra mile to help DOCCS deliver the best inmate educational programs in the
country. In addition, this proposal includes the provision of two (2) full-time
tablet administrators to facilitate the tablet program at the direction of DOCCS.
These individuals will operate within the guidelines set forth by DOCCS
personnel and will assist the DOCCS Educational staff is delivering meaningful
learning opportunities to the inmate population.

-

MetraSens CellSense Cell Phone Detection –Securus understands the
challenges that contraband, especially cell phones, present to DOCCS. To assist
you in combating this issue, Securus is including 98 CellSense detection devices,
manufactured by MetraSens. Cellsense is a portable, ferrous-metal detection

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system that detects all cell phones regardless if it is switched on or off or
concealed in a body cavity. It also alerts to other ferrous metal contraband on/in
inmates such as shanks, knives, razors, lighters, tattoo guns . . . etc. Cellsense
conducts a full body scan in a single walk-by and can screen up to 30 people per
minute. It can also be placed horizontally to quickly screen mattresses, laundry,
and mail or hung up on the wall to screen staff and visitors.

o



MBE/WBE Participation – Securus recognizes the importance of
partnering with organizations that have historically been
underutilized or disadvantaged in the workforce, such as Minority
Business Enterprise (MBE) and Women Business Enterprise (WBE).
Securus is fully committed to partnering with these organizations on
government contracts, and is fortunate enough to have close
relationships with both PSRI Technologies (MBE) and G5 Tek
Solutions (WBE). Both organizations contribute high levels of skill,
experience and value to our proposal.

Cost Evaluation (5 points) – Securus has proposed a competitive and balanced
inmate call price in the enclosed Cost Proposal. Our price represents
consideration for the need to reduce existing call pricing to reflect competitive
market dynamics, but at the same time reflects a rational price that allows Securus
to not only provide DOCCS with the latest in Corrections technology, but also to
continue our investment in DOCCS’ needs over the course of the contract.

Why Choose Securus?
The RFP process will undoubtedly beg the question of why the New York State Department
of Corrections and Community Supervision should select Securus. Securus believes that we
can make the case for a DOCCS/Securus partnership by carefully considering two main
questions.
1. Has Securus presented a proposal that exceeds the requirement of the current RFP?
2. Has Securus presented a proposal that exceeds the offerings of all other vendors’
proposals in the critical areas that are of the most importance to DOCCS?
Let’s analyze each of these questions separately:

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Proposing Solutions That Exceed the RFP Requirements
The Securus proposal has carefully considered the specific requirements of the RFP and we
have proposed technologies that meet and exceed the requirements. Not only have we
included the technologies that meet your requirements; we have bundled in additional
capabilities such as providing detail on the location of the called party cell phone and the
ability to identify called party voices on recordings. In this way, our proposal meets every
requirement in the RFP and also includes enhancements to DOCCS investigative
capabilities which exceed your expectations in every way.
We enhance our service and maintenance capabilities by deploying the very best service
technicians who are highly trained and certified in all aspects of our business and are
qualified to perform service on the new technologies included in our proposal.
Securus Proposal versus the Competition
These are very tumultuous times in our industry.
Companies are merging, new companies are
Unisys is NOT vested in the
forming and the availability of new technologies is
Inmate Telephone Business.
accelerating. Securus stands alone as the only
company to continually invest in the industry by
purchasing
companies
delivering
needed
technology and integrating new technologies into our portfolio. We are a much stronger
company today than even five years ago. That is not the case with all vendors.
All of these factors suggest that Securus is a very different company than other vendors. It
suggests that we will continue to invest in this industry and deliver technologies to our
clients throughout the life of the contract. It is why Securus is able to offer technologies
that no other vendor can offer, technologies that may not be on the current roadmap for
DOCCS, but may become important over the course
of the contract period. Our purchases of JPay and
GTL as a subcontractor is NOT a
JLG Technologies represent opportunities for
technology company.
Securus to deploy new services and technologies
that are fully integrated into our current solutions.
Our proposal includes Investigative Support capabilities that are not available from any
other vendor. While undoubtedly, other vendors will propose a “me too” solution to our
investigative capabilities; no other vendor can match the value proposition associated with
an Investigative Support team that has benefited by five years of developmental efforts
contributed by both DOCs and Securus, has historical processes and procedures in place
that those DOC entities rely on daily, and is willing to do “whatever it takes” to assist DOCCS
investigators in achieving their investigative goals.
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Partnerships with WBE, MBE and SDVE Organizations
Securus recognizes the importance of partnering with organizations that meet specific
business criteria such as Minority Business Enterprise (MBE) and Women Business
Enterprise (WBE). Securus is fully committed to opportunities to partner with these
organizations, and is fortunate enough to have several of them working on the project:
PSRI Technologies (MBE) and G5 Tek Solutions (WBE). These organizations contribute high
levels of skill, experience and value to our proposal and meet the State’s criteria for each
category.
Consistent Account Management
We realize it is imperative that we meet with you frequently and that you can contact us
anytime to discuss issues, concerns, or ideas. We understand your requirement for
proactive, creative discussions with key departmental contacts so we can best design and
develop the technologies that you most need to run your facility efficiently and safely.
Advisory Account Executive, Adam Mercer, will lead the team and will draw from his past
experience working with Departments of Corrections across the country.
Continued Investment
We continue to invest heavily in both our own technology and complimentary technology
that help us to better serve our partners’ needs. We focus on acquiring technology, not
simply customer accounts. We believe that our expanded offerings, such as Investigative
Support, Voice Biometric Identification and Tablets help us to solve our current
partners’ challenges and attract new partners. Our acquisition strategy, coupled with our
continuous enhancements to our centralized SCP calling platform, has created a
technology and product base that is unmatched in the inmate communications industry.
More importantly, unlike your incumbent vendor, Securus does not withhold new
technologies when they become available. We do not hold our partners hostage in
exchange for contract extensions. When technologies become generally available to our
customer base, they are generally available to DOCCS. This means the SCP system that you
receive on day one will continue to grow and evolve to meet the needs of New York State.

Our competitors provide systems … Securus delivers solutions!!
Family Members and Friends Focus
Securus continues to focus on providing the industry’s best service for the family members
and friends of offenders. We continue to increase the number of associates serving
offenders’ loved ones from our multi-million dollar customer care center based in Dallas,
Texas. Securus associates are available to assist family members and friends of offenders
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24 hours a day, 7 days a week, and 365 day a year. Compare this to the offerings of our
competitors, many of whom have significant gaps in live-person service each day.
Continued Training Opportunities Through Bi-annual Investigative Technology
Workshops
Securus recognizes the importance of keeping up with changes in technology. This
proposal includes transportation, lodging and food for up to five (5) DOCCS staff to attend
bi-annual Investigative Technology Workshops at our state-of-the-art Technology Center,
located in Dallas, Texas. These workshops will not only enhance the skills and capabilities
of staff; they can function as training and certification opportunities, as well. This is in
addition to the on-going training and support provided throughout the contract term.
Securus appreciates the opportunity to earn your business. As you review our proposal
and evaluate the information we have provided, remember these commitments based
upon your required criteria:
A. Delivery of Services
a. Securus will provide DOCCS with a proven, seamless transition process
b. Securus will provide DOCCS with the most ongoing training opportunities
B. Telecommunications Capabilities
a. Securus will provide DOCCS with the industry’s best technology
b. Securus will provide DOCCS with innovation through continued investment
C. Business Operations Capabilities
a. Securus will provide DOCCS with unsurpassed service and support
b. Securus will provide DOCCS with outstanding Family and Friends service
To paraphrase what we said above, the decision for DOCCS comes down to two questions:
1. Which vendor has presented a proposal that best exceeds the requirement of the
current RFP?
2. Which vendor has presented a proposal that exceeds the offerings of all other
vendors’ proposals in the critical areas that are of the most importance to DOCCS?
When all of the pages are reviewed, points tallied, and you compare our technologies and
services to other vendors, you will come to the inescapable conclusion that there is ONLY
ONE CHOICE to deliver the Inmate Telephone System needs for the New York State
Department of Corrections and Community Supervision … The answer is Securus.

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APPENDIX K – PROPOSAL
RESPONSE FORMS

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NARRATIVE RESPONSES TO
REQUIREMENTS

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2 Bidder Information
Term of Agreement
The Agreement shall run for five (5) years beginning October 1, 2017, through September 30,
2022, contingent on approval of the Office of the State Comptroller (OSC). DOCCS reserves
the sole right to renew the Agreement for two additional one-year periods under the same
terms and rates by notifying the contractor of its intention no less than one-hundred-eighty
(180) days before the expiration of the original Agreement or the initial one year renewal
period.
DOCCS reserves the right to seek a refresh of any or all equipment and/or software provided
or maintained as a result of this RFP after the fourth year of this agreement.
DOCCS reserves the right to seek reduced rates and/or new terms of agreement from the
contractor prior to any extension.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Completeness of Proposal
Bidders must submit proposals describing the complete range of services specified in this
RFP. It is the responsibility of the bidder to verify the completeness of its proposal and its
suitability to meet the requirements of this RFP. Proposals that fail to meet the mandatory
requirements will be disqualified.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Modifications of Bids
Once submitted, proposals may not be modified unless DOCCS specifically requests a
clarification or explanation. Any clarification or explanation submitted by a bidder shall be
done so in written form only. Modifications submitted by a bidder after the formal submission
date that are not in response to a written request from DOCCS shall not be accepted.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Withdrawal of Bids
Bids cannot be withdrawn for a minimum of 120 days after the bid submission date (see State
Finance law Section 163.9(e).) Written requests to withdraw proposals after the 120-day
period may be granted only with written permission from DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Incurring Costs
DOCCS shall not be held liable for any costs incurred by the bidder in the preparation,
production or submission of a proposal, or for any work performed by a bidder prior to the
approval of an award Agreement.

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DOCCS shall not be held liable for any costs incurred by a bidder for the bidder's
requirement to attend the mandatory Bidders’ conference to be held at the location specified
in Section 2.6.
DOCCS shall not be held liable for any costs incurred by a bidder in modifying or explaining
details of the bidder's proposal in response to questions from DOCCS.
DOCCS shall not be held liable for any costs incurred by a bidder for any negotiations with
DOCCS required to finalize and sign a formal Agreement document.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Mandatory Bidders’ Conference
Bidders intending to submit a proposal shall be required to attend a mandatory bidders’
conference to be held on the day indicated in Section 1.7, Schedule of Events, at DOCCS
Training Academy, 1134 New Scotland Road, Albany, NY 12208, beginning at 1:00 p.m. ET.
Only bidders who attend the mandatory bidders’ conference will be qualified to submit
proposals.
All attendees must be preregistered to be admitted to the mandatory bidders’ conference
and must present U.S. government or state issued picture identification. Bidders must
preregister at least two business days prior to the conference date by completing Appendix
J and emailing the form to the address specified in Section 1.6. It is the responsibility of all
bidders to ensure proper delivery of the emailed notices.
Bidders should email all questions to be considered at the Bidders’ Conference to the
designated contacts identified in Section 1.6 no later than one (1) business day prior to the
conference. A list of all questions sent in by all interested parties may be made available at
the start of the mandatory bidders’ conference.
Questions not submitted prior to the mandatory bidders’ conference may be answered at the
conference only if DOCCS believes doing so would be in the best interest of the State.
All answers provided for written questions at the mandatory bidders’ conference shall be
supplied to all attendees in writing by the due date for the Official Response to Bidders’
Questions (Section 1.7). All responses provided at the bidders’ conference will be unofficial
until issued in written form. All subsequent questions must be submitted in writing by the due
date in Section 1.7, Schedule of Events. Answers to all questions and a copy of the Bidders’
Conference transcript will be posted on the NYS Contract Reporter and the DOCCS’ Web site
no later than the date published in Section 1.7. If there is a conflict between the Official
Responses to the Questions and the transcript from the Bidders’ Conference, the Official
Responses will take precedence.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
See Attachment A – Bidders’ Conference Form (page 735)

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Prime Contractor Responsibility
Bidders may submit a proposal utilizing the services of subcontractors for any aspect of this
procurement; the prime contractor must assume complete responsibility and liability for the
delivery of all services. Subcontractors may be used to meet the qualifications required
herein; however, subcontractors must be fully disclosed in the same manner as required of
the prime contractor and must provide the same information including Vendor Responsibility
Questionnaires company finances and staff qualifications. The roles and responsibilities of
each proposed subcontractor must be clearly delineated in the bidder’s response to Section
3.1.1, Proposed Deployment Model, and bidders should inform all subcontractors that
references for the related areas of service must be provided as indicated in Section 6.1,
Company Experience.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Best Value
The contract resulting from this RFP will be awarded to the qualified bidder whose proposal
is determined to provide the best value to the State as defined in NYS Finance Law § 163.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Terms/Definitions
The terms shall, must, and will designate mandatory requirements. If a Bidder fails to meet
any of these requirements they will be disqualified from further consideration.
The terms bidder, vendor, contractor, and provider are used interchangeably herein and shall
have the same meaning.
The name of this agency, NYS Department of Corrections and Community Supervision, is
used interchangeably herein with Department and DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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The following is an incomplete listing of definitions for acronyms:
Acronym

Definition of Acronym

ANI

Automatic Number Identification

DIN

Department ID Number

DTMF

Dual Tone Multi-Frequency

ET

Eastern Time

FTP

File Transmission Protocol

NIEM

National Information Exchange Model

PIN

Personal Identification Number

RPO

Recovery Point Objective

RTO

Recovery Time Objective

TN

Terminating Number

WAV

Waveform Audio File Format is a Microsoft and
IBM audio file format standard for storing an
audio bitstream on PCs

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

NYS and DOCCS Policies
The Bidder must agree to comply with all applicable New York State and DOCCS policies,
procedures, regulations and directives throughout the term of the contract. Any individual hired
by the Contractor to work in the facilities, by virtue of accepting his/her assignment, must
abide by all the policies, rules and regulations of the Department.

Each individual staff member providing services in a correctional facility should be made
aware of and agree to the following Department Directives, as currently written, or as
revised:
•
•
•

#2216 - Fingerprinting/Criminal History Inquiry - New Employees and Contractors
#4936 - Search of Department Employee
#4900 - Security in the Gate Area

The directives will be available to the selected vendor once the contract resulting
from this solicitation is approved by the Office of the State Comptroller.

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In addition, the Contractor will be familiar with and provide staff with information in federal and
NYS Laws as well as Department Policy on the Prevention of Sexual Abuse of Inmates:
http://www.doccs.ny.gov/PREA/PREAinfo.html
It is the responsibility of the Contractor to see that all employees are aware of the directives
cited above and all other applicable rules and regulations of the Department. Copies of all
relevant parts of the Department’s Employee Rule Book will be made available to the
Contractor.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

END OF SECTION 2: BIDDER INFORMATION

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3 Scope of Services
This section provides information for the required features, functions and capabilities of the proposed
services. All of the items identified in this section should be at no additional cost to DOCCS.
The bidder must describe all of the required features, functions and capabilities of the proposed
services including how the features are expected to function and the expected performance levels for
each feature.
New York State will not be a test site for unproven technology. For all technology proposed, your
references must include at least two sites where this technology has been in service as an integrated
part of the inmate phone system for at least six (6) months. An onsite or real-time demonstration of
the technology must be provided prior to finalization of the scoring for this procurement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The SCP system is currently running version 11.2. Only Securus has the industry’s most widely
used, most flexible and dynamic call control platform. No other call control platform in the
industry has more features and investigative tools that can be used to keep the community safe.
No competitor comes close to the number of installations we manage of our Secure Call
Platform.
Securus has invested $670 million in new technology over the past four years—something no
other inmate telecommunications provider can say. This investment has led to an industryleading system design and architecture, industry-leading investigative products, and industryleading solutions for end-users so that we can connect more calls. DOCCS will not be a test site
for unproven technology as SCP is a matured state of the art platform that has been proven in
real-world Correctional facilities of all sizes.

Systems Architecture
Any proposed architecture must meet the general business needs of DOCCS and will be considered
and evaluated for its relative merit. Bidders may propose an architecture that is fully hosted, partially
hosted, centralized, distributed, or any combination thereof.
Provide information on your proposed system architecture addressing each subsection and
request under Section 3.1.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
SCP is a state-of-the-art, Web-based system designed to provide DOCCS facilities with the
ultimate in inmate call control and reporting. SCP’s advanced features provide tools for
controlling inmate calling, reducing fraud, increasing investigative capabilities, and generating
valuable administrative reports. Securus was the first company that implemented a fully hosted
centralized calling platform for the corrections industry. We were able to accomplish this by
custom creating a solution with the use of cutting edge Voice over IP (VoIP) protocols with a
cluster of Media Servers, Recording Servers and a multitude of ancillary services. With High
Availability, Failover & Disaster Recovery in mind we created a cluster architecture with multiple
nodes that are geographically distributed. Each node can be removed or added to the cluster
pool any time during the day without impacting the call traffic. In case of disaster or prolonged
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outage in one of our Data Centers the whole cluster can be failed over to the other Data Center in
a short amount of time. Our innovative approach has created a unique patented solution in the
industry that no other competitors can replicate.
At Securus, we also understand that being the first doesn't mean anything unless we continue to
enhance and adopt the latest technology trends to provide our customers the best solution in the
industry. Securus has invested $670 million in new technology over the past four years which has
led to an industry-leading system design and architecture, industry-leading investigative
products, and industry-leading solutions for end-users so that we can connect more calls.

3.1.1
Proposed Deployment Model
Describe in detail the proposed solution’s deployment model.
Include in your response a detailed drawing of your recommended model in Microsoft Visio
format, and
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus development team custom built the centralized SCP system for the corrections
industry, making this platform a fully-integrated system of simple-to-use software tools, and
computer and telephony hardware. SCP is hosted in carrier class Data Centers that are
geographically distributed for High Availability and Failover. All the recordings and call detail
records are secured in Data Centers outside of the facility.
SCP can monitor, record, block/unblock inmate telephone calls, and generate reports in real-time.
Software updates are provided three to four times per year at no cost to DOCCS.
Only Securus has the widest variety of corrections solutions that reduce operational workload,
increase safety & security, and provide correctional staff and inmates unprecedented
communication access. Our commitment to technology means that we’ll continue to innovate
and provide you with cutting-edge solutions, now and throughout the term of our agreement.
This commitment allows us to meet DOCCS stated goals of connecting inmates with their families
while at the same time providing staff with the best investigative and intelligence gathering tools
available.
The SCP system’s centralized architecture allows us to provide cutting-edge software updates at
regular intervals, with no downtime. Securus provides upgrades to all of our customers three to
four times annually through a proven and tested after-hours process that allows all sites to
immediately realize the benefits of each upgrade, or to delay implementation of new features
that DOCCS isn’t ready to accept at that time. Our system delivers proven features driven by input
from the most recognized corrections and law enforcement agencies in the nation, including both
Suffolk County and the New York City Department of Corrections in the State of New York.
Maintenance events are always preceded by a splash screen displayed at login notifying the
facility of the upcoming upgrade and new features are discussed with customers prior to
implementation. These system updates are more than simple changes. They provide meaningful

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features and new capabilities, which drive greater officer and community safety, staff efficiency
and improved investigative response times.

System Design
SCP’s hardware and software components readily adapt to the changing needs of a facility’s
operations. Securus stores call recordings in centralized, disaster-resistant, carrier-class data
centers. All equipment used to store recordings is monitored by the Securus Network Operations
Center (NOC) 24x7x365. SCP writes all recorded calls to a Network Attached Storage array (NAS)
in our primary Data Center. Each NAS array is also replicated to the secondary Data Center for
redundancy and failover. All recordings created on the platform reside in at least two of our Data
Centers. Recordings can be downloaded from SCP in various, widely-used formats and copied to
a CD, DVD or any portable media.
Within the NAS, SCP uses a software defined storage platform of very dense disk nodes from
EMC. Even if three individual hard disk drives fail or one node fails, during the disk or node
recovery process, the system will continue to operate without data loss.
Securus applies a high level of security to protect against cyber-attacks. Applications transmitting
data across public networks support SSL, Certs, and encryption. Cisco routers, switches and
firewalls are used throughout the network to protect SCP and our customers. All servers, laptops,
and workstations require anti-virus and anti-spyware protection software and the latest
operating system patches. Securus supports both AVG and Symantec anti-virus.
The Secure Connect Architecture (SCA) serves as the backbone of the Securus platform, which
results in significantly lower operating and capital costs through its implementation. It comprises
a robust data repository housing multiple data marts that each hold billions of bytes of stored
information gathered from multiple sources. Securus uses Oracle Exadata platform for the data
repository which is replicated between data centers using Oracle Datagaurd technology as well as
backed up to tape nightly with tapes sent off site for disaster recovery. The Oracle Exadata uses
multiple nodes know as storage cells with software defined data protection.
The SCA delivers an intelligent retrieval system that retrieves and processes user requests
through a cross-application, cross data-mart retrieval process.
SCP increases usability by providing anywhere, anytime access for authorized & authenticated
personnel. All of the investigative and administrative resources are available to approved
personnel through the secure SCP user interface. Users can access SCP any time from any
computer with access to the Internet. Users can also access the SCP user interface on mobile
devices such as tablets and smartphones.

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Securus Network Diagram

Software Development
We use a professional and formal approach to platform and process design that ensures quality
software and functionality releases. Before release, all modifications to the platform undergo
rigorous testing in separate functional & load test environments.
The Securus use of information technology (IT) best practices, industry standard quality
measurement tools, and strict environmental controls ensure the highest system functionality
and availability. The Securus development team uses a Software Development Lifecycle (SDLC)
that ensures high-quality deliverables. The feature/functionality enhancements process stages
are:


Analysis



Design



Development



Quality Assurance



Implementation



Post Implementation Support

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Each phase has specific deliverables and gates (controls) to ensure high quality and to minimize
rework. Securus uses the following distinct system environments in conjunction with our SDLC:


Development – Used by Development to create and unit test new enhancements



Quality Assurance – Used by Quality Assurance Analysts to test and certify new
enhancements and bug fixes



Pre-Production – Used by Production Support personnel to validate hot fixes for
production, and for final validation and mock deployment of major functionality releases



Production – Used by all Securus customers and accessible by only authorized Securus
Production Support and Tech Support personnel

Each environment has formal access controls that protect our source code and ensures proper
promotion of code from one environment to the other.
Securus uses industry-standard HP Quality Center that offers software quality assurance,
including requirements management, test management and business process testing for IT and
application environments. Our Quality Assurance department follows a rigorous test cycle
including:


Verification of New Functionality – Ensures a feature is working as designed



Load Testing – Determines the upper threshold or breaking point of the component or
feature



Performance Testing – Determines the expected user experience



Regression Testing – Ensure all existing functionality still works as designed



Exception Testing – Tests boundary conditions and unexpected usage scenarios

New releases typically create new functionality. Upon completion of the Quality Assurance stage,
the code changes are packaged and deployed into our pre-production environment for the final
end-to-end quality check, and to optimize the implementation. This effort enables Securus to
minimize the maintenance window related to system changes.
Both IT and business stakeholders review and must approve all scheduled changes to production
in two change control meetings to safeguard the stability of the production environment.
Upon implementation of new code into production, Securus Production Support and IT
Development monitor changes closely to minimize the impact of any adverse or unexpected
system behavior.
This attention to detail allows Securus to build feature functionality that leads the industry in
quality and performance. For example, the Securus three-way call detection feature has been
proven to be more accurate than the same feature offered by competitors. Independent testing
by an outside research and testing company proves it. Similarly, our voice biometric features lead
the industry in accuracy. This is a critical distinction, as DOCCS have stated an intent to obtain the
highest quality and most reliable investigative and intelligence gathering tools available in the
market today.
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The voice quality available on our call platform provides near perfect fidelity. Customers have
used information heard through background conversations to prevent and solve crimes.
Our quality control does not end with our system design but continues all the way through site
installation. Securus and each customer develop a defined quality checklist to install the system
in a manner that meets their unique operating requirements. As described and included with our
installation plan, Securus uses quality control checkpoints at each phase of an installation:


Quality Control Checkpoint 1 – Provisioning: After customer provisioning is complete,
Securus technicians submit a quality control review to the Engineer, Project Manager, and
Account Manager for the project.



Quality Control Checkpoint 2 – Pre-Installation: While on-site, Securus Field Service
Technicians complete a checklist to ensure that the physical installation characteristics
meet or exceed Securus standards.



Quality Control Checkpoint 3 – Equipment Testing/Functional Validation: Technicians
complete test call scenarios and phone labels, call durations, on/off times, administrative
terminals, and verify other customer configurations.



Quality Control Checkpoint 4 – Acceptance: The Securus Project Team provides copies of
all quality control documents, equipment inventory records, and network diagrams. The
Securus Project Team will host a review of these documents with DOCCS.

Please refer to Exhibit M for Sample Quality Control Checklists. These tools are used to verify
that work is completed properly before moving to the next step in a process. Securus will not
consider the implementation project a complete success until all phases of DOCCS Acceptance
Test phase have been completed and the project has been signed off on by appropriate DOCCS
staff.

Securus Dedicated Integration Team
Securus has a dedicated Integration Department that integrates various systems and products in
the corrections environment. This dedicated Integration Department allows Securus to deliver
fast and flexible solutions for our customers. The Securus technology has the flexibility to work
with facility-owned systems, JMS, OMS, Commissary, Banking, and Kiosk vendors. Securus will
fully cooperate with your facility and your vendors to automate systems.
Securus currently integrates with more than 110 different vendors worldwide and more than 60
independent, facility-owned systems and shared databases.

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•

Illustrate how the proposed system will provide 99.9% yearly availability.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus maintains a presence in three data centers
in three geographically diverse locations.
Our data centers are designed to withstand worst
case events and maintain 99.99% availability with
multi-layer physical security and power delivery. The
data centers, managed and staffed by a carrier-class
data center host, meet or exceed the
Telecommunications Industry Association’s (TIA)
standard number 942 for Tier IV (highest availability)
data centers including:
•

Ability to withstand a 96-hour power event

•

2-hour fire protection

We keep a copy of the Call Detail Records (CDRs) in 3 different types of database systems and are
physically stored in 3 different locations (Empire Central-Dallas, Texas; Atlanta, Georgia; and a
Tape Depository in Dallas, Texas).
Securus facilitates anywhere, anytime, immediate access to stored recordings online for the
contractually-required length of time. Securus stores call recordings in centralized, disasterresistant, carrier-class data centers. All equipment used to store recordings is monitored by the
Securus Network Operations Center (NOC) 24 hours a day, seven days a week, and 365 days a
year.
The Securus SCP provides a unique set of features and advanced technologies to store call
recordings. Traditional premises-based calling platforms use local hard drives that may fail and
are susceptible to local disasters. Premises-based systems needed manual backup schemes that
are no longer necessary with SCP. SCP writes all recorded calls to a Network Attached Storage
array (NAS) in our primary Data Center. Each NAS array is also replicated to the secondary Data
Center for redundancy and failover. All recordings created on the platform reside in at least two
of our Data Centers. Recordings can be downloaded from SCP in various, widely-used formats
and copied to a CD, DVD or any portable media.
The NAS architecture makes all storage available to all servers on the network. The NAS solution
delivers complete scalability for a facility’s storage requirements and supports data migration
from one storage device to another and the sharing of data among different servers in a network.
The NAS devices provided by EMC can scale simply by adding another node of dense SATA disk to
the storage array.
Within the NAS, SCP uses a software defined storage platform of very dense disk nodes. Even if
three individual hard disk drives fail or one node fails, during the disk or node recovery process,
the system will continue to operate without data loss.
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The Securus NAS has more than two (2) petabytes of storage space in each carrier-class data
center and is continuously monitored and managed through automated processes and storage
policies. When these very large storage systems approach designated thresholds, Securus
expands capacity to ensure all authorized call records and recordings are retained in secure,
disaster-resistant locations.
The Securus data center storage solutions provide facilities with technology that is:


Scalable to meet any facility’s contractually required storage demands



Resistant to local disasters through multiple copies stored within the data centers
and off-site



Highly available through the unique architecture and design of the data storage
model



Partitioned and compressed to run queries faster



Secure, protected, and monitored to enable total recall of authorized data

SCP records and stores basic call data with the capability to provide management reports.
Securus does not limit the call data storage time. Since every site’s requirements are different,
Securus works with each facility customer to define their optimal data storage timeframe. All
recordings are stored online within both carrier-class data centers. Typically, call detail records
are stored for seven years.
Our competitors often misrepresent system uptime facts with regards to Securus. They will point
to a single, catastrophic weather event that affected the Securus data center in Dallas, Texas.
What these “negative” narratives always conveniently leave out is the extraordinary efforts of
every level of our organization to transition traffic to our other data centers, minimize the impact
to our customers and continue to maintain a 99.9+% system uptime - all while talented and
highly trained staff guaranteed zero loss of data and minimal effect on customer productivity. In
fact, most customers experienced only minor, intermittent capability outage, if any at all, while
there was absolutely zero data loss across the entire Securus customer base.

•

Describe the reliability of your offerings and indicate how your solution will provide
99.9% availability.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has designed and implemented a robust network architecture that provides for quick
disaster recovery, minimizing downtime for the Securus platform and its customers. Securus has
demonstrated its ability to recover efficiently under extreme circumstances, restoring service to
our customers with no data loss.

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Securus Business Continuity Overview
Risk Mitigation
Securus has implemented a platform and infrastructure designed to minimize potential outages
and protect customer data. Multiple data centers, diverse network paths, redundant platform
systems, and proactive monitoring mitigate the majority of risks.

Data Centers
Securus maintains a presence in three data centers in three geographically diverse locations. Our
data centers are designed to withstand worst-case events and maintain 99.99% availability. The
data centers, managed and staffed by a carrier-class
data center host, meet or exceed the
Telecommunications Industry Association’s (TIA)
standard number 942 for Tier 4 (highest availability)
data centers including:


Ability to withstand a 96-hour power event



Two-hour fire protection



Multi-layer physical security



Multiple power delivery paths.

Also, Securus data centers have redundant uninterrupted power systems, N+1 generator
redundancy, and N+1 cooling redundancy. All systems and network equipment have redundant
power paths. Multiple telecommunications carriers also serve each data center for load balancing
and path diversity. Securus data centers are staffed 24x7x365 for immediate physical assistance
inside the data center.
Multiple checks ensure data center physical security, including guarded, photo-verified check-in;
dual-door authentication (card and biometric); and a mantrap (interlocking door controller) at the
data center suite entrance.

Redundancy
Redundancy is a key component of the Secure Call Platform (SCP). While operating on a single
platform, Securus’ SCP runs on duplicate environments in separate data centers in Atlanta,
Georgia, and Dallas, Texas. Each component has N+1 redundancy, meaning that a failure of any
one component does not result in downtime because there is a backup available to resume its
function. In addition to the inherent redundancy of SCP, Securus has also designed redundancy
into all support systems, either through N+ 1 configuration, database clusters, virtual machines,
load balancing, or other failover methods. All network transport has redundant network
equipment and routing to allow traffic to reroute in the event of a failure.

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The SCP platforms in Dallas and Atlanta were designed and built to the same specifications. This
standardization allows re-homing of systems from their primary data center to an alternate data
center in the event of a failure.
All circuits coming into Securus data centers use multiple diverse carriers, including the
interconnections between data centers. In the event of a failure, traffic will reroute across a
redundant circuit or path. In addition, Securus uses multiple carriers for inmate calls from the
SCP platform. Calls to family and friends will immediately reroute upon failure of any carrier.
Securus uses multiple methods of storage to minimize the risk of data loss. All critical systems
and data are backed up at regularly scheduled intervals and stored offsite for retrieval, if needed.
In addition to offsite storage, Securus replicates voice clips, call recordings, and validation data
between the data centers.
Securus uses industry-leading vendors for all platform and network hardware, including Dell,
Cisco, Oracle, EMC, F5, and Intel. In addition to the redundancy designed into the platform and
network, Securus also maintains a spare parts inventory onsite at each of our data centers to
expedite repair of a failed component. Securus also maintains premium-level support contracts
with each vendor that defines stringent service level agreements in case of a failure.
Securus maintains an inventory of spare parts for our facility-based components at our
headquarters in Dallas, Texas, and has distribution agreements with multiple vendors to provide
expedited national delivery service. The corporate headquarters maintains a standardized
emergency recovery package of frequently used spare parts and equipment that will be available
for shipment to support restoration efforts at our customer sites. Our technical field
representatives located throughout the country also carry an inventory of the most commonly
needed spare parts. With spare parts on board our service vehicles, most facility-based
equipment malfunctions can be resolved with a single site visit.
Our competitors often misrepresent system uptime facts with regards to Securus. They will point
to a single, catastrophic weather event that affected the Securus data center in Dallas, Texas.
What these “negative” narratives always conveniently leave out is the extraordinary efforts of
every level of our organization to transition traffic to our other data centers, minimize the impact
to our customers and continue to maintain a 99.9+% system uptime - all while talented and
highly trained staff guaranteed zero loss of data and minimal effect on customer productivity. In
fact, most customers experienced only minor, intermittent capability outage, if any at all, while
there was absolutely zero data loss across the entire Securus customer base.

Proactive Monitoring
Data Centers and Network
Securus continuously monitors all data centers, infrastructure components, platform systems,
and inmate telephone systems (ITS) using the SolarWinds® suite of network performance
monitors. The SolarWinds performance monitors are highly configurable to provide real-time
monitoring, event notification, alert history, and statistical information. An alarm condition
creates immediate visual alerts and email notifications.
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The Securus Network Operations Center (NOC) provides 24x7x365 monitoring for all Securus
systems, including SCP, network, back-office systems, and data centers. The NOC proactively
monitors these systems to ensure performance is optimal and uninterrupted. In addition to
system- and network-level monitoring, the NOC also monitors real-time video surveillance and
environmental alerts for our data centers. Securus maintains a fully redundant backup NOC at a
separate physical location, should services be disrupted at the primary location.

SolarWinds® Typical Monitored System and Application Elements

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Securus Primary Network Operations Center

Securus Backup Network Operations Center

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Premise Equipment
The Securus Technical Support teams provide 24x7x365 monitoring of all facility-based
equipment and directly supports facility installations via telephone and email. Technical Support
monitors connectivity for all installations and all installed equipment including integrated access
devices (IADs), visitation phone monitoring (VPM) units, switches, and uninterrupted power
supply (UPS) systems. The systems are polled every two minutes and their vital operating
statistics sent every 10 minutes. Upon receiving an alert indicating network failure, Securus will
open a trouble ticket with the appropriate circuit provider. In the case of a premise-based
equipment failure, a Securus Field Technician is dispatched to the facility for on-site repair.

SolarWinds® Device Monitoring Example (Bandwidth & Network Latency)

In addition to real-time monitoring and alerting, Securus technical support also leverages the
SolarWinds network performance monitor to gather and evaluate historical data for network
alerts, bandwidth usage, packet loss, and hardware performance. The detailed level of
monitoring available via our network performance monitor allows the technical support group to
take proactive steps to prevent or mitigate facility outages and to ensure the correct resources
are engaged if dispatch is necessary.

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Restoration
Platform and Network
In the event of a disaster impacting SCP or our network, Securus immediately assembles a team
of engineers to begin investigation and restoration of services. Securus maintains a schedule of
on-call personnel for immediate response to service-impacting events and will also engage third
party vendors, if required. If a state of emergency is declared, the Securus Business Continuity
Plan will be activated.

Facility-Installed Systems
Securus prioritizes recovery of premise-based equipment by facility type and equipment location.
Maximum-security institutions and institutions with high inmate phone usage receive priority.
Prioritization also considers customer requirements and preferences. Securus has developed
procedures and checklists to protect personnel and equipment in the event of an emergency
situation. Securus will combine headquarters and field staff efforts to expedite service recovery
wherever possible. Securus coordinates each checklist to ensure compliance with each facility’s
guidelines. DOCCS will absolutely be at the top of this priority list and our internal and field
service organizations will be well-versed in the specific processes and procedures related to
DOCCS account and facilities.
Securus has a field support Department with more than 165 field service associates supported by
a centralized field dispatch team. The Field Service Technicians (FST) are strategically located to
support ongoing maintenance, as well as any disaster recovery situations. The FSTs are
supported by senior technical support resources and engineering to expedite repairs and
minimize customer downtime.

Reporting
Upon confirmation of a service-impacting event, the NOC will issue an internal service
interruption report (SIR). The SIR will include the nature of the outage, impact to facilities, and
estimated time of restoration, if known. Each incident is assigned an urgency level based on the
level of customer impact.
Customer contact personnel receive SIRs, so they can communicate with customer facilities
proactively or reactively as required by the facility. In addition, technical support may
communicate a service-impacting event via a splash screen on the SCP user interface
introductory page, whenever possible. Regular updates ensure that the information provided is
always current. Securus executives also receive all SIRs, so they are aware of all customerimpacting events.
The NOC will issue a final SIR upon issue resolution. Securus investigates each incident and
completes a root-cause analysis (RCA) following all service-impacting events. After the root cause
is determined, Securus makes RCA documents available to customers upon request.

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Performance

The SCP is one the most stable calling platforms in the industry, with nearly perfect, 100%
availability. Through design, proactive monitoring, and rapid-response procedures, Securus
minimizes customer-impacting outages. Data storage with multiple layers of redundancy
minimizes the risk of losing critical data and recordings.
When disasters strike, Securus responds quickly and methodically to ensure the fastest
restoration of service possible. And we have been tested.
In the spring of 2015, the Dallas, Texas, area, home to two Securus data centers, was impacted by
weeks of significant storms, resulting in 27 deaths and more than one billion dollars of property
damage due to flooding. Early one morning, lighting struck a Securus data center, damaging
cooling units. Normally, this cooling would have been restored within minutes, but the roads
leading to the data center were closed due to flooding, which caused a longer response time for
service technicians. Securus' equipment rapidly overheated and began to fail. More than a
quarter million dollars of components suffered fatal damage and needed replacement. Even with
this once-in-a-lifetime series of compounding events, calling services were restored the same
day for most facilities, and there was no loss of customer data, investigative data, or
recordings.

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•

Indicate any single points of failure within your solution.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The implementation of a centralized system significantly reduces the number of single points of
failure. However, each individual DOCCS facility has a single local loop (network circuit) that if
damaged by unauthorized digging could isolate the facility. This only occurs on a rare occasion
when construction is taking place and is limited by rules surrounding where you can dig.
Additionally, Securus has put in place one of the most sophisticated network and device
monitoring systems available today. There are no problems that you will know about before we
do, which allows us to troubleshoot, react and repair these items with a speed that no other
vendor can match.
Securus has invested millions of dollars and thousands of hours to develop a state-of-the-art
centralized system. The Secure Call Platform is engineered for “four nines” 99.99% availability.
The fail safes built into the SCP effectively prevent loss of data and system downtime because all
of the data is stored in a centralized database and backed up offsite. Because the system is webbased, the data can be accessed at any location with an internet connection, and Securus’ Secure
Connect Architecture maintains the system at the highest level of operability.
Potential system and network abnormalities are identified through Solarwinds Orion, a
centralized suite of diagnostic applications. Orion continuously monitors the hardware, software,
and system performance from our Network Operations Center in Dallas. This allows personnel to
diagnose and resolve issues on the system, often before an event affects DOCCS.
The infrastructure supporting the SCP was built from conception with high availability and
redundancy as part of the vision. Each router, switch, server, Storage Area Network (SAN),
Network Attached Storage (NAS), power, circuit, and other devices within the infrastructure is
fault-tolerant (down to the component level). As an example, our routers and servers have dual
Central Processing Unit (CPU), Network Interface Card (NIC), power supplies, and A & B power
feeds. The telecommunications circuits into the data centers are also redundant and diverse.
Our Network Operations Center (NOC) monitors all calling traffic and patterns to establish the
necessary bandwidth and network availability, which is steadily increased as the number of calls
throughout the system increases or as new facilities come online.
•

Describe any vendor partnerships required to make the system fully functional and
the system component(s) each party is responsible for operating and maintaining.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus does not plan to utilize any system components that will require the use of any vendor
partnership to make the system fully functional.

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•

Indicate why your proposed deployment model is superior over other architectures.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has the broadest set of
Both Unisys and Centurylink are completely disjointed
capabilities in regards to
from the platform that is providing service to DOCCS.
administrative and investigative
Securus is the only vendor in this bid that owns and
features in the inmate
operates its own network.
communications industry. This
product set is part of the most
widely used inmate telephone
system in the United States. We own and operate 100% of the proposed system, unlike those
vendors who are prime contractors but have to subcontract out the equipment, feature and
service of their proposed systems. While other vendors will propose what they refer to as a
centralized system, no other vendor can offer the network size and scope, the sophistication of
the monitoring system, the number of “boots on the ground” qualified service technicians and the
expansive user base that Securus’ SCP inmate telephone system can.
More facilities + more inmates + more users + more features + the most, and best, service = the
best system for DOCCS and the State of New York.

Securus Correctional Billing Services
Securus is unique among its national competitors in offering an in-sourced, US-based call center
to provide customer service to friends and family members of inmates. Our 200+ seat call center
employs customer service representatives who are Securus employees, trained and managed to
Securus’ standards.
Live agent support is available to friends and family members seven days a week, 24 hours a day,
and 365 days a year.
Customers can use our toll-free number (1-800-844-6591) to either speak to a live agent or use an
intuitive, automated interactive voice response system to help them with their needs. For added
convenience, we also offer personal account access via our website
(www.securustechnologies.com). End-users can also now access Securus customer service via
online “chat” 24 hours a day, seven days a week.
Our friendly and knowledgeable agents can help customers with:


Setting up and funding accounts



Making payment arrangements



Obtaining information on credit limits



Resolving complaints



Blocking and unblocking numbers

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

Reviewing call durations and history



Learning about MoneyGram® options



Learning about Western Union® options



Receiving information on new services



Confirming originating facility



Reviewing account balances



Answering questions and helping customers with refund requests



Managing account notifications

Our customer service agents are highly trained on ITS issues and in satisfying the specific needs
of called parties. We offer both English speaking and Spanish speaking agents.
We diligently survey our customers and measure satisfaction ratings to find ways to improve our
service levels. Our customer satisfaction scores for our call center are 20 percent higher than the
industry standard.
Securus offers direct billing as an option to our end user customers. The three main forms of
billing including direct bill are:


A Local Exchange Carrier (LEC)-billed account bills collect calls from the facility to the local
phone company. Charges appear on the called party’s monthly phone bill



A Direct-billed account allows collect calls to be billed monthly from Securus Correctional
Billing Services. The called party creating the account will be subject to a credit check (as
allowed by state regulations) to create a Direct Billed account



An AdvanceConnect/Prepaid account allows the inmate’s friend or family to fund an
account in advance and manage how much money they would like to spend on collect
calls. If the inmate’s friend or family member wishes to receive more calls, he or she may
simply add more funds.

Securus offers friends and family members of inmates a wide variety of options to set up and
fund prepaid accounts. Convenience drives account creation, and account creation drives more
calling, so Securus has made the funding process is easy. To create and fund a pre-paid calling
account, friends and family members can:


Call our Customer Service center and speak with a live operator



Use our automated interactive voice response system



Use our mobile-friendly website



Fund accounts by mail



Visit one of more than 35,000 MoneyGram locations such as Walmart and CVS Pharmacy



Visit one of more than 58,000 Western Union locations.

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3.1.2
Scalability
The contractor must be able to accommodate an increase in services during the term of the
contract as directed by DOCCS at no increase in cost and continue to meet all service and
performance requirements. The system must be able to incrementally increase to support a 50%
increase in volume and/or end-user devices.
Describe how your solution will meet this requirement and what actions would be needed
to fulfill the demand.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The SCP platform has been specifically designed with the capability to scale to larger call volumes
easily. The system has access to multiple carriers and is designed in a modular manner. Securus’
Capacity Management team continuously monitors each component of the platform for defined
capacity thresholds. The capacity team has created statistical models based on seasonality and
calling patterns that helps us in forecasting the growing needs proactively so capacity is never
overrun in the Data Center.
For user devices (phones) Securus will install the necessary equipment in the field and engineer
the circuits to support the current devices with at least the required bandwidth for all phones in
use at the same time. Because of its system architecture co-located in a carrier central office,
Securus has the ability to easily add inmate telephone stations, or end-user capacity, up to and
beyond a 50% increase in volume and/or end-user devices or to accommodate new capacity
without the need to interrupt existing, ongoing operations. All of this can be provided as directed
by, and at no cost to, DOCCS.

3.1.3
Network Services
Unless otherwise agreed to by DOCCS, the contractor shall replace all circuits required to
provide connectivity from each location to the contractor’s proposed services. Unless otherwise
agreed to by DOCCS, no proposed solution shall utilize existing or future DOCCS’
telecommunication services installed at DOCCS locations. The contractor must be the customer
of record for all telecommunication services used to support the proposed solution.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides all telecommunications services used to support its inmate communications, and
is the customer of record on those services.

3.1.4
System Trunking
The system must be engineered to ensure that all outbound calls are totally non-blocked. The
solution proposed must reserve separate bandwidth or channels for each phone without
impacting the required bandwidth for the operational characteristics of the system.

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Describe how your solution will meet this requirement; detail the trunking requirements
and the formula that will be used to fulfill the requirement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus’ Secure Call Platform (SCP) is a centralized call management system that has been
installed in more than 2,700 correctional facilities. The system is designed in such a way that
additional capacity is easy to add. We engineer our network utilizing a formula of: Number of
phones installed x (bandwidth required by G729/G711 VOIP protocol + IPSEC overhead) to
maintain the capacity required to prevent non-blocking of outbound calls or busy signals.
The central processing system is designed to be scalable for more capacity and is monitored
24x7. When capacity of concurrent telephone calls reaches a threshold (not at the limit),
additional capacity is added. Since the central processing system capacity is managed to keep
ahead of call growth, the maximum number of inmate phones is limited only by the connectivity
delivered to the facility which is infinitely scalable by adding additional circuit bandwidth to the
site and at the central data center when necessary.
Both the central platform and the individual site bandwidth are designed such that calls are not
blocked due to capacity constraints.
The central processing system and its network capacity can scale to many times their current
capacity within the current architecture and design.

3.1.5
Call Quality
The contractor shall be required to provide telephone reception quality at least equal to current
reception quality levels and shall accept DOCCS’ decision regarding such determination. If an
IP based solution is proposed, the bidder must detail which codec will be utilized and substantiate
a Mean Opinion Score (MOS) of no less than 3.9 for the chosen codec.
Describe how your solution will meet or exceed these requirements.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus is pleased to offer industry-leading digital service. Digital signaling provides vastly
superior call quality than the analog signaling used by traditional premised-based telephone
systems. With premised-based systems, it can be difficult to hear one or both sides of the
conversation, detect and prevent three-way calling, detect call forwarding, or hear background
conversations. The Securus centralized Secure Call Platform (SCP) uses private circuits and digital
signaling to provide unsurpassed call clarity resulting in a higher accuracy of fraud detection and
prevention, voice identification biometrics, and near-perfect sound quality.

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Secure Call Platform Voice Quality
According to the Kentucky Department of Corrections: “The clarity of the call is so clear we were
able to hear what was going on in the background at the called party’s house, which was a
domestic dispute. We quickly sent an officer to respond.”
Differences between digital and analog call quality are distinct, as are the methods used to
compare their quality:


In the old analog environment, the sound quality is measured by loss, noise, balance and
grade of service metrics. Signal loss of each trunk is measured using a 1000 cycle tone
(milliwatt) which identifies the total circuit loss that is usually in proportion to circuit
length (mileage) and quality of the circuit itself (analog circuits using copper can be very
old and may not perform well in wet environments).



With digital signaling (used by Securus in our packet-based network), the sound quality is
measured based on Mean Opinion Score (MOS). MOS is a subjective measurement
derived by averaging ratings given by independent auditors to determine an overall score.
Scores range from 1 (bad) to 5 (excellent). The standard for digital telephone quality is
considered a score of 3.7 or better. Even though digital signaling allows for better
detection of security threats, conversations can still be impaired if there is significant (i.e.
greater than 100 milliseconds) packet loss or delays. This can happen if signaling uses the
public Internet or a private system that does not have the necessary bandwidth to
support the voice traffic.

Our SCP uses private Multi-Protocol Label Switching (MPLS) circuits within our network. MPLS is
widely accepted to be the premium service available for transporting digitized voice signals.
Further, we use a mixture of G.711 and G.729a signaling protocol (codecs) and we dedicate
enough bandwidth for each conversation over our private network to keep packet delays under
100 milliseconds which provides the ability to achieve an MOS of 4.3 (better than digitized
telephone quality). The quality is transferred directly to our recordings as we use only digital
recording equipment for playback of calls.

3.1.6
Continuity of Services
The vendor must provide sufficient redundancy and business continuity recovery capability to
meet a three (3) hour Recovery Time Objective (RTO) and a zero (0) Recovery Point Objective
(RPO) of all ITS components.
Describe how your solution provides operational redundancy, fault tolerance, and
recovery so that services to DOCCS are not significantly diminished and that service
levels, as defined in Section 5, will continue to be met.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has designed and implemented a robust network architecture that provides for quick
disaster recovery, minimizing downtime for the Securus platform and its customers. Securus has
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demonstrated its ability to recover efficiently under extreme circumstances, restoring service to
our customers with no data loss. Securus has a strong record of meeting various Recovery Time
Objectives, based upon contractual requirements with our vast customer base, as well as a
demonstrated track record of a zero (0) Recovery Point Objective, even when faced with
catastrophic events. What does this mean? It means our system, processes and people WORK!!!

Risk Mitigation
Securus has implemented a platform and infrastructure designed to minimize potential outages
and protect customer data. Multiple data centers, diverse network paths, redundant platform
systems, and proactive monitoring mitigate the majority of risks.

Data Centers
Securus maintains a presence in three data centers in three geographically diverse locations. Our
data centers are designed to withstand worst-case events and maintain 99.95% availability. The
data centers, managed and staffed by a carrier-class
data center host, meet or exceed the
Telecommunications Industry Association’s (TIA)
standard number 942 for Tier IV (highest availability)
data centers including:


Ability to withstand a 96-hour power event



Two-hour fire protection



Multi-layer physical security



Multiple power delivery paths.

Also, Securus data centers have redundant uninterrupted power systems, N+1 generator
redundancy, and N+1 cooling redundancy. All systems and network equipment have redundant
power paths. Multiple telecommunications carriers also serve each data center for load balancing
and path diversity. Securus data centers are staffed 24x7x365 for immediate physical assistance
inside the data center.
Multiple checks ensure data center physical security, including guarded, photo-verified check-in;
dual-door authentication (card and biometric); and a mantrap (interlocking door controller) at the
data center suite entrance.

Redundancy
Redundancy is a key component of the Secure Call Platform (SCP). While operating on a single
platform, Securus’ SCP runs on duplicate environments in separate data centers in Atlanta,
Georgia, and Dallas, Texas. Each component has N+1 redundancy, meaning that a failure of any
one component does not result in downtime because there is a backup available to resume its
function. In addition to the inherent redundancy of SCP, Securus has also designed redundancy
into all support systems, either through N+ 1 configuration, database clusters, virtual machines,
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load balancing, or other failover methods. All network transport has redundant network
equipment and routing to allow traffic to reroute in the event of a failure.
The SCP platforms in Dallas and Atlanta were designed and built to the same specifications. This
standardization allows re-homing of systems from their primary data center to an alternate data
center in the event of a failure. As part of our Business Continuity plan we execute a disaster
recovery exercise annually whereby we redirect traffic from one of our largest DOC customers
from the Dallas data center to the Atlanta data center to confirm our ability to continue to service
the DOC in the event of a catastrophic failure of our Dallas data center or vice versa. This
capability assures that we will be able to meet your requirements of three (3) hour Recovery Time
Objective (RTO) and a zero (0) Recovery Point Objective (RPO) of all ITS components.
All circuits coming into Securus data centers use multiple diverse carriers, including the
interconnections between data centers. In the event of a failure, traffic will reroute across a
redundant circuit or path. In addition, Securus uses multiple carriers for inmate calls from the
SCP platform. Calls to family and friends will immediately reroute upon failure of any carrier.
Securus uses multiple methods of storage to minimize the risk of data loss. All critical systems
and data are backed up at regularly scheduled intervals and stored offsite for retrieval, if needed.
In addition to offsite storage, Securus replicates voice clips, call recordings, and validation data
between the data centers.
Securus uses industry-leading vendors for all platform and network hardware, including Dell,
Cisco, Oracle, EMC, Big IP, and Intel. In addition to the redundancy designed into the platform and
network, Securus also maintains a spare parts inventory onsite at each of our data centers to
expedite repair of a failed component. Securus also maintains premium-level support contracts
with each vendor that defines stringent service level agreements in case of a failure.
Securus maintains an inventory of spare parts for our facility-based components at our
headquarters in Dallas, Texas, and has distribution agreements with multiple vendors to provide
expedited national delivery service. The corporate headquarters maintains a standardized
emergency recovery package of frequently used spare parts and equipment that will be available
for shipment to support restoration efforts at our customer sites. Our technical field
representatives located throughout the country also carry an inventory of the most commonly
needed spare parts. With spare parts on board our service vehicles, most facility-based
equipment malfunctions can be resolved with a single site visit.

Proactive Monitoring
Data Centers and Network
Securus continuously monitors all data centers, infrastructure components, platform systems,
and inmate telephone systems (ITS) using the SolarWinds® suite of network performance
monitors. The SolarWinds performance monitors are highly configurable to provide real-time
monitoring, event notification, alert history, and statistical information. An alarm condition
creates immediate visual alerts and email notifications.

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The Securus Network Operations Center (NOC) provides 24x7x365 monitoring for all Securus
systems, including SCP, network, back-office systems, and data centers. The NOC proactively
monitors these systems to ensure performance is optimal and uninterrupted. In addition to
system- and network-level monitoring, the NOC also monitors real-time video surveillance and
environmental alerts for our data centers. Securus maintains a fully redundant backup NOC at a
separate physical location, should services be disrupted at the primary location.

SolarWinds® Typical Monitored System and Application Elements

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Securus Primary Network Operations Center

Securus Backup Network Operations Center

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Premise Equipment
The Securus Technical Support team provides 24x7x365 monitoring of all facility-based
equipment and directly supports facility installations via telephone and email. Technical Support
monitors connectivity for all installations and all installed equipment including integrated access
devices (IADs), visitation phone monitoring (VPM) units, switches, and uninterrupted power
supply (UPS) systems. The systems are polled every two minutes and their vital operating
statistics sent every 10 minutes. Upon receiving an alert indicating network failure, Securus will
open a trouble ticket with the appropriate circuit provider. In the case of a premise-based
equipment failure, a Securus Field Technician is dispatched to the facility for on-site repair.

SolarWinds® Device Monitoring Example (Bandwidth & Network Latency)

In addition to real-time monitoring and alerting, Securus technical support also leverages the
SolarWinds network performance monitor to gather and evaluate historical data for network
alerts, bandwidth usage, packet loss, and hardware performance. The detailed level of
monitoring available via our network performance monitor allows the technical support group to
take proactive steps to prevent or mitigate facility outages and to ensure the correct resources
are engaged if dispatch is necessary.

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Restoration
Platform and Network
In the event of a disaster impacting SCP or our network, Securus immediately assembles a team
of engineers to begin investigation and restoration of services. Securus maintains a schedule of
on-call personnel for immediate response to service-impacting events and will also engage third
party vendors, if required. If a state of emergency is declared, the Securus Business Continuity
Plan will be activated.

Facility-Installed Systems
Securus prioritizes recovery of premise-based equipment by facility type and equipment location.
Maximum-security institutions and institutions with high inmate phone usage receive priority.
Prioritization also considers customer requirements and preferences. Securus has developed
procedures and checklists to protect personnel and equipment in the event of an emergency
situation. Securus will combine headquarters and field staff efforts to expedite service recovery
wherever possible. Securus coordinates each checklist to ensure compliance with each facility’s
guidelines.
Securus has a field support department with more than 165 field service associates supported by
a centralized field dispatch team. The Field Service Technicians (FST) are strategically located to
support ongoing maintenance, as well as any disaster recovery situations. The FSTs are
supported by senior technical support resources and engineering to expedite repairs and
minimize customer downtime.

Reporting
Upon confirmation of a service-impacting event, the NOC will issue an internal service
interruption report (SIR). The SIR will include the nature of the outage, impact to facilities, and
estimated time of restoration, if known. Each incident is assigned an urgency level based on the
level of customer impact.
Customer contact personnel receive SIRs, so they can communicate with customer facilities
proactively or reactively as required by the facility. In addition, technical support may
communicate a service-impacting event via a splash screen on the SCP user interface
introductory page, whenever possible. Regular updates ensure that the information provided is
always current. Securus executives also receive all SIRs, so they are aware of all customerimpacting events.
The NOC will issue a final SIR upon issue resolution. Securus investigates each incident and
completes a root-cause analysis (RCA) following all service-impacting events. After the root cause
is determined, Securus makes RCA documents available to customers upon request.

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Performance

The SCP is one the most stable calling platforms in the industry, with nearly perfect, 100%
availability. Through design, proactive monitoring, and rapid-response procedures, Securus
minimizes customer-impacting outages. Data storage with multiple layers of redundancy
minimizes the risk of losing critical data and recordings.
When disasters strike, Securus responds quickly and methodically to ensure the fastest
restoration of service possible. And we have been tested.
In the spring of 2015, the Dallas, Texas, area, home to two Securus data centers, was impacted by
weeks of significant storms, resulting in 27 deaths and more than one billion dollars of property
damage due to flooding. Early one morning, lighting struck a Securus data center, damaging
cooling units. Normally, this cooling would have been restored within minutes, but the roads
leading to the data center were closed due to flooding, which caused a longer response time for
service technicians. Securus' equipment rapidly overheated and began to fail. More than a
quarter million dollars of components suffered fatal damage and needed replacement. Even with
this once-in-a-lifetime series of compounding events, calling services were restored the same
day for most facilities, and there was no loss of customer data, investigative data, or
recordings.

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Backup
The vendor shall be responsible for performing all system and database back-ups
and archiving. The vendor shall provide all archival hardware, supplies, and
network and recovery procedures to ensure that no data will be lost.
The vendor must back up all DOCCS information and store copies securely off site
in compliance with DOCCS security policies. Vendor must certify the availability
and integrity of back-up data and the media on which it resides.
Describe how you will meet these requirements including frequency of
backups, off-site location(s) and security of transfers.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus stores call recordings in centralized, disaster-resistant, carrier-class data centers. All
equipment used to store recordings is monitored by the Securus Network Operations Center
(NOC) 24 hours a day, seven days a week, and 365 days a year.
For redundancy, SCP writes all recorded calls to two separate Storage Area Networks (SANs),
using two separate connections. Securus also archives all call recordings to an offsite storage
facility for the third layer of redundancy. Recordings can be downloaded from SCP in various,
widely-used formats and copied to a CD, DVD or any portable media.
The Securus SCP provides a unique set of features and advanced technologies to store call
recordings.
Traditional premises-based calling platforms use local hard drives that may fail and are
susceptible to local disasters. Premises-based systems needed manual backup schemes that are
no longer necessary with SCP. SCP uses Storage Area Networks (SANs), special-purpose, highspeed networks that interconnect different kinds of mass storage and shared storage devices
(such as disk arrays, tape libraries, and optical jukeboxes) with associated data servers.
The SAN architecture makes all storage devices available to all servers on the network. The SAN
solution delivers complete scalability for a facility’s storage requirements and supports disk
mirroring, backup and restore, archival and retrieval, data migration from one storage device to
another and the sharing of data among different servers in a network.
New storage devices added to a SAN become accessible from any server in the network. The SAN
uses a series of standards to spread data across multiple drives for additional protection and
redundancy. This technology enables the SAN to deliver superior performance and fault
tolerance to disk failures ensuring data is no longer susceptible to drive failures. Accordingly, the
SAN provides facilities with the ultimate protection against drive or server failures.
Within the SAN, SCP uses a combination of several RAID technologies including RAID5, RAID6, and
RAID10. Even if one of the hard disk drive fails during the data recovery process, the system will
continue to operate without data loss.

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The Securus SAN has more than four (4) petabytes of storage space and is continuously
monitored and managed through automated processes and storage policies. When these very
large storage systems approach designated thresholds, Securus expands capacity to ensure all
authorized call records and recordings are retained in secure, disaster-resistant locations.
The Securus data center storage solutions provide facilities with technology that is:


Scalable to meet any facility’s contractually required storage demands



Resistant to local disasters through multiple copies stored within the data centers
and off-site



Highly available through the unique architecture and design of the data storage
model



Partitioned and compressed to run queries faster



Secure, protected, and monitored to enable total recall of data

SCP records and stores basic call data with the capability to provide management reports.
Securus does not limit the call data storage time. Since every site’s requirements are different,
Securus works with each facility customer to define their optimal data storage timeframe. All
recordings are stored online as well as on remote copies. Typically, call detail records are stored
for seven years.

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Uninterruptible Power
The solution must assure no loss of ITS functions for a minimum of three (3) hours
due to a loss of commercial power in the DOCCS’ facilities. The vendor must
provide an ITS capable of full recovery from a power outage automatically once
commercial power is restored.
Describe how your solution will meet this requirement including what
facilities and services DOCCS must provide.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Uninterruptible Power Supply Facility Backup
Securus will maintain an uninterruptible power supply (UPS) backup for the equipment installed
on DOCCS premises. Securus commonly uses uninterruptible power supply models, such as the
Eaton 5PX UPS, which eliminates spikes, sags, surges, transients, and all other over/under voltage
and frequency conditions, providing clean power to connected critical loads.
Eaton 5PX UPS

Combining extended runtime capabilities and exceptional efficiency, the Eaton 5PX UPS is a
powerful enterprise class backup solution. An ENERGY STAR® qualified UPS, the 5PX’s managed
outlet segments allow you to monitor energy consumption down to the outlet level on its intuitive
LCD screen, while convenient virtualization-ready bundles and Intelligent Power Software Suite
enable seamless management in virtualized environments.

Calls In Progress
The Integrated Access Device (IAD) and uninterruptible power supply (UPS) maintain all inprogress telephone calls while blocking additional call attempts after the event. When power is
exhausted (up to five hours with extended battery modules), the system terminates all calls in
progress and powers down to a quiescent state that allows it to resume full operation
automatically after the restoration of commercial power.

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Uninterruptible Power Supply Data Center Backup
Securus operates and maintains two major data centers networked to the equipment installed on
DOCCS premises. Each data center has an uninterruptible power supply (UPS), and a generator to
provide maximum network uptime. The traditional data circuits (MPLS, Frame Relay, VoIP) all
have dual connectivity feeds to/from the telecommunication carrier to each of our data centers.
The UPS systems in our primary data center have 2N redundancy. Dual source power runs
through a static bypass switch. Battery rooms support the UPS systems with gel cell battery
banks. Fifteen minutes of battery backup is available at full load (such as 90 watts per square
foot). Each battery bank is continuously monitored to ensure optimal operation. Upon loss of
commercial power for more than 15 seconds, paralleling switchgear automatically powers all nine
generators; generators are shed to cover load as needed. Typically, the transition from UPS to
generator power takes 60 seconds.

Data Center Power Conditioning
The uninterruptible power supply (UPS) system filters, spikes, sags, surges, transients, and all
other over/under voltage and frequency conditions, providing clean power to connected critical
loads. Power distribution units (PDUs) distribute power to individual customer racks via remote
power panels. Each rack has redundant power strips (A & B) routed to diverse PDUs. Diverse
uninterruptible power supply systems feed each power distribution unit.

Required DOCCS Facilities and Services
Securus has engineered the network architecture in such a way that there is no requirement to
utilize DOCCS facilities and services. However, should DOCCS be willing to provide access to the
facility backup generator power grid, Securus can connect the UPS infrastructure to this power
grid to prevent any downtime at all.

3.1.7
Single Clock Source
The vendor shall ensure that inmate call processing equipment, call detail recording, and
recorded conversations will be synchronized from a single time-of-day clock source for all of
DOCCS’ locations.
Describe how your solution will meet this requirement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus time servers are synchronized with NTP (Network Time Protocol) which uses UTC
(Universal Time Coordinated, an evolution of Greenwich Mean Time) as our primary source for
keeping all data center servers coordinated in time. NTP provides time keeping for millions of
clients around the world.
Securus’ private network consists of multiple time servers to ensure availability of time
synchronization with the servers communicating with each other as well as communicating with

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the atomic based Stratum servers provided by NTP to ensure an absolute, high accuracy and
consistency of timing used for time stamping call and activity events. The Stratum time servers
represent the single source of time synchronization. All applications and nodes within our
network use the UTC, maintained by the Securus time servers, as a clock source
reference. Applications within the Securus private network manage time zone offsets for
purposes of display and reporting. For time stamps related to inmate calls, SCP user interface
will automatically convert the UTC time stamps into the time zone defined for each DOCCS facility
and automatically includes consideration of day light savings time. All of this attention to
accurate time keeping, consistency of storage time zones, and automatic time-zone application of
time stamps means that DOCCS will have confidence in accuracy and relevancy of the date and
times presented throughout the SCP user interface.

3.1.8
Recording and Monitoring
The system must provide undetected monitoring of real-time inmate conversations, store and
replay of historical conversations with the option of storing to removable media, and the ability to
lock certain call recordings from deletion. These capabilities shall be provisioned to allow access
to some or all features by unique user ID. (e.g. Facilities staff may only monitor calls in real time,
while investigative staff have the full feature set.) All removable media must be encrypted.
DOCCS is interested in understanding all features available for managing the recorded call
search, playback, and copying processes.
Identify removable media to be provided and describe all features that will allow
DOCCS to streamline and accelerate these functions and download selected
recording(s) to external media if desired.
Describe how your solution will meet this requirement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Call Platform (SCP) has an integrated recording and monitoring system. The
automated system is designed to be a cost-effective solution for all correctional facilities of any
size. Multiple levels of security provide that only authorized personnel can access and monitor
the inmate recordings. Authorized personnel can listen to live or archived recordings via multimedia PC interfaces connected over local area networks (LANs).

SCP Recording and Monitoring:
 Provides undetected monitoring of real-time inmate conversations
 Stores and replays historical conversations with the option of storing to removable media
 Provides ability to lock certain call recordings from deletion.

Call Monitoring
The SCP Live application allows for real-time, undetected, monitoring of calls in progress via a
multi-media PC workstation. Facility personnel (with appropriate privileges) can monitor live calls
by highlighting the call in progress and clicking on the speaker icon. This process is undetectable
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by the inmate or the called party and does not disrupt the recording process. Concise
descriptions of activity appear for each phone in use.
For example, the system shows the specific telephone
location, inmate PIN, the destination number dialed,
city and state of the destination, and start time and
duration of each call. SCP also diplays any restrictions
such as “watched” or “private,” and the status of the
call, such as “in progress,” “calling destination,” or
“getting acceptance.”
SCP can also automatically eliminate all monitoring or
recording of special calls, such as calls to legal counsel,
by designating the number as a “private” number. SCP
prevents all unauthorized attempts to listen to private calls—the user interface will not display
the speaker icon to play private calls. The call record also lists the call as “private” on the user
interface.

Call Monitoring, Silent (Undetected)
When monitoring occurs, the system incorporates analog suppression/amplification hardware
that allows monitoring of calls without inmate or called party detection. There is absolutely no
noise, volume loss, or other indication of monitoring to assure complete investigator anonymity.

Call Recording
The integrated SCP recording application works independently, so there is never a need for
integration of a third-party manufacturer’s product. This allows the facility to deal with a single
vendor if any issues arise.
The SCP uses large capacity hard drives, along with RAID (Redundant Array of Independent Disks),
that virtually extend the call storage period to meet your specific needs. Recordings are stored
on-line for immediate access for 12 months, or any other length of time required by DOCCS. The
SCP can also burn the information to CD or DVD for additional back up, if necessary.
The SCP can record all calls simultaneously and allows personnel to listen to pre-recorded calls
while active calls continue to be recorded. The system records the entire conversation from call
acceptance to termination.

Remote Access to Recording and Monitoring
With integrated recording and monitoring applications, other agencies, such as the local police
departments, can also access these functions. Any authorized user with an approved user name
and password can easily, and remotely, access recording and monitoring of inmate calls from any
computer or device with access to the Internet. Securus has tested and certified the playback of
calls and live monitoring on:


Operating Systems/Devices

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

o

iOS

o

Android OS

o

OS X

o

Windows

Browsers
o

Internet Explorer

o

Firefox

o

Chrome

Removable Media
While call recordings may be downloaded onto removable media, the Anywhere, Anytime access
afforded by the web-enabled SCP user interface eliminates much of the need to perform this
task. Outside agencies can be granted very specific security permissions which allow them to only
download recordings, or a desired set of recordings can be provided via electronic notification
while maintaining the security of DOCCS system. Securus proposes encrypted flash drives for
DOCCS such as the Kingston’s DataTraveler Vault Privacy 3.0 USB flash drive.

Kingston’s DataTraveler Vault Privacy 3.0 USB Flash drive provides affordable business-grade
security with 256-bit AES hardware-based encryption in XTS mode. It protects 100 percent of data
stored and enforces complex password protection with minimum characteristics to prevent
unauthorized access. For additional peace of mind, the drive locks down and reformats after 10
intrusion attempts. It also features a read-only access mode (enabled via SafeConsole for the
Managed model) to avoid potential malware risks.
SCP user interface supports the ability to store exported data including reports and collections of
call recordings to removable media. Supported removable media include CDs, DVDs, flash drives,
and similar devices. Many such removable media may be configured to support hardware level
encryption of the data placed on them. SCP user interface is able to support the use of
encrypted, removable media due to the encryption being performed by the computer system
(including the removable media). The decision to use or not to use encrypted, removable media
is therefore one that can be made by DOCCS personnel on a case by case basis in accordance
with DOCCS data control procedures. Given the flexibility to use removable media – whether
encrypted or not – along with the ability to give select users of the SCP user interface access only
to what they need, DOCCS will have tremendous control over and agility to address the security
of data access and exports.

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SCP Features
SCP’s centralized architecture and packet-based design creates the optimum combination of
performance, quality, security, and end-user control on the market. The SCP system is fully
loaded with our industry-leading patented features and functions and is virtually future proof
and scalable. We update our system multiple times each year (at no cost to our customers) to
make sure you always have access to the best technology in the industry – both now and in the
future. Key SCP features are listed below, highlighting features available for managing the
recorded call and copying processes.

KEY SCP Features
Anywhere / anytime access

Anywhere / anytime access security

Automated operator

Billing name and address report

Billing name and address for dialed numbers

Call acceptance - called party

Billing name and address history

Call acceptance - inmates

Call acceptance - active

Call acceptance - passive

Call acceptance - dual party

Call acceptance - silent

Call acceptance - mute

Call announcement - rates

Call acceptance - positive

Call monitoring - controls

Call announcements

Call monitoring - kill call

Call announcements - balance

Call monitoring - scan patrol

Call duration - controls

Call monitoring - silent

Call monitoring - forward call

Call progression - controls

Call monitoring - media player

Call recording - archive configuration

Call monitoring - security and reporting

Call recording - burn to cd, dvd, ipod, usb

Call notification for monitoring/recording

Call recording - configuration

Call quality

Call recording - expiration

Call recording - burn for data playback

Call recording - management

Call recording - cd format selection

Call recording - security and reporting

Call recording - email configuration

Call recording - simultaneous

Call recording - labeling

Call restriction

Call recording - media player

Call restriction by time frame/period

Call recording - silent mode

Call set up prompt

Call recording - storage

Call termination controls

Call restriction by call type

Call tracker - recording and case note management

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KEY SCP Features
Call schedule controls

Call tracker - security

Call suspension

Call type - direct billed

Call termination warning

Call type - free

Call tracker - search

Call type - instantpay/paynow

Call type - advanceconnect

Call type - international

Call type - fcc

Call type - traditional collect

Call type - inmate debit

Call velocity controls

Call type - instantpay/text2connect

Call voice prompts

Call type - prepaid calling card

Chain of evidence

Call validation

Covert alert

Call voice overlays

Covert alert - email notification

Chain dialing prevention

Crime tip alert

Commissary order by phone

Facility portal - call detail reports

Covert alert - barge in

Facility portal - call type report

Covert alert - investigator acceptance

Facility portal - daily call volume chart

DTMF detection

Facility portal - online help

Facility portal - call frequency chart

Facility portal - quick look

Facility portal - commission reports

Facility portal - service ticket management

Facility portal - investigation tool

Global blocking list

Facility portal - order materials

Informant line

Facility portal - revenue reports

Integration with commissary

Facility portal - user management

Integration with trust

First calls free

Integration by e-imports

Global allowed number list

Language selection - english

Hook switch dialing prevention

Language selection - spanish

Inmate recorded name

Officer check in

Integration by web services

Officer check in - search

Integration with oms

On/off controls and security - phone(s)

Isolated talk paths

On/off controls and security - system

Language selection - multiple/additional (french,
russian, etc.)

PAN auto list - refresh

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KEY SCP Features
Modify by customer, site, group, phone, pin, dtn

PAN - integration

Officer check in - reports

PAN - restrictions

Officer check in - security

Permablock

On/off controls and security - remote

PIN - configuration

PAN - auto

PIN - duplicate prevention

PAN - inmate managed

PIN - integration

PAN - manual

PIN - restrictions

PAN - verified/not verified

Private/privileged call schedules

Phone service for hearing impaired (tdd/tty)

Quick call download as wav

PIN - controls

Remote call forward detection controls

PIN - generation

Remote call forward detection flag

PIN - profile

Remote call forward detection warn

PIN - schedules

SCP report - advanced searches

Private/privileged calls

Outbound dialing

Real time change application

Remote information sharing

Remote call forward detection disconnect

SCP report - call frequency

Remote call forward detection real time

SCP report - emergency call

SCP notification screens

SCP report - rcfd action configuration

SCP online help

SCP report - informant line

SCP report - ad hoc ability

SCP report - pan frequency detail

SCP report - call detail

SCP report - saves

SCP report - debit

SCP report - voice biometrics frequency

SCP report - export to excel, csv, pdf

Secure instant mail

SCP report - hourly usage

Security by role

SCP report - pan frequency

Security templates

SCP report - pan management

Speed dial

SCP report - tips

System log - latest activity

SCP report - voice biometrics status

System log - pan entry change

Security by ip address

System log - recording log

Security multi-passwords

System log - security template change

Voice biometrics

System log - user management change

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KEY SCP Features
System log - custody account change

Three way call detection disconnect

System log - management change

Three way call detection warn

System log - phone number change

Virtual phone groups

System log - scan patrol log

Voicemail controls

System log - system access

Voicemail outbound

Three way call detection controls

Word spotting

Three way call detection flag

Word spotting dictionary

User management

Word spotting controls

Visitation phone monitoring and recording

Water Marking

Voicemail inbound

Watched numbers

Investigative Support
The vendor shall provide live, real-time investigative analysis that allows authorized
users employed by the vendor and by the Department to view and analyze a
percentage of call data to establish links between selected inmates and called
parties, to include activities such as gang, drug, victimization, extortion, and other
nefarious activities.
The system should also be able to provide reports on call-pattern analysis and callvolume distortions in real time.
Describe the proposed system’s ability to fulfill the real-time analysis
requested above, the number of analysts, and the percentage of calls that will
be analyzed.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

The following is an overview of the Securus Investigative Support offering:
Investigative Support Powered by Guarded Exchange (GEX), a Securus Company
Securus provides a comprehensive suite of investigative products and is the industry leader in
live monitoring of inmate calling. Our solution includes the most advanced technology available
integrated into a single, cohesive system whose sole purpose is to aid agencies in generating
Actionable Intelligence™.
Securus’ Guarded Exchange Investigative Support Solution includes:


Live Analyst Call Monitoring.

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

70 proprietary technologies that allows Securus’ skilled Communication and Investigation
Analysts to data mine through millions of phone calls, emails, financial transactions and
other information sources providing intelligence that counts.



Nearly 100 highly trained and skilled analysts, with over 450 years of combined
experience. Out of that comes over 275 years of Corrections, Law Enforcement, and
Investigative backgrounds.

Securus’ Guarded Exchange Solution provides experience that can only be achieved
through time tested processes and solutions.
GEX has monitored over 4 Million Calls and this number grows every day.
NM DOC, KY DOC, MO DOC, PA DOC and FL DOC utilize these services daily.

As calls are processed through the inmate telephone system, and analyzed using Securus’ full
array of investigative support services, agencies are able to enhance their investigations while
adding efficiency and productivity.
Securus will also layer in our Investigative Support team, a 100-plus person investigative forcesoon to be over 200, mostly having a Corrections and/or Law Enforcement background that work
alongside and at the direction of DOCCS investigators to uncover leads and deliver results to
focus investigations and close more cases. This combination of capabilities will provide the
greatest level of security and investigative value for DOCCS.
Securus has been delivering experienced, certified, professional investigative support personnel
to provide live monitoring of calls longer than any other vendor. As such, we have developed
tools and processes that are refined and proven to be effective.
Securus’ Guarded Exchange Investigative Support Solution was the first of its kind in the nation
and other vendor solutions cannot match the experience and effectiveness of their capabilities.
As such, we have developed tools and processes that are refined and proven to be effective in
large scale DOC environments. These are tools that no other vendor can replicate or provide.
Securus has been providing live call monitoring and Investigative Support for the State of
Missouri Department of Corrections (MO DOC) for more than five years enhancing the
investigative effectiveness of the DOC.
We urge caution when evaluating other vendors’ offerings, as the promise of monitoring calls
cannot be effectively achieved without experience and full integration with your investigative
suite of tools.

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Effective live call monitoring is a function of three things:
1. The number of trained personnel available to listen to calls
2. The level of comprehensive understanding of what your investigators are looking for in
calls, and
3. Having full integration into your investigative software and systems so that “Actionable
Intelligence™” derived from calls can reach investigators in a timely manner
Securus offers these monitoring services as an integral part of the overall investigative and
intelligence gathering suite of services that other vendors simply cannot match.
Offender calls to be monitored will be targeted based on the use of proprietary data mining,
behavioral analysis and filtering technologies and other proprietary strategies in conjunction with
the intelligence gathering priorities established by the DOCCS.
With our built-in investigative support program, Securus will provide the largest and best-trained
set of personnel to listen to and review as many calls as required by the DOCCS.
For this deployment, we are offering to provide monitoring of up to 7% of all inmate telephone
calls. That translates into more than 1.5 million calls annually and potentially an excess of 10
million calls over the life of the contract.
In providing the monitoring and reviewing of offender calls, Securus, through our Investigative
Support team, will incorporate any data mining strategies established by the DOCCS investigative
teams. The monitoring will use a combination of proprietary technology and our highly trained
investigative personnel for the purposes of collecting intelligence from inmate calls completed
using the proposed SCP ITS.
The use of these trained personnel, proven strategies and technologies will identify at a
minimum the following:


Suspicious or suggestive key words or phrases



Calls that suggest threats to the safety and security of the facility, staff, volunteers,
and inmates entrusted to the care of the DOCCS



Criminal activity inside and outside of the facility

This extension of the DOCCS’ investigative tools will assist you daily in meeting your investigative
goals and objectives, including assistance with identification of owners of contraband cell phones
or additional focused support on high profile cases.
This is an important feature of the investigative support team. While daily monitoring of calls is a
primary goal and activity, upon request from DOCCS, the team can be quickly redirected to a
targeted subset of calls with the ability to monitor and report on thousands of calls in a matter of
hours or days, rather than the weeks required by our nearest competitor. No other vendor is
equipped to perform in emergency or high security situations, such as escapes, disturbances, and

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gang/STG activities. Securus is not only equipped, but we have performed and delivered in just
these types of situations repeatedly for our customer partners.
Securus will submit all gathered Actionable Intelligence™ upon discovery in a format agreed to by
the DOCCS. Securus will create an account team consisting of Investigative Specialist(s) to provide
daily and/or weekly business meetings with the DOCCS investigative teams. The purpose of the
meetings will be to review the on-going success of the program, make adjustments as necessary
and to discuss creative solutions that may enhance the program.
Securus will suggest and recommend programs that have proven successful through our existing
monitoring of calling for the Missouri Department of Corrections (MO DOC) where we are
currently monitoring over 70,000 calls per month.
Please note: detailed documentation of a third-party study completed examining the
effectiveness of call monitoring at the Missouri DOC is available upon request.

Digital Forensic Services
In addition to Securus’ Communication and Investigative Analysts, we also staff Certified Digital
Forensic Examiners and Certified Cellebrite UFED Touch Users. This provides both State and
Local agencies with the ability to receive extracted cellular data from confiscated phones
alongside proactive call monitoring.
Cellular Forensics brings another level of examination to the Securus investigative support
solution. Examiners provide a comprehensive and analytical breakdown of cellular data utilizing
Cellebrite and numerous other Computer Forensic programs (Encase, Internet Evidence Finder,
Passware, Oxygen Phone Forensic Suite, and Forensic Explorer) that are also able to perform indepth forensic analysis on acquired devices as well as any form of digital media. To date, we
have processed over 2,000 devices. We currently have labs in Jefferson City Missouri, and the
Central Office of the Florida Department of Corrections.
Our Forensic Examiners are also certified to perform data extraction of devices that are
damaged, locked or unsupported by other forensic tools using the latest Chip-Off Forensics
technique.
Chip-Off Forensics is the process of removing the flash memory from the printed circuit board of
a device using either a heat or no heat method, depending on the purpose of the extraction, and
reading and analyzing the raw data stored on the chip.
The ability to perform this process allows agencies to access more locked and damaged devices
than ever before; thus, adding to the potential of vital intelligence and data gathered from
devices.
The combined experience of our Forensic Staff combined with the Industry Leading Hardware
and Software would ensure that the highest quality of Digital Forensic Services on mobile devices,
and any digital media, would be of the highest standard.

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For this deployment, we are offering to establish a Digital Forensics Lab at a location to be
determined by DOCCS for the exclusive use of the Department. We will staff this lab with up to 6
technicians and support staff, giving the state the ability to have as many as 200 devices per week
processed.
Simultaneous Access
Recording or monitoring equipment may be centralized or hosted and shall have
the capability of undetected recording of every completed inmate telephone call for
the duration of that call. The vendor shall provide the ability and bandwidth for a
minimum of 20 simultaneous users who can listen to any recording at one time at
any facility or any combination of facilities while continuing to meet the requirements
of Section 3.1.4, System Trunking.
Describe how you intend to meet this requirement, explain whether the
recording will be hosted or centralized, detail the bandwidth and equipment
requirements required to meet this objective.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
SCP UI, as a centralized system, is scaled to allow for simultaneous access from all serviced
facilities across the country
•

20 additional, simultaneous users is not a problem

•

Securus maintains a 24x7x365 NOC for monitoring performance and capacity to address
capacity bottlenecks before they become service impacting

Data networks for accessing call recordings are engineered separately from those necessary to
carry the inmate call traffic
•

Call recordings are maintained in a centralized, Securus data center

Securus will engineer the facility access data network(s) to accommodate streaming of at least 20
simultaneous call recordings.

Storage
The vendor must store all call recordings and associated call detail records for
twelve (12) months at no additional charge to DOCCS. All calls locked by DOCCS
for investigative purposes shall be stored indefinitely by the contractor and remain
available throughout the life of the contract period at no cost to DOCCS. At the end
of the contract period, all locked calls will be turned over to the succeeding
contractor without additional cost to DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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SCP’s Call Tracker feature can extend the expiration of a recording. At times, investigators do not
want recordings from active investigations purged from the system—regardless of the recording
retention policy in effect. Authorized users can protect a recording from being purged by
extending the expiration of the call by 30, 60, 90 days, or for the life of the contract by selecting
the Extend Expiration icon.

Extending Call Recordings

At the end of the contract period, all locked calls will turned over to the succeeding contractor at
no additional cost to DOCCS.

Chain of Evidence
The vendor must assure that the chain of evidence is protected when copying
recordings to removable media and vendor must provide the software or tools
necessary for playback.
Describe how you will provide this function and explain its capabilities.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Calling Platform (SCP) provides a patented method for ensuring the
authenticity of inmate call recordings made through the platform. This security feature—the
Chain of Evidence—is a key component of SCP and is automatically included in all installations.
The Chain of Evidence prevents tampering with the call detail record and call recording. SCP
encrypts, time-stamps, and verifies the authenticity of each recording.
SCP meets or exceeds the Rules of Evidence used in state and federal courts for the admissibility
and authenticity required in a court of law.
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In addition to the Chain of Evidence provided through SCP, Securus will provide expert staff to
testify, at no cost to DOCCS, to the authenticity of the call recordings made on SCP.

Chain of Evidence
A phone call made on the Securus SCP creates a record, known as a call detail record (CDR),
which includes—at a minimum—the following information:


Customer name



Facility name



Originating station



Destination number



Start and stop time of the call



PIN, if used by the facility

This information provides context information about the call. It is this context that differentiates a
typical recording from one that can survive an evidentiary challenge to its authenticity. SCP
combines this contextual information with the audio data in memory and writes the information
to disk as a continuous data stream. It is not possible to modify the recording after recording to
disk, and each recording contains the critical information about the authenticity of the data.
Storing this data in one combined unit creates a strong audit trail for identifying and proving the
origin of the recorded call.

Creating the Audio Data
The recording process starts as soon as the called party answers the phone. This provides a
record of the entire interaction between the SCP and the called party before the called party
accepts the call. This interaction includes everything the called party says and all voice-over
announcements, including the following information:


Location of the originating call



Inmate name



Call rates



Call acceptance



Notification messages, such as the standard announcement that the call is subject to
monitoring and recording

The recording is “complete” in real time and does not depend on the inmate and called party
ending the call to have a “header” or other information written into the CDR. This feature is
significant because the recording package is constructed real-time throughout the call and is uneditable, or locked, with all of the required data to identify the call. This guarantees that any

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recording produced for legal purposes is the original data (recording and call details) and cannot
be modified.

Downloading Calls as Evidence
SCP allows authorized users to copy recorded conversations to any external media device
connected to the user’s PC, such as CD, DVD, mp3 player, or USB drive. This feature facilitates
easy sharing of recordings for investigative or court purposes. To maintain the accuracy of data
and recordings during downloading and copying, SCP stores the files—both audio and CDR
information—embedded within an industry-standard read-only format that prevents the
possibility of tampering. In addition, when a user downloads any recording or recordings to
external media, the download includes the player software and everything that user needs to
utilize the relevant information.
“I estimate that I request phone records for eight out of every ten subjects I
investigate, and of the 100 subjects that I have helped convict over the past four
years, probably half of those were because of telephone recordings provided by
the Securus platform. Securus has been so successful in assisting with my cases
that the US Attorney’s Office has asked me to get inmate calls for all cases.”
- Master Police Detective Michael Wachsmuth, a Tactical Field Officer working with the
Alcohol, Tobacco, and Firearms division of the Federal Justice Department.

Retrieval
The system shall permit authorized staff to attach textual descriptions or “notes” to
each recorded call record allowing for descriptions of the recording. Each recording
must be indexed by date, time, Automatic Number Identification (ANI), Personal
Identification Number (PIN), Terminating Number (TN), and textual “notes.” Date
and time stamps shall be identical to the date and time stamps recorded in the
system’s call detail records and call processing equipment. The recording must be
searchable by date, time, inmate's PIN, ANI, TN, “notes” or any logical combination
thereof. Search and retrieval of recorded conversations shall take no longer than
20 seconds. Search and playback of calls will not require a manual media change.
Describe how your solution will meet or exceed these requirements.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Calling Platform (SCP) allows authorized users to add notes and tracking
numbers to call detail records associated with recordings. Using this feature, known as Call
Tracker, users click the notepad icon located in the call detail record, to add notes to an inmate
call. The Call Tracker feature gives authorized users the ability to add a tracking number, gang

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Securus allows investigators to access to all investigative tools via a single web portal known as
the SCP user interface.
Investigators can search for calls using criteria such as:
 Called Party (TN)
 Calling phone (ANI)
 Date
 Time
 PIN
 Account
 Duration
 Locations
 Single site or Group of sites
 Call attempts
 Just completed calls
Investigators can listen to recordings, within the limits of their security access, using SCP’s
powerful call player. The player includes easy-to-use search capabilities, and features such as
pause and fast-forward. A visual waveform helps investigators bypass areas of limited talk time
and to quickly identify particular events.
When listening to a recording, the audio is “streamed” to the user’s computer. This safeguards the
original recording. Chain of Evidence safeguards prevent access to the original recording to
eliminate any chance of intentional or accidental manipulation or deletion.
Calls less than one year old can be retrieved within the requested timeframe. Call recordings that
are marked “store for life of contract“, could take slightly longer to retrieve because of the
required data mining.
Equipment and Network Access
Network access and all equipment or software required allowing DOCCS to
monitor, retrieve, playback, and store recordings to removable media, or print local
reports shall be provided by the vendor. All removable media must be encrypted by
the proposed system. Any equipment to be deployed must be approved by DOCCS.
DOCCS currently has approximately one workstation per facility and approximately
67 remote workstations with this capability. DOCCS reserves the right to add
additional workstations at no additional cost to DOCCS.

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Describe all alternative methods available to access and monitor live and
recorded calls from portable devices, including but not limited to, laptops,
tablets, and smart-phones. Include all system features available and all
standard system features not available through these devices. Identify how
access from these devices is authenticated, managed, identified and tracked
and the security features associated with each type of access.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Remote access allows DOCCS users the same features and functionalities permitted by the user’s
level of access, available on a Securus-provided workstation.
Because the recording and monitoring applications are fully integrated into the system, our
Inmate Telephone System is extremely user friendly. The system allows for remote access by
other agencies, such as the local PD’s, without residing on DOCCS network. Any authorized user
with an approved user name and password can easily and remotely access recording and
monitoring of inmate calls from any inter net connected PC. The system automatically provides
the encryption that is used on removable media data, and ensures court-admissibility. Securus
will work with DOCCS to have all deployed equipment authorized and approved in advance of
implementation.
Historically, Securus features have relied upon the Microsoft Internet Explorer web browser;
however, as the needs of our users have changed, and access methods have advanced, Securus
is once again rising to meet these needs. Our dedicated team of developers continues to work
tirelessly to ensure the Securus solution is not tied to one particular device or browser.

User Interface Flexibility
Securus has designed and developed the user interface of SCP to function in most web browsers
and on nearly all internet-connected devices. Because there are differences in software and
hardware specifications across the various providers, Securus has included a basic list below that
outlines the capabilities available for each. Using these browsers, users can access the software
and perform their authorized functions from a multitude of devices including laptops,
smartphones, tablets and iPads. This access is provided in a similar fashion regardless of the
device, ensuring the absolute best user experience. From each of these devices, a user simply
opens a browser, navigates to http:www.commandcenter.securustech.net and enters their
username and password. The following charts depict basic functionality available with each type,
but are not intended to be a comprehensive list. It should also be noted that the audit trail
(tracking) and security features for each user are exactly the same, whether using a laptop,
desktop or mobile device.

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Opera, Chrome, and Firefox Brower Playback Capabilities
Function
Description
Supported ?
Playback audio recordings from CDR, Call Tracker,
Audio Recording
nformant Line, Emergency Call, Covert Alert, Officer
Playback
Check In reports, and Basic and Advanced audio
recording
Video Recording
Playback video recordings from CDR report (CT DOC
Playback
functionality) (requires QuickTime)

Clips Playback

Playback clips created for Pre recorded Name,
Voice Biometric utterances, Advanced CrimeTip

Live Call Monitoring

Listen to a call during Live Call Monitoring

Function
Create CD Image

CD/DVD Recording Capabilities
Browser /
Internet
iPad
Android

New Browsers

Download CD Image
Send CD Image
via Email
Open CD Image
Playback from
CD HTML page
Although the software is now available for multiple browsers, the official browser for the SCP UI
remains Internet Explorer.

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Access to Recordings
Access to live monitoring or recordings must be controlled by a multi-level password
authentication that provides at least the following differentiating functionality:
• listening to live conversations only
• listening to live or recorded conversations with the ability to store to removable
media
Describe how your solution will meet or exceed these requirements.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Call Platform (SCP) provides an advanced, multi-level password scheme
specifically designed to provide facility administrators the ability to assign unique levels of access
to anyone using the different features of the SCP. There are view and change options for each
module depending on the need of the user. This allows administrators to give users permissions
to only listen to live conversations or, perhaps, to listen to both live and recorded conversations
and control the ability to store them to removable media.

Manage, Create, Edit, Predefine User Levels in SCP

The administrator may modify the initial access levels or create additional levels based on facility
clearance objectives for each tool. SCP generates a user log with the user name, time of access,
and modules accessed.

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Create New Security Templates

Additional Password Policy Options
SCP provides flexible Password Policy options, enabling administrators to customize login
security to meet their needs. Passwords can be configured by location, length, days to expire, and
even the number of password cycles before password reuse. Additional configuration options
include reminders for password expiration and minutes of allowable inactivity before session
timeout.
If a user does not change their password before expiration, the user must contact the site
administrator for password reset. This administrator assigns a random password and requires
the user to create a new password when they log in.

Password Configuration Options in SCP

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The “Forgot Your Password” feature available from the login screen offers online support for
users who have forgotten their password. System security requires users to provide the correct
answers to preset questions before their password can is reset. Once a new password is created,
SCP emails confirmation to the address linked to the user ID.
Call Monitoring Suppression
DOCCS desires the ability to disable real-time call monitoring of calls made to
specific speed dial numbers (e.g. *77) or 10-digit numbers at the facility and system
level. Disabling call monitoring must not prevent these calls from being recorded.
Describe how your solution can provide this capability.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides the ability to disable real-time monitoring of calls made to specific speed dial
numbers or 10 digit numbers, while also recording calls to these numbers.
Utilizing the capabilities in the Global List section of the SCP user interface, an authorized user
can enter a specific number or speed dial, create a Covert Alert and then mark the “Hide Call”
option. This option allows calls to be placed to the number and recorded, but will hide the call
events from the Monitoring screen.

Systems Management
The contractor must provide the following system management functions.
proposed solution meets each of the following requirements in this section.

Describe how your

3.2.1
Fault Management
The bidder’s solution must provide fault management capabilities that recognize, isolate, correct
and log faults that occur in the system. The vendor must provide DOCCS with real time on-line
notification of all systems alerts and alarms including the status of all incidents.
Describe the capabilities, functionality and visibility that DOCCS will have with your fault
management offering and the functionality of your fault management solution.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides highly reliable service from initial system design and installation through
ongoing maintenance and support. Our service and maintenance program includes integrated
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remote programming, diagnostics, downloading, and troubleshooting capabilities. Securus does
not charge for maintenance, support, training, and repair of system software and equipment.

24x7x365 Service and Support
The SCP platform provides continuous online supervision and diagnostics — as well as offline
system access — for advanced programming, diagnostics, troubleshooting, and call traffic
analysis. Securus proactively identifies potential software, hardware and network abnormalities
using the SolarWinds® suite of performance monitors along with custom developed machine
data analysis software that provides operational intelligence. These monitoring and
measurement tools provide insights that allow Securus personnel to monitor all hardware,
software and network components continuously. The Securus service center personnel can also
access the SCP advanced diagnostics and program control for failure reports, service history, and
other diagnostic information.
This state of the art monitoring system has reporting and alarming capabilities that allows
Securus to configure customized trigger conditions to send notifications to DOCCS in the form of
Email notifications, SMS, SNMP Traps, File Logging, Syslog messaging, Script execution etc.

Network Operation Center
The Securus employees continuously monitor our Secure Calling Platform (SCP) from our
Network Operations Center (NOC) headquartered in Dallas, Texas. The NOC is staffed 24x7x365
by network experts certified in the systems and software used to monitor all SCP functions and
equipment, as well as the associated network. The NOC maintains failure reports, service history,
and other diagnostic information, which are available to DOCCS when requested.
The SCP platform provides continuous online supervision and diagnostics — as well as offline
system access — for advanced programming, diagnostics, troubleshooting, and call traffic
analysis. The Securus service center personnel can access the SCP advanced diagnostics and
program control for failure reports, service history, and other diagnostic information.
The NOC reports any actions required to prevent or repair any outages to each Securus
employee supporting DOCCS. Securus will follow DOCCS protocols for communicating outages or
repair actions in the unlikely event they occur.

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Securus Network Operations Center in Dallas, TX

Premium Network Monitoring Capabilities
Securus proactively identifies potential system and network abnormalities through SolarWinds®
suite of network performance monitors. This software allows Securus personnel to monitor all
hardware, software and system metrics continuously.
Through network monitoring Securus can:


Proactively repair systems to prevent outages. Many times corrections are made
before a facility is aware of a problem. This means less downtime and increased system
reliability for the facility.



Alert remote or on-site engineers of system threshold inconsistencies or alarms.
The NOC communicates with engineers through e-mail, short message service (SMS), or
directly through a wireless phone to address the issue.



Receive real-time alerts when the system detects an error. Monitoring identifies if
network elements exceeded established thresholds and alerts Securus personnel of
possible carrier network issues.



Ensure sufficient resources are in place. The Securus capacity engineering team
reviews call traffic volume reports and storage requirements throughout all systems to
ensure sufficient network capacity.



Centrally monitor calling traffic to determine increases or decreases in the number
of telephones. With DOCCS agreement, the service and operations team will install
additional telephones when required.

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Remote Programming, Diagnostics, and Troubleshooting
The Securus NOC continuously monitors the SCP platform and our network. If the NOC observes
a failure/trouble in any of the platform components, it can escalate the issue to the Technical
Support Center (TSC) for resolving the issue. This action could involve dispatching a Field Services
Technician to a DOCCS facility.

Technical Support Center
In 2009, Securus made a strategic decision to centralize management of all technical support.
Today, Securus provides superior customer service capabilities from a state-of-the-art technical
support center located in Dallas, Texas.
Approximately 50 technical professionals staff the Securus Technical Support Center (TSC) which
handles approximately 8,000 inbound queries per month. The TSC provides a single-point-ofcontact for Securus customers for issues ranging from minor maintenance issues to service
outages. Clients can contact the TSC 24x7x365 by any of the following convenient methods:


Telephone – 866-558-2323



E-Mail – technicalsupport@securustech.net



Fax – 800-368-3168



Web portal - http://www.securustech.net/facility/Default.asp

The technical service center offers our clients:


Technical support and field dispatch 24x7x365



Fully trained staff of support professionals to answer calls



Trained professionals to provide quick problem resolution and a higher level of customer
service



Service event tracking to drive resolutions



Prioritized calls and analyzed reports to ensure achievement of Service Level Agreements



Certified technicians to provide quick problem resolution



System and individual site connectivity monitored 24x7x365

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24x7x365 Securus Technical Support Center

Securus technicians receive internal Securus certifications, based on our business and the
products and services we support.

Service Levels
When a facility calls Securus, an event tracking system assigns a trouble ticket, with one of three
initial priority levels—P1, P2, or P3. Each level is designed to address specific system events and
has a prescribed resolution timeline and escalation procedure. In all cases, Technical Support will
respond to the customer within the required timeframe.

Priority 1 Service Level (DOCCS Levels 1 & 2)
A Priority 1 (P1) assignment—our highest priority assignment—occurs when a system event
adversely affects 30 percent or more of system functionality. Examples of P1 service assignments
include:


Voice prompts not operating



Features are not operating appropriately



CD-burning abilities disabled



Live call monitoring is not operating appropriately



SCP access denied



All phones out-of-service

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The response time for a P1 event is two hours. If a dispatch is not required, Securus notifies
the facility upon issue resolution. If a dispatch is required, Securus contacts the facility and
provides an estimated time of arrival.
A P1 event escalates to:


Technical Support Department



Technical Support Manager



Technical Support Director



Regional Field Manager



Executive Director of Service

If the problem resolution is delayed, escalation procedures within the Securus Management
Team are activated to ensure appropriate resources are allocated to resolve the problem.

Priority 2 Service Level (DOCCS Levels 3 & 4)
A Priority 2 (P2) assignment—our mid-level priority assignment—occurs when a system event
adversely affects 5 to 29 percent of system functionality. Examples of a P2 service assignment
include problems or errors with related to:


Workstation



Specific system ports



Local Exchange Carrier (LEC) circuits



Unblocks



Blocked numbers



Missing call detail records (CDRs)



Call searching

The response time for a P2 event is 24 hours. If a dispatch is not required, Securus notifies the
facility upon issue resolution. If a dispatch is required, Securus contacts the facility and provides
an estimated time of arrival.
P2 events escalate to the Technical Support Department.

Priority 3 Service Level (DOCCS Level 5)
A Priority 3 (P3) assignment—our lowest priority assignment—occurs when a system event
adversely affects 5 percent or less of system functionality. System events adversely affecting
some of available facility phones. Examples of P3 service assignments include:


Static on the phone



A party’s inability to hear



An inmate’s inability to dial

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

A broken phone



Non-functioning dial pad



Non-functioning cutoff switches



An inability to generate reports

The response time for a P3 event is 72 hours. If a dispatch is not required, Securus notifies the
facility upon issue resolution. If a dispatch is required, Securus contacts the facility and provides
an estimated time of arrival.
P3 events escalate to the Technical Support Department.

Escalations
If a dispatch is not required, Securus notifies the facility upon issue resolution. If a dispatch is
required, Securus contacts the facility and provides an estimated time of arrival.
The supervisory escalation chain is:
•

Technical Support Department

•

Technical Support Manager

•

Technical Support Director

•

Regional Field Manager

•

VP Service and Technical Operations

Centralized Services Operations Model
All Securus services and operations are managed centrally, from our Service and Operations
organization in Dallas, Texas. The Operations team’s responsibility is supporting external
customers, including Customer Service, Field Services, Installation and Engineering, and Technical
Support. The Support Services team provides internal support services including Quality, Training
and Customer Satisfaction, and Reporting and Analysis.
The following figure illustrates the Securus Service and Operations organization, which is staffed
by full-time Securus employees.

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Services and Operations Organization

Securus adopted this operational model because of the natural interaction between functional
groups. Having our support services integrated and centrally managed enables cross-functional
group interaction, improving the response time, and efficiencies of our services.

Call Routing
The TSC manages the flow of inbound calls through a call distribution system that routes calls
directly to our support technicians in a skills-based, platform specific manner. Securus establishes
response times and service level agreements that accomplish our key objective of providing
timely resolution to each request. Service calls are answered 24x7x365 by live technicians to
provide timely and quality customer service.

Trouble Ticketing Process

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In all instances, service will be requested through the TSC and field service personnel will be
dispatched through trouble ticketing system to ensure documentation and timely resolution of all
service tickets.

Event Tracking System
The Securus event tracking system logs, tracks, manages, and assures an appropriate response to
all service requests. The service request generates a unique trouble ticket number linked to each
facility’s service history and provides real-time updates. Each ticket has a priority level
assignment, which drives diagnosis and response processes. The support technician performs
initial problem diagnosis and isolation procedures, determines the nature of the problem, and
resolves the problem or engages the appropriate party for problem resolution.
The TSC maintains ownership of all service requests and responsibility for the escalation and
update functions. Every effort is made to resolve problems remotely and within the framework of
resolution timeframes. However, if the problem requires on-site service, a technician is
dispatched. Securus will contact the facility to arrange for the on-site service at the convenience
of the facility.
DOCCS facilities can also open and track trouble tickets through our convenient facility portal.

Facility Portal
Securus provides customer facilities with one of the only anywhere, anytime, single-point-ofaccess customer portals in the industry. Approved & authenticated users can access all calling
activity, including all call detail reports. The Facility Portal also serves as the user interface to the
Securus electronic trouble ticket system. Authorized users can initiate trouble tickets for repairs,
track the real-time ticket status, and generate current and historical reports of trouble tickets with
the Facility Portal. The facility Portal generates a tracking number for each ticket opened. Users
can search for service tickets by ticket number or by date search. All updates are sent
electronically in real-time to the originator of the ticket, as well as to DOCCS designee.

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Clicking the ticket number in the service history generates a report with ticket detail. Users can
review all the notes and the final resolution of any closed ticket at any time. If the ticket is
currently open, users can create a new journal note. Consent to close a ticket can also be
performed using the notes section.
Example of ticket detail:

Ticket Detail

Facility Portal Reports
DOCCS users can view or download several reports from the Facility Portal:
•

Calling Activity Report – This report provides details on the number and type of calls
made from a telephone number at the facility.

•

Call Type Summary Report – This report provides details on the number and type of
calls made from a specific telephone number at the facility. Calls will be broken down by
local, intraLATA, interLATA and interstate.

•

Daily Call Volume Snapshot – This report shows a daily snapshot of calls and minutes
compared to the daily average

•

Monthly Call Frequency Chart – This chart details the most frequently called numbers
from the facility.

•

Preliminary Monthly Revenue Report – This report details all calls, minutes and
revenue for a specific date range.

•

Preliminary Daily Revenue – This report details all calls, minutes, and revenue for a
specific date.

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•

Investigation Tool – This tool allows for tracking of a specific dialed number from any of
the approximately 2,600 facilities serviced by Securus.

The Securus Field Services Team
The Securus Field Services organization is one of the largest in the inmate phone system industry.
Our team consists of approximately 150 Field Service Technicians (FSTs) located throughout the
United States, including a team to support the systems in New York. Our teams have expanded
based on our growing customer needs.
Our field services team installs and maintains inmate phone systems for approximately 2,600
facilities and a million inmates in 47 states. The Securus Field Operations Director manages three
Regional Service Managers who possess more than 60 years of combined field service
experience.

Field Service Technicians
Securus requires that all FSTs have an extensive telecommunications background and tests each
applicant before employment. Additionally, FSTs receive extensive Securus training and
certifications to support our product offerings.
FSTs respond to critical issues within four hours (or less if required by specific DOCCS
requirements). The technician is required to follow a structured technical and management
escalation process if they are unable to isolate the problem within four hours. Our integrated
support model keeps our centralized technical support team engaged through problem
resolution. FSTs and the technical support team have direct access to product and development
engineers, enabling them to expedite repairs and minimize customer downtime.
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site or in
their truck. If a technician does not have a required part, Securus will drop-ship the item to the
site. Securus will ship counter-to-counter on the same day in critical situations.

Field Service Manager
In addition to FSTs, Securus customers are supported by field service managers who:
•

Conduct remote visits via phone bimonthly. Based on information obtained from call, a
trouble ticket may be opened

•

Work with the account team quarterly to evaluate contract progress with DOCCS

•

Provide the facility with applicable site information that assists them based on the
account profile

•

Monitor ticket traffic

•

Resolve escalation issues, as needed.

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3.2.2
Configuration Management
The vendor must provide configuration management capabilities that include the provisioning of
devices, systems administration, gathering and storing of configuration data, managing version
control, tracking and scheduling of changes, and the assignment of permissions to access
system investigative features. Access to all system functions will be restricted to users
authorized by DOCCS. Each authorized user must have a unique user-ID and password.
Describe the functionality of your configuration management solution, including the
capabilities and functionality that DOCCS will have with your offering.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus will maintain a history report of each system change, which will include date and time of
the change, facilities affected, changes implemented, testing complete date and date of change
accepted by DOCCS.
Securus’ Change Control Process is the responsibility of our internal Change Control Board (CCB)
spearheaded by the IT Change Control Board Coordinator. All changes are requested by opening
an Engineering Change Request using an automated system. The following steps are then
followed to ensure the requested change, if approved, is properly implemented. These steps also
apply to configuration management of feature functionality, version control, and access to
system investigative features specific to DOCCS.
Record/Classify
A change is only initiated as a result of a formal request for something to be changed. The change
control team then records and categorizes that request. This categorization would include
estimates of importance, impact, and complexity.
Assess
An impact assessor or assessors are assigned to analyze the level of risk associated with the
change by answering a set of questions concerning risk, both to the business and to the process,
and follow this by making a judgment on who should carry out the change. If the change requires
more than one type of assessment, the head of the change control team will consolidate these.
Everyone with a stake in the change will meet to determine whether there is a business or
technical justification for the change. The change is then sent to the delivery team for planning.
Plan
The Securus Change Control Board Coordinator will assign the change to a specific delivery team,
usually one with the specific role of carrying out this particular type of change. The team's first
job is to plan the change in detail as well as construct a regression plan in case the change needs
to be backed out.
Build/Test
If all stakeholders agree with the plan, the delivery team will build the solution, which will then be
tested. They will then seek approval and request a time and date to carry out the implementation
phase.
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Implement
Changes effecting service at customer’s facilities are scheduled to only take place when the
inmate calling systems are not generally in use, usually between 1:00 AM and 6:00 AM, Central
Time. All stakeholders must agree to a time, date, and benefits of implementation. Following
implementation, a post-implementation review takes place to review the quality of change
implementation, best practices and to adjust implementation procedures for future changes if
required.
Close/Gain Acceptance
When all stakeholders agree that the change was implemented correctly, the Engineering Change
Request is officially closed.
The Securus Secure Call Platform (SCP) provides an advanced, multi-level password scheme
specifically designed to provide facility administrators the ability to assign unique levels of access
to anyone using the different features of the SCP. There are view and change options for each
module depending on the need of the user.

Manage, Create, Edit, Predefine User Levels in SCP

The administrator may modify the initial access levels or create additional levels based on facility
clearance objectives for each tool. SCP generates a user log with the user name, time of access,
and modules accessed.

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Create New Security Templates

Additional Password Policy Options
SCP provides flexible Password Policy options, enabling administrators to customize login
security to meet their needs. Passwords can be configured by location, length, days to expire, and
even the number of password cycles before password reuse. Additional configuration options
include reminders for password expiration and minutes of allowable inactivity before session
timeout.
If a user does not change their password before expiration, the user must contact the site
administrator for password reset. This administrator assigns a random password and requires
the user to create a new password when they log in.

Password Configuration Options in SCP

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The “Forgot Your Password” feature available from the login screen offers online support for
users who have forgotten their password. System security requires users to provide the correct
answers to preset questions before their password can is reset. Once a new password is created,
SCP emails confirmation to the address linked to the user ID.
Provisioning and Active Directory
DOCCS provisions authorized users and applies permissions to investigative and
control features on a case-by-case basis. The State’s goal is to automate
provisioning using role-based access stored within the State’s Active Directory
structure.
Describe how Active Directory may be leveraged to automate this function
within your solution.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Our customer facing applications use a combination of Microsoft Active Directory and Databases
for authorization and authentication controls. This combination of technologies helps us ensure
secure authentication practices in our environment for customer peace of mind. Securus
employs strong access control policies and controls based on the NIST guidelines to prevent
unauthorized data access. Securus enforces the practice of separation of duties and the concept
of least privilege. Since our infrastructure is a self-contained and secure environment, integration
will not be possible as we do not allow external entities to interface with our Active Directory
structure, nor does it support SSO (single sign-on).
Securus takes the security and access to our software/application very seriously and hence have
implemented one of the strongest controls in the industry. Access to business information
systems is provided based on the job functions of each employee using the principle of least
privilege. When an individual requires elevated entitlements, a request is submitted to the
Information Security Office for review. Once the business owner (or approved delegate) approves
the request, the elevated access is granted either by creating a new account or by modifying a
current account. The access is then communicated to the end user and tracked by the
Information Security Office. Securus access controls for all systems are audited for compliancy
with the following accreditations/certification:
• SSAE16; (SOC1, SAS70): Statement on Standards for Attestation Engagements (SSAE)
No. 16, Reporting on Controls at a Service Organization
• PCI: The security standards are developed by the Payment Card Industry Security
Standards Council
• SOX: The Sarbanes–Oxley Act of 2002, is a United States federal law that set new or
enhanced standards for all U.S. public company boards, management and public
accounting firms.

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The applicability and adherence to access policies are applied across all systems with regular
frequency control (Daily, Weekly, Quarterly, Semi-annual, and Annual) and overall Security
protocol process flow is audited on a yearly basis.

3.2.3
Accounting Management
The vendor must provide accounting management capabilities that at a minimum provide
account verification and correction, billing assurance and reconciliation and tracing of customer
payment, credit and call limit/blocking status and history. On a monthly basis, the vendor must
provide a billing reconciliation file to DOCCS as described in Attachment D.
Describe the functionality of your solution, including the capabilities and functionality
that DOCCS will have with your offering.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides its customers with a fully featured and functional customer account
management suite of services. The management of customer accounts is a vital component of
our commitment to complete more telephone calls than other vendors. Our 250+ seat customer
service center, located in Dallas, Texas, is staffed by highly trained associates that handle all
account verification and corrections as well as billing assurance and reconciliation. Through these
associates, Securus handles thousands of customer interactions per day, including tracing of
customer payment, credit, call limit/blocking and history. Securus commits to bring our extensive
experience in this area to handle DOCCS account and will provide the required monthly reports
and billing reconciliation as described in Attachment D, within the legal and regulatory
parameters that govern Customer privacy.
DOCCS will benefit from Securus’ certifications as to the accuracy, security, and control processes
that have been validated by third-party experts. Securus complies with all of the accounting
management and billing assurance requirements outlined above.

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Securus Online
Inmate friends and family members can manage all phone services, video visitation services, and
email services from www.secrusutech.net/friends or www.securustechnologies.com.

Securus Online

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Account Verification and Correction

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Billing Assurance and Reconciliation

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Customer Payment and Credit

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Call Limit / Blocking Status and History

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All Apple and Android smart phones and tablet devices can access Securus Online. Securus has
optimized our online experience for mobile devices. Users can make payments and view
transaction histories as well as sign up for new services; features not available from other inmate
telephone service providers.
Securus sends low balance AdvanceConnect account notifications via text to a mobile device or
an email address provided by the user. Securus also sends direct bill invoice due notifications via
text or email.
Securus also has outgoing message phone dialers for “low balance” and “invoice due”
notifications. When they receive one of these calls, users can either fund an account or pay their
bill via our interactive voice response system. If an account has been blocked because funds are
low, or a bill is due, users can unblock their account through this convenient payment method.
Users can also access Securus Online to pay bills and fund accounts.
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Third Party Auditing
DOCCS or its agent shall have the right to audit and review any aspects of the
contractor’s operations and systems including but not limited to data,
documentation, procedures, billing, financial records, customer service statistics,
staff backgrounds and anything related to the functioning, operations, costs, rates
or integrity of the system.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Call Detail Records (CDR)
The vendor must provide all call detail records to DOCCS in a frequency and format
as specified in Attachment D.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.2.4
Performance Management
The vendor’s solution must provide performance management capabilities to monitor the overall
performance of the ITS and its network components.
Describe all of the following:
•

How you will collect and analyze performance data, monitor system health and reliability,
establish performance thresholds and provide reporting and inquiry functions.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus continuously monitors all data centers, infrastructure components, platform systems
and Inmate Telephone Systems (ITS) using the SolarWinds® suite of network performance
monitors. The SolarWinds® performance monitors are highly configurable to provide real-time
monitoring, event notification, alert history and statistical information. An alarm condition
creates immediate visual alerts and email notifications.

Network Operations Center (NOC)
The Securus Network Operations Center (NOC) provides 24x7x365 monitoring for all Securus
systems, including SCP, network, back-office systems and data centers. The NOC proactively
monitors these systems to ensure performance is optimal and uninterrupted. In addition to
system and network level monitoring, the NOC also monitors real-time video surveillance and
environmental alerts for our data centers. Securus maintains a fully redundant backup NOC at a
separate physical location, should services be disrupted at the primary location.

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SolarWinds® Typical Monitored System & Application Elements

Premise Equipment
The Securus Technical Support team provides 24x7x365 monitoring of all facility-based
equipment and directly supports facility installations via telephone and email. Technical Support
monitors connectivity for all installations and all installed equipment including Integrated Access
Devices (IADs), Visitation Phone Monitoring (VPM) units, switches and Uninterrupted Power
Supply (UPS) systems. The systems are polled every two minutes to ensure and their vital
operating statistics sent every 10 minutes. Upon receiving an alert indicating network failure,
Securus will open a trouble ticket with the appropriate circuit provider. In the case of a premisebased equipment failure, a Securus Field Technician is dispatched to the facility for on-site repair.

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SolarWinds® Device Monitoring Example

In addition to real-time monitoring and alerting, Securus Technical Support also leverages
the SolarWinds® network performance monitor to gather and evaluate historical data for
network alerts, bandwidth usage, and packet loss and hardware performance. The
detailed level of monitoring available via our network performance monitor allows the
Technical Support group to take proactive steps to prevent or mitigate facility outages and
to ensure the correct resources are engaged if dispatch is necessary.

Infrastructure Inspections
System Administrators make scheduled inspections of all systems and routinely perform
preventive maintenance and software enhancements as directed by a Production Change Control
steering group. Additionally, change control practices have been reviewed and are compliant with
Sarbanes-Oxley.

Securus Calling Platform Provisioning Standards
All Securus calling platforms interface with industry standard analog and digital provisioned
telephony circuits, such as the following services:


POTS (plain old telephone service)



ISDN (Integrated Services Digital Network)

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

PRI (Primary Rate Interface)



DS-1/T-1 (Digital signal 1, also known as T1)



DS-3 (Digital Signal 3)

The PRIs (Primary Rate Interfaces) provide detailed information for advanced call routing and call
progression and enforce outgoing service for our legacy platforms. Our centralized, packet-based
platform, called Secure Call Platform (SCP) uses MPLS (Multiprotocol Label Switching) circuits, DSL
(Digital Subscriber Line), and POTS lines.
The following are a few examples of the NOC monitoring views:

NOC-Monitoring View

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Additional NOC-Monitoring View

•

The capabilities and functionality that DOCCS will have with your offering.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
See Section REQUESTED DOCUMENTATION (page 531)
DOCCS will have many performance management tools and capabilities to monitor the overall
performance and ITS network capabilities, as well as ongoing reporting provided by Securus.
The Facility Portal allows authorized users to perform functions such as managing user and
facility settings, generating administrative reports, ordering materials, and creating and managing
service tickets.
Users can access several standard reports through the Facility Portal:
•

Calling Activity Report - Provides details on the number and type of calls made from a
telephone number at the facility(s)

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•

Call Type Summary Report - Provides details on the number and type of calls made
from a specific telephone number at the facility(s), broken down by local, intraLATA,
interLATA, and interstate

•

Daily Call Volume Snapshot - Shows a daily snapshot of calls and minutes compared to
the daily average

•

Monthly Call Frequency Chart - Details the most frequently called numbers from the
facility

•

Preliminary Monthly Revenue Report - Details all calls, minutes, and revenue for a
specific date range

•

Preliminary Daily Revenue Report - Details all calls, minutes, and revenue for a specific
date

•

Investigation Tool - Allows for tracking of a specific dialed number from any of the
approximately 2,200 facilities serviced by Securus

Facility Portal Access
To access the Securus Facility Portal follow these steps:

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Dashboard
Once logged in users can:


Select a specific facility



Find contact information for the Securus team



View call volumes and open service tickets



Request a password change



View alerts for maintenance times, new user account approvals, special promotions, and
more

Facility Portal Dashboard View

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Managing Users and Facility Settings
The Facility Portal allows facilities to manage user accounts and profiles. Site administrators can
modify existing user accounts, create new accounts, and update facility account information.
Administrator access must be granted by another administrator or by a Securus technical
support representative.

Manage Users

Adding or updating user profiles is easy. Simply click on Add New User in the left menu to create
additional users or click on the edit icon in the user list to modify user information, settings, and
permissions.

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Add User

The facility profile allows users to update facility contact and shipping information. Administrative
access is required to manage this information.

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Facility Profile

After initially creating an account, all new users must be approved by the facility administrator
and Securus Technologies. The facility administrator is prompted by email alerts to approve new
accounts created by the Securus staff. The user receives account approval notification by email.

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Mandatory Functions
For each function listed in this section, the bidder must describe in detail, and provide a detailed callflow diagram where specified, illustrating how its proposed solution will meet DOCCS’ requirements.
3.3.1
Alert Groups
The system shall allow authorized users the capability of flagging specific terminating numbers
(TN) or personal identification numbers (PIN) to be placed on a watch list. When a call in
progress is detected to/from any number on the watch list, the system shall optionally attempt to
bridge the call with a pre-determined group of numbers to allow remote undetected monitoring
of the call. The bridged party shall be informed of the origination PIN or TN and enter a security
pass code to actively monitor the call.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Call Platform (SCP) provides authorized users the ability to apply a “watch”
flag on any phone number. SCP will provide an indication in the live monitoring report when an
inmate phone calls a watch phone number. SCP also provides the capability to search for calls
made to numbers marked as watched.
The Secure Call Platform (SCP) includes the Covert Alert feature that will call an investigator on
their cellular or another phone when a specific inmate places a call and offer them real-time
monitoring of that call.

Covert Alert Overview
SCP’s Covert Alert feature enables DOCCS to assign a “Covert Alert” status to inmate PINs,
phones, or dialed numbers. When a call with a Covert Alert status takes place, SCP connects it to
an investigator’s phone number, allowing real-time monitoring of the call.

Summary of Additional Covert Alert Features
 Covert Alert can send calls to multiple phone numbers simultaneously, allowing multiple
investigators to monitor a call.
 Covert Alert can send calls to any phone number within the facility or across the United
States.
 For extra security, Coverts Alert can be configured to require a PIN to listen to the call. If
activated, a customizable message will state, for example, “This is a Covert Alert call from
John Smith, an inmate at the Lincoln Correctional Facility. To accept this Covert Alert call,
please enter your investigator PIN now.”
 Covert Alert can send E-mails to the investigator(s) with information about a Covert Alert
call including date, time, inmate PIN, originating telephone, and dialed number
immediately after the called party accepts the call.
 Covert Alert mutes the investigator telephone, so the inmate and the called party are not
alerted to call monitoring.

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Covert Alert Used with Other SCP Features
Covert Alert is an invaluable tool for investigators, allowing them to monitor live conversations of
inmates and called parties from anywhere in the world while they are taking place. This feature
can be used in conjunction with many other SCP features to enhance investigations. Examples
include:
 Billing Name and Address Lookup – Investigators can run a Covert Alert report in SCP and
click on the dialed number to access a pop-up box providing the billing name and address
of the dialed number. This turns a simple phone number into usable data. By using
simple mapping features, investigators can even view the address on a map.
 Call Tracker – Investigators can run a Covert Alert call and then add it to an investigation
or case through Call Tracker. From there, staff can add a tracking number, gang affiliation,
and any other notes to the call. Additionally, this feature allows authorized users to either
keep the note private or selectively share the note with other users. Users can also view
previous notes associated with the same call from the easy to use notes screen.
 Security Templates and System Logs – Use Security Templates to customize Covert Alert
security. Investigators can be authorized to view all reported Covert Alert events in SCP
or only those forwarded to their phone numbers. Administrators can view and manage
user activity of Covert Alert reports and recordings through user-friendly System Logs.
•

Describe how your proposed solution will buffer or delay the monitored calls’ audio
to allow DOCCS’ staff to hear the entire call.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The feature’s integrated media player has a time shifting (buffer or delay) capability enabling the
investigator to pause, rewind and replay the entire call even as recording continues. The
investigator can replay any part of the conversation even after the call has ended. The media
player automatically buffers the entire call, allowing the user to have complete control to move
forward and backward through the call audio to either hear the entire call or focus on a specific
portion of a call. This is accomplished using a simple click and drag method, along with audio
controls such as Play, Pause and Stop.
SCP also allows authorized users to forward a call to an investigator and quickly identify calling
patterns to the currently called number or phone in use.

•

Explain how this buffer or delay can be adjusted and provide the parameters
available for the adjustments.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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The Securus Secure Call Platform (SCP) allows authorized users to live monitor calls in progress
via any device connected to the Internet. The feature’s integrated media player has a time
shifting capability enabling the investigator to pause, rewind and replay even as recording
continues. The investigator can replay any part of the conversation even after the call has ended.
The media player automatically buffers the entire call, allowing the user to have complete control
to move forward and backward through the call audio to either hear the entire call or focus on a
specific portion of a call. This is accomplished using a simple click and drag method, along with
audio controls such as Play, Pause and Stop.
SCP also allows authorized users to forward a call to an investigator and quickly identify calling
patterns to the currently called number or phone in use.
•

In addition to the written description, provide a call-flow diagram detailing the
entire process from the time that the inmate goes off-hook through call termination.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

SCP Call Flow

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3.3.2
Pre-recorded Names
The system shall prompt the inmate to record his/her name when a PIN is first used. The system
must provide the ability for an inmate to playback the recorded name and rerecord the name
prior to accepting the recording. Once the recording is accepted, the inmate shall not have the
ability to modify or erase the recording without action by DOCCS to review and delete the original
recording. The recorded name shall be used in all subsequent announcements made to the
called party.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.3.3
Access to Rape Crisis Programs
The Department must enable reasonable communication between inmates and Rape Crisis
Programs, in as confidential a manner as possible. Based upon the model currently being tested
through a pilot program, the Department has entered into cooperative agreements with regional
Rape Crisis Programs to permit direct telephone access from the inmate phone system, as well
as follow-up services via staff assisted calls and legal visits. The Department anticipates building
on this model, but must be flexible as providers change.
In the future, DOCCS anticipates continuation and expansion of a pilot project model that permits
inmates to dial a speed dial (#77) to be routed to a designated Rape Crisis Program. DOCCS
expects to designate additional numbers that can be direct dialed by any inmate either at
selected facilities or at all facilities.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
A. The Department requires the ability to continue its current model of designating a
destination number for a standardized speed dial. Inmates in any facility will be permitted
to dial #77 and have their call routed to a predetermined Rape Crisis Program based upon
the facility they are in at the time of the call.
1. The Department requires the ability to change the destination number when
providers change.
2. Calls placed via #77 will be free of charge.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

B. In addition, the Department requires the ability to designate certain telephone numbers as
“free” calls that can be dialed by any inmate at a designated facility or facilities, or at all
facilities.
1. Designated numbers may include direct dial (e.g., 518-xxx-xxxx) or toll free (e.g.,
800-xxx-xxxx) numbers.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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2. The Department needs the ability to add or delete individual numbers or groups of
numbers from this list throughout the life of the contract.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
C. For all numbers (those associated with the #77 speed dials and other designated Rape
Crisis Program telephone numbers), DOCCS requires the ability to indicate that call detail
records should be suppressed from view at the facility level.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
D. The default for these numbers would be that both call detail information and monitoring at
the facility level is suppressed. However, DOCCS should be able to independently change
each of these rules for each telephone numbers. Call detail information will not be
suppressed from certain Central Office level reports.
In all cases, calls are recorded and accessible to Central Office investigators (e.g., Office
of Special Investigations).
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.3.4
Access to Toll-Free Assistance Lines
The Department requires the ability to designate certain telephone numbers as “free” calls (e.g.
smokers’ quit line, substance abuse help line, etc.) that can be dialed by any inmate using an
agreed upon speed dial number at a designated facility or facilities, or at all facilities.
Designated numbers may include direct dial (e.g., 518-xxx-xxxx or toll free 800-xxx-xxxx)
numbers. The Department needs the ability to add or delete individual numbers or groups of
numbers from this list throughout the life of the contract. The called number must be hidden from
the inmate at all times.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.3.5
Announcements
Upon delivery of the call, the system must clearly announce to the called party that the call is
from a NYS Correctional Facility, the facility name, and the inmate’s pre-recorded name. The
system shall allow the called party to optionally hear current rates and actively accept or deny
the call by pressing a key on the touch-tone dial pad. The event shall be identified and recorded
in call detail records.
In addition to a written description, provide a call-flow diagram detailing the entire
process from the time that the inmate goes off-hook until call termination.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
SCP is capable of operating in a combination of collect call and debit modes depending on the
facility and the unique needs of DOCCS.

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Specific Inmate Calling Process
The inmate calling process is:
1. The inmate picks up the telephone.
2. The inmate hears “For English press 1.” [In Spanish] For Spanish, press 2.”
(Securus can add additional languages on request)
3. “For a collect call, press 1.”
4. “For a debit call, press 2.”
The following table provides calling options and the associated announcements:

Inmate Calling Options
Inmate Chooses Collect Call
Option

Inmate Chooses Debit Call Option

“Please enter your PIN number now.”
(repeated)

“Please enter your PIN number now.” (repeated)

“Please enter the area code and
telephone number you are calling now.”
(repeated)

“Please enter the area code and telephone number
you are calling now.” (repeated)

If voice biometrics is being used, “You will
be asked to verify your voice now. Please
say your name after the beep.”
If voice biometrics is being used, “Please
say the facility name after the beep.”
“This call is subject to monitoring and
recording. To continue, press 1. To
disconnect, press 2.”
“You may hear silence during the
acceptance of your call. Please continue
to hold.”

“You have (X) dollars and (X) cents.”

“This call will cost (X) dollars and (X) cents for the
first minute and (X) dollars and (X) cents for each
additional minute, plus any applicable telecom and
sales taxes.”
If voice biometrics is being used, “You will be asked
to verify your voice now. Please say your name after
the beep.”
If voice biometrics is being used, “Please say the
facility name after the beep.”
“This call is subject to monitoring and recording. To
continue, press 1. To disconnect press 2.”
“You may hear silence during the acceptance of your
call. Please continue to hold.”

Specific Friends and Family Process
The following table provides the friends and family process when receiving a call, and the
associated announcements:

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Friends and Family Receiving Call Process
Collect Call

Debit Call

“Hello. This is a collect call from (Inmate
Name), an inmate at the (DOCCS facility
name). This call is subject to monitoring and
recording.”

“Hello. This is a debit call from (Inmate Name). An
inmate at the (DOCCS facility name). This call is
subject to monitoring and recording.”

“To accept this collect call press 1. You may
start your conversation now.”

“To accept this debit call press 1. You may start
your conversation now.”

“To refuse this collect call, press 2.”

“To refuse this debit call, press 2.”

“To prevent calls from this facility, press 6.”

“To prevent calls from this facility, press 6.”

“For a rate quote press 7.”

“For a rate quote press 7.”

During the call, random announcements (Voice Overlay) will be heard by both calling and called
parties as designated by DOCCS. At one minute before the maximum call duration, the “One
Minute Remaining” message is played.
The Securus SCP plays Voice Overlay messages throughout the call as an additional fraud
deterrent. The established message may be programmed to play at one-minute increments or
random intervals. An example of a Voice Overlay message is “This call is from (DOCCS facility
name).”

SCP Call Flow

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3.3.6
Automatic Number Identification
The Automatic Number Identifier (ANI) for all ITS calls must identify to the called party both New
York State Department of Corrections and Community Services and the specific correctional
facility name from which the call originated. DOCCS requires a unique ten-digit telephone
number be used to identify each of its correctional facilities to the called party and, the ten-digit
numbers used for ANI be phantom telephone numbers incapable of receiving incoming calls.
The unique telephone station identifier (i.e. extension number, port assignment, or location) used
to identify the individual ITS telephones within a facility must not be used as part of the ANI
information transmitted to the called party.
Describe how this capability will be provided.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
To ensure maximum security to the system, Securus provisions the trunks in the SCP data center
as outgoing-only; ensuring that no incoming calls can reach the inmate. Securus has performed
full testing of these trunks, verifying compliance with this requirement. Each outgoing trunk for
the DOCCS system will be assigned a specific ANI that will be associated with, and identify, the
individual DOCCS facility from which calls have originated. This is configured by Securus staff
during the project implementation and can be changed by our technicians should a need arise
during the contract term. Because these are phantom ANI’s, they are provisioned so that they are
not capable of receiving incoming calls. Additionally, these phantom ANI’s will not be utilized in
the identification or port assignment with respect to any inmate telephone on the system.

3.3.7
Billing Name and Address Lookup
The system shall allow authorized DOCCS’ staff to perform billing name and address lookup of
the called party number using at a minimum the Local Exchange Carrier (LEC) Line Information
Data Base (LIDB.)
Describe how this capability will be provided and any additional capabilities that are
available.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Call Platform (SCP) reverse lookup feature identifies the billing name and
address (BNA) of a dialed phone number captured in a call detail record. Users can easily point,
click, and initiate a BNA search for the number in private and external data sources. This search
process is unique in the industry, providing the most accurate BNA information possible.

Billing Name and Address Lookup
When the search returns a positive match for a destination phone number, a pop-up box appears
on the screen with phone number’s billing name, billing address, and the date the number was
last verified. Unlike other similar tools in the industry today, the Securus fully-integrated reverse
lookup feature is provided at no additional cost.
Reverse lookup allows users to access results from anywhere the number exists in SCP such as:
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3.3.8
Class of Restriction (COR)
The ability to apply restrictions to individual phones shall be based on a COR associated
with each telephone. The vendor must support at a minimum the ability to restrict phones
with the following levels:
Level

Pin

Action
Calling list required

Level 1

Required
Disciplinary hold applies
Calling list required

Level 2

Required

Disciplinary hold does not
apply
Calling list not Required

Level 3

Required

Disciplinary hold does not
apply

Describe how this capability will be provided.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Calling Restrictions enable control of calling activity— such as call durations— by inmate, by port,
by multiple phone groups, by customer, or by facility. The facility can set a maximum time limit
for any call type or all calls related to an individual PIN or all PINs. Users can assign multiple
restrictions to any PIN or telephone number associated with a PIN.
Examples of restrictions are:


Personal Allowed Number (PAN) list required/not required



Maximum duration of a call for PIN



Maximum number of calls from that PIN per day/week/month.

All imposed calling restrictions are automatically managed by the calling platform to relieve
facility staff of calling restriction maintenance responsibilities.
If restraining orders or called party financial conditions require a limit to the length of time or
monthly cost of inmate calling to a particular party, SCP automatically denies calls that exceed
such thresholds.
The Securus Calling Restrictions capability also provides additional PIN suspension features to
help facility staff maintain control of inmate activity. Administrators can suspend a single or
multiple inmates PINs from either the on-site administrative terminal or an authorized remote
terminal. This suspension feature, frequently used for punitive reasons, allows the facility to deny
telephone privileges to one or more inmates without affecting other inmates who share the same
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inmate telephones. SCP enforces the PIN denial for the duration entered. This feature allows
inmates to make privileged calls if necessary, even while calling privileges are suspended. Direct
manual control of this suspension feature is also allowed from the on-site administrative
terminals or authorized remote terminals.

Calling Restrictions – Sample Screen

3.3.9
Investigative tip line
The system must permit future adoption of a “tip line” that permits a call to be placed from
any inmate telephone and to leave a recorded message. The system must meet language
access requirements, permit recorded messages to be transmitted to designated email
addresses as WAV files, and permit remote access by designated users.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Crime Tip feature is an inmate crime tip reporting tool that gives inmates an
anonymous and secure way to provide crime tips to corrections officers, while maintaining the
required language and security measures of DOCCS. The Secure Calling Platform (SCP) system
anonymously records all messages left on the Crime Tip Hotline, so inmates do not have to risk
being identified as an informant. Authorized users can email Crime Tip recordings to designated
addresses, similar to the capabilities of other recordings within the system.
Inmates can choose to report:


Information about possible criminal activity, including narcotics



A crime that has already taken place



A threat to their safety

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

Threats to the safety of others

While tips are anonymous as a default, informants may choose to leave their name.
The Securus Crime Tip feature includes:


A pre-arranged telephone number (designated by the facility), provided to all inmates



An option to listen to all or selected recorded messages



An option to burn specific information onto CDs for use as evidence



A way to generate reports of all recorded messages with the date and time of the
message



A way to leave an anonymous reply message to the inmate

As with all features of the SCP user interface, the Crime Tip Hotline is available remotely, via
virtually any internet connected computer or device by designated, authorized user.
Mandatory Features
The following features are required elements for the DOCCS’ Inmate Telephone System.
Describe specifically how your proposed solution provides the same functionality for each
of the following features.
3.4.1
Harassment Blocks
The system shall support the automatic denial of a PIN when a remote party refuses to
accept a call. The called party must be provided with the option to either accept or block
each call prior to being connected to the inmate.
Explain how your system accomplishes this and whether blocking can be done at the
PIN, facility or system level; if all future calls from that PIN or facility are blocked;
and what steps are required to unblock future calls.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
SCP provides the ability to block numbers at the PIN, facility and system level. This is
accomplished through a variety of features within the user interface. Blocking a number at the
PIN level is typically maintained through the use of Personal Allowed Number (PAN) lists, while
blocking at the facility or system level is best handled using the Global List functions. Additionally,
called parties have the ability automatically block all future calls using out patented PermaBlock
feature.
Our PermaBlock process allows the called party to block his/her number in real time, prior to
accepting the call to prevent future harassing calls by any inmate in the facility. During the call
acceptance the call party is given a menu of options. One option instructs the called party to
press “6” on their dial pad to prevent further calls from that specific DOCCS facility. The
PermaBlock feature reduces facility labor demands and reduces called party complaints by
automatically handling call blocking requests at the point of contact, at the time of contact. If the

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called party wishes to block all calls from all DOCCS facility they would need to call Securus’ toll
free 800 customer service number and speak with one of our customer service representatives.
During installation, a global call blocking table is established, which immediately prevents inmates
from making calls to specific numbers. Typically, the database includes numbers to local judges,
sheriffs, facility personnel, jury members, attorneys and witnesses. Because a global call blocking
table may contain thousands of entries, Securus’ SCP offers unlimited blocking potential.
All dial-around area codes and exchanges, such as 800, 900, and 976, are blocked by default. In
addition, access to live operator services, such as 0, 411, and 911, are blocked by default.
To provide maximum convenience to facility personnel, authorized facility personnel can
administer blocked numbers or unblock numbers using our single-point access, or by calling
Securus’ Technical Support directly. All blocked numbers have an associated “Note” field stored in
the blocked number database to record specific information for future reference.

Automated Operator Services
SCP includes an Interactive Voice Response (IVR) system that provides Automated Operator
Services (AOS). This automated assistance uses clear and concise, professionally recorded voice
prompts to establish call acceptance and to assist inmates and called parties throughout the
calling process.
When the called party answers the phone, SCP’s advanced answer detection triggers the call
acceptance voice prompt. The called party hears, “Hello, you are receiving a collect call from
[inmate’s name], an inmate at the [DOCCS facility]. This call is subject to monitoring and
recording.” SCP then gives the called party the following menu options:


“To accept this call, press 1.”



“To refuse this call press 2.”



“To hear the rates and charges for this call, press 7.”



“To block future calls to your number, press 6.”

Additional options provided by AOS include:

Available Options to Called Parties
Request a rate quote
Hear the name of the facility and inmate
calling
Accept or reject the call
Request available balance of an
AdvanceConnect account or available credit
of the Direct Bill account
Hear instructions on how to add more

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Available Options to Inmates
Listen to prerecorded
announcements
Choose to place a collect or debit call;
if debit, PIN entry is requested, the
inmate hears the available balance in
their account and the cost of the call
Select a specific language at the
beginning of the call (if configured)
Acknowledge that the call is going to

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The system’s easy-to-use dashboard automatically collects and analyzes a vast amount of
information that would otherwise require labor-intensive gathering and interpretation.
Investigator Pro will dramatically change the gathering, sharing, and use of evidence in the
investigation and prosecution process. It is an evidence case-management tool with the highest
level of integrity, efficiency, and demonstrated effectiveness.
Investigator Pro will assist investigators in targeting calls to review and provides a sophisticated
playback system with the power to play and annotate calls faster, with less duplication of effort.
Additional Investigator Pro features include:


Ability to separate recorded voices and play back individual voices independently



Speed up or slow down a conversation or single voice within a recording



Playback module include user-friendly, intuitive buttons



Report feature allows for supervisory oversight, accountability, and assessment of facility
staff’s investigative skills and activities

Continuous Voice Identification with Investigator Pro
Investigator Pro’s advanced voice identification technology was
originally developed for the U.S. Department of Defense (DOD).
The DOD needed to identify terrorist calls out of the millions of
calls made to and from the United States every day. The DOD
contracted with a major U.S. technical university with the best
voice analysis engineers in the world to find a way to detect these
calls. Over a 12-year period, the engineers created a cutting-edge
solution that could automatically analyze millions of daily calls.
That solution is still protecting the U.S. today. Through its
relationship with the technical university, JLG Technologies (now
owned by Securus) received an exclusive license to bring this revolutionary technology to the
corrections market.
Investigator Pro analyzes voice data immediately after call completion. Alerts are instantly
available after each voice analysis. Unlike competitive offerings, investigator Pro analyzes every
second of every call. Intermittent verification on other platforms allows inmates to converse
undetected by passing the telephone when verification is requested.

Anatomy of Investigator Pro™
Investigator Pro is designed to provide investigators with the tools they need to expose inmates
who attempt to hide their identities. Included are an advanced call player, multiple reports, and
an interactive dashboard.
Investigator Pro modules include:


QuickFind™—Puts critical information at your fingertips

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

Voice Search™—Find calls containing a specific inmate’s voice



CallFinder™—Filter calls based on dozens of criteria



MyCallReview™—Return to the calls important to you



Suspicious CallFinder™—Find all high-suspicion calls



NoteManager™—View, filter, and create notes on calls



ReportMaker™—Run reports on various telephone system abuses



Stats—View key messages and monitor analysis progress

Sample Investigator Pro Modules

Call Detail Report
The Call Detail Report (CDR) provides investigators an intuitive and user-friendly report to view or
search virtually anything related to an inmate call, including:
 Site name from which the call originated
 Phone location as labeled in the system
 Facility code
 Dialed number
 Start date/time
 End date/time
 Duration of call
 Inmate Account Number

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 Inmate PIN
 Prepaid card number if used
 Inmate first, middle, and last name
 Type of call (voice mail, person call, prepaid call, debit call)
 Status of call (complete/incomplete)
 Reason for call termination
 Reason for block
 Call properties (watched number, RCF detected, three-way attempt, private number)
 Destination zone
 Desired results per page

Call Detail Report

Also, Call Detail Record (CDR) reports allow users to:
 Add notes to a call record or a tracking number
 Mark the notes private or public
 Play the call
 Copy the call to a management folder for download
 Download the call immediately with a one click operation

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 Extend the call expiration date if it is approaching the agreed upon storage threshold
 Export the report results (users can export all SCP reports)
 Select a single site, all sites, or allowed sites, and specify information by phone, phone
group, or the entire customer profile.

3.4.9
Hours of Operation
The solution shall allow DOCCS to set parameters that determine the hours of operations for
inmate phone services. The default shall be set to allow services to be available from 7:00 a.m.
to 11:00 p.m. ET. At DOCCS direction, individual phones or groups of phones may be further
restricted.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.4.10
Call Duration
The system shall allow DOCCS to control the maximum call duration at each facility. Current
call duration is one half (1/2) hour.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.4.11
Telephone Testing
The vendor shall provide the ability to allow DOCCS staff to test telephones at any location, at
no charge to DOCCS, to assure that they are fully operational. The vendor shall provide unique
PINs with a DOCCS-defined PAN list to be used by DOCCS’ staff when testing phones.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.4.12
Languages
The system prompts will be available in all of the following languages: English, Spanish, Chinese,
Russian, Haitian Creole, Korean, and Italian. (See Section 4.2.2 for more information about
required languages.) The selected Contractor will agree to support additional languages during
the life of the resulting contract.
Describe how your proposed system is able to support other languages. Include all the
languages that will be supported.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus automated operator uses clear, concise, professionally recorded voice prompts to
assist the inmate through the calling process. By default, the Securus Secure Call Platform (SCP)
offers language prompts in both English and Spanish. Securus can provide additional languages
on request and at a minimum will provide English, Spanish, Chinese, Russian, Haitian, Creole,
Korean and Italian. SCP can be configured to provide prompts in as many as nine languages.

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Multilingual Language Prompts
Some examples of languages that Securus has implemented in the past include:
Afrikaans

Hebrew

Slovak

Arabic

Hindi

Slovene

Bahasa

Hungarian

Somali

Bulgarian

Icelandic

Chinese (all dialects)

Italian

Creole/Haitian

Japanese

Spanish (U.S., Mexico,
Puerto Rico, Central and
South America, Castilian
dialects)

Croatian

Javanese

Swedish

Czech

Kannada

Tagalog

Danish

Korean

Taiwanese

Dutch

Latvian

Tamil

Estonian

Lithuanian

Telugu

Finnish

Malay/Malayalam

Flemish

Marathi

Portuguese (Brazil and
Portugal dialects)

French (Canadian and
Parisian dialects)

Norwegian

Turkish

Polish

Urdu

German/Bavarian

Punjabi

Ukrainian

Greek

Romanian

Vietnamese

Gujarati

Russian

After the language prompts are set up in the SCP system, inmates select their language choice at
the beginning of the call process by dialing a single digit.
During call acceptance, the called party receives the acceptance instructions in English first
followed by an option to continue in the language selected by the inmate. This fraud deterrent
feature eliminates inmate attempts to confuse called parties with a language they do not
understand.
Securus will also provide durable printed dialing instructions at each inmate telephone location in
English, Spanish, and the other languages specified by DOCCS. As a security measure, Securus will
use materials and techniques appropriate for the corrections environment that explains the
process in a clearly defined and easy to read manner.

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3.4.13
ANI Verification
The vendor shall test all inmate telephones for location accuracy and verify the Automatic
Number Identifier (ANI) at implementation, during activation of new equipment and at a minimum,
annually thereafter.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

3.4.14
Telecommunications Relay Services for the Deaf
The vendor shall provide telecommunications relay devices for the deaf compliant with the
Americans with Disability Act (ADA), and the Federal Communications
Commission (FCC) and New York State Public Service Commission’s
(PSC) rules and regulations throughout the term of the agreement.
Explain how your solution can extend telecommunications services
for inmates who are deaf or hard of hearing and all monitoring,
recording and reporting capabilities that will be available with this
service. Include details that show how the proposed plan will be in
compliance with the ADA, the FCC and PSC rules and regulations at
no additional cost to DOCCS or the account holders throughout the
term of the agreement, recognizing that TTY technology will cease
to be supported during the term of this agreement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus will provide accommodations necessary to comply with the Americans with Disabilities
Act (ADA). The Securus program for inmates who are deaf or hearing impaired allows those
inmates to place outgoing telephone calls using a text telephone (TTY) device integrated with SCP.
Securus will provide accommodations necessary to comply with the Americans with Disabilities
Act (ADA). The Securus program for inmates who are deaf or hearing impaired allows those
inmates to place outgoing telephone calls using a text telephone (TTY) device integrated with SCP.

TDD and TTY Telephones
The technology provided uses dedicated ports on the SCP system and eliminates the need for a
correctional officer or staff member initiating the call process. The inmate placing the handset on
the TTY device and entering the speed-dial number initiates the call. The inmate then
communicates using the TTY device through the Securus SCP to the state’s telecommunication
relay center (TRS). The information includes the option of including the inmate’s PIN, along with a
pre-set toll-free number that is direct-dialed to the TRS. With TRS, a special operator
communicates back to the inmate to confirm the connection and begins the call connection
process to the called party who receives the call on a collect basis.
Integrating the TTY call through SCP allows the facility to specify various policy and security
measures such as time limits, call recording, remote printing of the content of the calls, redial
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prevention and more. With TRS, a special operator communicates back to the inmate to confirm
the connection and begins the call connection process to the called party. Charges to the called
party will be rated and billed by the relay service provider.

Inmate Call Flow Using TTY to Voice

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The following is a letter citing Securus’ enrollment effort provided by Ms. Hazel Jennings, Bureau
Chief of Facility Operations, New York Department of Corrections. Ms. Jennings can be reached at
phone: 718.546.8000 for any discussion of the enrollment process.

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For a clearer picture of the Two Enrollment Methodologies, please review the chart below:

Methodology

Unsupervised Enrollment – Option
1

Supervised Enrollment – Option 2

Ease of enrollment:

Least initial involvement by DOCCS.

Securus plans, implements, and
conducts the entire enrollment with
minimal impact on DOCCS, by
providing organization and manpower
resources to enroll the entire general
population.

Cost of enrollment:

No up-front or follow-on cost to
DOCCS, but if even a small number
of the 50K+ inmates don’t voluntarily
enroll or have difficulty doing so,
then DOCCS will have to continually
expend its resources on an ongoing
basis to identify which inmates
haven’t enrolled and get them to
enroll so that they can make phone
calls – an additional administrative
burden.

Securus will absorb the cost of the
initial enrollment of the general
population.

Confidence in the integrity of
the enrolled voice database:

Low, for two reasons:

Considerations

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•

There is no way to verify
that the recording of the
inmate’s voice is accurate
for the inmate’s PIN and
name (some inmates will try
to circumvent enrollment
for nefarious or fun-making
reasons or will flat out
refuse to enroll.) This makes
call control by voice, and
future call investigative
results difficult to
substantiate in court for
evidentiary use.

•

There is no way to
determine if all inmates

•

High confidence level in
enrollment accuracy. Since
the Securus enrollers validate
each inmate via their picture
ID and PIN against DOCCS’s
daily facility roster, there is a
confirmed match to all of the
inmates’ enrolled voices. This
will give a high level of
confidence to DOCCS’s
investigators when
performing call-based
investigations by inmate voice
print and name.

•

Because all inmate
enrollment is confirmed and
IPRO retains their voice prints

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have enrolled. Individual
follow up to achieve total
enrollment by DOCCS could
be costly and time
consuming.
•

after their release, IPRO can
later determine and identify
an inmate by name should
that inmate become a called
party to a current inmate.

For released inmates
without a voice print, the
system won’t be able to
determine their status and
identify them by name if
they become a called party
to a current inmate.

Securus is offering DOCCS the option of either of the two above-described enrollment
methodologies. Either choice will be at no cost to DOCCS.

3.4.18
Emergency Shut Down
The system shall provide for the emergency shutdown of all phones in a facility or portion thereof
at each facility and provide a master control in Central Office that cannot be overridden at a
facility. Therefore, the system shall provide the ability to disconnect any phone or group of
phones locally or remotely.
Describe in detail how this is accomplished.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
There are three ways to shut down phones:
1) Standard approach via software:
Use SCP UI to “disable” a facility’s phone system. Access to this can be limited through
permissions so that only authorized personnel in Central Office can disable the phones
and thus prevent facility staff from restoring the phones.
2) Standard approach via hardware:
“Kill switches” are commonly installed in strategic locations for a facility. However, data
backhauls typically run from each facility to Securus. Providing a “kill switch” that can be
used by the Central Office and not overridden by the facility would require that all facility
traffic flows through the Central Office – NOT RECOMMENDED.
3) Non-conventional approach via software:
This option allows facilities to use the standard software disable so as to respond to
urgent, local issues while still providing the Central Office with a software “disable”
function. Define a call schedule with no call times available and set to “hard” cutoff. To
disable a facility or part of a facility, assign the site (or portion of the site) with this call
schedule. Access to manage call schedules can be limited through permissions so that
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3.5.1
Telephones
All devices provided must be hearing aid compatible and include volume controls on the housing
with a 24-inch hand set cable, and be appropriate for a correctional facility environment. The
devices provided must be equivalent to or better than the currently installed devices which are
Wintel - Tall Blue with Volume Ctrl & 24-inch Cord Duraclear handset. At its sole discretion,
DOCCS may direct the reuse or replacement of currently installed telephones at some or all
locations.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus’ inmate telephones are the strongest and most reliable units
available and are designed specifically for the prison environment.
Securus is proposing Wintel® brand 5042 phone model. The following
information is the manufacturer-provided telephone specifications.

The Industry Standard
These phones are the overwhelming choice for state prison systems,
the Federal Bureau of Prisons, county, and city facilities nationwide
because of their proven reliability, durability, and flexibility.

Features/Options
The proposed phone models include the following features:
•

All-in-one electronic dial features modular incoming line and handset connections for
quick maintenance. Carbon (HS) and DuraClear® (DURA) Handsets have separate 4-pin
connections.

•

Powder-coated cold rolled steel provides rugged vandal resistant telephone housing
designed and built for inmate use

•

Confidencer technology, built into every dial, filters out background noise at the user's
location, allowing better sound to the called party

•

Heavy chrome metal keypad bezel, buttons, and hook switch lever withstand abuse and
vandalism

•

Armored handset cord is equipped with a steel lanyard (1000# pull strength) and secured
with a 14 gauge retainer bracket for maximum vandal resistance

•

Handset has sealed transmitter and receiver caps, suitable for heavy use and abuse
locations

•

Pin-in-head security screws minimize tampering

•

US: 1DATE05BITC-254, IC: 3267A-ITC254

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3.5.2
Portable Phones
The vendor shall provide portable (wired) phones that plug into standard jacks as required. At
its sole discretion, DOCCS may direct the reuse or replacement of currently installed portable
telephones at some or all locations.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus will also provide a roll-away phone mounted to a roll-around pedestal, in a four-wheel
design or a two-wheel design, as shown.
The phone can also be mounted to a hand truck (dolly).

3.5.3
Pedestal and Enclosures
The vendor must provide pedestals as specified by DOCCS for both inside and outside locations
at DOCCS’ direction. At its sole discretion, DOCCS may direct the reuse or replacement of
currently installed pedestals and enclosures at some or all locations.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.5.4
Tablets
The vendor’s solution must provide tablets (tablet) for a portion of the Department’s specialty
populations such as Special Housing Units and Regional Mental Health Unit, etc. (approximately
5,000) to allow inmates to complete telephone calls via the tablet from their cell. Telephone calls
completed via tablets must conform to all requirements and mandatory features of this RFP.
Further, the tablets must provide a variety of off-line entertainment, as well as educational and
religious content that is age-appropriate for a complete range of academic capabilities (see
Attachment E). The successful bidder will work with DOCCS to finalize this content for the tablets.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus is pleased to exceed this requirement for tablets for DOCCS by offering not 5000, but
12,000 tablets pre-loaded with the required content. In addition, this proposal includes the
provision of two (2) full-time tablet administrators to facilitate the tablet program at the
direction of DOCCS. Securus believes in the importance of education for inmates and the positive
impact that it has on morale, self-worth and recidivism. That is why we are going the extra mile to

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help DOCCS deliver the best inmate educational programs in the country. Please see the specific
details for our tablet offerings in the response to specifications below.

Device Specifications
The vendor-provided tablets must conform, at a minimum, to the following:
•
•
•
•
•
•
•
•
•
•

High-quality construction with a shatter-resistant and tamper-proof housing
A 7” to 10” touch screen
Sound limited to included earbuds only
An internal, rechargeable, non-removable battery
No camera
User anonymity: no sign-on required to access preloaded content
Content in Spanish (or language translation capabilities)
No ability for inmates to download any content; devices must have preloaded
content; DOCCS administrators must have the ability to add/remove content
No ability to connect to any wireless network, except the ITS
At the Bidders’ Conference, provide a sample tablet for DOCCS review of
the durability and suitability for use in a secure environment.
o

If rejected, each vendor will have the opportunity to
alternative device prior to RFP evaluation.

provide an

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The vendor’s proposal must address the following:
•

Describe how the proposed solution will operate.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
JPay/Securus will configure and load each tablet with the agreed-upon content and deliver the
specified number of tablets to DOCCS. The tablets will be configured to access the ITS wireless
network in order to use the tablet-based phone app. Upon delivery, no other network
access/activity will be possible and the tablets will not be able to access any other networks. In
the future, JPay can modify the tablets to access our secure wireless network if one is eventually
installed. The tablets will not require traditional authentication in order to operate; however, the
phone app will require users to log in to be able to access their phone account.

•

Detail the secure network to be provided for phone services through the
tablets.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
All calling features and security restrictions of Securus' inmate telephone system are passed
through to the tablet, such as required PIN entry and continuous voice biometric identification
throughout a call. Calls are recorded and all tablet communications are available for live

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•

Demonstrate that you can meet the minimal standards for entertainment,
educational, and religious content. See Attachment E.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
As part of an existing pilot program JPay is now working on with DOCCS, the entertainment,
educational, and religious content we proposed for inclusion on the JP5 tablet has already been
approved by DOCCS.
•

Describe how DOCCS will be able to add/remove content as necessary.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus and JPay will work with the DOCCS to assist in the development and addition of
customized DOCCS content to be added to our Tablet platform throughout the term of the
agreement. We will regularly provide overviews of content added for other customers to allow
the DOCCS to decide if the additional solutions are right for them.
Our solution is expandable and can upload, store, and display authorized documents in PDF
format. Content is therefore unrestricted and can be used for facility handbooks,
announcements, and other DOCCS publications.
For modifications, additions or deletions to the initial preloaded content, DOCCS would simply
contact us with the requested changes and we would accommodate accordingly. This way,
DOCCS would not have to deal with configuration control and content distribution issues.
•

Provide details of the solution that will prohibit online access.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
JPay has customized the Linux kernel inside Android to provide unprecedented security. It blocks
all devices and networks not whitelisted by JPay, so that only JPay-approved devices and networks
are recognized.
JPay has also customized the Android OS so that, by default, Android applications and services
are blocked. In order to add an application to the tablet, the application must first be added to
the white-list of Android applications. JPay also removed the Android Debugger (ADB).

3.5.5
Wiring
The vendor is responsible for the installation and maintenance of all ITS wiring from the
Intermediate Distribution Frame (IDF) to the telephone and/or wireless tablet instruments.
Category 3 or better cabling is required. At its sole discretion, DOCCS may direct the reuse or
replacement of current wiring at some or all locations. All wiring and cabling shall be performed
in accordance with manufacturer standards and guidelines and industry practices. All
installations shall be labeled and documented as mutually agreed upon between DOCCS and
the vendor.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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3.5.6
Compliance
All equipment, wiring and component installations shall conform to all applicable building codes,
electric codes and accepted industry standards.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

3.5.7
Restoration of Facilities
The contractor shall restore all damaged walls, ceiling and facilities to their original condition and
in compliance with all applicable building codes and requirements resulting from contractor
actions and activities. All work must be pre-approved by DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.5.8
Inventory
The vendor must maintain a current inventory of all equipment and components and provide the
inventory to DOCCS as requested.
Provide a sample inventory report with the proposal.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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3.5.9
Environmental
DOCCS will provide space, electricity and HVAC to support up to two (2) nineteen-inch racks for
premise-based equipment. The vendor is responsible for any additional requirements beyond
ambient temperature and standard power.
Describe any additional requirements in your proposal and include the plan to provide
those requirements.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus does not have any additional requirements beyond ambient temperature and standard
power; however, in the event that other requirements are discovered during the site survey
process, Securus will provide the required environmental items as well as a written plan to their
provision. The table below provides the estimated power requirements. This table is
representative of ALL potential pieces of equipment, not an exhaustive list of equipment that will
be located at each facility.

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3.5.10
Servers and Processors
Provide full specifications and product literature/brochures for all equipment required including,
but not limited to, call processors, servers, storage devices, workstations and related
components.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.5.11
New Equipment
The contractor shall replace all existing premise-based equipment between the main distribution
frame and the network point of presence with new equipment. All call processors, routers,

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multiplexers, channel banks, gateways, switches or any required system component shall be
new.
Provide full specifications and product literature/brochures for all proposed new
components.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see section/tab – REQUESTED DOCUMENTS (page 531)

Software Enhancements and Upgrades
The vendor shall provide software enhancements and upgrades for either proprietary or third-party
software required by the proposed Inmate Telephone System (ITS), including wireless tablets, when
the enhancement and upgrades are generally available in a customer production environment. The
vendor shall be responsible for maintaining the installed ITS at the latest general release of the
system software for all systems including the system administration or system reporting
terminals/PCs. The vendor must upgrade or replace all third-party software and/or hardware prior to
any end-of-support date set by the third-party provider. All software changes shall be preapproved by
DOCCS and must utilize approved change management procedures and configuration management
processes as defined under Configuration Management in Section 3.2.2.
Provide complete documentation for all software upgrades or enhancements.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus solutions proposed will be implemented at the latest general availability release,
eliminating the need for Upgrade or Enhancement documentation at the outset. However, as the
contract term progresses all required documentation for all proposed systems will be provided
for DOCCS preapproval and authorization. Each update will follow the strict change control
methodology as outlined in section 3.11.1 of this proposal as well as the processes as defined
under Configuration Management in Section 3.2.2.

Software Upgrades
We recognize that the challenges you and your officers face every day never stop evolving. When
designed our centralized platform, one of our chief objectives was deploying a system that
provided upgrades to all customers at regular intervals with no downtime. We achieved that
objective with SCP. Securus provides upgrades to all of our customers three to four times
annually through a proven and tested after hours process that allows all sites to immediately
realize the benefits each upgrade. Our system delivers proven features driven by input from the
most recognized corrections and law enforcement agencies in the nation.
Maintenance events are always preceded by a splash screen displayed at login notifying the
facility of the upcoming upgrade and new features are discussed with customers prior to
implementation. These system updates are more than simple changes. They provide meaningful
features and new capabilities, which drive greater officer and community safety, staff efficiency
and improved investigative response times.
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The following image shows the sample splash screen that notifies users of upcoming
maintenance.

Splash Screen

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Maintenance
The vendor shall be solely responsible for the maintenance and support for all system components
including telephones, pedestals, enclosures, circuits, network components, software, call processors
and all other elements of the system.
Describe the maintenance and support capabilities, methods and procedures as related to the
subsections below.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides superior customer service from a state-of-the-art operations center located in
Carrollton, Texas. More than 50 technicians staff the Securus Technical Support Center (TSC) to
ensure prompt problem resolution. The average tenure of our support management is five years
and our technicians average four years.

Securus Maintenance and Technical Support
Services
The Securus TSC serves as a single point of contact for facility staff to request service 24 hours a
day, seven days a week, 365 days per year. There are four ways to contact the TSC:


Telephone: 866-558-2323



E-Mail: technicalsupport@securustech.net



Fax: 800-368-3168



Web portal @ http://www.securustech.net/facility.asp

The TSC uses a call distribution system to manage the flow of inbound customer calls
automatically routing calls directly to our support technicians in a skills-based, platform specific
manner. Securus establishes response times and service level agreements that accomplish our
objective of providing timely resolution to each request.
Technicians assign each service request one of three initial priority levels, each with resolution
and escalation timelines. Every effort is made to resolve the problem remotely within the
designated timeframes, and Securus resolves most service requests during the initial request. If
necessary, a field service technician is dispatched to the facility to expedite resolution.
The TSC uses an event tracking system that logs, tracks, manages and assures appropriate
response to all service requests. The service request generates a trouble ticket with priority level
assignment that drives diagnosis and response processes. The support technician performs initial
problem diagnosis and isolation procedures, determines the nature of the problem and either
resolves the problem or engages an appropriate party for problem resolution. The TSC retains
ownership of all service requests and is responsible for the escalation and update functions.

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Service Response Times and Escalations
Priority
Level

Service Priority
Description

P1

A P1 is our highest service
level defined as 30% or
more of the functionality
of the System being
adversely affected by the
System Event. Examples of
P1 service assignments
would include items such
as no voice prompts,
features not operating
appropriately, inability to
burn CD’s, issues with
listening to live calls,
inability to access S-Gate,
all phones down.

DOCCS
Levels
1-2

P2
DOCCS
Levels
3-4

P3
DOCCS
Level 5

A P2 assignment defined
as 5% to 29% of the
functionality of the System
being adversely affected
by the System Event.
Examples of a P2 service
assignments would
include items such as
workstation, specific
system ports, LEC circuits,
unblocks, block numbers,
missing CDRs, call
searching.

A P3 assignment defined
as less the 5% of the
functionality of the System

SECURUS Technologies

Response
Time
2 hours

Customer
Communication
Guideline
Securus
Technical
Support
Center notifies
the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

24 hours

Securus
Technical
Support
Center notifies
the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

72 hours

Securus
Technical
Support
Center notifies

Escalations

If response is
delayed, escalation
procedures within
Securus’
Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations
If response is
delayed, escalation
procedures within
Securus’
Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations
If response is
delayed, escalation
procedures within
Securus’

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being adversely affected
by the System Event.
Single and multiple
phones related issues.
Examples of P3 service
assignments would
include items such as
static on the phone, a
party not being able to
hear, unable to dial, a
broken phone, dial pad
not working, cutoff
switches not working, and
inability to generate
reports.

the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations

Securus employs approximately 170 field service associates including 9 Regional Managers and a
centralized Field Dispatch team to support our national customer base, and also utilize a
significant number of 3rd party representatives to support MBE/WBE requirements. The Field
Service Technicians (FST) are strategically positioned to meet the response time requirements of
our customer‘s and reside near each customer location. FSTs are all required to have extensive
telecommunication background and are Securus-certified to service our product offerings. The
FTSs have direct access to senior technical support and engineering resources to expedite repairs
and minimize customer downtime.

Workflow
Once our centralized Technical support operation determines that an issue requires on-site
service, our dispatch team contacts the assigned FST and establishes an estimated time of arrival.
The Dispatcher or the FST immediately communicate the time of arrival to the facility. Upon
arrival at the facility, the FST will meet with the primary site contact to review the problem and
perform the necessary repairs. Repairs typically involve repairing or replacing a defective part or
wiring or correcting configuration settings.
Upon resolving the primary issue, the Field Service Technician will perform a system check to
detect any unreported issues and conduct preventative maintenance checks while on-site,
including:
•

Cleaning out the system filters

•

Testing system features and functionality

•

Testing of individual phones

•

Performing workstation(s) inspections.

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Problems identified during this check are addressed by the Field Service Technician during the
same visit unless additional parts are required to resolve the issue.
Upon completion of the repairs, the FST will validate problem resolution with the primary site
contact and obtain sign-off on the repairs performed. After obtaining sign-off, the FST will record
the transaction in our problem management system through his or her laptop.

Service Parts
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site or in
their truck. If a technician does not have required a part, Securus will drop-ship the item to the
site. Securus will ship counter-to-counter on the same day in critical situations.

Quality
Securus sends an e-mail customer satisfaction survey to the primary site contact following each
service event. Customer concerns are immediately escalated to the Regional Service Manager and
the National Service Director. The Regional
Service Manager is required to contact the
customer within 24 hours to better
understand the concern and implement a
correct action plan. Securus executives review
the summary of each issue along with the
corrective actions on a monthly basis. Our
current survey results show 94% satisfaction
with Field Service with 77% indicating they
were “delighted” with the service they
received.

Implementation
Our preliminary implementation plan includes
transitional meetings that detail the setup of
proposed applications and tasks associated with the transition from the current system to
Securus’ Secure Call Platform (SCP). Securus has extensive experience preparing locations for
system implementation without disrupting the facility’s existing service. All hardware, phone
lines, and workstations will be in place before replacing the telephone instruments and cutting
over to SCP.

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3.7.1
Maintenance Responsibility
Malfunctions which cannot be immediately diagnosed and pinpointed to a certain item of
equipment or particular service will require the participation of all service suppliers until
responsibility for the problem has been unequivocally established. As a part of maintenance
responsibilities, the contractor shall represent DOCCS with the regulated telephone company,
network provider, or any other third-party service provider, in order to identify and correct
problems with service.
In no instance shall the failure to resolve the issue of responsibility relieve the contractor from
the obligation to restore system operability with the least impact on the availability of service.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.2
Damage
The vendor shall be responsible for the repair or replacement of all equipment damaged
regardless of the cause including, but not limited to, inmate damage, natural disaster, and
DOCCS’ actions or operations at no cost to DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.3
Maintenance Window
All scheduled maintenance must be performed outside of the normal ITS operating hours which
are currently 7:00 a.m. to 11:00 p.m. ET.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.4
Maintenance Center Location
Within 14 days of notification of selection, the vendor shall detail the location and number of
maintenance staff, the staff experience, DOCCS’ facilities to be supported by each location, and
procedures to provide on-site maintenance service at all the DOCCS’ locations with vendor
provided equipment to meet DOCCS performance requirements. If the origination points for the
maintenance staff are their homes, rather than a maintenance center, the staffs’ origination
addresses must be provided. It is a mandatory requirement of this RFP that the vendor agrees
to have maintenance personnel within a three (3) hour drive from their origination addresses to
each of DOCCS’ locations throughout New York State. Failure to do so will result in a breach of
contract. A map of the DOCCS’ facility locations is provided in Attachment B.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.5
Maintenance Staff Experience
Service personnel must be trained and experienced with installation and maintenance of the
proposed system and equipment. DOCCS reserves the rights to request copies of training
certificates for service personnel and to reject any maintenance personnel it determines to be
unqualified to perform maintenance service on the proposed equipment.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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3.7.6
Preventive Maintenance
The vendor shall conduct an on-site inspection and preventative maintenance service for all
premise-based equipment provided on a quarterly basis at a minimum. The vendor shall certify
the completion of the quarterly inspection and notify DOCCS of any equipment changes. Provide
a sample of the proposed preventive maintenance report and certification form, including but not
limited to, components to be tested, and pass/fail criteria for each component.
The proposed schedule shall be consistent with DOCCS’ operating requirements and shall be
based upon the specific needs of the equipment being maintained.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.7
Remedial Maintenance
DOCCS will maintain a call screening service for all facilities. All service calls will be placed by
DOCCS or its agent. Facilities will have the option to call in service issues at DOCCS sole
discretion. Remedial maintenance shall be performed upon notification to the vendor that the
equipment/service is inoperable or unsuitable for operation. The contractor shall be responsible
for assuring that on premise service for each request is provided in accordance with the DOCCS’
service requirements as defined in Section 5.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.7.8
Maintenance Request Reports
The vendor shall furnish DOCCS with a monthly report, in a format to be determined by DOCCS,
of all maintenance requests. The report shall include, at a minimum, the following data for each
request for assistance:
•

Date and time notified

•

Date and time of arrival

•

Description of malfunction reported

•

Diagnosis of failure and work performed

•

Date and time failure was corrected

•

Name of person performing the service

•

Name of person and agency reporting trouble

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Transition/Migration
The vendor shall assume responsibility for all inmate telephone services effective on a specific date
to be set by DOCCS prior to the official contract award and act as the DOCCS’ agent to assure
uninterrupted ITS operations as of that date. The vendor shall be responsible for establishing
agreements with the existing provider as required to maintain all existing services and functions.
Pursuant to the previous ITS contract, the existing vendor has committed to deliver to DOCCS a
Phase-Out plan 80 calendar days before contract completion or termination and to maintain contract
compliance during the period of time leading up to the contract expiration of termination. During
turnover of the ITS systems to the successor contractor, the incumbent will deliver an inventory of all
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vendor-owned property at all DOCCS’ locations and any outstanding requests/enhancements/issues
to DOCCS. At DOCCS’ direction, the existing vendor will turn over all vendor-provided equipment at
all DOCCS’ locations by close of business on the last day of the contract.
Describe the plan to migrate from the current DOCCS’ ITS system to the proposed system.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has proven experience with Integration. Securus currently integrates with more than 110
different vendors worldwide and more than 60 independent, facility-owned systems and shared
databases. Securus has extensive experience with migration from GTL-based systems,
highlighting our recent integrations with Georgia, Arkansas, Pennsylvania, Connecticut and
Missouri Department of Corrections. Please see section 3.8.1 for a complete Project Plan
including Transition/Migration. (page 226)

Securus Dedicated Integration Team
Securus has a dedicated Integration Department that integrates various systems and products in
the corrections environment. This dedicated Integration Department allows Securus to deliver
fast and flexible solutions for our customers. The Securus technology has the flexibility to work
with facility-owned systems, JMS, OMS, Commissary, Banking, and Kiosk vendors. Securus will
fully cooperate with your facility and your vendors to automate systems.
The most common technologies Securus uses include SOAP Web Services, HTTP, FTP push or pull
of files in any textual format, JSON, XML-RPC, and TCP Sockets. All of these methods integrate
over secure connections.
Securus can modify your data format for migration into our platform, without costly code
modifications. Securus integration engineers consult with facilities’ IT departments or system
providers to determine the best integration strategy for each specific application.

Securus Integration Process
The dedicated Securus Integration team designs, develops, tests and implements all custom
integrations with corrections industry vendors and banking systems to deliver fast and flexible
solutions for our customers. This process is part of the overall Project Plan for the installation of
the Securus Secure Call Platform (SCP). Major milestones include:


Collect Preliminary Needs/Requirements



Contract Signed



Finalized Requirements document



Approved Scope Statement



Finalize Design Document



Schedule Customer Implementation

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

Develop Custom Integration Solution



Test Custom Integration Solution



Implement Custom Integration Solution



Customer Approval and Sign-off

PIN Generation
The Securus Secure Call Platform (SCP) enables a facility to set up Personal Identification
Numbers (PINs) for each inmate. The system can be configured to require inmates to enter their
PIN before making a phone call.
PIN generation can be uploaded from a OMS or Commissary provider using the Securus EImports application, web services or a custom integration. PINs can also be manually input
through the SCP user interface.
PINs can be linked an inmate’s Custody Account for all inmate information including allowed
calling schedule, call durations, and more. The number can be configured as a number from 4 to
16 digits in length. Each inmate can be issued a unique PIN. A common practice for PINs is using
a combination of fields, such as the last four digits of the jacket ID and the birth month and day of
the inmate.
Additionally, some OMS platforms can generate a 4 to 16 digit PIN randomly and send it to SCP
via an integration. This option is beneficial because it enables the booking officer to give an
inmate their PIN, so they can begin making calls immediately.

PIN Operations
PIN operations through SCP are highly flexible. Facilities can enable or disable PIN operations at
the facility, inmate account, or phone level. For example, facility personnel may choose to enable
PIN operations for maximum security or long-term areas, and disable PIN operations for
overnight, work release, or trustee areas. SCP has no limit on the number of PIN or non-PIN
inmate telephones operating at the facility.
For phones programmed for PIN operations, each inmate must enter their PIN before making a
telephone call. By using their PIN, they create an audit trail that that shows the inmate that placed
the call, the date and time of the call, and the number that called. PINs also enable facility staff to
authorize or restrict specific inmates from calling specific numbers.

PIN Restrictions
PINs can be used to restrict inmate calls at the facility, phone, or inmate account level. For
example, facilities can identify and lock PINs to a phone or group of phones within a facility. Site
administrators also have the ability to transfer PINS, or a single PIN, when inmates change
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housing units. Transferring PINs can also be automated through our Securus E-Imports
application, web services or a custom integration.

OMS Integration
The Securus SCP can be integrated with a facility’s offender management system (OMS) or
Commissary system so that the inmate PINs are automatically transferred, activated and
deactivated based on the inmate’s status. If an inmate is released, the inmate’s PIN is stored and
can be reactivated along with call detail records and inmate recordings if the inmate returns to
the facility.
Examples of fields that can be automatically populated in SCP from an OMS or Commissary
integration include:


First Name − Inmate’s first name



Middle Name − Inmate’s middle name



Last Name − Inmate’s last name



Birth Date − Inmate’s date of birth



Social Security Number (SSN) − Inmate social security number



Account Number − Inmate’s prison ID, jacket ID, or docket number, to be used as the
SCP inmate custody account number. Any number permanently assigned to an inmate
hat does not change if they are released and booked back into the facility.



PIN − 4 to16 digit code used by the inmate to place phone calls.



Activate Date − Date in which the inmate account became active in the system



Book Date − Date that the inmate entered the facility



Gender − Inmate gender



Housing − Location of the inmate



Race − Inmate race



Alert Level − Typically used for security status such as maximum, minimum, low risk, and
death row



Max Call Duration − Call duration applied to each phone call placed by this inmate



Three-Way Detection − Setting to enable or disable three-way call detection for this
inmate



Language Preference − Language in which the inmate speaks for reporting purposes
(does not dictate the language of phone prompts)



Suspended − Setting to allow or prevent the inmate from placing calls



Suspend Start Date − Start date of calling privileges suspension



Suspend End Date − End date of calling privileges suspension

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Securus currently integrates with more than 110 vendors worldwide, including:
ABL Management, Inc.

FirsTech

PTS Solutions

Aramark

FSG Software

Sleuth

Archonix

Genesis

Southern Software

Beacon Software Solutions

Global Software

Spillman

Canteen

Golden Eagle

Stellar

CBM

Guarded Exchange

Stewart Commissary

CenturyLink

Huber & Associates

Sungard/OSSI

Cirqular/SecurManage

ID Networks

SunRidge Systems

CIS

Intellitech

Swanson

Cisco

Intergraph

Synergistics Software Inc.

Compass Group

J-CORR Technologies/Abbey
Group

Syscon

Correctional Food Services

Justice Data Solutions

TAC-10

Correctional Food Services/ITF

Justice Software

Tech Friends

Cottrell Consulting

Keefe

Telerus

CTS America

Kimble

Telus

Cushing Technologies

Lawrence and Associates

Text and Data/JAMIN

D&D Vending

M&M Micro

Tiburon

Digitech/Jail Tracker

MoneyGram

Tiger

DSI/ITI

Netdata

Touchpay

DSSI

New World

TriTech Software Systems

Eagle Advantage

Northland IT Solutions

Trinity Services Group

edocTec

Northpoint Institute, Inc.

Turnkey

EForce

Oasis

Tyler Technologies

E-Justice/Crime Cog

Premier Supply Link

UniSys

Embarq

Prevatek

VisionAir

Emergitech

Primonics

Western Union

EnRoute 911

Pro Phoenix

Windspeed Software

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EZ Card and Kiosk

PTS

Zuercher Technologies

3.8.1
Project Management
Submit a proposed Project Plan in Microsoft Project format. Such plan must effect full
statewide implementation within the required 90-day transition period. The Plan must include at
least the following elements:
• Implementation plan
• Migration plan
• Fallback plan
• Risk management and mitigation
plan
• Acceptance test plan
• Training plan

• Communications plan for both
the DOCCS’ users and the nonDOCCS’ users
• Performance and service level
plan
• Project reporting process and
mechanisms
• Change management process
• Configuration management plan

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Project Implementation (Pre-Installation)
PRE INSTALLATION PROJECT IMPLEMENTATION
DOCUMENT SUMMARY
Securus Technologies is dedicated to precision and accuracy in our deployment procedures. To
assist in our performance, Securus follows project management architecture to maintain and record
the scope and performance of the implementation through the following documentation.
 Project Charter
 Project Communications Plan
 Project Risk and Issues Log
 Project Contractual Requirements Tracker

Project Charter – The Project Charter includes specific details and process procedures that are
included in the scope of work of the project. Within the Project Charter, we identify the project
stakeholders and the roles and responsibilities of those identified; the project mission covering the
business needs and project products; duration of the installation; scope of work associated to the
responsible party; full description of the out of scope items; and the constraints and risks of items
which may impact the installation from its projected project plan. Stakeholder signatures are
captured within the Project Charter.
Project Communications Plan – The Communications Plan will describe the method in which all
communications will be supplied to the stakeholders throughout the installation. Specific details
regarding the conference bridge, meeting schedule, and description of the documents which will be

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used through the installation are explained. As a measure to maintain direction and focus, the plan
will also describe the risk management process and change order requirements. Authorized
stakeholders will be required to approve a change order to the scope of work.
Project Risk and Issues Log – The Risk and Issues Log is managed by the Project Manager during
the installation. The log is maintained to track and monitor items which may cause delays. It is used
to assist in driving directives to completion and generating any change controls to the scheduled
operations.
Project Contractual Requirements Tracker – The Project Contractual Requirement Tracker is a
record of all product and feature requirements identified in the contract which are required to be
included before they can be accepted as installed.

By signing below, each stakeholder acknowledges the receipt and review of the
following implementation documents and understands the scope of work which
has been contractually agreed upon to be completed. Signatures have been given
by those in authority to speak for the agency. Changes outside of the described
procedures in the attached documents may be subject to charges accordingly.

Stakeholder Name

Signature

Date

Stakeholder Name

Signature

Date

Stakeholder Name

Signature

Date

Stakeholder Name

Signature

Date

Stakeholder Name

Signature

Date

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Project Implementation Plan (60 Days)

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Migration Plan

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Fallback Plan

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Training Plan
New York State Department of Corrections and Community Supervision
(DOCCS)
January 29, 2016
Purpose
The Purpose of this Training Plan is to analyze and outline training efforts for the New York
State Department of Corrections and Community Supervision (DOCCS).
This plan includes a course outline of training topics and exercises and potential training
rollout options.

Scope
The scope of this Training Plan is to provide members of the New York State Department of
Corrections and Community Supervision (DOCCS) on the Securus Call Platform (SCP).
All training courses will include:
•
•
•
•

Course Introductions
Functionality of SCP
Hands-on exercises
Certification testing if desired

The course descriptions and allotted times are discussed later in this document.

Stakeholders
Client Project Team:
Name

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Phone

Email

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Securus Training and Project Team:
Name

Role

Phone

Email

Audience
The identified audience includes:
•

Command Staff

•

Administrators

•

Supervisors (Capt, LT, SGT)

•

Investigators

•

Correctional Officers

•

Inmates

Course Registration
Each student attending must register for training to attend. Each attendee must have an
accessible email address in order to register and attend the training and complete a
feedback evaluation.
Securus’ Training Team will provide a registration link for each training event.

Presenters
The Presenters will be the Securus Customer Training Team.

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Training Deck
All training material will be provided to training attendees via Securus University Learning
Management System. Each attendee will need to log into Securus University to download.
1. Training PPTX Presentation for each product
2. Job Aids and Reference Material
3. Examination
4. Feedback Evaluation

Needs Analysis
A needs analysis needs to be completed to determine the final scope of the training
requirements. This can be accomplished using a MS Excel template and fill-in-the-blank
responses to specific questions for each identified role.
This process should take no more than a week, depending on the amount of time to
receive the responses for each role.

Methodology
Training
Based on past experiences with technical training classes, if possible, each student should
have an available computer to follow along and practice the procedures being trained.
Whenever possible, classes should be full to maximize training time, resources, and dollars.
However, the training schedule must accommodate the fact that all members of some
departments cannot be gone at the same time.
A combination of webinar and onsite training will be implemented.

Webinar
Webinar training is one of the best methods to train large numbers of personnel at
multiple locations in the shortest amount of time. Due to potential scheduling conflicts,
content, and roles being trained, online webinars can be scheduled for all topics, as needed
or in agreement with, the customer.
Customer roles/students such as Read Only, Maintenance, and perhaps some Monitors or
Administrators, that may not be actively using the system on a daily basis and who need
mainly an overview of feature functionality, can easily learn the content via a webinar.
Student content will be uploaded to the webinar and accessible by each registered student.
Maximum Recommended Students per class: Up to 150/webinar

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Onsite
Onsite training provides students with the opportunity to fully interact with the instructor
in a classroom setting. In the onsite training, students should each have a functional
computer and be able to practice all procedures as they are being taught. StudentInstructor interaction is increased.
Maximum Recommended Students per class: 20

Role-based Training
The training will be Role Based and each role identified by NY DOC could have a separate
training schedule. Pending the completion of the Needs Analysis, each role can be
assigned to attend specific classes/webinars. The following is a potential listing of topics
that could be covered based on the roles and customer requirements.
Each role would be trained in all of the primary functions of SCP in order to have a good
understanding of SCP’s functionality and abilities. Specifics of each training aspect would
be dependent on the procedures associated with that role.
Role
Command Staff

Content
All

Focus
• General
overview of SCP
and it’s
functionality
• Reports

Administrators

All

•
•

Reports
Admin Module

Supervisors

All except Admin
Module

•

Super-user in
areas not
relating to User
Management
Investigative
strategies
Reports

•
•

Investigators

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All except Admin
Module

•

Investigative
and Internal
Affairs

Note
Command Staff rights
and roles are in some
areas view and search
only depending on
client needs and
analysis
Administrators
typically focus in the
areas of User
Management but need
a firm understanding
of the system and it’s
capabilities.
Supervisors are
responsible for the
daily operations in SCP
and in assisting users
in performing their
tasks. They also, in
some cases are
responsible for 1:1
support and training.
Full focus on the
investigative
functionality and

321

Correctional Officers

All except Admin
Module

•
•
•

techniques and
strategies
Reports
Search
Techniques
Monitoring and
listening to live
and previously
recorded calls

aspects of SCP.

Would not be trained
in any aspect of
investigative strategies
or functionality.

Inmates
•

SCP: Dialing instructions can be mounted on each phone, and added to ConnectUs
as a document.

•

SVV: ConnectUs provides a 2-minute instructional video. Various instructions can
be posted as documents on ConnectUs.

•

If NY DOC has educational broadcast capability via TVs, we can create a short video
to run frequently over internal channels.

Training Schedule
The estimated training times listed below is based on typical times for each topic. Based
on the training schedule and roles for each event, some of the times may vary.
Content

Estimated
Time

Introduction to SCP

40 min

System Module

60 min

Monitor Module

20 min

Tools Module

60 min

Admin Module

60 min

Course Exam and Feedback

30 min

Training

Training Dates and Locations

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Training Dates for NY DOC will tentatively begin _________________________. Training will be
scheduled based on requirements TBD from NY DOC Stakeholders.
OPTION 1:
Provide Regional Onsite training for all roles.
OPTION 2:
Provide Regional Onsite training for all roles except Correctional Officers who would be
trained via webinars.
OPTION 3:
Provide Regional Onsite training for Supervisor and Investigator roles.
would be trained via webinar.

All other roles

OPTION 4:
Provide Webinar training for all roles.

Objectives
The learning objectives of training are as follows:

Secure Call Platform (SCP)
Upon completion of the training, students will be able to:
•

Access and Navigate SCP

•

Access and navigate SCP Help

•

Demonstrate the Management Level functionality

•

Enable/disable phones and control specific calling features

•

Create a Call Schedule

•

Add a Global List Number

•

Add and manage an Inmate Phone Account

•

Create Covert Alerts

•

Listen to, scan, and forward live calls

•

Listen to previously recorded calls

•

Burn calls to a CD

•

Perform basic and advance searches

•

Generate desired reports

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•

Manage personal passwords

Command Staff and Administrators
•

Create a new user

•

Explain the creation and modification of a Security Template

•

Deactivate/delete a user

•

Reset a User Password

•

Generate User Management Reports

Course Content
Below is a list of the training courses offered for DOCCS.
Bi-annual Investigative Technology Workshops
Securus recognizes the importance of keeping up with changes in technology.
This proposal includes transportation, lodging and food for up to five (5) DOCCS
staff to attend bi-annual Investigative Technology Workshops at our state-of-theart Technology Center, located in Dallas, Texas. These workshops will not only
enhance the skills and capabilities of staff; they can function as training and
certification opportunities, as well. This is in addition to the on-going training
and support provided throughout the contract term
Secure Call Platform (SCP) (Estimated Training Time: 4 hours)
o

o

Course Objective: The course is designed to provide Securus’ Associates
with an Introduction to Securus Call Platform and provide an understanding
of the value and benefits SCP brings to Securus’ customers and investigators
SCP Training Topics - including but not limited to:
 Introduction to SCP
 Navigation
• Management Level
• Main Menus
• Help and Technical Support
 SCP Menus and Functions
• Systems Menu - including but not limited to:
o Controlling Phones
o Global Lists
o Custody Accounts
o Investigative Strategies
• Monitor Menu
o Listen to live calls

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

o Scanning Calls
o Forward Calls
o Investigative Strategies
• Tools Menu
o Search for calls
o Listen to previously recorded calls
o Basic Search
o Advanced Search
o Reports
o Investigative Strategies
• Admin Menu
o Password Management
o User Management
o Security Templates
o Job Title Management
SCP Training Exercises

System Access
Once all attending officers have registered for the training, their names and email
addresses will be provided to the Client Manager to ensure that appropriate access is
granted. Securus cannot install any application software on non-customer computer
systems.
All registered students attending training must have authorized access to the products
being presented. It is the responsibility of the New York State Department of Corrections and
Community Supervision (DOCCS) representative to work with the Securus Client Manager to
validate/obtain the required access for each authorized user prior to training.
FACILITIES

Onsite Training Setup
The following includes the minimum requirements for each training room:
1. Appropriate desks and chairs for each student
2. If course in not demonstration only, there should be a computer workstation for
each student with network connection
3. ALL computer systems must be on Windows 10 with the update option for
Windows 11 disengaged
4. Securus’ applications installed and tested on all computers
5. Overhead Projector and screen connected to Instructor PC
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6. Speakers available for instructor PC or already connected to site PC
7. Instructor podium and computer if required
a. Instructors will probably bring their own laptop so will need appropriate
internet connection and access information
b. Instructors will also need access beyond local firewalls if possible
c. If instructors will be required to utilize local computer systems, will only
need appropriate access and ability to upload content to the PC
8. Whiteboard and markers or flipcharts and markers
9. The instructors will be able to gain access to the training room at least 24 hours
in advance to ensure all systems are functional and tested

Information Technology
10. Securus will provide the steps needed to install all of the required software to
the Client IT representative. This will include how to test the software for full
functionality.
11. Local IT personnel will install and test all Securus’ applications on all computers
that will be utilized during training including:
a. Attending officers’ computers
b. Training Room Computers
12. Local IT and a Securus Field Service Technician will work together to ensure the
software is properly installed and tested on all authorized user’s computers.
13. Local IT and a Securus Field Service Technician will work together to ensure the
software is properly installed and tested on the Training Room computer.
14. The local IT Department will ensure that there is adequate wireless internet
available for all students.
15. Instructors will probably bring their own laptop so will need appropriate internet
connection and access information.

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SCP Course Modules
Course Module

Objective

Length

— What is SCP?
— Logging in
Getting Started

— Navigating through the features

25

— Managing your password
— Contacting Technical Support for service calls
— Creating and changing user accounts
— Defining a user’s role and granting access
permission
User Administration Activities

— Resetting a user’s password

60

— Deactivating and/or deleting users
— Running user management reports
— Adding and changing inmate phone accounts
— Deactivating inmate phone accounts
Inmate Administration Activities

— Setting up the phones to meet your
requirements

30

— Using administrative reports
— Reviewing Call Detail Records (CDRs)
— Monitoring live calls
Monitoring Activities

— Listening to recorded calls

60

— Using monitoring reports
— Saving calls and burning to CD
— Using CDRs for investigations
— Recognizing trends in inmate activity
Investigation Activities

— Using other investigative tools to collect
evidence

40

— “Digging” into the details
— Learning time-saving tips and tricks

Super User Activities

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— Discussing actual facility situations and
turning evidence into intelligence
— Troubleshooting for operational and
maintenance staff to minimize unnecessary
service calls

25

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SCP Online Help Features
Course Module
Welcome Page

Objective
Provides high-level descriptions for selected features
describing their purpose and functions.

What is New in SCP

Describes new features in the current release and includes
links to receive additional details or task-based
instructions.

Getting Started

Offers task-based procedures to assist officers in efficiently
using SCP to get their job done. Each topic includes a link
that enables an e-mail to be sent for Technical Support or
to Training for online help feedback.

Related Topics

Links to SCP feature elements such as phones, inmates,
investigations, reports, workforce, and administration.

Pop-up Definitions

Defines glossary terms and word index at the click of a
mouse without leaving a topic. This assists the trainee to
quickly absorb new concepts and technology.

Tips and Tricks

Provides shortcuts, helpful hints, and advanced topics for
highly-skilled officers looking to improve their
performance.

Frequently Asked
Questions (FAQ)

Offers common questions and their answers.

Troubleshooting

Presents self-help instructions for common functions such
as the following:

Reference

Advanced Management
Functions

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Length

15

An inmate was released, but I cannot release his PIN.
“You must deactivate the Custody Account before you can
release the PIN. If you still cannot release the PIN, contact
Technical Support.”

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SCP Course Training Schedule
Item

Content

Key Points

Time

What is SCP?
1

Introduction to
SCP

Accessing SCP
Basic Navigation

40

Management Level
Help and Technical Support
Introduction
Controlling Phones
o Disabling Phones
o Controlling Specific Phone Features
o Call Duration
o Call Schedules
o Call Restrictions

2

System Module

o Investigative Strategies
Global Lists - Controlling Phone Numbers

60

o Adding a Global List number
o Controlling how numbers are handled
o Investigative Strategies
Custody Accounts
o Adding Inmate Phone Accounts
o Controlling Inmate Phone Accounts
o Investigative Strategies
Listening to Live Calls
3

Monitor Module

Call Forwarding
Scanning Calls

20

Investigative Strategies
Call Detail Records
Listening to Previously Recorded Calls
Basic and Advanced Search
Call Controls
Call Tracker
4

Tools Module

Burning Calls to a CD
Investigative Strategies

60

Reports
o Inmate Reports
o Investigative Reports
o User Management Reports
o Administrative Reports

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SCP Course Training Schedule
Item

Content

Key Points

Time

Introduction
Password Management
User Management
o Search
o Creating a New User Account
o Changing a User Account
5

Admin Module

o Deactivate/Delete a User
o Password Reset

60

Security Templates
o Create a New Security Template
o Modify a Template/User Access
User Management Reports
Job Title Management
o Add a Job Title
TOTAL TRAINING TIME

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4.00

330

Communications Plan
Change Management Process
Risk Management and Mitigation Plan
Configuration Management Plan

Provided in this document are the following:

o
o
o
o
o
o

Method of Communication
Communications Schedule
Communication Documents
Contact Information
Risk management Process
Change Management Process

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Method of Communication

DOCCS and Securus Technologies will have continuous weekly
meetings to review and discuss the progress of the implementation of
Inmate Telephone services. The meetings will occasionally have
additional associates invited to attend from both companies to discuss
current progress and risks associated to the installation.
The discussions will be a collaborative communication using 3 main
tools:
• Face to Face meetings to review installation processes onsite at
DOCCS
• Conference Calls through the following described bridge numbers
• Email distribution of documentation and updates

Communication Schedule
Conduct weekly Tuesday Summary conference call with
DOCCS, Project Managers, and other associated parties to review
current milestones completions and/or delays and next steps.
o Dial-in Number: 1- 877-710-1114 (subject to change)
o Access Code: XXXX (subject to change)
o Date: Each Tuesday
o Time: 10:30 am CST
Communications Plan Revisions
Revision
Date

Initiator

SECURUS Technologies

Description of Revision

Approved
By

Revision
Approval
Date

332

Communication Documents
Document

Recipients

Purpose

Update
Frequency

Project Charter

Project Management
Team

Define scope, risk,
constraints

As required

Risk Management
Document

Project Management
Team

Capture risks and
process outline for
managing issues

As required

Contractual
Requirements
Tracker

Project Management
Team

Capture Contract
requirements

As required

Change Control
Document

Change Control Board

Manage Changes

Weekly or as
required

Project Plan

Project Management
Team

Track progress of
project tasks

As required

Status Report

Project Stakeholders,
Project Management
Team

Provide status and
updates

Weekly

(See below)

TEAM GOALS





Coordinate all of the appropriate vendors and resources
Understand the risks and issues which can arise during install
Document efficiently to monitor progress to completion
Improve communication with all parties throughout the
implementation process

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Contact Information
DOCCS and Securus Technologies Project Team
Communications Roster
Name/Title/Role

Email/Phone

Method by Priority
High

- Executive Sponsor

Med

Email and Phone number

DOCCS – (Title)
NAME – Project Stakeholder
DOCCS – (Title)
NAME
DOCCS – (Title)

-

Project

Stakeholder

NAME - Project Stakeholder
DOCCS – (Title)
NAME
DOCCS – (Title)

Project

Stakeholder

NAME
DOCCS – (Title)

Project

Stakeholder

NAME
DOCCS – (Title)

Project

Stakeholder

NAME
DOCCS – (Title)

Project

Stakeholder

Mr. Russell Roberts – Executive Sponsor
Securus Technologies – Vice President
NAME
Project
Stakeholder
Securus Technologies - Sales Vice President
NAME
Securus

Project
Technologies –

SECURUS Technologies

Stakeholder
National Sales

334

Low

Name/Title/Role

Email/Phone

Method by Priority
High

Med

Manager
NAME
Project
Stakeholder
Securus Technologies – Senior Territory
Manager
Debbie Cates - Project Stakeholder
Securus Technologies - Director, Technical
Support
John Mannewitz - Project Stakeholder
Securus Technologies – Manager, Service
Operations Support
Monica Garcia - Project Stakeholder

Supervisor,
Implementation – Project Management

Securus

Technologies

–

NAME - Project Stakeholder
Securus Technologies
Project Manager

–

Implementation,

Terry Bessent – Project Stakeholder
Implementation Consultant
NAME – Project Stakeholder
Securus Technologies – Senior Regional
Manager, Field Service
NAME - Project Stakeholder
Securus Technologies - Regional Manager,
Field Service
NAME – Project Stakeholder
Securus Technologies
Services

SECURUS Technologies

–

Manager,

Field

335

Low

Name/Title/Role

Email/Phone

Method by Priority
High

Med

Risks Management Process
APPROPRIATE CORRECTIVE MEASURES
•
•
•
•

Identify issue or risk and perform probability assessment
Notify Project Manager
Project Manager will document, resolve and close
Project Manager will escalate and notify Project Sponsor(s) of
risks that cannot be resolved

TRACKING RISKS AND ISSUES
Tracking and monitoring of risks and issues will be documented
on the Risk Management Document and the Issues Management
Document. Keeping track of these items will assist in driving
directives to complete or submit for a change control of the
scheduled operations.

Change Management Process
CHANGE MANAGEMENT PROCESS STEPS
Any and all project changes will be discussed with and approved
by (list all those who are the key stakeholders of making a process
change)

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Low

CHANGE MANAGEMENT PROCESS FLOW
Changes that are out of scope (not defined in the original Project
Charter or RFP Response) will be presented to the CCB for approval
before consideration for implementation.
CHANGE CONTROL BOARD (CCB) MEMBERS
NAME – DOCCS
NAME – DOCCS
NAME – DOCCS
NAME – DOCCS
AM – Securus
SVP – Securus
PM – Securus
PM Supervisor – Securus

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Performance and Service Level Plan

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Project Reporting Process and Mechanisms
Sample Project Charter

Securus Inmate Telephone Service and Tablet Solution

PROJECT CHARTER
For

New York State Department of Corrections and
Community Supervision (DOCCS)

Department:
Implementation

Inmate

Project:

Inmate Telephone Service
and Tablet Solution

Sponsor:
Maker)

(Site/State

Project Manager:

(Securus Project Manager)

Date:
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Services-

Main

Decision

July 5th , 2017
341

CHARTER REVISIONS
Revision

Initiator

Description of Revision

Date

Approved

Revision Approval

By

Date

Document Information
This document represents the Project Charter, an official document that authorizes the
Project Manager to commit resources to work on the project. The Project Charter is
completed during the Initiation Phase of the LEAN Project Management Methodology.
Project Charter Approvers (Key Stakeholders):

Project Sponsor: The person, who champions, secures financial resources and provides
strategic direction for the project. There could be more than one project sponsor.
Business Owner: The individual responsible for the final project product or desired
outcome. (Note: The project sponsor and the business owner may be the same person for
the project.)
Project Manager: The person assigned to the project to achieve project objectives and to
manage day-to-day activities including the development of the project plan, conducting
project reviews and disposing of issues and change requests.
Other Key Executive Stakeholders:
A
representative) of any other department (e.g.,
provide resources to assist with the project.
departmental representative. If applicable,
Department involved in the project.

SECURUS Technologies

Senior Cabinet member (or designated
Finance, Facilities, or Legal) who commits to
There could be more than one additional
list separately a representative for each

342

Project Stakeholders and Participants
The project team will consist of members from DOCCS and Securus Technologies. The
following table identifies the project participant’s title and contact information:
Name/Title/Role

Email/Phone

NAME - Executive Sponsor

Phone Number

DOCCS - Title

Email Address

Mr. Robert Pickens – Executive Sponsor

972-277-0300

Securus Technologies - Chief Operating Officer

bpickens@securustech.net

NAME
Project
Stakeholder Phone Number
DOCCS - Commander; Custody Command
Email Address
NAME
Project
Stakeholder Phone Number
DOCCS - Director Commander; Intelligence Division
Email Address
NAME
Project
Stakeholder Phone Number
DOCCS - Telecommunications Commander
Email Address
NAME
Project
Stakeholder Phone Number
DOCCS - Deputy Chief, Technology Management
Email Address
Bureau
NAME
Project
DOCCS - Chief of Administration

Stakeholder Phone Number

NAME
Project
DOCCS - Chief of Detention

Stakeholder Phone Number

Email Address

Email Address

NAME
Project
Stakeholder Phone Number
DOCCS - Lieutenant; Custody Business Ops/Special
Email Address
Projects

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Name/Title/Role
NAME
Project
DOCCS - Procurement Officer

Email/Phone
Stakeholder Phone Number
Email Address

Debbie
Cates
Project
Stakeholder 972-277-0314
Securus Technologies - Director, Technical Support
dcates@securustech.net
John
Mannewitz
Project
Stakeholder 972-277-0577
Securus Technologies - Manager, Service Operations jmannewitz@securustech.net
Support
NAME
Project
Stakeholder Phone Number
Securus Technologies - Sales Vice President
Email Address
NAME
Project
Stakeholder Phone Number
Securus Technologies - Major Account Manager
Email Address

Project Stakeholders and Participants – continued:
The project team will consist of members from DOCCS and Securus Technologies. The
following table identifies the project participant’s title and contact information:

Name/Title/Role
NAME
Project
DOCCS - Senior Capital Project Manager

Email/Phone
Manager Phone Number
Email Address

NAME
Project
Manager Phone Number
DOCCS- Officer; Custody Business Ops/Special Projects
Email Address
NAME
Project
DOCCS - Telecommunications Analyst

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Manager Phone Number
Email Address

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Name/Title/Role

Email/Phone

NAME
Project
Manager Phone Number
Securus Technologies - Implementation Project Manager
Email Address
NAME
Project
Team Phone Number
DOCCS - Office of Enterprise Technology; Senior Project
Email Address
Manager
NAME – Project Team

Phone Number

DOCCS - Network Administrator

Email Address

NAME
Project
Team Phone Number
DOCCS - Commander of Mainframe Operations & Tech.
Email Address
Support
NAME
Project
Securus Technologies – Client Manager

Team Phone Number

NAME
Project
Securus Technologies – Field Marketing Analyst

Team Phone Number

SECURUS Technologies

Email Address

Email Address

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Project Stakeholders and Participants Responsibilities
The project team will consist of members from DOCCS and Securus Technologies. The
following identifies the project participant’s role and associated responsibilities:
DOCCS Executive Project Sponsor – (Main Site/State Contact)
•
•
•
•
•

Provides executive direction to the project team
Provides funding and financial approval for the project
Participates in formal project status review process
Reviews and approves date changes to project’s master schedule
Makes all final critical decisions when necessary

DOCCS Project Owner – (Site/State Contact)
•
•
•
•
•
•
•
•

Participates in formal project status review process
Reviews all project deliverables
Provides interface and communications into other areas of DOCCS
organization as needed
Coordinates access to and scheduling for DOCCS Facilities staff
Sign-off and acceptance of deliverables
Reviews and approves date changes to project’s master schedule
Reviews and approves project change requests
Makes all final critical decisions when necessary

DOCCS IT – (Site/State Contact)
•
•
•
•

Provides interface and communications into other DOCCS IT organization
Coordinates access to DOCCS and systems as needed at the main office
and remote locations, if necessary
Participates in design review and approval
Facilitates design review and approval by DOCCS

Securus Executive Project Sponsor – Mr. Robert Pickens
•
•
•
•

Provides executive direction to the Securus project team
Provides guidance to the project team’s leadership regarding project
activities, scheduling, resource allocation, etc.
Provides guidance to the project team with regard to project scope, tools,
and processes
Reviews all project deliverables (documents)

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•

Responsible for all deliverables

Securus Project Owner – (Securus SVP, Account Manager)
•
•
•
•
•
•
•
•

Responsible for successful completion of the project
Support Project Manager and directs Securus project team
Participates in formal project status review process
Reviews all project deliverables
Sign-off and acceptance of deliverables
Reviews and approves date changes to project’s master schedule
Reviews and approves project change requests
Makes all final critical decisions when necessary

Project Managers – (Securus PM/management, DOCCS PM and staff)
•
•
•
•
•
•
•
•

Serves as the central point of communication between DOCCS and
Securus
Facilitates all formal project communications
Develops and maintains a detailed project plan and schedule
Manages project logistics for scheduling project activities and resources
Owns all project documentation including contracts, project change
requests, official meeting minutes, and customer signoffs
Handles miscellaneous information requests from project team members
Provides both hard copy and electronic documentation
Supports all phases of the project

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1. Project Mission
1.1.

Mission Statement

Provide an innovative hosted solution for inmate telephone services and tablets
across DOCCS facilities on time and within budget.

1.2.

Business Need

DOCCS desires a highly reliable and affordable service solution that will give
DOCCS the support and capabilities to perform oversight and monitoring of inmate
telephone calls and tablet utilization while maximizing contributions to the inmate
general welfare fund.

1.3.

Project Product

A complete and secure turn-key integrated inmate communications system with
the benefit of value added features as future opportunities.

2. Project Duration (Approximate)
July 5, 2017 – October 2, 2017

3. In Scope and Responsible Parties

(Sample of installation Scope of work details. Need to replace all information for what is in the
RFP and/or Contract)

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348

Item

Responsible

1. Inmate Telephone System/ Tablets
a. Installation HW/SW
b. Transport Installation
c. Integration with JMS
d. Acceptance Testing Plan
e. Reference Materials
f. Training Plan
g. Marketing and Media
Relations Assistance
h. Software Updates (as they
become available)

Securus

2. Interfaces –2 Complete Integrations
Total
a. From: DOCCS JMS to Securus
for inmate information
(Tablets)
b. From: DOCCS IFCS to Securus
for commissary information
as applicable (Tablets)

DOCCS (JMS/IFCS), Securus

*** (Item: 1d) - Shared responsibility with
DOCCS (Item: 2)

*** DOCCS will review and approve data
provided to vendors from their JMS system,
to ensure authenticity. DOCCS will ensure
compliance with CJIS dissemination policies.
DOCCS will assist in resolving any
roadblocks related to their JMS during all
integration phases, as needed.

4. Out of Scope Items
Securus Technologies:
Lists all items which are identified during planning meetings which are discussed
which have not been approved for the current installation.
2.

DOCCS:
Business rules - which have not been identified in the RFP and translated to the
contract as items which are required for installation.

5. Constraints

Constraints are those "restrictions" that affect when an activity can be scheduled. Those "restrictions”
are SCOPE, TIME, & COST.
1. Integration testing matrix and validation points
2. Additional development items which are outside the Securus products and features
3. Transport configurations

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4.
5.
6.
7.
8.
9.

Transport installation timelines
Contractor requirements
Contractor costs associated to hardware deployment
Facility related duties outside of Securus control and SLA
Facility Escort availability during circuit and hardware installations
Hardware delivery timelines based on project volume

6. Risks

A risk is something that may happen and if it does, will have an adverse impact on the project.
1.
2.
3.
4.
5.
6.

Integration Development items – Non Securus standard data transfer rules
Telecom delivery time lines
Transport delivery within SLA
Scope changes outside of contract
Change in Scope of work of hardware requirements
Security Templates identified

Site/State Stakeholder Name

Signature

Date

Site/State Stakeholder Name

Signature

Date

Site/State Stakeholder Name

Signature

Date

Securus Stakeholder Name

Signature

Date

Securus Stakeholder Name

Signature

Date

Securus Stakeholder Name

Signature

Date

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Project Manager
The vendor shall provide a fulltime project manager for the duration of the
implementation until DOCCS has accepted all system components and services.
The project manager shall be responsible for the development and
implementation of the project plan, all transition and migration requirements and
acceptance testing. Within 14 days of the notification of tentative contract award,
the selected bidder must provide a résumé for its proposed Project Manager for
DOCCS’ approval. The State reserves the right to require additional information,
including the use of direct interviews and demonstrations, to make a
determination of the proposed Project Manager’s qualifications. DOCCS reserves
the right to accept or reject any proposed candidates for this position.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

DOCCS’ Resources
In the Proposal, provide a breakdown of DOCCS’ staff resources required for
implementation, migration, and operation of their proposed solution.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
See 3.8.1 – Project Plan (page 226)
Site Survey
After notice of tentative away, the selected vendor shall be responsible for
performing a site survey at all of DOCCS’ facilities and identifying all installation
and facility issues that could impact implementation.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.8.2
Call Recording Migration
DOCCS currently stores one year of recordings within the existing ITS platform. The
vendor must transfer existing recordings from the current vendor system to the proposed
system without loss of information, chain of custody and playback ability.
Describe the plan for this migration.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Per the Official Responses to Questions, Answer to Question 31, DOCCS agrees to amend
3.12 of the RFP to include the ability for a phase-out plan to allow the option of a “leave
behind” system to maintain access to existing recordings upon expiration of the contract
resulting from the RFP at the sole discretion of DOCCS.
Securus has significant experience transitioning to SCP from your current platform. We will
work with the existing vendor to provide leave-behind access to the existing recordings and
call detail records.

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The plan for doing so will have to be worked out between Securus and the current vendor
after contract award. The details and timing of the plan will be dependent on the
cooperation of the current vendor and the technical characteristics of its data storage
system. Securus will keep DOCCS apprised of the status of the plan and its progress as it is
implemented.

3.8.3
Fallback Plan
As part of the proposal, provide details and procedures for the fallback plan to
restore all services to the prior system in the event of failure upon cutover.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
See 3.8.1 – Fallback Plan (page 226)
3.8.4
Acceptance Testing
The project plan must include a draft Acceptance Test developed by the vendor.
DOCCS will evaluate this plan for comprehensiveness and reserves the right to make
modifications to the plan to meet DOCCS’ needs. Failure to successfully complete
the Acceptance Test may result in termination of vendor services and cancellation of the
contract. DOCCS shall be the sole determinant of the success of the Acceptance Test.
Billing for services under the contract will be contingent on the satisfactory completion of
the Acceptance Test. If the initial acceptance test is not successfully accomplished,
DOCCS, at its sole discretion, may require a retest of one or more of the acceptance test
criterion.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Acceptance Test Plan

PROJECT ACCEPTANCE
INMATE TELEPHONE AND TABLET IMPLEMENTATION
NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
1220 WASHINGTON AVE BLDG 2
ALBANY, NY 12226

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PROJECT ACCEPTANCE OF THE INMATE TELEPHONE SYSTEM

This document establishes formal acceptance of all the deliverables for Inmate
Telephone System Project. The Inmate Telephone System Project has met all the
acceptance criteria as defined in the requirements document and project scope
statement. A project audit has been performed to verify that all deliverables meet
performance and product requirements. Additionally a product evaluation has
been performed and determined that all products meet the quality and functional
requirements defined within this project.
Transition to Operations has been completed. The live system has been handed
over to Operations and the transfer of knowledge from the Project Team to
Operations has also been completed. All training has concluded and the System
Operations Guide has been handed over to Operations.
The Project Manager is authorized to continue with the formal close out of this
project phase.
The closeout process will include a post-project review,
documentation of lessons learned, and release of the Project Team, close out all
procurements and archive all relevant project documents. Once the closing
process is completed the Project Sponsor will be notified and the Project Manager
will then be released from this project phase.

SPONSOR ACCEPTANCE

Approved by the Project Sponsor:

__________________________________________________

Date: _______________________

Project Sponsor Name
Project Sponsor Title

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3.8.5
Equipment Disposal
The contractor shall be responsible for the removal and environmentally certified
disposal of all existing unused ITS equipment no later than 120 days after the successful
completion of the acceptance test.
The contractor will be responsible for removal of all equipment replaced during the term
of the contract at no cost to DOCCS. All data and software must be completely removed
and destroyed in compliance with DOCCS security policies and procedures and
certification of the completed decimation process provided.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Data Exchange
The ITS contractor and DOCCS’ computing systems routinely exchange data to provide
timely updates to the ITS that allow proper validation of an attempted call prior to processing.
The contractor must comply with the frequency and data exchange format as specified in
Attachment D, Data Exchange Elements, and provide communication access for the data
exchange 24 hours per day. Where appropriate, DOCCS will make a reasonable attempt to
add or modify formats or schemas to accommodate the vendor for new services implemented
resulting from a contract award. Data Exchange Specifications are subject to change during
the resulting contract term.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.9.1
National Information Exchange Model (NIEM) Standards
The contractor agrees to migrate the existing data exchange requirements to data
standards consistent with the NIEM as they become operational for ITS data elements at
no cost to DOCCS. The bidder may find additional information regarding NIEM
standards at http://www.niem.gov.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.9.2
Data Reconciliation
The vendor shall provide on a weekly basis all data to DOCCS in a format specified by
DOCCS in Attachment D for the purposes of data reconciliation. DOCCS will reconcile
the vendor’s data and transmit exceptions in the same format as the daily modifications
as specified in Attachment D. The vendor shall accept the modifications as the master
record.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Information Ownership
DOCCS shall own all inmate data, call recordings, and customer account records (collect
call, pre paid, and credit), and DOCCS’ information developed, stored or used in the ITS.
The vendor shall act as custodian of that information in accordance with applicable statutes,
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policies, regulations and procedures and shall provide the information to DOCCS upon
request in a form and manner specified by DOCCS. The vendor agrees not to sell, use, share
or display any data or to use data for any other purpose unless agreed upon, in writing, by
DOCCS.
DOCCS shall own all inmate data and call recordings and DOCCS’ information developed,
stored or used in the ITS. Vendor shall provide DOCCS access to customer account records
excluding private financial data. (replaced by Addendum II)
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Security
Due to the sensitive, public safety nature of the services under the resulting contract, the
vendor must describe, in detail, the security measures that will be taken for personnel, data,
communications, systems and facilities in a Security Plan.
The security plan must address the steps the vendor will take with regard to protecting all
information and services that result from this RFP.
Describe the security plan, including specific processes and procedures that your
company will take to ensure the confidentiality of all information and data.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus Technologies has a dedicated staff of IT Security Professionals with multiple
security certifications such as CISSP, CISA and Infosec Evaluation Methodology from the
National Security Agency. The Information Security Framework used at Securus is based
on the NIST 800 series of standards which provides a solid basis for assuring the
confidentiality, integrity and availability of information is adequately secured based on risk
and value.
Securus Technologies is compliant with multiple regulations and standards such as CPNI,
and state PII notification laws. These controls have been confirmed through external SAS70 and SOX audits. As stated earlier in this response, Securus is the only inmate telephone
manufacturer and service provider to be certified as compliant within the Sarbanes-Oxley
Act and also is the only provider to be able to obtain a SAS-70, Type II audit certification.

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Information Security

December 2016

Table of Contents

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3.11.1
ITS System Security
The vendor shall describe the ITS system security for all data stored locally or in a
central database.
Describe the proposed security system. All information must be encrypted.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus Technologies utilizes a “least access privilege” methodology in which information is
restricted to a “need to know” basis. Confidential information is encrypted during
transmission based on data risk assessments. Access to systems is restricted using unique
login credentials to assure non-repudiation which is tied to password policy controls that
include length, complexity and expiration requirements. A formal change control process
is utilized for access to the production systems that incorporate a privileged account
checkout process to assure that access is granted to only the systems being affected and
only for the duration of the authorized change control.
The Securus Secure Call Platform (SCP) provides an advanced, multi-level password scheme
specifically designed to provide facility administrators the ability to assign unique levels of
access to anyone using the different features of the SCP. There are view and change
options for each module depending on the need of the user.

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Manage, Create, Edit, Predefine User Levels in SCP

The administrator may modify the initial access levels or create additional levels based on
facility clearance objectives for each tool. SCP generates a user log with the user name,
time of access, and modules accessed.

Create New Security Templates

Additional Password Policy Options
SCP provides flexible Password Policy options, enabling administrators to customize login
security to meet their needs. Passwords can be configured by location, length, days to
expire, and even the number of password cycles before password reuse. Additional

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configuration options include reminders for password expiration and minutes of allowable
inactivity before session timeout.
If a user does not change their password before expiration, the user must contact the site
administrator for password reset. This administrator assigns a random password and
requires the user to create a new password when they log in.

Password Configuration Options in SCP

The “Forgot Your Password” feature available from the login
screen offers online support for users who have forgotten
their password. System security requires users to provide the
correct answers to preset questions before their password
can is reset. Once a new password is created, SCP emails
confirmation to the address linked to the user ID.

Data Security
The Securus SCP is in a carrier-class data center that has some of the most comprehensive
security measures in the telecommunications industry. Multiple layers of security control
physical access to the Securus network facilities.
Security personnel maintain the following procedures for allowing entry into the data
centers:


Security personnel are on premise 24x7x365



Cardkey reader (electronic badge) access for entry



All persons having a business need to access company premises must carry
identification badges at all times

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

Man traps at each entry and exit point in the data center. Man traps use two sets of
doors that both require electronic badge entry. The first set of doors must close
before the second can open.

Access Procedures
All visitors, customers, contractors, and repair personnel must gain access from the
security officer on duty.
Customers, contractors, repair personnel, maintenance personnel, and non-local
employees can access buildings and critical areas only with an escort. Vendors may access
buildings and critical areas only during working hours and also require an escort.

Certain ICS providers would like you to believe that Securus was “hacked” based on an
article that appeared last November in The Intercept. After this article was published,
Securus retained outside counsel to conduct an independent investigation of the
allegations appearing in the article. Counsel’s investigation team included world renowned
forensic experts.
After an exhaustive investigation, the team concluded that no system or database of
Securus was “hacked” or otherwise unlawfully accessed, much less that inmate recordings
or other data in a Securus system or database was unlawfully listened to, copied, read, or
otherwise “stolen.” Rather, the investigators determined that the data/database at issue
was on a third party platform over which Securus had absolutely no ownership or
operational control.
Further, although this third party system was unlawfully accessed (by someone unlawfully
obtaining an id and password to access the system), there is no evidence that inmate call
recordings or other data were actually listened to, copied, read. or otherwise “stolen.” So it
is manifestly false to claim that a Securus database or system was “hacked” and our data
was “stolen.” No Securus system or database has ever been “hacked” or otherwise
unlawfully accessed.

Securus takes the security and access to our software/application very seriously and hence
have implemented one of the strongest controls in the industry. Securus access controls
for all systems are audited for compliancy with the following accreditations/certification:


SSAE16; (SOC1, SAS70): Statement on Standards for Attestation Engagements
(SSAE) No. 16, Reporting on Controls at a Service Organization

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

SOX: The Sarbanes–Oxley Act of 2002,is a United States federal law that set new or
enhanced standards for all U.S. public company boards, management and public
accounting firms.

The applicability and adherence to access policies are applied across all systems with
regular frequency control (Daily, Weekly, Quarterly, Semi-annual, and Annual) and overall
Security protocol process flow is audited on a yearly basis.
Our customer facing applications use a combination of Microsoft Active Directory and
Databases for authorization and authentication controls. This combination of technologies
helps us implement the above mentioned access controls seamlessly in our environment
for customer peace of mind.

3.11.2
Jurisdiction
The vendor must guarantee DOCCS that it will not transport or make available
physically, electronically, verbally or in any other form or manner, any data (either test or
production) provided or produced under the contract that is awarded as a result of this
RFP outside of the borders of the United States.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.11.3
Compliance
The vendor will comply with all the DOCCS’ security policies and procedures and
requirements as well as State security policies including, but not limited to, the NYS
Enterprise Information Security Office (EISO). Information for this Security Policy is
available at www.its.ny.gov/eiso/policies/security.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.11.4
Background Checks
The vendor’s personnel must meet DOCCS’ requirements for background checks and be
subject to ongoing review to assure that staff continues to meet security screening
standards.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3.11.5
Information Security Breach
The vendor shall notify DOCCS immediately if it experiences any security breach that may
cause DOCCS’ data and/or customer’s data to be corrupted or inappropriately accessed
or used. Such notice shall occur within four (4) hours of any incident.
Provide a copy of your data security breach notification and response
procedures.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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On intrusions, every incident is evaluated individually and appropriate action is taken
based on severity. The escalation process is commensurate to the event, and each event is
documented and communicated for review by senior management. Securus administrators
adhere to our “Cyber Security Incident Response Plan” when Network anomalies are
escalated. The plan is documented within our corporate Information Security policy.
Breaches, should they occur, are handled in accordance with our “Data Breach Policy”
which is also defined in the Master Information Security Policy.

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Phase-Out Plan
The vendor shall provide DOCCS with a full explanation on how it will handle a transition
situation at the end of the contract period. Any DOCCS owned equipment located outside
DOCCS’ sites, such as recording equipment and software, must be provided to the next
contractor or DOCCS at no cost. DOCCS shall own all premised based equipment installed
and all data. At DOCCS direction, the contractor must provide any and all data including call
recordings to the new vendor or DOCCS.
The vendor shall provide DOCCS with a full explanation of how it will handle a transition to a
succeeding vendor at the end of the contract period. The plan must describe how the vendor
will 1) provide any and all data including call recordings to the succeeding vendor or DOCCS
in a manner that will allow DOCCS to access individual recordings using the succeeding
vendor’s system; or 2) a mechanism that will allow DOCCS to search for and access
individual recordings for up to one year after the transition is complete. The plan must also
describe how “Flagged” call recordings, which are retained indefinitely, will be provided
and/or made accessible to DOCCS following the transition to the succeeding vendor. The
plan must also describe how the proposed transition plan will maintain the chain of custody of
individual recordings, whether Flagged or not, should they be needed as evidence following
the transition to the new system. Any DOCCS-owned equipment located outside DOCCS’
sites, such as recording equipment and software, must be provided to the next contractor or
DOCCS at no cost. DOCCS shall own all premised-based equipment installed and all data.
(replaced by Addendum II)
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus intends to earn DOCCS business and trust, and establish a lasting relationship with
DOCCS. If we are not fortunate enough to retain your business, we have a thorough phaseout plan that will make the transition as smooth as possible. A phase-out plan needs to
take into consideration more than continuing to provide DOCCS with access to inmate call
recordings. From an operational perspective, the plan needs to incorporate the migration
of database information. Today’s inmate calling platforms store a tremendous amount of

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inmate information that is built over several years. If this information is not provided to
the incoming provider, DOCCS will bear the burden of trying to gather the information.
Securus will provide all of the following information to the incoming vendor in an electronic
format, such as Excel, PDF, CSV file, that will allow them to import the information to the
respective platform.
Existing PIN list (active)
Existing PAN list
Global allowed list
Global blocked call list
Call restrictions by PIN, facility, housing unit, time of day, and day of week
Other inmate telephone system data as requested and directed by DOCCS
Securus’ Secure Call Platform Command Center will continue to provide the DOCCS
authorized staff access to the inmate recorded calls for a period of one year, and will work
with the awarded vendor to facilitate access to “flagged” calls. Since the recordings will still
reside in the Securus SCP system, the same chain of custody guarantee that Securus
maintains during this contract will still be in place. There will no longer be a need to
download tapes to removable media and hope that the chain of evidence is still valid.

Training
The vendor shall specify the training requirements and expected roles and responsibilities for
all of DOCCS’ ITS staff required for the planning, implementation and on-going operation of
the ITS. The vendor shall provide all training at no cost to DOCCS.
The vendor will deliver the needed training in a manner, at a location and according to a
schedule approved by DOCCS. All training will include proficiency testing and additional
training will be provided at no additional cost until all participants achieve proficiency. The
vendor will provide refresher training or training for new staff as needed at no cost.
List and describe all training, including the title, length, general content, and the
proposed schedule for the training.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides product training for all SCP features in the agreement with DOCCS.
Experienced Securus employees conduct all training through online instructor-led classes
or on-site, one-on-one and classroom training sessions at no cost. We deliver standard
training using both hands-on experiences with your data and using instructor
demonstrations to ensure each trainee understands all SCP functions.

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Securus training programs enable facility staff to use all features the first day of
installation. Since our products are web-based, after a two or three-hour training session,
most facility staff can easily maneuver through the system’s features.
In addition to standard training, Securus will develop an online training experience to meet
the unique needs of your staff and facility. We offer separate classes focused on different
agency functions such as investigations, live call monitoring, and system administration.
Securus offers online instructor-led courses available twice a month throughout the year
for product upgrades, new facility staff, or general refreshers. Securus ongoing training
ensures your staff always “stays on top” current and newly released SCP features.
Continued Training Opportunities Through Bi-annual Investigative Technology
Workshops
Securus recognizes the importance of keeping up with changes in technology. This
proposal includes transportation, lodging and food for up to five (5) DOCCS staff to attend
bi-annual Investigative Technology Workshops at our state-of-the-art Technology Center,
located in Dallas, Texas. These workshops will not only enhance the skills and capabilities
of staff; they can function as training and certification opportunities, as well. This is in
addition to the on-going training and support provided throughout the contract term.

SCP Training Course Modules
Securus is committed to providing your staff with training that will maximize the potential
of the features implemented at your facility. Training courses are in a offered in a userfriendly, task-oriented format to teach your staff what they need to know to do their job.
We present courses in separate modules based on the types of duties officers tend to
perform using the SCP inmate telephone system while focusing on the unique features of
our applications.
The following table presents the standard SCP training course modules and associated
learning objectives.

SCP Course Modules
Course Module

Objective
Logging in

Getting Started

Navigating through the features
Managing your password
Contacting Technical Support for service calls

User Administration Activities

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Defining a user’s role and granting access permission
Resetting a user’s password
Deactivating and/or deleting users
Running user management reports
Adding and changing inmate phone accounts
Inmate Administration Activities

Deactivating inmate phone accounts
Setting up the phones to meet your requirements
Using administrative reports
Reviewing Call Detail Records (CDRs)
Monitoring live calls

Monitoring Activities

Listening to recorded calls
Using monitoring reports
Saving calls and burning to CD
Using CDRs for investigations

Investigation Activities

Recognizing trends in inmate activity
Using other investigative tools to collect evidence
“Digging” into the details
Learning time-saving tips and tricks

Super User Activities

Discussing actual facility situations and turning
evidence into intelligence
Troubleshooting for operational and maintenance staff
to minimize unnecessary service calls

SCP Online Help
Securus also provides online self-help available at all times from a convenient Help menu
accessible through SCP. Trainees use this online application to find quick answers to their
questions about SCP. Keyword searching offers immediate access to the information or
users can follow the table of contents for a full learning experience. Step-by-step
instructions are designed to help the user complete tasks.
Officers can print one topic or the entire help system if a full User Manual is preferred.
Securus continuously upgrades and enhances SCP, so we recommend only printing the
section needed to ensure all printed material is current.
The following figure illustrates the SCP Online help screen

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will provide them to DOCCS at no charge except in those cases where the customized
report would require a significant allocation of resources or material changes to Securus
systems and procedures.
In the small number of instances where development is needed (e.g. capturing additional
information from other systems), Securus will provide the development free of charge
unless the request involves significant cost to Securus. In such cases DOCCS will be given
the option to pay for the additional services without markup by Securus.
Please see section/tab – REQUESTED DOCUMENTATION for a complete list of reports. (page
531)
Please see 4.2.8 for a sample bill reflecting monthly billing for individual lines, groups of
lines and the master account. (page 419)

END OF SECTION 3: TECHNICAL REQUIREMENTS

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4 Customer Service
Support Services for DOCCS
4.1.1
Principal Technical Support Representatives
The vendor shall assign primary and secondary representatives who will be
knowledgeable of DOCCS’ operational and support requirements and service levels and
who will act as the DOCCS’ principal liaisons for both Technical and Customer Support
and be available 24 hours per day. When the primary liaison is unavailable, the
secondary shall assume those duties. DOCCS prefers that the primary contact be
resident in New York State. Within 14 days of notification of the tentative contract award,
the selected bidder must provide résumés of the proposed representatives for DOCCS
approval. The State reserves the right to require additional information, including direct
interviews and demonstrations, to facilitate a determination of the proposed
representatives’ qualifications. DOCCS reserves the right to accept or reject any
proposed candidates for this position.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.1.2
Toll-Free Access
The vendor must provide DOCCS with toll-free access for technical support that is
available 24 hours per day, 365 days per year. Customer support access to
knowledgeable personnel must be available within ten (10) minutes of the contact
initiation by DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.1.3
DOCCS’ Authorized Representatives
DOCCS will establish an authorized list of individuals or titles who have the authority to
open trouble tickets and request maintenance dispatch or support services. The vendor
will only act on the request of an authorized individual on the list.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.1.4
Gate Clearance
The vendor shall be responsible for establishing all gate clearances in conformance with
DOCCS’ policies and procedures for on-site visits.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.1.5
Ticketing System
The vendor shall utilize an automated ticketing system to log, track, manage and assure
appropriate response to all calls for support. DOCCS and/or its representatives shall be
provided real-time access to this system including the ability to create new tickets and
run reports on service tickets related to services provided to DOCCS. Reporting
capabilities associated with this system must comply with Section 3.15 above. The
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vendor must be prepared to work with DOCCS to integrate the proposed ticketing
system with the trouble ticket system utilized by DOCCS.
Describe how this system will provide the required functions and explain the
system’s capabilities. Include details as to what level of visibility and access
DOCCS will have.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Event Tracking System
The Securus event tracking system logs, tracks, manages, and assures an appropriate
response to all service requests. The service request generates a unique trouble ticket
number linked to each facility’s service history and provides real-time updates. Each ticket
has a priority level assignment, which drives diagnosis and response processes. The
support technician performs initial problem diagnosis and isolation procedures,
determines the nature of the problem, and resolves the problem or engages the
appropriate party for problem resolution.
The TSC maintains ownership of all service requests and responsibility for the escalation
and update functions. Every effort is made to resolve problems remotely and within the
framework of resolution timeframes. However, if the problem requires on-site service, a
technician is dispatched. Securus will contact the facility to arrange for the on-site service at
the convenience of the facility.
DOCCS facilities can also open and track trouble tickets through our convenient facility
portal.

Facility Portal
Securus provides customer facilities with one of the only anywhere, anytime, single-pointof-access customer portals in the industry. Approved users can access all calling activity,
including all call detail reports. The Facility Portal also serves as the user interface to the
Securus electronic trouble ticket system. Authorized users can initiate trouble tickets for
repairs, track the real-time ticket status, and generate current and historical reports of
trouble tickets with the Facility Portal. The facility Portal generates a tracking number for
each ticket opened. Users can search for service tickets by ticket number or by date search.
All updates are sent electronically in real-time to the originator of the ticket, as well as to
DOCCS designee.

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Clicking the ticket number in the service history generates a report with ticket detail. Users
can review all the notes and the final resolution of any closed ticket at any time. If the ticket
is currently open, users can create a new journal note. Consent to close a ticket can also be
performed using the notes section.
Example of ticket detail:

Ticket Detail

Facility Portal Reports
DOCCS users can view or download several reports from the Facility Portal:
•

Ticket Detail – Clicking the ticket number in the service history generates a report
with ticket detail.

•

Calling Activity Report – This report provides details on the number and type of
calls made from a telephone number at the facility.

•

Call Type Summary Report – This report provides details on the number and type
of calls made from a specific telephone number at the facility. Calls will be broken
down by local, intraLATA, interLATA and interstate.

•

Daily Call Volume Snapshot – This report shows a daily snapshot of calls and
minutes compared to the daily average

•

Monthly Call Frequency Chart – This chart details the most frequently called
numbers from the facility.

•

Preliminary Monthly Revenue Report – This report details all calls, minutes and
revenue for a specific date range.

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•

Preliminary Daily Revenue – This report details all calls, minutes, and revenue for
a specific date.

•

Investigation Tool – This tool allows for tracking of a specific dialed number from
any of the approximately 2,600 facilities serviced by Securus.

4.1.6
DOCCS’ Access to Customer Information
The vendor shall provide DOCCS and/or its representatives with secure online, real-time
access to all customer information regarding account status and history.
Describe how this function will be provided, and explain its capabilities. Include
details as to what level of visibility, access, and reporting DOCCS’ ITS staff will
have.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus will provide DOCCS and/or its representatives with secure online, real-time access
to all customer information regarding account status and history that is allowed by law.
Securus will provide DOCCS with SCP access to inmate debit account status, call charges,
history and call data, online and in real-time. Securus will also provide DOCCS access to the
Facility Portal for additional call detail information.
Securus will provide other information to DOCCS as requested and as allowed by law.
Please see 4.2.8 to review a sample bill reflecting monthly billing for individual lines, groups
of lines and the master account. (page 419)

Standard Reports Available through SCP
User Interface
The Securus Secure Call Platform (SCP) has a dedicated report writer that provides
investigative information based on the call detail records. This sophisticated reporting tool
provides a reporting interface into all calling activities.
Users can search and analyze call details on all calls placed from each inmate telephone
through SCP. These details include date, time, duration, telephone number, origination,
destination, inmate ID, termination reason, and more. SCP retains call details on all call
attempts. Users can customize the standard reports by varying search criteria, such as date
range, facility, or call length.
SCP provides standard reports with parameter fields that allow the user to define the
information content of each report based on the following criteria options:

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

Per phone, per location, and per offender



Destination number (partial or full number entry)



Date and time range



Call frequency



Call type (completed, incomplete, blocked)



Number restriction and/or status assignment



Personal allowed number cross-referencing



Graphical display of call fluctuation



Broad search with no data entry



Suspected fraudulent call activity



Offender name



Offender PIN (if used) and/or account number



Prepaid calling card number



Destination zone (local, interLATA, interstate, intraLATA, international)

The Investigative Reports section compiles data and opens the information in a report
format, on the workstation monitor. Investigative Reports provides multiple functions for
call playback and copying call recordings to remote media. Authorized personnel can use
this unique application to generate a report even when only a little information is available.
A full set of reports that administrative users need daily, as well as a full set of investigative
reports, makes Securus’ Standard Reports generator anything but standard.

Call Detail Report
The Call Detail Report (CDR) provides investigators an intuitive and user-friendly report to
view or search virtually anything related to an inmate call, including:


Site name from which the call originated



Phone location as labeled in the system



Facility code



Dialed number



Start date/time



End date/time



Duration of call



Inmate Account Number



Inmate PIN



Prepaid card number if used

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

Inmate first, middle, and last name



Type of call (voice mail, person call, prepaid call, debit call)



Status of call (complete/incomplete)



Reason for call termination



Reason for block



Call properties (watched number, RCF detected, three-way attempt, private
number)



Destination zone



Desired results per page

The Securus Secure Calling Platform (SCP) is very flexible and easy to use and allows
the user to create almost limitless reporting. Should customized reports be needed,
Securus will provide them to DOCCS at no charge except in those cases where the
customized report would require a significant allocation of resources or material
changes to Securus systems and procedures.
In the small number of instances where development is needed (e.g. capturing
additional information from other systems), Securus will provide the development free
of charge unless the request involves significant cost to Securus. In such cases DOCCS
will be given the option to pay for the additional services without markup by Securus.
The Securus Secure Call Platform (SCP) retains call detail records on all call attempts.
Authorized users can quickly run reports to spot calling trends, assess monitoring efforts,
investigate suspicious activities, and manage phone usage.
Users can customize reports by changing search criteria such as date, time, call duration,
telephone number, originating telephone, destination, inmate ID, termination reason, and
much more.
The following steps show the ease of producing valuable, customized reports:
1. Place the cursor over Tools. A drop down menu will appear.
2. Move the cursor over Reports to see a menu of standard reports.
3. Click on the type of report you want. SCP will display the appropriate fields
associated with that report.
4. Verify the correct Management Level is displayed or make changes as necessary.
(This setting allows you to select the facilities, sites, phone groups, or phones you
want to search.)
5. Enter your search criteria in the appropriate fields and click Search.
The records matching the search criteria will display. With a single click, the data can be
instantly exported to Excel, CSV (Comma Separated Values), or Adobe PDF format.
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Users will be able to sort on any of the following data elements.
Site

Agency Type

Promotional Call

Phone Location

Call Type

Text Call

Country Code

Call Status

Language

Dialed Number

Termination Category

DTMF Detection

Start Date/Time

Block Reason

DTMF Digits

End Date/Time

Privacy

Text2Connect Call

Duration

Watched

Prepaid

Account #

International

First Name

PIN

3-way Detected

Promotional Call

Continuous Voice
Verification

Remote Call Forward
Detected

Voice Biometrics
Amount

The resulting report can easily be saved, printed out, or emailed to others.

Selecting a Report to Run

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4.1.7
Court Evidence and Expert Witness Testimony
The vendor shall provide verification that its methods and procedures meet accepted
legal standards for chain of evidence in legal proceedings. At no cost to DOCCS, the
vendor shall provide affidavits as required throughout the term of the contract, support
any legal proceedings, and provide expert witness testimony as needed. In the last five
(5) years DOCCS has experienced approximately ten (10) incidents requiring expert
witness services.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Calling Platform (SCP) provides a patented method for ensuring the
authenticity of inmate call recordings made through the platform. This security feature—
the Chain of Evidence—is a key component of SCP and is automatically included in all
installations. The Chain of Evidence prevents tampering with the call detail record and call
recording. SCP encrypts, time-stamps, and verifies the authenticity of each recording.
SCP meets or exceeds the Rules of Evidence used in state and federal courts for the
admissibility and authenticity required in a court of law.
In addition to the Chain of Evidence provided through SCP, Securus will provide expert staff
to testify, at no cost to DOCCS, to the authenticity of the call recordings made on SCP.

Chain of Evidence
A phone call made on the Securus SCP creates a record, known as a call detail record (CDR),
which includes—at a minimum—the following information:


Customer name



Facility name



Originating station



Destination number



Start and stop time of the call



PIN, if used by the facility

This information provides context information about the call. It is this context that
differentiates a typical recording from one that can survive an evidentiary challenge to its
authenticity. SCP combines this contextual information with the audio data in memory and
writes the information to disk as a continuous data stream. It is not possible to modify the
recording after recording to disk, and each recording contains the critical information
about the authenticity of the data.
Storing this data in one combined unit creates a strong audit trail for identifying and
proving the origin of the recorded call.

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Creating the Audio Data
The recording process starts as soon as the called party answers the phone. This provides a
record of the entire interaction between the SCP and the called party before the called
party accepts the call. This interaction includes everything the called party says and all
voice-over announcements, including the following information:


Location of the originating call



Inmate name



Call rates



Call acceptance



Notification messages, such as the standard announcement that the call is subject
to monitoring and recording

The recording is “complete” in real time and does not depend on the inmate and called
party ending the call to have a “header” or other information written into the CDR. This
feature is significant because the recording package is constructed real-time throughout
the call and is un-editable, or locked, with all of the required data to identify the call. This
guarantees that any recording produced for legal purposes is the original data (recording
and call details) and cannot be modified.

Downloading Calls as Evidence
SCP allows authorized users to copy recorded conversations to any external media device
connected to the user’s PC, such as CD, DVD, mp3 player, or USB drive. This feature
facilitates easy sharing of recordings for investigative or court purposes. To maintain the
accuracy of data and recordings during downloading and copying, SCP stores the files—
both audio and CDR information—embedded within an industry-standard read-only format
that prevents the possibility of tampering.
“I estimate that I request phone records for eight out of every ten subjects I
investigate, and of the 100 subjects that I have helped convict over the past four
years, probably half of those were because of telephone recordings provided by
the Securus platform. Securus has been so successful in assisting with my cases
that the US Attorney’s Office has asked me to get inmate calls for all cases.”
- Master Police Detective Michael Wachsmuth, a Tactical Field Officer working with the
Alcohol, Tobacco, and Firearms division of the Federal Justice Department.

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Support Services for Customers
DOCCS requires that the vendor provide account holders with responsible, reliable customer
service and support as outlined herein. The vendor shall utilize an automated ticketing
system to log, track, manage, and assure appropriate response to all calls for support from
Customers. Reporting capabilities associated with this system must comply with Section 3.15
above.
Describe how this system will provide the required functions and explain the system’s
capabilities. Include details as to what level of visibility and access DOCCS’ ITS staff will
have.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus’ Oracle System, RightNow, maintains all Family & Friend records. Family & Friend
records are not managed at the site level but at the Family & Friend Billing Telephone
Number or Securus Internal account number. 90% of Family & Friend issues are fixed
within a First Call Resolution. The remaining 10% of issues not resolved via First Call
typically handled within 3 to 4 business days. Due to PCI compliance Family & Friend
account information is not available for sites to access.

The Securus Best-in-Class Service Offering
The Securus product offering is like no other in the industry. Through our robust platforms,
we offer more products and investigative applications than any of our competitors. The list
below highlights a selection of Securus' comprehensive offering:


Inmate identification: biometric and/or security code validation



Calls on a prepaid or collect basis to friends and family members



Identity authentication of called party



Call restriction to certain parties (e.g., judges, jurors, witnesses, and victims)



Detection and restriction of unauthorized call forwarding



Real-time call monitoring capabilities



Real-time credit quality assessment of called party



Interface capabilities to many commissary and/or jail management systems

Over the past 20 years, Securus has spent more than $100 million and devoted 300,000
man-hours developing an advanced, packet-based network platform that provides many
cost and service advantages for our customers. We have transitioned nearly 2,600 facilities
to this advanced platform from inferior, legacy, Premise-Based systems that many of our
competitors continue to use.

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The Securus calling systems include:
Serves as the backbone of the Securus platform, which results in
significantly lower operating and capital costs through its
implementation

SCA Architecture
(SCA)

Comprises a robust data repository housing multiple data marts
that each hold billions of bytes of stored information gathered
from multiple sources
Delivers an intelligent retrieval system that retrieves and
processes user requests through a cross-application, cross datamart retrieval process
Services correctional facilities as well as inmates, friends, and
family members

Secure Call Platform
(SCP)

Offers networking functions, robust system and application
stability and redundancy, heightened security features, user
auditing, and password-specific utilities
Provides a proprietary, packet-based centralized calling platform
widely recognized as the best in the industry
Provides a packet-based, digital transmission system for all
communications transport

Secure Connect
Network (SCN)

SCP User Interface

Allows the Securus calling platform to provide real-time turnon/turn-off flexibility for most system features, 24x7x365 offsite
monitoring, immediate system upgrades, and repairs from one
central location
Provides a single-point, easy-to-use user interface to all programs,
applications, and services
Offers calling services to facilities or their commissaries who then
sell directly to the inmates.

Prepaid Calling
Programs

Securus Correctional
Billing Services

o

Prepaid calling cards used by inmates

o

Domestic and international

o

Paperless, card-free prepaid calling solution for inmates
(debit services)

Provides nationwide customer care and billing center dedicated to
inmates' family members and friends, 24 hours per day, 365 days
per year
Offers multiple payment options, including prepayment of
charges, remittance directly to the local phone company, and
credit card payments
Automated Information Services (AIS)

Additional Products
and Services

Email and voice mail services
Covert Alert services
Voice biometric products

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Sophisticated investigative tools
Jail management software
Video visitation
Contraband cell phone control

Securus retains more than 98% of customers – the best in the industry – because we are
committed to providing the best customer service to family members and friends of
inmates. Securus spent more than $2 million to build an in-sourced customer call center
staffed by Securus employees rather than the poorly managed and highly inferior foreign
call centers that our largest competitors use. Lastly, Securus Field Service Technicians are
Securus employees (not contractors) who follow the strict guidelines our correctional
facility customers demand. Many of our competitors use third-party contractors who might
have other priorities.
Inmate friends and family members can manage all phone services, video visitation
services, and email services from www.secrusutech.net/friends or
www.securustechnologies.com.

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4.2.1

Toll-Free Access

The vendor shall provide toll-free telephone access to knowledgeable customer service
staff for at least the normal inmate telephone operating hours, which are currently 7:00
a.m. to 11:00p.m. ET, 365 days per year. All customer service representatives must
have access to up-to- date customer account information including at a minimum billing,
payment and blocked call status and history.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus is unique among its national competitors in offering an in-sourced, US-based call
center to provide customer service to friends and family members of inmates. Our 200+
seat call center employs customer service representatives who are Securus employees,
trained and managed to Securus’ standards.
Live agent support is available to friends and family members seven days a week, 24 hours
a day, and 365 days a year.

4.2.2
Executive Order Number 26
Bidders should review this executive order prior to submitting proposals. You may
access the executive order on the Governor’s Web site: No.26 STATEWIDE LANGUAGE
ACCESS POLICY In the event that translation/interpretation services are required for
languages other than the Spanish language, the selected Contractor must agree to
comply with any requests by DOCCS to provide documents or other assistance to allow
for translation or interpretation to be conducted.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.2.3
Customer Account Access
The vendor shall provide customers with secure web-based access to account
information including billing, payment and blocked call status and history. Customers
should be provided the capability to securely add funds to their pre-paid account online.
The vendor must transfer all existing accounts at no cost to the account holders.
Describe how your solution provides this functionality and explain its capabilities.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Inmate friends and family members can manage all phone services, and email services
from www.secrusutech.net/friends or www.securustechnologies.com. There is no charge
for customers to transfer accounts to Securus.

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4.2.4
Customer Outreach
DOCCS meets periodically with inmate advocacy groups to discuss a variety of issues.
The vendor’s representative(s) will be required to attend such meetings to discuss ITS
related issues.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

4.2.5
Call Blocking
The vendor must notify customers prior to initiating a block on collect calls. If a collect
call account is in arrears and the vendor applies a block, the vendor must provide an
opportunity for the customer to establish a pre-pay account.
Provide details on how this will occur, at a minimum provide details for the
following:
•

The steps initiated to contact the customer and describe how many
and what types of attempts will be made

•

What procedures are followed

•

The timeframes between each step in the process

•

The specific reasons why a call is blocked

•

Any automatic processes that trigger a block

•

What are the procedures and timeframes for customers to remove a
block

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus sends low balance AdvanceConnect account notifications via text to a mobile
device or an email address provided by the user. Securus also sends direct bill invoice due
notifications via text or email.
Securus also has outgoing message phone dialers for “low balance” and “invoice due”
notifications. When they receive one of these calls, users can either fund an account or pay
their bill via our interactive voice response system. If an account has been blocked because
funds are low, or a bill is due, users can unblock their account through this convenient
payment method. Users can also access Securus Online to pay bills and fund accounts.
Upon payment verification, the blocked status is removed, and calls can begin processing
immediately.

Account Activator
Securus completes as many calls as possible, and provides the inmate with descriptive
prompts as to why a call might be blocked. One of our initiatives for completing every call is
our Account Activator application.
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For calls to numbers that can’t be billed with traditional collect billing methods, Account
Activator allows a brief conversation to occur during the first call to that number and then
requires the called party to set up an account to receive future calls.
After the brief conversation, the inmate’s friend or family member is connected to Securus’
IVR in an attempt to set up a billing arrangement. During this time, the inmate is informed
of the blocked status and requested to call at a later time while an account is set up for the
called party.

Automated Operator Services
SCP includes an Interactive Voice Response (IVR) system that provides Automated Operator
Services (AOS). This automated assistance uses clear and concise, professionally recorded
voice prompts to establish call acceptance and to assist inmates and called parties
throughout the calling process.
When the called party answers the phone, SCP’s advanced answer detection triggers the
call acceptance voice prompt. The called party hears, “Hello, you are receiving a collect call
from [inmate’s name], an inmate at the [DOCCS facility]. This call is subject to monitoring
and recording.” SCP then gives the called party the following menu options:


“To accept this call, press 1.”



“To refuse this call press 2.”



“To hear the rates and charges for this call, press 7.”



“To block future calls to your number, press 6.”

Additional options provided by AOS include:

Available Options to Called Parties
Request a rate quote
Hear the name of the facility and inmate
calling
Accept or reject the call
Request available balance of an
AdvanceConnect account or available credit
of the Direct Bill account
Hear instructions on how to add more
money to their prepaid account or pay their
Direct Bill Account
Connect to a live agent to setup a pre-paid
account
Choose to hear the prompts on the system in
English, or the language selected by the
SECURUS Technologies

Available Options to Inmates
Listen to prerecorded
announcements
Choose to place a collect or debit call;
if debit, PIN entry is requested, the
inmate hears the available balance in
their account and the cost of the call
Select a specific language at the
beginning of the call (if configured)
Acknowledge that the call is going to
be monitored and recorded
Hear available call time (prompt will
tell the inmate call time limits based
on calling schedules or calling
restrictions)

413

Global Lists – Number Blocking

Call Termination Warning
The Securus call termination warning provides the inmate and the called party notifications
of call termination, and to notify why a call is blocked or not completed, by voice prompt
one minute before the end of the pre-programmed call time limit. All call records contain a
reason for termination code indicating why each call ended. Examples of termination
reasons are:


“The person you called has hung up. Goodbye.”



“Your call was answered but positive acceptance was not received from the called
party possibly indicating an answering machine. Goodbye.”



“The number you called is busy. Please try again later. Goodbye.”



“The number you dialed was not answered. Goodbye.”



“No third party calls are allowed. This call is being terminated. ”



“Your PIN is inactive. Please hang-up and try your call again at a later time. ”



“Thank you for using [brand name] {Securus}.”



“No calls are allowed at this time. Goodbye.”



“Your call was not accepted. Goodbye.



“You have entered an invalid response, please hang up and try your call
again. Goodbye.”



“Your allowed numbers list is full. Goodbye.”



“The number you dialed is not on your approved calling list. Goodbye.”



“This call is being terminated by the facility. Goodbye.”



“The prepaid account balance is lower than needed to place this call.”

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

“You do not have sufficient funds to continue this call. Please hang-up and try your
call again at a later time.”



“Please hang-up and try your call again at a later time.”



“That is not a valid mail box id. Thank you for using {product name}. [example: the
Crime Tip System] .”



“The number you dialed is blocked from receiving collect calls at this
time. Goodbye.”



“The number you dialed is blocked from receiving calls at this time.”



“Your account has been suspended. Goodbye.”



“That number is restricted. Goodbye.”



“The number you dialed was not answered. Goodbye.”



“You have entered an invalid telephone number.”



“Your PIN is not authorized for use at this facility.”



“That is not a valid PIN number. Your account information cannot be verified at this
time. Please hang-up and try your call again at a later time.”



“You have reached your maximum number of calls allowed.”

Instant Pay™ Program
As an option, DOCCS can implement Securus’ Instant PayTM Program. When an inmate at
your facility attempts to make a call, our validation system will attempt, through multiple
means, to connect the call. If the called party does not have a prepaid or post-paid accunt
established with Securus, or we are unable to process the call due to local phone company
or other restrictions, the call will route to our Instant Pay™ platform. Called parties will be
given the option to receive and pay for a single call immediately using one of our Instant
Pay™ options rather than be blocked. With Instant Pay™, called parties hear a promotional
messaging offering the following options:


Pay Now™ – Provides the called party with a 20-second promotional call every 15
to 30 days at no charge and then offers the option to Pay Now™ using a credit or
debit card. The called party also has the option to be transferred to our Customer
Service Center to open a prepaid, AdvanceConnect™ account.



Text2Connect™ – Connects a promotional call made to a mobile phone through
the acceptance of a premium SMS text message. The called party’s mobile provider
charges for the message their mobile phone bill. The called party receives a text
message receipt for the SMS text message and is given the option to learn how to
open a prepaid AdvanceConnect™ Account. Text2Connect™ is available through our
third-party processor who maintains relationships with select mobile phone
companies around the country and manages the connection.

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The Instant Pay™ Program with Pay Now™ and Text2Connect™, from Securus, is unlike any
competitive solution because it enables an inmate’s critical “first call.” The program also
creates more prepaid accounts, completes more calls that others cannot, and allows
detainees to bond out quicker and more effectively. The Instant Pay™ program’s ability to
connect almost any call results in increased revenue and reduced administrative burden
for our facility customers.

4.2.6
Vendor Account Policies
Identify in the proposal all policies including, but not limited to, call limits, billing amount
limits, collect or pre-payment caps, and call-blocking criteria they plan to apply to
customer accounts. DOCCS reserves the right to accept or reject any or all proposed
policies.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus will work with DOCCS to establish policies for call limits and call-blocking criteria.
We offer three different methods for receiving calls:


AdvanceConnect / Prepaid account. There is no imposed threshold set on a prepaid
account.



Direct-billed account. A credit check may be required and a credit limit is
established if a customer chooses to have a direct billed account. The customer will
receive either a $300 or $100 spending limit for a 30 day period. If the credit check
results do not qualify for a direct-billed account, the customer needs to establish a
prepaid account.



Local Exchange Carrier (LEC)-billed account. Customers that are LEC-billed are
subject to Securus risk management practices that specify the credit and usage
limits for each billed telephone number. Our process assigns each number a 90-day
PVP (payment verification point) which establishes a spending limit for that period
(which can be up to $900). If usage during that period exceeds the assigned limit, or
if a high-velocity threshold (e.g. >$60 of usage in a 24 hour period), the called party
will be required to contact our Customer Service organization to avoid future call
blocking. This advanced ability allows Securus to extend the maximum credit to the
called party so that they do not have to set-up an account with us to receive calls. It
further helps to limit fraud—keeping your constituents safe.

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4.2.7
Vendor Policy Changes
The vendor must notify DOCCS and the customers (all account holders) before
implementing policy changes including, but not limited to, call limits, billing amount limits,
collect or pre-payment caps and call-blocking criteria. All policy changes must be preapproved by DOCCS and the appropriate regulatory authority.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4.2.8
Aggregated Billing Account for DOCCS-Approved Organizations
During the term of the contract, DOCCS may identify individuals or organizations that
are approved to receive, at no additional charge, a single monthly bill for multiple accounts
with billing detail at the individual account, groups (i.e. location specific) and master
account level.
Describe how such billing will be performed, and identify any limitations
associated with such aggregate billing. Include a sample bill reflecting monthly
billing for individual lines, groups of lines and the master account.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has over 30 years of billing experience in the correctional marks and has focused
on improving the customer’s experience. Securus Omni-commerce is a strategy that
delivers a seamless customer experience through all available channels. Securus
multichannel approach to sales seeks to provide the customer with a seamless experience
whether the customer is online from a desktop or a mobile device, by telephone.
Securus offers Family and Friends two type of billing options AdvanceConnect / Prepay and
Direct Bill.
•

AdvanceConnect/Prepaid account: There is no spending limit set on a prepay
account. The customer makes the choice as to how much he or she wants to spend
and how much money to put in the account. Prepayment does not require a
minimum payment. To control credit card fraud the maximum funding amount per
transaction is $50.00 and can be negotiated at contract award. Additionally;
customers (family and friends) can now pay for a single call without prior to
establishing and account or when funds are depleted in the AdvanceConnect
account.

•

o

Chargebacks or Credit Card reversals are deducted from the
account.

o

Ongoing, the account is restricted to cash only funding.
Acceptable payment processors are Western Union, Money Gram,
money order or cashier’s check

Direct-billed accounts by Securus: Securus offers direct billing as an option to our
end user customers. A direct-billed account allows collect calls to be billed monthly

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directly from Securus Correctional Billing Services. To set up a direct-billed account,
the inmate’s family or friends member provide Securus Correctional Billing
Services with their billing telephone number, name, and address, and are subject
to a credit check (as allowed by state regulations). Securus does not restrict its
direct billed option to businesses and attorneys.
Family and friends have 28 days from the invoice date to pay their direct bill.
Accounts are past due on day 29 and Securus will block calling to the billed number
until the account is paid in full. Securus does not charge a non- refundable deposit
or charge for and account that has not been paid within thirty (30) days of bill due
date. Securus does not change a bill processing fee for the monthly statement.
Non-payment Direct Bill (Collect) block –removed immediately upon receipt of
payment.
Direct Billed customers exceeding their monthly collect calling credit limit can
reduce their balance owe, and drop below their credit limit by making a payment, at
any time. When the amount owed is below the credit limit the account is
immediately unblocked.
Securus will convert Direct Billed accounts, 7 days past due, to AdvanceConnect /
Prepay.
•

In addition, should the facility choose to implement an inmate-owned prepaid
calling options, such as debit or prepaid calling cards, these calls would connect
regardless of any AdvanceConnect or Direct Bill restrictions. Inmates may call
individuals that do not have an AdvanceConnect or Direct Bill account improving
the inmate experience and increasing the NY DOC’s revenue.

•

Maximize calling opportunities for inmates and their families and friends.
AdvanceConnect AutoPay – When a customer register to use AutoPay with
their AdvanceConnect account, their credit card is automatically debited, by a
user’s selected preset amount, when the account balance drops below the
user’s preset amount. The Payor will receive a text notification with
payment confirmation.
AdvanceConnect TextPay - When a customer register to use TextPay with
their AdvanceConnect account, they will receive a text notification that will
give them the option to fund their AdvanceConnect account immediately
with a preset amount of their choice by responding with the word PAY. The
Payor will receive a text notification with payment confirmation.

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Text Alerts and Notifications services assist Family and Friends
a.
b.
c.
d.
e.

•

AdvanceConnect Low Balance Notification
Direct Bill Invoice Due Notification
AdvanceConnect auto Pay Payment Notification
AdvanceConnect TextPay Notification
Direct Bill TextPay Notification.

Billing Accuracy: Securus prides itself on Billing Accuracy






Securus subscribes to KFR Services, Local Calling Area Data, an industry
standard and acknowledged telecommunications professional
source. Monthly, Securus updates the local calling tables to ensure the
highest level of accuracy and remain compliant with our tariff filings.
Securus Subscribes to the Terminating Point Master (TPM) produced by
iconective / Telcordia Technologies, Inc., the industry recognized source for
touting and rating data. This data covers the United States and U.S.
Territories, Canada, and Certain countries in the Atlantic and Caribbean.
To ensure proper rating Securus follows a rigorous auditable change
management process. No rate can take place without Vice President and
Regulatory approval. Annually a third party auditor, Montgomery Coscia
Greilich LLP audits Securus Compliance with all rates and compliance with
tariffs.

Securus is unique among its national competitors in offering an in-sourced, US-based call
center to provide customer service to friends and family members of inmates. Our 200+
seat call center employs customer service representatives who are Securus employees,
trained and managed to Securus’ standards.
Live agent support is available to friends and family members seven days a week, 24 hours
a day, and 365 days a year.
Customers can use our toll-free number (1-800-844-6591) to either speak to a live agent or
use an intuitive, automated interactive voice response system to help them with their
needs. For added convenience, we also offer personal account access via our website
(www.securustechnologies.com). End-users can also now access Securus customer service
via online “chat” 24 hours a day, seven days a week.
Our friendly and knowledgeable agents can help customers with:


Setting up and funding accounts



Making payment arrangements

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

Obtaining information on credit limits



Resolving complaints



Blocking and unblocking numbers



Reviewing call durations and history



Learning about MoneyGram® options



Learning about Western Union® options



Receiving information on new services



Confirming originating facility



Reviewing account balances



Answering questions and helping customers with refund requests



Managing account notifications

Customer Satisfaction
Our customer service agents are highly trained on ITS issues and in satisfying the specific
needs of called parties. We offer both English speaking and Spanish speaking agents.
We diligently survey our customers and measure satisfaction ratings to find ways to
improve our service levels. Our customer satisfaction scores for our call center are 20
percent higher than the industry standard.
Maximize Calling Opportunities
Securus is unique among its national competitors in offering an in-sourced, US-based call
center to provide customer service to friends and family members of inmates. Our 200+
seat call center employs customer service representatives who are Securus employees,
trained and managed to Securus’ standards.
Live agent support is available to friends and family members seven days a week, 24 hours
a day, and 365 days a year.
Customers can use our toll-free number (1-800-844-6591) to either speak to a live agent or
use an intuitive, automated interactive voice response system to help them with their
needs. For added convenience, we also offer personal account access via our website
(www.securustechnologies.com). End-users can also now access Securus customer service
via online “chat” 24 hours a day, seven days a week.
Our friendly and knowledgeable agents can help customers with:


Setting up and funding accounts



Making payment arrangements



Obtaining information on credit limits



Resolving complaints

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

Blocking and unblocking numbers



Reviewing call durations and history



Learning about MoneyGram® options



Learning about Western Union® options



Receiving information on new services



Confirming originating facility



Reviewing account balances



Answering questions and helping customers with refund requests



Managing account notifications

Assurance of Accuracy in Billing and Customer Satisfaction
Our customer service agents are highly trained on ITS issues and in satisfying the specific
needs of called parties. We offer both English speaking and Spanish speaking agents.
We diligently survey our customers and measure satisfaction ratings to find ways to
improve our service levels. Our customer satisfaction scores for our call center are 20
percent higher than the industry standard.
There are no limitations at this time. Terms are Net 30.
Below is a sample bill reflecting monthly billing for individual lines, groups of lines and the
master account. Securus will develop a bill for DOCCS to the example.

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END OF SECTION 4: CUSTOMER SERVICE

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5

Performance Standards
Service Objectives

The vendor must provide services that meet the performance levels delineated below.
Describe what steps will be taken to meet or exceed DOCCS’ performance and servicelevel objectives for the Inmate Telephone System:
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides highly reliable service from initial system design and installation through
ongoing maintenance and support. Our service and maintenance program includes
integrated remote programming, diagnostics, downloading, and troubleshooting
capabilities. Securus does not charge for maintenance, support, training, and repair of
system software and equipment.
The local Securus service and account management team provide support 24 hours per
day, seven days per week, and 365 days per year (24x7x365). The local team of Securus
employees has demonstrated their dedication to the counties in the state of New York.
The Securus organizational structure has proven to deliver excellent service and
technological innovation. Accountability, standards of excellence and leadership begin at
the top of the organization with the Securus executive leadership team and filters down to
each associate in the company. Each team member has a personal commitment to
delivering outstanding customer care, service excellence and the creation of powerful
applications and tools to meet our customers’ needs. Our goal is to form long-term
partnerships with our customers. We develop new applications to help customers run their
business through a deep understanding of their needs.

Network Operation Center
The Securus employees continuously monitor our Secure Calling Platform (SCP) from our
Network Operations Center (NOC) at our headquarters in Dallas, Texas. The NOC is staffed
24x7x365 by network experts certified in the systems and software used to monitor all SCP
functions and equipment, as well as the associated network. The NOC maintains failure
reports, service history, and other diagnostic information, which are available to the County
when requested.
The SCP platform provides continuous online supervision and diagnostics — as well as
offline system access — for advanced programming, diagnostics, troubleshooting, and call
traffic analysis. The Securus service center personnel can access the SCP advanced
diagnostics and program control for failure reports, service history, and other diagnostic
information.

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The NOC reports any actions required to prevent or repair any outages to each Securus
employee supporting DOCCS. Securus will follow DOCCS protocols for communicating
outages or repair actions in the unlikely event they occur.

Securus Network Operations Center in Dallas, TX

Premium Network Monitoring Capabilities
Securus proactively identifies potential system and network abnormalities through
SolarWinds® suite of network performance monitors. This software allows Securus
personnel to monitor all hardware, software and system metrics continuously.
Through network monitoring Securus can:


Proactively repair systems to prevent outages. Many times corrections are
made before a facility is aware of a problem. This means less downtime and
increased system reliability for the facility.



Alert remote or on-site engineers of system threshold inconsistencies or
alarms. The NOC communicates with engineers through e-mail, short message
service (SMS), or directly through a wireless phone to address the issue.



Receive real-time alerts when the system detects an error. Monitoring
identifies if network elements exceeded established thresholds and alerts Securus
personnel of possible carrier network issues.

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

Ensure sufficient resources are in place. The Securus capacity engineering team
reviews call traffic volume reports and storage requirements throughout all
systems to ensure sufficient network capacity.



Centrally monitor calling traffic to determine increases or decreases in the
number of telephones. With DOCCS agreement, the service and operations team
will install additional telephones when required.

Remote Programming, Diagnostics, and Troubleshooting
The Securus NOC uses monitors the SCP platform and our network. The NOC can contact
the Technical Support Center (TSC) if it determines that another level of technical support is
needed to address an issue. This action could involve dispatching a Field Services
Technician to a DOCCS facility.

Technical Support Center
In 2009, Securus made a strategic decision to centralize management of all technical
support. Today, Securus provides superior customer service capabilities from a state-ofthe-art technical support center located in Dallas, Texas.
Approximately 50 technical professionals staff the Securus Technical Support Center (TSC)
which handles approximately 8,000 inbound queries per month. The TSC provides a singlepoint-of-contact for Securus customers for issues ranging from minor maintenance issues
to service outages. Clients can contact the TSC 24x7x365 by any of the following convenient
methods:


Telephone – 866-558-2323



E-Mail – technicalsupport@securustech.net



Fax – 800-368-3168



Web portal - http://www.securustech.net/facility/Default.asp

The technical service center offers our clients:


Technical support and field dispatch 24x7x365



Fully trained staff of support professionals to answer calls



Trained professionals to provide quick problem resolution and a higher level of
customer service



Service event tracking to drive resolutions



Prioritized calls and analyzed reports to ensure achievement of Service Level
Agreements



Certified technicians to provide quick problem resolution



System and individual site connectivity monitored 24x7x365

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24x7x365 Securus Technical Support Center

Securus technicians receive internal Securus certifications, based on our business and the
products and services we support.

Service Levels
When a facility calls Securus, an event tracking system assigns a trouble ticket, with one of
three initial priority levels—P1, P2, or P3. Each level is designed to address specific system
events and has a prescribed resolution timeline and escalation procedure. In all cases,
Technical Support will respond to the customer within the required timeframe.

Priority 1 Service Level (DOCCS Levels 1 & 2)
A Priority 1 (P1) assignment—our highest priority assignment—occurs when a system event
adversely affects 30 percent or more of system functionality. Examples of P1 service
assignments include:


Voice prompts not operating



Features are not operating appropriately



CD-burning abilities disabled



Live call monitoring is not operating appropriately



SCP access denied

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

All phones out-of-service

The response time for a P1 event is two hours. If a dispatch is not required, Securus
notifies the facility upon issue resolution. If a dispatch is required, Securus contacts the
facility and provides an estimated time of arrival.
A P1 event escalates to:


Technical Support Department



Technical Support Manager



Technical Support Director



Regional Field Manager



Executive Director of Service

If the problem resolution is delayed, escalation procedures within the Securus
Management Team are activated to ensure appropriate resources are allocated to resolve
the problem.

Priority 2 Service Level (DOCCS Levels 3 & 4)
A Priority 2 (P2) assignment—our mid-level priority assignment—occurs when a system
event adversely affects 5 to 29 percent of system functionality. Examples of a P2 service
assignment include problems or errors with related to:


Workstation



Specific system ports



Local Exchange Carrier (LEC) circuits



Unblocks



Blocked numbers



Missing call detail records (CDRs)



Call searching

The response time for a P2 event is 24 hours. If a dispatch is not required, Securus
notifies the facility upon issue resolution. If a dispatch is required, Securus contacts the
facility and provides an estimated time of arrival.
P2 events escalate to the Technical Support Department.

Priority 3 Service Level (DOCCS Level 5)
A Priority 3 (P3) assignment—our lowest priority assignment—occurs when a system event
adversely affects 5 percent or less of system functionality. System events adversely
affecting some of available facility phones. Examples of P3 service assignments include:


Static on the phone

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

A party’s inability to hear



An inmate’s inability to dial



A broken phone



Non-functioning dial pad



Non-functioning cutoff switches



An inability to generate reports

The response time for a P3 event is 72 hours. If a dispatch is not required, Securus notifies
the facility upon issue resolution. If a dispatch is required, Securus contacts the facility and
provides an estimated time of arrival.
P3 events escalate to the Technical Support Department.

Escalations
If a dispatch is not required, Securus notifies the facility upon issue resolution. If a dispatch
is required, Securus contacts the facility and provides an estimated time of arrival.
The supervisory escalation chain is:
•

Technical Support Department

•

Technical Support Manager

•

Technical Support Director

•

Regional Field Manager

•

VP Service and Technical Operations

Centralized Services Operations Model
All Securus services and operations are managed centrally, from our Service and
Operations organization in Dallas, Texas. The Operations team’s responsibility is
supporting external customers, including Customer Service, Field Services, Installation and
Engineering, and Technical Support. The Support Services team provides internal support
services including Quality, Training and Customer Satisfaction, and Reporting and Analysis.

Call Routing
The TSC manages the flow of inbound calls through a call distribution system that routes
calls directly to our support technicians in a skills-based, platform specific manner. Securus
establishes response times and service level agreements that accomplish our key objective
of providing timely resolution to each request. Service calls are answered 24x7x365 by live
technicians to provide timely and quality customer service.

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Trouble Ticketing Process

In all instances, service will be requested through the TSC and field service personnel will
be dispatched through trouble ticketing system to ensure documentation and timely
resolution of all service tickets.

Event Tracking System
The Securus event tracking system logs, tracks, manages, and assures an appropriate
response to all service requests. The service request generates a unique trouble ticket
number linked to each facility’s service history and provides real-time updates. Each ticket
has a priority level assignment, which drives diagnosis and response processes. The
support technician performs initial problem diagnosis and isolation procedures,
determines the nature of the problem, and resolves the problem or engages the
appropriate party for problem resolution.
The TSC maintains ownership of all service requests and responsibility for the escalation
and update functions. Every effort is made to resolve problems remotely and within the
framework of resolution timeframes. However, if the problem requires on-site service, a
technician is dispatched. Securus will contact the facility to arrange for the on-site service at
the convenience of the facility.
County facilities can also open and track trouble tickets through our convenient facility
portal.

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Facility Portal
Securus provides customer facilities with one of the only anywhere, anytime, single-pointof-access customer portals in the industry. Approved users can access all calling activity,
including all call detail reports. The Facility Portal also serves as the user interface to the
Securus electronic trouble ticket system. Authorized users can initiate trouble tickets for
repairs, track the real-time ticket status, and generate current and historical reports of
trouble tickets with the Facility Portal. The facility Portal generates a tracking number for
each ticket opened. Users can search for service tickets by ticket number or by date search.
All updates are sent electronically in real-time to the originator of the ticket, as well as to
the County designee.

Open Service Ticket

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Ticket Detail

Facility Portal Reports
County users can view or download several reports from the Facility Portal:
•

Calling Activity Report – This report provides details on the number and type of
calls made from a telephone number at the facility.

•

Call Type Summary Report – This report provides details on the number and type
of calls made from a specific telephone number at the facility. Calls will be broken
down by local, intraLATA, interLATA and interstate.

•

Daily Call Volume Snapshot – This report shows a daily snapshot of calls and
minutes compared to the daily average

•

Monthly Call Frequency Chart – This chart details the most frequently called
numbers from the facility.

•

Preliminary Monthly Revenue Report – This report details all calls, minutes and
revenue for a specific date range.

•

Preliminary Daily Revenue – This report details all calls, minutes, and revenue for
a specific date.

•

Investigation Tool – This tool allows for tracking of a specific dialed number from
any of the approximately 2,600 facilities serviced by Securus.

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The Securus Field Services Team
The Securus Field Services organization is one of the largest in the inmate phone system
industry. Our team consists of approximately 150 Field Service Technicians (FSTs) located
throughout the United States, including a team to support the systems in New York. Our
teams have expanded based on our growing customer needs.
Our field services team installs and maintains inmate phone systems for approximately
2,600 facilities and a million inmates in 47 states. The Securus Field Operations Director
manages three Regional Service Managers who possess more than 60 years of combined
field service experience.

Field Service Technicians
Securus requires that all FSTs have an extensive telecommunications background and tests
each applicant before employment. Additionally, FSTs receive extensive Securus training
and certifications to support our product offerings.
FSTs respond to critical issues within four hours (or less if required by specific County
requirements). The technician is required to follow a structured technical and management
escalation process if they are unable to isolate the problem within four hours. Our
integrated support model keeps our centralized technical support team engaged through
problem resolution. FSTs and the technical support team have direct access to product and
development engineers, enabling them to expedite repairs and minimize customer
downtime.
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site
or in their truck. If a technician does not have a required part, Securus will drop-ship the
item to the site. Securus will ship counter-to-counter on the same day in critical situations.

Field Service Manager
In addition to FSTs, Securus customers are supported by field service managers who:
•

Conduct remote visits via phone bimonthly. Based on information obtained from
call, a trouble ticket may be opened

•

Work with the account team quarterly to evaluate contract progress with the
County

•

Provide the facility with applicable site information that assists them based on the
account profile

•

Monitor ticket traffic

•

Resolve escalation issues, as needed.

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Each field service manager possesses the skills required to perform the duties of the field
service technician and can provide additional or backup support as needed.

Service Parts
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site
or in their truck. If a technician does not have required a part, Securus will drop-ship the
item to the site. Securus will ship counter-to-counter on the same day in critical situations.

Quality
Securus sends an e-mail customer satisfaction survey to the primary site contact following
each service event. Customer concerns are immediately escalated to the Regional Service
Manager and the National Service Director. The Regional Service Manager is required to
contact the customer within 24 hours to better understand the concern and implement a
correct action plan. Securus executives
review the summary of each issue along with
the corrective actions on a monthly basis.
Our current survey results show 94%
satisfaction with Field Service with 77%
indicating they were “delighted” with the
service they received.

Implementation
Our preliminary implementation plan
includes transitional meetings that detail the
setup of proposed applications and tasks
associated with the transition from the
current system to Securus’ Secure Call
Platform (SCP). Securus has extensive
experience preparing locations for system implementation without disrupting the facility’s
existing service. All hardware, phone lines, and workstations will be in place before
replacing the telephone instruments and cutting over to SCP.

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5.1.1

Facility Service Objectives
A. Equipment
1. Installation: Time from vendor receipt of order to working installed
equipment.
Performance Standard: 20 calendar days
2. Maintenance: Monthly Meantime to Repair
Performance Standard: 8 hours

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site
or in their truck. If a technician does not have a required part, Securus will drop-ship the
item to the site. Securus will ship counter-to-counter on the same day in critical situations.
For equipment replacement orders we strive to meet the same performance standards as
our MTTR SLAs in the table below.

•

Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
Priority
Related Issues
Types
Description
1

4 Hours

2 Hours

30% or more system functionality adversely affected

2

12 Hours

24 Hours

5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely affected

4

36 Hours

72 Hours

All other system issues

B. System Software
1. Updates/new releases: Time from availability to system-wide deployment
Performance Standard: 6 months
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
When designed our centralized platform, one of our chief objectives was deploying a
system that provided upgrades to all customers at regular intervals with no downtime. We
achieved that objective with SCP. Securus provides upgrades to all of our customers three
to four times annually through a proven and tested after hours process that allows all sites
to immediately realize the benefits each upgrade. Our system delivers proven features
driven by input from the most recognized corrections and law enforcement agencies in the
nation.

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Securus performs three to four software upgrades and releases each year, which easily
falls under the prescribed Performance Standard.

C. Network
2. Service: Monthly Availability (entire system)
Performance Standard: 99.99% (7x24x365)
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The Securus Secure Call Platform (SCP) has been available since February 2006 and has
never experienced a total system failure lasting more than 24 hours. SCP is currently
installed and operated at more than 2,200 customer sites. Our Network Operations Center
(NOC) is dedicated to monitoring and measuring the performance of SCP. When outages
occur, our NOC staff handles them quickly to limit customer impact.
The following statistics show the most recent SCP uptime through July 31, 2016:

2012 Performance:


SCP User Interface Availability

99.929% uptime



SCP Platform Availability

99.983% uptime



SCP Network Availability

100% uptime

2013 Performance:


SCP User Interface Availability

99.986% uptime



SCP Platform Availability

100.00% uptime



SCP Network Availability

99.994% uptime

2014 Performance:


SCP User Interface Availability

100.00% uptime



SCP Platform Availability

100.00% uptime



SCP Network Availability

100.00% uptime

2015 Performance:


SCP User Interface Availability

99.828% uptime



SCP Platform Availability

99.865% uptime



SCP Network Availability

99.885% uptime

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2016 Performance (as of July 31, 2016):


SCP User Interface Availability

99.992% uptime



SCP Platform Availability

100.00% uptime



SCP Network Availability

100.00% uptime

5.1.2

Customer Service Objectives
A. DOCCS as customer
1. Service
a. Resolution Rates
Performance Standard: >70% of calls resolved on first call
b. Wait times
Performance Standard: Monthly mean wait time < 60 seconds
c. Access to technical support
Performance Standard: Within 10 minutes 100% of the time
2. System Availability per site: Monthly Availability within operational hours.
Performance Standard: 99.9%
3. Data Transfer and availability
a. Timing
Performance Standard: Occurs within scheduled window
98% of the time
b. Accuracy
Performance Standard: 98% of transfers complete and correct
on first transfer; 100% on second transfer.
4. Inmate Calls
a. Drops and Disconnects
Performance Standard: Less than 2% per site per month
b. Voice Quality
Performance Standard: Meet quality standard 99% per month
c. Complaints
Performance Standard: Less than 5% of average annual
population per month

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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B. Inmates, family & friends as customers
1. Service
a. Resolution rate
Performance Standard: >70% of calls resolved on first call
b. Wait times
Performance Standard: Monthly mean wait time <60 seconds
c. Abandoned calls
Performance Standard: Not to exceed 10% of calls per month
d. Complaints
Performance Standard: Not to exceed 5% of accounts per year
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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Resolution of Reported Problems

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DOCCS has established priority levels 1-5 for problem reporting. Level 1 problems shall be
the highest priority and level 5 the lowest. DOCCS has the sole authority to determine the
priority level of each reported problem and to determine if the problem has been resolved
and the issue closed. Resolution time is based on a 24-hour-per-day basis, 365-days-peryear service.
Describe what steps will be taken to meet or exceed DOCCS’ problem resolution
objectives.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus provides superior customer service from a state-of-the-art operations center
located in Carrollton, Texas. More than 50 technicians staff the Securus Technical Support
Center (TSC) to ensure prompt problem resolution. The average tenure of our support
management is five years and our technicians average four years.
The Securus TSC serves as a single point of contact for facility staff to request service 24
hours a day, seven days a week, 365 days per year. There are four ways to contact the
TSC:


Telephone: 866-558-2323



E-Mail: technicalsupport@securustech.net



Fax: 800-368-3168



Web portal @ http://www.securustech.net/facility.asp

The TSC uses a call distribution system to manage the flow of inbound customer calls
automatically routing calls directly to our support technicians in a skills-based, platform
specific manner. Securus establishes response times and service level agreements that
accomplish our objective of providing timely resolution to each request.
Technicians assign each service request one of three initial priority levels, each with
resolution and escalation timelines. Every effort is made to resolve the problem remotely
within the designated timeframes, and Securus resolves most service requests during the
initial request. If necessary, a field service technician is dispatched to the facility to expedite
resolution.
The TSC uses an event tracking system that logs, tracks, manages and assures appropriate
response to all service requests. The service request generates a trouble ticket with priority
level assignment that drives diagnosis and response processes. The support technician
performs initial problem diagnosis and isolation procedures, determines the nature of the
problem and either resolves the problem or engages an appropriate party for problem
resolution. The TSC retains ownership of all service requests and is responsible for the
escalation and update functions.

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Service Response Times and Escalations
Priority
Level

Service Priority
Description

P1

A P1 is our highest service
level defined as 30% or
more of the functionality
of the System being
adversely affected by the
System Event. Examples of
P1 service assignments
would include items such
as no voice prompts,
features not operating
appropriately, inability to
burn CD’s, issues with
listening to live calls,
inability to access S-Gate,
all phones down.

(DOCCS
Levels 1
& 2)

P2
(DOCCS
Levels 3
& 4)

P3
(DOCCS
Level 5)

A P2 assignment defined
as 5% to 29% of the
functionality of the System
being adversely affected
by the System Event.
Examples of a P2 service
assignments would
include items such as
workstation, specific
system ports, LEC circuits,
unblocks, block numbers,
missing CDRs, call
searching.

A P3 assignment defined
as less the 5% of the
functionality of the System

SECURUS Technologies

Response
Time
2 hours

Customer
Communication
Guideline
Securus
Technical
Support
Center notifies
the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

24 hours

Securus
Technical
Support
Center notifies
the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

72 hours

Securus
Technical
Support

Escalations

If response is
delayed, escalation
procedures within
Securus’
Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations
If response is
delayed, escalation
procedures within
Securus’
Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations
If response is
delayed, escalation
procedures within

454

being adversely affected
by the System Event.
Single and multiple
phones related issues.
Examples of P3 service
assignments would
include items such as
static on the phone, a
party not being able to
hear, unable to dial, a
broken phone, dial pad
not working, cutoff
switches not working, and
inability to generate
reports.

Center notifies
the facility
when the
service issue is
resolved
If a technician
is required,
Securus
Dispatch or
Field Service
Technician
contacts the
customer with
an estimated
time of arrival

Securus’
Management Team
are activated to
ensure appropriate
resources are
allocated to resolve
the service request
Technical Support
Manager & Field
Service Manager
Technical Support
Director & Field
Service Director
VP Service &
Operations

Overview
Securus employs approximately 170 field service associates including 9 Regional Managers
and a centralized Field Dispatch team to support our national customer base. The Field
Service Technicians (FST) are strategically positioned to meet the response time
requirements of our customer‘s and reside near each customer location. FSTs are all
required to have extensive telecommunication background and are Securus-certified to
service our product offerings. The FTSs have direct access to senior technical support and
engineering resources to expedite repairs and minimize customer downtime.

Workflow
Once our centralized Technical support operation determines that an issue requires on-site
service, our dispatch team contacts the assigned FST and establishes an estimated time of
arrival. The Dispatcher or the FST immediately communicate the time of arrival to the
facility. Upon arrival at the facility, the FST will meet with the primary site contact to review
the problem and perform the necessary repairs. Repairs typically involve repairing or
replacing a defective part or wiring or correcting configuration settings.
Upon resolving the primary issue, the Field Service Technician will perform a system check
to detect any unreported issues and conduct preventative maintenance checks while onsite, including:
•

Cleaning out the system filters

•

Testing system features and functionality

•

Testing of individual phones

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•

Performing workstation(s) inspections.

Problems identified during this check are addressed by the Field Service Technician during
the same visit unless additional parts are required to resolve the issue.
Upon completion of the repairs, the FST will validate problem resolution with the primary
site contact and obtain sign-off on the repairs performed. After obtaining sign-off, the FST
will record the transaction in our problem management system through his or her laptop.

Service Parts
Securus field service technicians maintain a working level of spare parts for minor repairs
consisting of telephone sets, handsets, dials, and replacement circuit boards, either on-site
or in their truck. If a technician does not have required a part, Securus will drop-ship the
item to the site. Securus will ship counter-to-counter on the same day in critical situations.

Quality
Securus sends an e-mail customer
satisfaction survey to the primary site
contact following each service event.
Customer concerns are immediately
escalated to the Regional Service Manager
and the National Service Director. The
Regional Service Manager is required to
contact the customer within 24 hours to
better understand the concern and
implement a correct action plan. Securus
executives review the summary of each issue
along with the corrective actions on a
monthly basis. Our current survey results
show 94% satisfaction with Field Service with 77% indicating they were “delighted” with the
service they received.

Implementation
Our preliminary implementation plan includes transitional meetings that detail the setup of
proposed applications and tasks associated with the transition from the current system to
Securus’ Secure Call Platform (SCP). Securus has extensive experience preparing locations
for system implementation without disrupting the facility’s existing service. All hardware,
phone lines, and workstations will be in place before replacing the telephone instruments
and cutting over to SCP.

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A. Priority Level 1 includes, but is not limited to the following:
1.
2.
3.
4.

Loss of critical functionality
50% or more phones in a facility out of service
Loss of administrative or investigative access or function
Loss of monitoring or recording function

Performance Standard:
Problems is
4 hours.

The time requirement for resolution of Level 1

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
DOCCS
Priority
Related Issues
Types
Level Description
•

1

4 Hours

2 Hours

Level 1 30% or more system functionality adversely
&2
affected

2

12 Hours

24 Hours

Level 3 5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely
Level 4 affected

4

36 Hours

72 Hours

Level 5 All other system issues

B. Priority Level 2 includes, but is not limited to the following:
1. Loss of significant functionality
2. Data exchange failure
3. 20%--49% of phones in a facility out of service
Performance Standard:
Problems is
8 hours.

The time requirement for resolution of Level 2

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
DOCCS
Priority
Related Issues
Types
Level Description
•

1

4 Hours

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2 Hours

Level 1 30% or more system functionality adversely
&2
affected

457

2

12 Hours

24 Hours

Level 3 5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely
Level 4 affected

4

36 Hours

72 Hours

Level 5 All other system issues

C. Priority Level 3 includes, but is not limited to the following:
1.
2.
3.
4.

Loss of insignificant functionality
Software fixes not critical to operations
Individual phones representing 10%—20% of phones in a facility
Loss of trouble ticket system

Performance Standard:
Problems is
24 hours.

The time requirement for resolution of Level 3

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
DOCCS
Priority
Related Issues
Types
Level Description
•

1

4 Hours

2 Hours

Level 1 30% or more system functionality adversely
&2
affected

2

12 Hours

24 Hours

Level 3 5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely
Level 4 affected

4

36 Hours

72 Hours

Level 5 All other system issues

D. Priority Level 4 includes, but is not limited to the following:
1. Individual phones representing less than 10% of phones in a facility
Performance Standard:
Problems is
48 hours.

The time requirement for resolution of Level 4

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
DOCCS
Priority
Related Issues
Types
Level Description
•

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1

4 Hours

2 Hours

Level 1 30% or more system functionality adversely
&2
affected

2

12 Hours

24 Hours

Level 3 5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely
Level 4 affected

4

36 Hours

72 Hours

Level 5 All other system issues

E. Priority Level 5 includes, but is not limited to the following:
1. Represent scheduled maintenance activities and scheduled
installation or removal of equipment
Performance Standard: The time requirement for resolution of Level 5 is five
working days.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Meantime To Repair SLA’s: (Based on severity of issue - from first contact till resolved)
SVV/ConnectUs
All Other
DOCCS
Priority
Related Issues
Types
Level Description
•

1

4 Hours

2 Hours

Level 1 30% or more system functionality adversely
&2
affected

2

12 Hours

24 Hours

Level 3 5%-29% system functionality adversely affected

3

24 Hours

72 Hours

Less than 5% system functionality adversely
Level 4 affected

4

36 Hours

72 Hours

Level 5 All other system issues

5.2.1
Failure to comply
After three occurrences when 50% or more of the phones in a correctional facility are out
of service for more than four (4) hours at an affected facility, DOCCS may impose a
remedial measure that will include free calling at the facility for the number of hours
corresponding with the out-of-service lapse of time. Contractor will provide supporting
documentation to demonstrate free calling provided.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
5.2.2 Escalation Requirements
Time

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Escalation Point

DOCCS Contact Point

459

Missed performance standard

Supervisor

TBD

Missed performance standard +
two (2) hours

Manager

TBD

Missed performance standard +
four (4) hours

Director

TBD

Missed performance standard +
six (6) hours

Vice President

TBD

The vendor must establish procedures that provide, at a minimum, escalation to
agreed-upon points of contact for the timeframes indicated above.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Performance Reviews
The vendor shall provide monthly, quarterly, and annual performance reports that meet
DOCCS’ specifications. The reports will include the data elements noted in Section 5 above
along with the raw numbers used to achieve the percentages. Additionally, every quarter, the
vendor shall provide a face-to-face review of all performance indicators and trends and a
summary of service issues. The vendor shall provide an annual review of the operational
status, the financial status, the cost and rate analysis as well as an overall contract review. All
reports and reviews will be presented to DOCCS’ staff.
Provide examples of draft reports.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see section/tab – REQUESTED DOCUMENTATION - - Sample Performance Review,
(page 531)

END OF SECTION 5: PERFORMANCE REQUIREMENTS

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6 Vendor Qualifications
Company Experience
The bidder shall submit satisfactory evidence that, in the sole judgment of DOCCS, it has at
least three (3) years current experience providing ITS production systems and services for
commercial or government clients. The proposed system must be a commercially available
system and have been in full production for at least one (1) year for at least three (3)
customers that serve at least a total of 500 inmate telephones each.
The bidder shall submit three (3) client references to support their experience claims.
Incomplete or incorrect client contact information will be evaluated to the bidder’s detriment.
Current employees of DOCCS may not be used as references. Bidders should advise
proposed references that DOCCS will be calling them and confirm the references
willingness to participate. The information must be provided using Appendix F, Vendor
Reference Form.
New York State will not be a test site for unproven technology. For all technology proposed,
your references must include at least two sites where this technology has been in service as
an integrated part of the inmate phone system for at least six (6) months. An onsite or realtime demonstration of the technology must be provided prior to finalization of the scoring for
this procurement.
The subcontractors that will be used to perform any aspect of the work must complete
Appendix F by providing three (3) references in the relative field of services. In addition,
subcontractors must have at least three (3) years current experience providing the services
in the specific field of service.
Provide the names of any federal, state or local correctional facilities and/or systems
where the subcontractors’ services have been used in the past three (3) years.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see three (3) client references using Appendix F in section / tab – COMPLETED
FORMS, (page 643)

Past Performance
6.2.1
Security Incidents
Provide details on all incidents of security breaches, lost or misused data in last
three (3) years including, but not limited to, the nature and extent of the incident,
remedial actions taken, and current status.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Certain ICS providers would like you to believe that Securus was “hacked” based on an
article that appeared last November in The Intercept. After this article was published,
Securus retained outside counsel to conduct an independent investigation of the
allegations appearing in the article. Counsel’s investigation team included world renowned
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forensic experts. After an exhaustive investigation, the team concluded that no system or
database of Securus was “hacked” or otherwise unlawfully accessed, much less that inmate
recordings or other data in a Securus system or database was unlawfully listened to,
copied, read, or otherwise “stolen.” Rather, the investigators determined that the
data/database at issue was on a third party platform over which Securus had absolutely no
ownership or operational control. Further, although this third party system was unlawfully
accessed (by someone unlawfully obtaining an id and password to access the system),
there is no evidence that inmate call recordings or other data were actually listened to,
copied, read. or otherwise “stolen.” So it is manifestly false to claim that a Securus
database or system was “hacked” and our data was “stolen.” No Securus system or
database has ever been “hacked” or otherwise unlawfully accessed.

6.2.2
Performance Data
Provide detailed performance information for the three (3) referenced systems
identified in Section 6.1. At a minimum the performance information shall include
the items identified in Section 5.1,
.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see three (3) client references using Appendix F in section / tab – COMPLETED
FORMS (page 643)

6.2.3
Legal Validity
Provide documentation of the validity of its chain of evidence methodology and its
acceptance in legal proceedings. Include the number of legal cases in last three (3)
years where the methodology was successful, and explain any instances where
the validity of the chain of evidence was not accepted.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Securus has been subpoenaed to testify 706 times in the past three years. Law
enforcement officers all over the country are also called to testify, and Securus has no
record on how many times this methodology is used in legal proceedings. We are unaware
of any instances where the validity of the chain of evidence was not accepted.

Tamper Proof
File type preserves Chain of Custody requirements and thus is suitable for court
evidence. This format contains internal codes to playback calls and to prevent tampering.
Should tampering occur, the file becomes corrupt and is not playable at the point of the
tampering.

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Inmate Name Verification
Securus Secure Call Platform (SCP) allows inmates to record their name, associated with
their custody account and PIN, once. The recorded name is played on all calls the inmate
makes with their PIN. If PINs are not required, the system will ask the inmate to state their
name on each call, the recording of which is then played to the called party. All prerecorded inmate names are to be played to the called party when announcing the call.
For maximum flexibility, this function is configurable to use pre-recorded names, or not per
inmate, facility, and customer level. A pre-recorded name may also be reset, forcing the
inmate to record their name again.
This feature eliminates inmate's ability to pass messages without paying for the call. The
inmate is given a custody account number for identification and is present on each call
record and can be found on each call detail record. This chain of evidence verifies the call
was made by that inmate.

Prevent Inmate from Passing Messages
Calls placed through the Securus Secure Call Platform (SCP) are processed through an
automated attendant. SCP will not establish a two-way talk path until the called party
agrees to accept the call by pressing the proper key on their telephone keypad.
Inmates have taken advantage of systems that allow them to record their name each time
they place a call. Instead of recording their name, inmates have used this functionality to
pass short messages to called parties without paying for the call. Some will even pass
threats or harass victims or witnesses before the called party is even aware who is calling.
For these reasons, Securus recommends recording the inmate name one time and
associating it to a unique PIN assigned to each inmate. This prerecorded name
announcement is usually recorded in the presence of a correctional officer to ensure it is
the inmate's real name and will be clearly understood by the called party. Whenever the
inmate places a call using their PIN, their approved prerecorded name announcement will
be played for the called party. The inmate will have no opportunity to pass any message
until the called party accepts the call and billing begins.
The Securus Secure Calling Platform (SCP) provides a patented method for ensuring the
authenticity of inmate call recordings made through the platform. This security feature—
the Chain of Evidence—is a key component of SCP and is automatically included in all
installations. The Chain of Evidence prevents tampering with the call detail record and call
recording. SCP encrypts, time-stamps, and verifies the authenticity of each recording.
SCP meets or exceeds the Rules of Evidence used in state and federal courts for the
admissibility and authenticity required in a court of law.

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In addition to the Chain of Evidence provided through SCP, Securus will provide expert staff
to testify, at no cost to DOCCS, to the authenticity of the call recordings made on SCP.

Chain of Evidence
A phone call made on the Securus SCP creates a record, known as a call detail record (CDR),
which includes—at a minimum—the following information:


Customer name



Facility name



Originating station



Destination number



Start and stop time of the call



PIN, if used by the facility

This information provides context information about the call. It is this context that
differentiates a typical recording from one that can survive an evidentiary challenge to its
authenticity. SCP combines this contextual information with the audio data in memory and
writes the information to disk as a continuous data stream. It is not possible to modify the
recording after recording to disk, and each recording contains the critical information
about the authenticity of the data.
Storing this data in one combined unit creates a strong audit trail for identifying and
proving the origin of the recorded call.

Creating the Audio Data
The recording process starts as soon as the called party answers the phone. This provides a
record of the entire interaction between the SCP and the called party before the called
party accepts the call. This interaction includes everything the called party says and all
voice-over announcements, including the following information:


Location of the originating call



Inmate name



Call rates



Call acceptance



Notification messages, such as the standard announcement that the call is subject
to monitoring and recording

The recording is “complete” in real time and does not depend on the inmate and called
party ending the call to have a “header” or other information written into the CDR. This
feature is significant because the recording package is constructed real-time throughout

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the call and is un-editable, or locked, with all of the required data to identify the call. This
guarantees that any recording produced for legal purposes is the original data (recording
and call details) and cannot be modified.

Downloading Calls as Evidence
SCP allows authorized users to copy recorded conversations to any external media device
connected to the user’s PC, such as CD, DVD, mp3 player, or USB drive. This feature
facilitates easy sharing of recordings for investigative or court purposes. To maintain the
accuracy of data and recordings during downloading and copying, SCP stores the files—
both audio and CDR information—embedded within an industry-standard read-only format
that prevents the possibility of tampering.
“I estimate that I request phone records for eight out of every ten subjects I
investigate, and of the 100 subjects that I have helped convict over the past four
years, probably half of those were because of telephone recordings provided by
the Securus platform. Securus has been so successful in assisting with my cases
that the US Attorney’s Office has asked me to get inmate calls for all cases.”
- Master Police Detective Michael Wachsmuth, a Tactical Field Officer working with the
Alcohol, Tobacco, and Firearms division of the Federal Justice Department.

Staff Qualifications
Provide information regarding the qualifications and experience of the individuals that
will be the primary points of contact for both customer and technical services as
outlined in Section 4.1.1. Provide résumés and completed
(Appendix G) for at least three reference projects/assignments. Include the dates of the
relevant experience in the résumés and qualification forms.
6.3.1

Staffing Numbers and Qualifications
Provide the following:
•

The number of staff by functional area, work shift, average years of
experience and turnover rates for the last three (3) years

•

The ratio of customer service staff to the number of active accounts

•

The ratio of the number of technical support staff to the number of installed
sites

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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466

Count of active accounts vs. Customer Service staff: 14483:1
Count of installed sites vs. Technical Support/Install: 18:1
Count of installed sites vs. Technical Support/Install/Field: 6:1
Count details:
•
•
•

Total sites: 1915
TS/IS: 107
FS: 221

Please see résumés and completed Staff Qualification Forms (Appendix G) in section / tab –
COMPLETED FORMS (page 643)

6.3.2
Staff Disqualification
DOCCS shall have the right to require the contractor to remove any individual assigned
to this project at any time during the term of this contract at DOCCS’ sole discretion.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
6.3.3
Staff Resignation or Discharge
The contractor shall immediately notify DOCCS of the resignation or discharge of the
primary points of contact assigned to this project. Transfer of knowledge must occur
prior to the departure of any staff members. The contractor shall propose a qualified
replacement for DOCCS’ review and approval.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Vendor Responsibility
6.4.1
Vendor Responsibility Requirements
DOCCS conducts a review of prospective contractors (“Bidders”) to provide reasonable
assurances that the Bidder is responsive and responsible. A Vendor Responsibility
Questionnaire is used for non-construction contracts and is designed to provide
information to assess a Bidder’s responsibility to conduct business in New York based
upon financial and organizational capacity, legal authority, business integrity, and past
performance history. By submitting a bid, Bidder agrees to fully and accurately complete
the Vendor Responsibility Questionnaire. The Bidder acknowledges that the State’s
execution of the Contract will be contingent upon the State’s determination that the
Bidder is responsible, and that the State will be relying upon the Bidder’s responses to
the questionnaire when making its responsibility determination. See Appendix E for
details.

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The bidder agrees that if it is found by the State that the bidder’s responses to the
questionnaire were intentionally false or intentionally incomplete, on such finding,
DOCCS will terminate the Contract. In no case shall such termination of the Contract
by the State be deemed a breach thereof, nor shall the State be liable for any damages
for lost profits or otherwise, which may be sustained by the Contractor as a result of
such termination.
The Contractor shall at all times during the Contract term remain responsible. The
Contractor agrees, if requested by the Commissioner of DOCCS or his designee, to
present evidence of its continuing legal authority to do business in New York State,
integrity, experience, ability, prior performance, and organizational and financial
capacity.
The DOCCS’ Commissioner or his designee, in his or her sole discretion, reserves the
right to suspend any or all activities under this Contract, at any time, when he or she
discovers information that calls into question the responsibility of the Contractor. In the
event of such suspension, the Contractor will be given written notice outlining the
particulars of such suspension. Upon issuance of such notice, the Contractor must
comply with the terms of the suspension order. Contract activity may resume at such
time as the DOCCS’ Commissioner or his designee issues a written notice authorizing a
resumption of performance under the Contract.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see section/tab – COMPLETED FORMS – Vendor Responsibility Questionnaire (page
643)

6.4.2
Complaint History
The vendor shall provide full disclosure of complaints lodged against it to the
Better Business Bureau, the FCC, any state public service commissions or
similar agency and any state Attorneys General within the last three (3) years.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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END OF SECTION 6: VENDOR QUALIFICATIONS

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8 Contractual Issues
Appendix A / Order of Precedence
Appendix A — Standard Clauses for New York State Contracts, dated January 2014,
attached hereto, is hereby expressly made a part of this solicitation document as fully as if
set forth at length herein. The agreement resulting from a successful award will include the
following documents.
Conflicts between these documents will be resolved in the following descending
order of precedence:
•
•
•
•

Appendix A
The Contract resulting from this RFP
DOCCS Request for Proposal Number 2016-02 (this Document)
including any addenda
Selected Contractor’s Proposal/Bid

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Ethics Compliance
All proposers/contractors and their employees must comply with the requirements of §§73 and
74 of the Public Officers Law, other state codes, rules, regulations, and executive orders
establishing ethical standards for the conduct of business with New York State. In signing the
Contract, the Contractor certifies full compliance with those provisions for any present or future
dealings, transactions, sales, contracts, services, offers, relations, etc., involving New York
State and/or its employees. Failure to comply with those provisions may result in
disqualification from the proposal process, termination of contract, and/or other civil or criminal
proceedings as required by law.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Procurement Lobbying Act
New York’s Legislative Law and the State Finance Law have been amended to regulate
lobbying on procurement contracts. Chapter 1 of the Laws of 2005, State Finance Law § 139j and k, which can be accessed through the NYS Office of General Services links below,
imposes certain restrictions on communications between the Department and the bidder
during the procurement process. The bidder is restricted from making contacts, beginning
with the date of the bid advertisement in the NYS Contract Reporter through final approval of
the contract award by the Office of the State Comptroller, with anyone other than the
designated contact person identified in the RFP, unless it is contact that is among certain
statutory exceptions as per State Finance Law § 139-k (3) (a). The designated staff are
identified in Section 1.6 RFP. Department staff are required to obtain certain information
when contacted during the “restricted period” and to make a determination of responsibility of
the bidder pursuant to these two statutes. Certain findings of non-responsibility can result in
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rejection of the proposal, and in the event of two findings within a four-year period, the bidder
is debarred from future State contracts. It is DOCCS’ policy to immediately report to its
ethics officer and/or inspector general any impermissible contact by any offeror (bidder) and,
in addition, to comply with all requirements of the procurement lobbying and procurement
stewardship acts. More information about State Finance Law Sections 139-j and k can be
found on the website of the Office of General Services by accessing the following:
http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-j.htm
and http://www.ogs.ny.gov/aboutogs/regulations/advisoryCouncil/sfl139-k.htm
All bidders must submit a completed Procurement Lobbying Certificate related to State
Finance Law 139-j and k (Attachment C).
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Please see section/tab – COMPLETED FORMS – Procurement Lobbying Certificate. (page
643)
Sales and Compensating Use Tax Certification Requirements
Complete Form ST-220-CA Contractor Certification. The Contractor must file Form ST220-CA to certify that it has filed Form ST-220-TD with the Tax Department and that the
information contained on Form ST-220-TD is correct and complete as of the date that the
Contractor files Form ST-220-CA. Access and complete Form ST-220-CA by using the
following link:
http://www.tax.ny.gov/pdf/current forms/st/st220ca fill in.pdf Please note that Form ST200-TD must be filed with the NYS Tax Department at the address on the front page of the
form. You can access Form ST-220-TD using the following link:
http://www.tax.ny.gov/pdf/current forms/st/st220td fill in.pdf For Questions and Answers
Concerning Tax Law Section 5-a, go to NYS Department of Tax and Finance at
http://www.tax.ny.gov/pdf/publications/sales/pub223.pdf .
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Encouraging the Use of NYS Business
In an ongoing effort to use New York State (NYS) businesses, DOCCS encourages bidders to
partner with NYS subcontractors and/or suppliers. For this solicitation, bidders should identify
the NYS businesses that they plan to use if awarded the contract resulting from this
solicitation by completing the form entitled Encouraging Use of New York State Businesses in
Contract Performance. If known, please identify the businesses and attach the requested
information. Return the completed form with your proposal. If you do not plan to partner with a
NYS business, please indicate this on the form and return it with your proposal. This form is
included in Attachment C.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Diversity Practices

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DOCCS has determined, pursuant to New York State Executive Law Article 15-A, that the
assessment of the diversity practices of respondents to this procurement is practical,
feasible, and appropriate. Diversity practices are the efforts of contractors to include New
York State-certified Minority and Women-owned Business Enterprises (“M/WBEs”) in their
business practices. Diversity practices may include past, present, or future actions and
policies, and include activities of contractors contracts with private entities and governmental
units other than the State of New York. Assessing the diversity practices of contractors
enables contractors to engage in meaningful, capacity-building collaborations with M/WBEs.
Accordingly, respondents to this procurement shall be required to include as part of the
technical proposal response to this procurement, as described in this RFP herein, the
Diversity Practices Questionnaire as provided by the Division of Minority and Women’s
Business Development.
Bidders must complete the questionnaire in Appendix M. The bidders’ responses will be
evaluated using a predetermined rating scale.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

M/WBE and EEO Requirements
See Appendix C for Contractor requirements and procedures. The selected bidder will be
required to return a completed Utilization Plan (Form M/WBE 100-G) and a completed
Staffing Plan (Form EEO 100) as part of the contract resulting from this RFP. Appendix C
will be included in the Contract resulting from this RFP.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Use of Service-Disabled Veteran-Owned Business Enterprises in Contract
Performance
Article 17-B of the Executive Law enacted in 2014 acknowledges that Service-Disabled
Veteran- Owned Businesses (SDVOBs) strongly contribute to the economies of the State and
the nation. As defenders of our nation and in recognition of their economic activity in doing
business in New York State, bidders/proposers for this contract for commodities, services or
technology are strongly encouraged and expected to consider SDVOBs in the fulfillment of the
requirements of the contract. Such partnering may be as subcontractors, suppliers, protégés
or other supporting roles. SDVOBs can be readily identified on the directory of certified
businesses at: http://www.ogs.ny.gov/Core/SDVOBA.asp
Bidders/proposers need to be aware that all authorized users of this contract will be strongly
encouraged to the maximum extent practical and consistent with legal requirements of the
State Finance Law and the Executive Law to use responsible and responsive SDVOBs in
purchasing and utilizing commodities, services and technology that are of equal quality and
functionality to those that may be obtained from non-SDVOBs. Furthermore,
bidders/proposers are reminded that they must continue to utilize small, minority and
women-owned businesses consistent with current State law. Utilizing SDVOBs in State
contracts will help create more private sector jobs, rebuild New York State’s infrastructure,
and maximize economic activity to the mutual benefit of the contractor and its SDVOB
partners. SDVOBs will promote the contractor’s optimal performance under the contract,

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thereby fully benefiting the public sector programs that are supported by associated public
procurements.
Public procurements can drive and improve the State’s economic engine
promotion of the use of SDVOBs by its contractors. The State, therefore,
bidders/proposers to provide maximum assistance to SDVOBs in their
performance. The potential participation by all kinds of SDVOBs will deliver great
the State and its taxpayers.

through
expects
contract
value to

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Indemnification
The Contractor shall assume all risks of liability for its performance, or that of any of its
officers, employees, subcontractors, independent contractors, agents or any other person or
entity performing contractual duties on Contractor’s behalf, of any contract resulting from this
solicitation and shall be solely responsible and liable for all liabilities, losses, damages, costs
or expenses, including attorney's fees, arising from any claim, action or proceeding relating
to or in any way connected with the performance of this Agreement and covenants and
agrees to defend, indemnify and hold harmless the State of New York, its agents, officers
and employees, from any and all claims, suits, causes of action and losses of whatever kind
and nature, arising out of or in connection with its performance of any contract resulting from
this solicitation, including negligence, active or passive or improper conduct of the
Contractor, its officers, agents, subcontractors or employees, or the failure by the Contractor,
its officers, agents, subcontractors or employees to perform any obligations or commitments
to the State or third parties arising out of or resulting from any contract resulting from this
solicitation. Such indemnity shall not be limited to the insurance coverage herein prescribed.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Contractor Insurance Requirements
Prior to the commencement of the work to be performed by the Contractor hereunder, the
Contractor shall file with The People of the State of New York, DOCCS, Certificates of
Insurance (hereinafter referred to as “Certificates”), evidencing compliance with all
requirements. Such Certificates shall be of a form and substance acceptable to DOCCS.
Certificate acceptance and/or approval by DOCCS does not and shall not be construed to
relieve Contractor of any obligations, responsibilities or liabilities under the Contract.
Contractors shall be required to procure, at their sole cost and expense, and shall maintain in
force at all times during the term of any Contract resulting from this Solicitation, policies of
insurance as required by this Section. All insurance required by this Section shall be written
by companies that have an A.M. Best Company rating of “A-,” Class “VII” or better. In
addition, companies writing insurance intended to comply with the requirements of this
Section should be licensed or authorized by the New York State Department of Financial
Services to issue insurance in the State of New York. DOCCS may, in its sole discretion,
accept policies of insurance written by a non-authorized carrier or carriers when certificates
and/or other policy documents are accompanied by a completed Excess Lines Association of
New York (ELANY) affidavit or other documents demonstrating the company’s strong
financial rating. If, during the term of a policy, the carrier’s A.M. Best rating falls below “A-,”
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Class “VII,” the insurance must be replaced, on or before the renewal date of the policy, with
insurance that meets the requirements above.
Bidders and Contractors shall deliver to DOCCS evidence of the insurance required by this
Solicitation and any Contract resulting from this Solicitation in a form satisfactory to DOCCS.
Policies must be written in accordance with the requirements of the paragraphs below, as
applicable. While acceptance of insurance documentation shall not be unreasonably
withheld, conditioned or delayed, acceptance and/or approval by DOCCS does not, and shall
not be construed to, relieve Bidders or Contractors of any obligations, responsibilities or
liabilities under this Solicitation or any Contract resulting from this Solicitation.
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 term of the Contract.
A. General Conditions Applicable to Insurance. All policies of insurance required by this
Solicitation or any Contract resulting from this Solicitation shall comply with the
following requirements:
1. Coverage Types and Policy Limits. The types of coverage and policy limits
required from Bidders and Contractors are specified in Paragraph B Insurance
Requirements below.
2. Policy Forms. Except as otherwise specifically provided herein, or agreed to in the
Contract resulting from this Solicitation, all policies of insurance required by this
Section shall be written on an occurrence basis.
3. Certificates of Insurance/Notices. Bidders and Contractors shall provide DOCCS
with a Certificate or Certificates of Insurance, in a form satisfactory to DOCCS as
detailed below, and pursuant to the timelines set forth in Section B below.
Certificates shall reference the Solicitation or award number and shall name The
New York State Department of Corrections and Community Supervision,
Harriman Campus, 1220 Washington Avenue, Albany, New York 12226-2050, as
the certificate holder.
Certificates of Insurance shall
•

Be in the form acceptable to DOCCS and in accordance with the New
York State Insurance Law (e.g., an ACORD certificate);

•

Disclose any deductible, self-insured retention, aggregate limit or
exclusion to the policy that materially changes the coverage required by
this Solicitation or any Contract resulting from this Solicitation;

•

Refer to this Solicitation and any Contract resulting from this Solicitation by
award number;

•

Be signed by an authorized representative of the referenced insurance
carriers; and

•

Contain the following language in the Description of Operations / Locations
/ Vehicles section: Additional insured protection afforded is on a primary
and non- contributory basis. A waiver of subrogation is granted in favor of
the additional insureds.

Only original documents (certificates of insurance and any endorsements and
other attachments) or electronic versions of the same that can be directly

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traced back to the insurer, agent or broker via e-mail distribution or similar
means will be accepted.
DOCCS generally requires Contractors to submit only certificates of insurance
and additional insured endorsements, although DOCCS reserves the right to
request other proof of insurance. Contractors should refrain from submitting
entire insurance policies, unless specifically requested by DOCCS. If an entire
insurance policy is submitted but not requested, DOCCS shall not be obligated
to review and shall not be chargeable with knowledge of its contents. In
addition, submission of an entire insurance policy not requested by DOCCS
does not constitute proof of compliance with the insurance requirements and
does not discharge Contractors from submitting the requested insurance
documentation.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
4. Primary Coverage. All liability insurance policies shall provide that the required
coverage shall be primary and non-contributory to other insurance available to
the People of the State of New York, the New York State Department of
Corrections and Community Supervision, any entity authorized by law or
regulation to use the Contract and their officers, agents, and employees. Any
other insurance maintained by the People of the State of New York, the New York
State Department of Corrections and Community Supervision, any entity
authorized by law or regulation to use the Contract and their officers, agents, and
employees shall be excess of all applicable Contractor’s insurance, including any
umbrella and/or excess policies, and shall not contribute with the
Bidder/Contractor’s insurance.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
5. Breach for Lack of Proof of Coverage. The failure to comply with the
requirements of this Section at any time during the term of the Contract shall be
considered a breach of the terms of the Contract and shall allow the People of the
State of New York, the New York State Department of Corrections and
Community Supervision, any entity authorized by law or regulation to use the
Contract and their officers, agents, and employees to avail themselves of all
remedies available under the Contract or at law or in equity.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
6. Self-Insured Retention/Deductibles. Certificates of Insurance must indicate the
applicable deductibles/self-insured retentions for each listed policy. Deductibles or
self- insured retentions above $100,000.00 are subject to approval from DOCCS.
Such approval shall not be unreasonably withheld, conditioned or delayed.
Bidders and Contractors shall be solely responsible for all claim expenses and
loss payments within the deductibles or self-insured retentions. If the
Bidder/Contractor is providing the required insurance through self-insurance,
evidence of the financial capacity to support the self-insurance program along with
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a description of that program, including, but not limited to, information regarding
the use of a third-party administrator shall be provided upon request. If the
Contractor is unable to meet their obligation under any deductible, self-insured
retention or self-insurance, neither the People of the State of New York nor
DOCCS will be obligated to drop down to cover the amount of the self-insured
retention or deductible or any remaining portion thereof.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
7. Subcontractors. Prior to the commencement of any work by a Subcontractor, the
Contractor shall require such Subcontractor to procure policies of insurance as
required by this Section and maintain the same in force during the term of any
work performed by that Subcontractor.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
8. Waiver of Subrogation. For all liability policies and the workers’ compensation
insurance required below, the Bidder/Contractor shall cause to be included in its
policies insuring against loss, damage or destruction by fire or other insured
casualty a waiver of the insurer’s right of subrogation against The People of the
State of New York, the New York State Department of Corrections and
Community Supervision, any entity authorized by law or regulation to use the
Contract and their officers, agents, and employees, or, if such waiver is
unobtainable (i) an express agreement that such policy shall not be invalidated if
the Contractor waives or has waived before the casualty, the right of recovery
against The People of the State of New York, the New York State Department of
Corrections and Community Supervision, any entity authorized by law or
regulation to use the Contract and their officers, agents, and employees or (ii) any
other form of permission for the release of The People of the State of New York,
the New York State Department of Corrections and Community Supervision, any
entity authorized by law or regulation to use the Contract and their officers, agents,
and employees. A Waiver of Subrogation Endorsement shall be provided upon
request. A blanket Waiver of Subrogation Endorsement evidencing such coverage
is also acceptable.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9. Additional Insured The Contractor shall cause to be included in each of the
liability policies required below, ISO form CG 20 10 11 85 (or a form or forms that
provide equivalent coverage, such as the combination of CG 20 10 04 13 and CG
20 37 04 13) and form CA 20 48 10 13 (or a form or forms that provide equivalent
coverage), naming as additional insureds: The People of the State of New York,
the New York State Department of Corrections and Community Supervision, any
entity authorized by law or regulation to use the Contract and their officers,
agents, and employees. An Additional Insured Endorsement evidencing such
coverage shall be provided to DOCCS pursuant to the timelines set forth in
Section B below. A blanket Additional Insured Endorsement evidencing such
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coverage is also acceptable. For Contractors who are self-insured, the Contractor
shall be obligated to defend and indemnify the above-named additional insureds
with respect to Commercial General Liability and Business Automobile Liability, in
the same manner that the Contractor would have been required to pursuant to this
Section had the Contractor obtained such insurance policies.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
10. Excess/Umbrella Liability Policies. Required insurance coverage limits may be
provided through a combination of primary and excess/umbrella liability policies;
however, a minimum of one million dollars ($1,000,000.00) must be primary
coverage for general liability and auto liability. All Contractor’s applicable
insurance policies, including umbrella and excess insurance, will be primary to any
insurance, self-insurance, deductible or self- insured retention of the People of the
State of New York, the New York State Department of Corrections and Community
Supervision, or any entity authorized by law or regulation to use the Contract and
their officers, agents, and employees. If coverage limits are provided through
excess/umbrella liability policies, then a Schedule of underlying insurance listing
policy information for all underlying insurance policies (insurer, policy number,
policy term, coverage and limits of insurance), including proof that the
excess/umbrella insurance follows form must be provided upon request.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
11. Notice of Cancellation or Non-Renewal. Policies shall be written so as to
include the requirements for notice of cancellation or non-renewal in accordance
with the New York State Insurance Law. Within five (5) business days of receipt of
any notice of cancellation or non-renewal of insurance, the Contractor shall provide
DOCCS with a copy of any such notice received from an insurer together with proof
of replacement coverage that complies with the insurance requirements of this
Solicitation and any Contract resulting from this Solicitation.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
12. Policy Renewal/Expiration Upon policy renewal/expiration, evidence of renewal
or replacement of coverage that complies with the insurance requirements set
forth in this Solicitation and any Contract resulting from this Solicitation shall be
delivered to DOCCS. If, at any time during the term of any Contract resulting from
this Solicitation, the coverage provisions and limits of the policies required herein
do not meet the provisions and limits set forth in this Solicitation or any Contract
resulting from this Solicitation, or proof thereof is not provided to DOCCS, the
Contractor shall immediately cease work. The Contractor shall not resume work
until authorized to do so by DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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13. Deadlines for Providing Insurance Documents after Renewal or Upon
Request. As set forth herein, certain insurance documents must be provided to
the DOCCS Procurement Services contact identified in the Contract Award Notice
after renewal or upon request. This requirement means that the Contractor shall
provide the applicable insurance document to DOCCS as soon as possible but in
no event later than the following time periods:
•

For certificates of insurance: 5 business days

•

For information on self-insurance or self-retention programs: 15 calendar days

•

For other requested documentation evidencing coverage: 15 calendar days

•

For additional insured and waiver of subrogation endorsements: 30 calendar
days

Notwithstanding the foregoing, if the Contractor shall have promptly requested the
insurance documents from its broker or insurer and shall have thereafter diligently
taken all steps necessary to obtain such documents from its insurer and submit them
to DOCCS, DOCCS shall extend the time period for a reasonable period under the
circumstances, but in no event shall the extension exceed 30 calendar days.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

B. Insurance Requirements
Bidders and Contractors shall obtain and maintain in full force and effect, throughout the
term of any Contract resulting from this Solicitation, at their own expense, the following
insurance with limits not less than those described below and as required by the terms of
any Contract resulting from this Solicitation, or as required by law, whichever is greater:

Insurance Type
Commercial General Liability
General Aggregate
Products – Completed Operations
Aggregate
Personal and Advertising Injury
Medical Expenses Limit
Business Automobile Liability Insurance

[Not less than $2,000,000 each
occurrence]
$2,000,000

Proof of
Coverage is Due
Updated in
accordance with
Contract

$2,000,000
$1,000,000
$5,000
[Not less than $2,000,000 each
occurrence]

Workers’ Compensation
Disability Benefits
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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1. Commercial General Liability Insurance: Such liability shall be written on the
current edition of ISO occurrence form CG 00 01, or a substitute form providing
equivalent coverage 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.
Policy shall include bodily injury, property damage and broad form contractual
liability coverage.
•
•
•
•

General Aggregate
Products – Completed Operations Aggregate
Personal and Advertising Injury
Each Occurrence

Coverage shall include, but not be limited to, the following:
•
•
•
•
•
•
•
•

Premises liability;
Independent contractors;
Blanket contractual liability, including tort liability of another
assumed in a contract;
Defense and/or indemnification obligations, including
obligations assumed under the Contract;
Cross liability for additional insureds;
Products/completed operations for a term of no less than
three [1-3] years, commencing upon acceptance of the work,
as required by the Contract;
Explosion, collapse and underground hazards; and
Contractor means and methods].

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
2. Business Automobile Liability Insurance: Such insurance shall cover liability
arising out of any automobile used in connection with performance under the
Contract, including owned, leased, hired and non-owned automobiles bearing or,
under the circumstances under which they are being used, required by the Motor
Vehicles Laws of the State of New York to bear, license plates.
In the event that the Contractor does not own, lease or hire any automobiles used
in connection with performance under the Contract, the Contractor does not need
to obtain Business Automobile Liability Insurance, but must attest to the fact that
the Contractor does not own, lease or hire any automobiles used in connection
with performance under the Contract on a form provided by DOCCS. If, however,
during the term of the Contract, the Contractor acquires, leases or hires any
automobiles that will be used in connection with performance under the Contract,
the Contractor must obtain Business Automobile Liability Insurance that meets all
of the requirements of this section and provide proof of such coverage to DOCCS
in accordance with the insurance requirements of any Contract resulting from this
Solicitation.
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In the event that the Contractor does not own or lease any automobiles used in
connection with performance under the Contract, but the Contractor does
subcontract, hire and/or utilize non-owned automobiles in connection with
performance under the Contract, the Contractor subcontractor or owner of the
automobile(s) must: (i) obtain Business Automobile Liability Insurance as required
by this Solicitation or any Contract resulting from this Solicitation, except that such
insurance may be limited to liability arising out of hired and/or non-owned
automobiles, as applicable; and (ii) attest to the fact that the Contractor does not
own or lease any automobiles used in connection with performance under the
Contract, on a form provided by DOCCS. If, however, during the term of the
Contract, the Contractor acquires or leases any automobiles that will be used in
connection with performance under the Contract, the Contractor must obtain
Business Automobile Liability Insurance that meets all of the requirements of this
Section and provide proof of such coverage to DOCCS in accordance with the
insurance requirements of any Contract resulting from this Solicitation.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
3. Workers’ Compensation Insurance and Disability Benefits Requirements
Sections 57 and 220 of the New York State Workers’ Compensation Law require
the heads of all municipal and state entities to ensure that businesses applying
for contracts have appropriate workers’ compensation and disability benefits
insurance coverage.
These requirements apply to both original contracts and renewals. Failure to
provide proper proof of such coverage or a legal exemption will result in a
rejection of a Bid or any contract renewal. A Bidder will not be awarded a
Contract unless proof of workers’ compensation and disability insurance is
provided to DOCCS. Proof of workers’ compensation and disability benefits
coverage, or proof of exemption must be submitted to DOCCS at the time of Bid
submission, policy renewal, contract renewal, and upon request. Proof of
compliance must be submitted on one of the following forms designated by the
New York State Workers’ Compensation Board. An ACORD form is not
acceptable proof of New York State workers’ compensation or disability
benefits insurance coverage.
Proof of Compliance with Workers’ Compensation Coverage Requirements:
•

•

•

Form CE-200, Certificate of Attestation for New York Entities With No
Employees and Certain Out of State Entities, That New York State Workers’
Compensation and/or Disability Benefits Insurance Coverage is Not Required,
which is available on the Workers’ Compensation Board’s website
(www.wcb.ny.gov);
Form C-105.2 (9/07), Certificate of Workers’ Compensation Insurance, sent to
DOCCS by the Contractor’s insurance carrier upon request, or if coverage is
provided by the New York State Insurance Fund, they will provide Form U26.3 to DOCCS upon request from the Contractor; or
Form SI-12, Certificate of Workers’ Compensation Self-Insurance, available
from the New York State Workers’ Compensation Board’s Self-Insurance
Office, or

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•

Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group
Self- Insurance, available from the Contractor’s Group Self-Insurance
Administrator.

Proof of Compliance with Disability Benefits Coverage Requirements:
•

•
•

Form CE-200, Certificate of Attestation for New York Entities With No
Employees and Certain Out of State Entities, That New York State Workers’
Compensation and/or Disability Benefits Insurance Coverage is Not Required,
which is available on the Workers’ Compensation Board’s website
(www.wcb.ny.gov);
Form DB-120.1, Certificate of Disability Benefits Insurance, sent to DOCCS by
the Contractor’s insurance carrier upon request; or
Form DB-155, Certificate of Disability Benefits Self-Insurance, available from
the New York State Workers’ Compensation Board’s Self-Insurance Office.

An instruction manual clarifying the New York State Workers’ Compensation
Law requirements is available for download at the New York State Workers’
Compensation Board’s website, http://www.wcb.ny.gov. Once on the site, click
on the Employers/Businesses tab and then click on Employers’ Handbook.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Consultant Disclosure Reporting Requirements
Pursuant to New York State Finance Law, Section 163(4)(g), state agencies must require
all contractors, including subcontractors, that provide consulting services for State purposes
pursuant to a contract to submit an annual employment report for each such contract, such
report to include for each employment category within the contract: the number of
employees employed to provide services under the contract, the number of hours they
work, and the total compensation under the contract for those employees. Consulting
services are defined as analysis, evaluation, research, training, data processing, computer
programming, engineering, environmental, health, and mental health services, accounting,
auditing, paralegal, legal, or similar services.
Upon notification of award for this RFP, the selected Contractor must complete Form A,
State Consultant Services. The completed Form A should include information for all
employees that will be providing services under the contract resulting from this IFB.
The Contractor must submit Form B, State Consultant Services Contractor’s Annual
Employment Report (Attachment C), to report annual employment information required by the
statute. This form captures historical information, detailing actual employment data for the
most recently concluded State fiscal year (April 1 – March 31). Submit Form B to DOCCS
Budget & Finance Unit, the Consultant Reporting Section of the Bureau of Contracts at OSC,
and the Department of Civil Services at the addresses provided below.
Submit the completed Form B annually by May 15 for each State fiscal year (or portion
thereof) the contract is in effect, as follows:

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Contracting Agency: DOCCS
Supervision

NYS

Department

of

Corrections

and

Community

Sandra Downey, Director Budget and
Finance
1220
Washington
Avenue
Albany, New York 12226-2050

OSC: Consultant Reporting Sections of the Bureau of Contracts
NYS Office of the State
Comptroller
Bureau
of
Contracts
110 State Street, Floor 11
Albany, NY 122236
Attention: Consultant Reporting
DCS:

NYS Department of Civil Service
Alfred E. Smith Office
Building Albany, NY
12239

Forms A and B as well as the instructions are found in Attachment C.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Freedom of Information Law/Trade Secrets
During the evaluation process, the content of each bid will be held in confidence and details
of any bid will not be revealed (except as may be required under the Freedom of Information
Law or other State law). The Freedom of Information Law provides for an exemption from
disclosure for trade secrets or information the disclosure of which would cause injury to the
competitive position of commercial enterprises. This exception would be effective both during
and after the evaluation process. Should you feel your firm’s bid contains any such trade
secrets or other confidential or proprietary information, you must submit a request to
except such information from disclosure. Such request must be in writing, must state the
reasons why the information should be accepted from disclosure and must be provided at the
time of submission of the subject information. Requests for exemption of the entire contents
of a bid from disclosure have generally not been found to be meritorious and are
discouraged. Kindly limit any requests for exemption of information from disclosure to bona
fide trade secrets or specific information, the disclosure of which would cause a substantial
injury to the competitive position of your firm.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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Executive Order Number 26
Bidders should review this executive order prior to submitting proposals. You may access the
executive order on the Governor’s Web site: STATEWIDE LANGUAGE ACCESS POLICY In
the event that translation/interpretation services are required for languages other than the
Spanish language, the selected Contractor must agree to comply with any requests by
DOCCS to provide documents or other assistance to allow for translation or interpretation to
be conducted. Any costs associated with the translation or interpretation services will be
incurred by DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Executive Order 38
Limits on State-Funded Administrative costs & Executive Compensation: Bidders should
review Executive Order 38 and the rules and regulations prior to submitting proposals. More
specifically, Bidders should review the restrictions on allowable administrative expenses, the
limits on executive compensation, and the reporting requirements. It is the obligation of the
selected Contractor, not the State, to determine if Executive Order 38 is applicable. In
addition, the selected Contractor must include a provision in any agreement with a
subcontractor or agent stating that if said subcontractor or agent is receiving State funds or
State-authorized payments from the Contractor to provide program or administrative services
under the Contract resulting from this RFP, the subcontractor must also comply with
Executive Order 38.
All Contractors doing business with DOCCS should be familiar with Executive Order 38
and the applicable DOCCS Rules and Regulations for the executive order.
Bidders and Contractors may access the executive order using this link,
executiveorder38.ny.gov, or from the DOCCS’ Web site at www.doccs.ny.gov. The
applicable DOCCS Rules and Regulations for the executive order are located in the 7 New
York Codes, Rules, and Regulations (NYCRR) Part 513.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Performance/Payment Bond Requirement
Prior to the commencement of performance of the work to be undertaken pursuant to the
Contract, DOCCS requires the Contractor to furnish without cost to DOCCS a
performance/payment bond as security for the faithful performance of the Contract in the
amount of Ten Million Dollars ($10,000,000.00), which shall be in the exact form and
language of the sample bond attached as Appendix L. The surety must be authorized to do
business as a surety in the State of New York, and its name must appear on the current list of
sureties acceptable to the Treasury Department of the United States in effect at the time of
submission of the Performance and Payment Bond to DOCCS. In addition, the aggregate
underwriting limitations on any one risk as set forth in the aforementioned list of approved
Treasury Department sureties shall equal or exceed the penal sum of the Performance and
Payment Bond.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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Licensed or Patented Components
The vendor must identify any software that is not owned by the vendor or any patented or
proprietary components and provide details on the vendor’s authorization to use and resell
such components including duration of agreement and source.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Perpetual License
The vendor shall provide to DOCCS a perpetual non-exclusive license for all software utilized
in the delivery of services under this contract. The license shall continue after the termination
of the contract, but DOCCS shall not be entitled to free upgrades or support after contract
termination.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Escrow of Software
Upon award the vendor shall escrow all software and routines, documentation and
operational information necessary for the full production operation of the ITS with an escrow
agent approved by DOCCS. The escrow agreement shall specify that the software source
and production code and all related material shall be provided to DOCCS at no cost in the
event that the vendor is unable or unwilling to meet its obligations under this contract. In such
event DOCCS shall be deemed to have full ownership rights to the software and materials.
The vendor shall at all times assure that the escrowed software and materials are for the
current DOCCS’ production system.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Breach of Services
In the event of any material breach of service by the contractor, the Department shall give
written notice specifying the material breach. If such written notice of material breach is given
and the provider does not correct the breach to DOCCS satisfaction within thirty (30) days
after receipt of the written notice, DOCCS shall have the right to unilaterally and immediately
terminate the Agreement and seek a replacement provider in order to maintain telephone
service to the inmates without penalty to DOCCS.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

General Requirements
The Bidder agrees to
1. adhere to all State and Federal laws and regulations in connection with the
contract; and,
2. at a minimum, notify DOCCS of any changes in the legal status or principal
ownership of the company, forty five (45) days in advance of said change.
The Bidder agrees that

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3. in any contract resulting from this RFP, it shall be completely responsible for its
work, including any damages or breakdowns caused by its failure to take
appropriate action; and,
4. any contract resulting from this RFP may not be assigned, transferred,
conveyed or the work subcontracted without the prior written consent of the
Commissioner of DOCCS.
5. For reasons of safety and public policy, in any contract resulting from this RFP,
the use of illegal drugs and/or alcoholic beverages by the Contractor or its
personnel shall not be permitted while performing any phase of the work herein
specified.
6. For purposes of any contract resulting from this RFP, the State will not be liable
for any expense incurred by the Contractor for any parking fees or as a
consequence of any traffic infraction or parking violations attributable to
employees of the Contractor.
7. The Commissioner’s interpretation of specifications shall be final and binding
upon the Contractor.
8. The Commissioner of DOCCS will make no allowance or concession to the
bidder for any alleged misunderstanding because of quantity, quality, character,
location or other conditions.
9. Should it appear that there is a real or apparent discrepancy between different
sections of specifications concerning the nature, quality or extent of work to be
furnished, it shall be assumed that the bidder has based its bid on the more
expensive option. Final decision will rest with the Commissioner of DOCCS.
10. Inspection – For purposes of any contract resulting from this RFP, the quality of
service is subject to inspection and may be made at any reasonable time by the
State of New York. Should it be found that quality of services being performed is
not satisfactory and that the requirements of the specifications are not being met,
the Commissioner of DOCCS may terminate the contract and employ another
contractor to fulfill the requirements of the contract. The existing Contractor shall
be liable to the State of New York for costs incurred on account thereof.
11. Stop Work Order - The Commissioner of DOCCS reserves the right to stop the
work covered by this RFP and any contract(s) resulting therefrom at any time that
it is deemed the successful Bidder is unable or incapable of performing the work
to the state’s satisfaction. In the event of such stopping, DOCCS shall have the
right to arrange for the completion of the work in such manner as it may deem
advisable and if the cost thereof exceeds the amount of the bid, the successful
Bidder shall be liable to the State of New York for any such costs on account
thereof. In the event that DOCCS issues a stop work order for the work as
provided herein, the Contractor shall have ten (10) working days to respond
thereto before any such stop work order shall become effective.
12. It is the Contractor's responsibility to maintain the equipment and materials
provided for the work consistent with applicable safety regulations, health codes,
and all policies or directives established by DOCCS. Failure to account for all
equipment, materials, and tools or to report missing equipment, materials, and
tools immediately may result in the termination of the contract.
13. DOCCS reserves the right to reject and bar from the facility any employee hired
by the Contractor.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

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Equipment and Licenses Upon Termination
Upon contract termination all installed equipment, wiring, servers, communications
components and related elements shall become the property of DOCCS without further cost
to DOCCS. This shall explicitly include a perpetual license for all installed software. DOCCS
shall own all elements required to continue the operation of a fully functional production
system. The contractor shall provide all ITS services including but not limited to call recording
and customer service and billing required by this contract for ninety (90) days after the
contract termination date.
8.21.1
Agency Termination
DOCCS reserves the right to cancel the complete contract or any part thereof, at any
time, giving the Contractor thirty (30) days written notice for convenience or
unavailability of funds. If in the judgment of DOCCS, the Contractor fails or refuses to
perform the work in accordance with the contract, DOCCS may terminate the contract
immediately by written notice for cause.
Upon written notice to the Contractor, and a reasonable opportunity to be heard with
appropriate DOCCS’ officials or staff, the contract may be terminated by the DOCCS’
Commissioner or his designee at the Contractor’s expense where the Contractor is
determined by the DOCCS Commissioner or his designee to be non-responsible. In
such event, the DOCCS Commissioner or his designee may complete the contractual
requirements in any manner he may deem advisable and pursue available legal or
equitable remedies for breach.
DOCCS may, upon a thirty (30) day notice, terminate the contract resulting from this
RFP in the event of the awarded Bidder’s failure to comply with any of the bid’s
requirements unless the awarded Bidder obtained a waiver of the requirement.
In addition, DOCCS may also terminate any contract resulting from this RFP upon ten
(10) days written notice if the Contractor makes any arrangement or assignment for
the benefit of creditors.
Furthermore, DOCCS shall have the right, in its sole discretion, at any time to
terminate a contract resulting from this RFP, or any unit portion thereof, with or
without cause, by giving thirty (30) days written notice of termination to the
Contractor.
Any termination by DOCCS under this Section shall in no event constitute or be
deemed a breach of any contract resulting from this RFP and no liability shall be
incurred by or arise against DOCCS, its agents and employees therefore for lost
profits or any other damages.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
8.21.2
Procurement Lobbying Termination
DOCCS reserves the right to terminate this contract in the event it is found that the
certification filed by the Offeror in accordance with New York State Finance Law
§139-k was intentionally false or intentionally incomplete. Upon such finding, DOCCS
may exercise its termination right by providing written notification to the Offeror in
accordance with the written notification terms of this contract.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
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1.

2.

3.

4.

Contract Terms
All provisions and requirements of Appendix A, Standard Clauses for New York State
Contracts, which is attached hereto and forms a part hereof, will be incorporated into any
contract resulting from this RFP, and will be binding upon the parties to such contract.
All provisions and requirements that are attached hereto and form a part hereof, will
be incorporated into any contract resulting from this RFP, and will be binding upon the
parties to such contract.
It is stipulated and agreed by the parties that the law of the State of New York shall solely
and in all respects govern with relation to any dispute, litigation, or interpretation arising
out of or connected with any contract resulting from this RFP.
Any contract resulting from this RFP shall not be deemed executed, valid or binding
unless and until approved in writing by the Attorney General and the Comptroller of the
State of New York.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Nondisclosure Agreement
Upon contract award, the selected vendor will be required to sign the non-disclosure
agreement in Appendix I.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Contract Provisions
The entire RFP plus clarification questions and answers as well as the selected vendor’s
proposal shall be included in the final contract.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

Potential Annual Revenue Payments
It is understood between the parties that, in the event a change is made to the law in New
York State with respect to the permissible use of telephone revenue, the parties will meet in
a good faith effort to negotiate a possible amendment regarding phone rates that are
charged, which would be consistent with the change in such law. It is further understood that
if an amendment is negotiated and agreed to, it would also have to be approved by all
necessary governmental entities, including, but not limited to, the Office of the State
Comptroller, and that said agreement would also have to meet any governmental regulatory
restrictions that may apply.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Moreover, in the event of such a change as stipulated above, the parties will have an
understanding that the revenue set-aside from the use of the inmate telephone system will
not exceed $ 2 million.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
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Inmate Secure Messaging Option
DOCCS is exploring the possibility of offering inmates the ability to communicate with those
individuals listed on the inmates’ call lists, using secure messaging and utilizing the
infrastructure as described in the successful bidder’s proposal response to this RFP. If
DOCCS decides to implement this feature in the future, with a 90-day notice to the contractor
selected, the following information will be applicable:
•

The vendor will provide the ability for inmates to access and utilize secure messaging,
including the sending and receiving of secure messages to those individuals on the
inmates’ call lists.

•

The vendor will identify and detail any costs associated with accessing, sending, or
receiving secure messages, including any additional surcharges or handling fees
assessed by the vendor that will be charged to the friends and family sending the
secure messages. The cost to send or receive secure messages must be less than
the cost to send an equivalent written letter.

•

The ability to conduct investigative analysis of the secure messages, including, but not
limited to, key word searches, analytics, and investigative software, which shall be
described in detail by the vendor.
The vendor’s proposed costs will conform to all other applicable rules within the
contents of the resulting contract and this RFP, including all investigative, analytic and
reporting capabilities. Prior to implementation of secure messaging, the vendor will
provide information to DOCCS regarding all aspects of this additional service as
follows:
o A detailed plan for inmates to access secure messaging, including those in
restricted or specialized housing.
o Ability to send and receive secure messaging via a tablet or third party device.
o Ability to perform translation of foreign languages secure messages.
o A mechanism to securely monitor and review secure messages before they
are sent or received by the inmate.

•

Any amendment to the original contract agreement resulting from this solicitation will be
subject to approval by the Office of the Attorney General and the Office of the State
Comptroller.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

END OF SECTION 8: CONTRACTUAL ISSUES

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9 Administrative Procedures
Communication with DOCCS
All inquiries concerning this RFP must be addressed in writing to the DOCCS’ designated
contact as specified in Section 1.6. DOCCS’ employees should not be contacted regarding
this RFP except as authorized by the DOCCS’ designated contact person identified in
Section 1.6. Any unauthorized contact shall constitute grounds for disqualification and
rejection of the bidder’s proposal.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Procurement Rights
The state of New York reserves the rights for the following:
1. Reject any and all bids received in response to this Solicitation.
2. Withdraw the RFP at any time, at the agency’s sole discretion.
3. Disqualify a bidder from receiving the award if the bidder, or anyone in the bidder’s
employ, has previously failed to perform satisfactorily in connections with public
bidding or contracts.
4. Correct bidders’ mathematical errors and waive or modify other minor irregularities
in bids received, after prior notification to the bidder.
5. Adjust any bidder’s expected costs of the bid price based on a determination
of the evaluation committee that the selection of the said bidder will cause the
state to incur additional costs.
6. Utilize any and all ideas submitted in the bids received.
7. Negotiate with bidders responding to this solicitation within the solicitation
requirements to serve the best interests of the state.
8. Begin contract negotiations with another bidding contractor to serve the best
interests of the state should DOCCS be unsuccessful negotiating a contract with the
selected contractor within 21 days of the selection notification.
9. Waive any nonmaterial requirement not met by all bidders.
10. Not make an award under this solicitation.
11. Make an award under this solicitation in whole or in part.
12. Make multiple contract awards pursuant to the solicitation.
13. Have any service completed via separate competitive bid or other means, as
determined to be in the best interest of the state.
14. Seek clarifications of bids.
15. If two or more offers are found to be substantially equivalent, the Commissioner of
DOCCS, at his sole discretion, will determine award.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Proposal Format, Packaging, and Submission Instructions
Package the Technical, Cost, and Diversity Practices proposal components separately. All
components should be clearly labeled with RFP 2016-02, the component name, and the
bidder’s name.
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a. Submit two (2) originals of the completed Technical Proposal, and ten (10) copies for
a total of twelve (12) Technical Proposals including Appendix K, Proposal Response
Forms, and required documents. The narrative responses must correspond with the
relative sections/paragraphs of the RFP. An original signature should be applied to
each original and copy. Include one electronic copy in PDF format of the technical
proposal on an electronic medium.
b. Submit two (2) original signed Cost Proposal Forms and attachments in a separate
sealed and labeled envelope with the narrative responses for Section 7 and the
documentation to substantiate financial stability.
c. Submit two (2) original signed Diversity Practices Questionnaires with attached
sheets in a separate sealed and labeled envelope.
d. Submit proposals so that they will be in the possession of the DOCCS’ contact person
by 3:00 PM EDT on the day indicated in Section 1.7. It is the sole responsibility of
bidders to insure the proposals are received by the bid closing date and time.
e. It shall be the responsibility of each bidder to see that its material is appropriately
contained in some physical form that best guards against the loss of property in transit
or in handling by DOCCS once received.
f.

Submit the proposal so that updated pages can be easily incorporated into the original.

g. Place the official name of the firm submitting the proposal so that it appears on the
outside front cover of each binder and/or envelope with the name of the designated
contact person(s) as provided in Section 1.6 of the RFP. Every copy of the proposal
should have each major section separated with index tabs to identify the major
sections of the proposal so that the proposal corresponds with the sections in the
table of contents.
h. Complete the forms in Appendix K, Proposal Response Forms, ensuring each box
is checked to indicate that the bidder has read and agreed to the requirements in
each of the sections of the RFP and has included the required supporting
documentation with its proposals. The completed set of Response Forms shall be
included in Technical Proposal component of the bidder’s proposal with the
narrative text the bidder deems relevant.
i.

Include all required substantiating documentation and responses as specified in the
RFP and the Response Forms for Sections 2 through 7 of the proposal. The
substantiating documentation and responses shall cross reference the associated
paragraph number of the RFP. It is not necessary to repeat each paragraph text as it
appears in the RFP, it is only necessary to ensure that the Proposal Response form is
properly completed and the responses and required documentation are cross
referenced to the appropriate RFP paragraph number.

j.

Identify all supporting documentation required in the RFP. DOCCS will not accept
links to external websites in place of documentation. If the required documentation
does not lend itself to being bound in the format specified, uniquely identify the
documentation and reference it accordingly.

k. This Request for Proposals is comprised of the RFP title page and Notice to Bidders
page, the table of contents, the pages numbered sequentially in the footer ending with
page number 58 and all of the Appendices and Attachments. If the bidder determines
that a page(s) is missing or otherwise defective, the bidder should contact DOCCS
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immediately so that a corrected copy can be issued to the bidder. Bidders must
ensure that all pages have been included in the RFP downloaded from the NYS
Contract Reporter or DOCCS’ Web site.
l.

Only those Bidders who furnish all required information will be considered.
Submit all required bid documents including signed bid addenda if any by the Proposal
Due Date and time (Section 1.7), to the following address:
Proposal Submission for RFP2016-02
NYS Department of Corrections & Community
Supervision Division of Support Operations /
Contract Procurement Unit Attention: Velma Berry
550 Broadway
Menands, NY 12204

DOCCS will not consider emailed or faxed bid submissions.
COST

PROPOSALS

WILL

NOT BE OPENED UNTIL THE TECHNICAL
EVALUATION HAS BEEN COMPLETED.

SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.3.1 Proposal Content
Entire proposal:
1. Completed and signed Application Cover Sheet and Individual, Corporation,
Partnership, or LLC Acknowledgment (within Attachment C). Return as cover
sheet and second page for the Technical Proposal.
2. Procurement Lobbying Certification (within Attachment C).
3. Appendix K, Proposal Response Forms, and the Technical Response Narrative:
two (2) originals, plus ten (10) copies, plus one electronic copy in PDF format on
an electronic medium.
4. Appendix H, Cost Proposal Form: two (2) original signed Cost Proposal
Forms with attachments, narratives for Section 7, and documentation to
substantiate financial stability submitted in a separate sealed and labeled
envelope.
5. Appendix M, Diversity Practices Questionnaire: two (2) original completed,
signed, and notarized questionnaires. Follow the instructions on the
questionnaire, complete the questions, include the attached sheets as
instructed, and submit the completed questionnaires (plus documents) in a
separate sealed and labeled envelope.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.3.2

Other legal documents
disqualification):

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but

not

subject

to

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See Attachment C, Bidders’ Checklist and Required Documents, due with the
technical proposal or as a contingency for the tentative award:
• Online (or hard copy) Vendor Responsibility Questionnaire (Appendix E)
• M/WBE and EEO Required forms (Appendix C)
• Encouraging Use of NYS Businesses in Contract Performance
(within Attachment C)
• Vendor Reference Form (Appendix F)
• Staff Qualification Form (Appendix G)
• Non-Disclosure Agreement (Appendix I)
• Performance/Payment Bond (Appendix L)
• Form A, State Consultant Services – Contractor’s Planned Employment
(within Attachment C)
• Form ST-220-CA (Section 8.4)
• Verification Workers’ Compensation and NYS Disability Coverage (Section
8.10)
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.3.3 Technical Proposal
The Technical Proposal shall be defined as the bidder’s narrative responses to the
entire RFP as outlined in Appendix K, the completed and signed Appendix K, and all
requested attachments and documentation. The Technical Response shall contain
the following:
A.

The completed Proposal Response Forms (Appendix K) signed by the
bidder’s representative having the authority to commit the company to the
obligations set forth in the proposal.

B.

Narrative responses to all requirements and issues in the RFP cross
referenced to the sections and paragraph numbers in the RFP.

C.

Requested documentation.

D.

All forms included or cited in the RFP completed as required (Attachment
C).

Read and follow the instructions for Appendix K before completing the form and the
technical proposal narrative. Prepare the technical proposal narrative identifying the
section/subsection and paragraph with which your responses correspond.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.3.4 Cost Proposal
The Cost Proposal shall be defined as the completed Cost Proposal Form (Appendix
H) showing the costs for all Contract Services requested herein; responses cross
referenced to the subsections and paragraphs in Section 7 of the RFP; and
documentation to substantiate the bidder’s financial stability (Section 7.4). The costs
shall be considered all inclusive. The Cost Proposal Form is to be packaged in a
separate envelope labeled as RFP 2016-02 Cost Proposal Form. Include the bidder’s

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name on the envelope. In the event the bidder is disqualified during the technical
evaluation phase, the Cost Proposals will not be considered. The Cost Proposal Form
must be signed by the bidder’s representative having the authority to commit the
company to the obligations set forth in the proposal.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.3.5 Diversity Practices Questionnaire
Bidders must complete Appendix M, Diversity Practices Questionnaire, as described
in this RFP herein. The bidders’ responses will be evaluated using a separate
predetermined rating scale. The resulting scores assigned for diversity practice will be
worth up to 2% of the technical score. The Diversity Practices response is to be
packaged in a separate envelope labeled as RFP 2016-02 Diversity Practices
Questionnaire.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
Proposal Evaluation
Bidders’ proposals will be evaluated in an objective, comprehensive manner. The evaluation
criteria will be applied uniformly and equally, ensuring that each qualified bidder has an
opportunity to be fairly considered.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
The process used to evaluate the proposals will proceed through the following phases:
9.4.1 Mandatory Requirements (Pass/Fail)
The proposals will be reviewed to determine that the bidder has met all mandatory
requirements. Failure to meet any mandatory requirement will disqualify the bidder
from further consideration.
New York State will not be a test site for unproven technology. For all technology
proposed, your references must include at least two sites where this technology has
been in service as an integrated part of the inmate phone system for at least six (6)
months. An onsite or real- time demonstration of the technology must be provided
prior to finalization of the scoring for this procurement.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.4.2 Technical Evaluation (95 points)
The Technical Evaluation team will evaluate and rate the bidders’ proposals using a
rating scale and a predetermined scoring tool and award points for responses to the
sections/subsections as indicated in the Appendix K. Responses to Appendix M,
Diversity Practices Questionnaire, will be evaluated separately using a predetermined
scale. The final Diversity Practices score for each bidder will be included in the
Technical Evaluation score. Each bidder’s technical proposal, as defined in Section
9.3.3, will be evaluated in three categories:
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A. Delivery of Services
B. Telecommunication Capabilities
C. Business Operations Capabilities
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.4.3
Cost Evaluation (5 points)
The Cost Evaluation will include the narrative response for Section 7.3 submitted with
Appendix H, Proposal Cost Form, and the total requested Account Fees in Appendix H.
The cost score will be calculated using a predetermined rating scale to evaluate
responses to 7.3 and by assigning the highest possible score to the proposal with the
lowest total account fees. All bidders’ total account fees will be prorated by comparing it
to the lowest total proposed account fees. Bidders should include the requested
Financial Statements in Section 7.4 with their Cost Proposal submissions.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.4.4
Composite Scores
If proposals satisfy the Mandatory Requirements (pass/fail), the points awarded for the
Cost Evaluation and Technical Evaluation categories will be combined to arrive at a
composite score. The proposals will then be ranked from highest to lowest score.
In accordance with State Finance Law §163(10)(a), when price and other factors are
found to be substantially equivalent, the determination of the commissioner or agency
head to award a contract to one or more of such bidders shall be final. The basis for
determining the award shall be documented in the procurement record.
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.
9.4.5
Debriefings
Bidders will be accorded fair and equal treatment with respect to their opportunity for
debriefing. Prior to the final contract award, DOCCS shall, upon request, provide a
debriefing which would be limited to review of the requesting bidder's proposal. After the
final contract award, DOCCS shall, upon request, provide a debriefing to any bidder that
responded to the RFP, regarding the reason that the bid submitted by the unsuccessful
bidder was not selected for a contract award. The post award debriefing should be
requested by the bidder within thirty (30) days of contract approval as posted on the
OSC website (web address below).
http://www.openbooknewyork.com/
SECURUS HAS READ, AGREES AND WILL COMPLY WITH THIS REQUIREMENT.

END OF SECTION 9: ADMINISTRATIVE PROCEDURES

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REQUESTED DOCUMENTATION

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Requested Documentation
Sample Call Detail Reports

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Additional Information Reference – 3.15 Reporting

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Requested Documentation
Sample Performance Reviews
 Securus
 Guarded Exchange

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Requested Documentation
Equipment List / Spec Sheets

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Equipment List
Item

Model

Tablets

JP5S – Pre-loaded 7 inch tablet

Routers

Netvanta 3140

Switches

Netvanta 1531

UPS

Eaton 3S750

Wireless Access Points

Ruckus

Servers

SLP1

Charging Stations

Tripplite CSC64MICROUSB

Surge Suppressors

Panamax #M4KSU

Telephone
Phones

Wintel 7042 and Wintel 7010

Handsets

24" Duraclear

TDD Phones

Krown PV 20

Routers

Adtran 924E

Switches

Netvanta 1531

UPS

Eaton 3S750

UPS

Eaton 5PX1500RT

Surge Suppressors

Panamax #M4KSU

Workstations

Dell Optiplex 3040

PC Monitors

Dell 1908FP

Printer

HP Envy 4520

Misc

Equipment racks and shelves, roll around phone carts

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COMPLETED FORMS

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Completed Forms
Procurement Lobbying Certification

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Securus Technologies, Inc.

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Securus Technologies, Inc.

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Securus Technologies, Inc.

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Completed Forms
Vendor Responsibility Questionnaire (Appendix E)

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Completed Forms
M/WBE and EEO Requirements (Appendix C)

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Securus Technologies, Inc.

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G5 Tek Solutions, LLC
(M/WBE Form 100-G Utilization Plan Details)

As a WBE subcontractor to Securus, G5 Tek Solutions will provide Securus with the
following services for DOCCS:
3. Detailed Description of Work/Purchase

G5 will hire, train and manage ten (10)
qualified site technicians to perform
preventative maintenance, trouble service
calls and other on-site services to DOCCS
sites. Four (4) of the ten (10) technicians
will be certified to maintain and
troubleshoot Wi-Fi networks to support
the tablet program.

4. Dollar Value of Subcontracts/
Supplies/Services and intended performance
dates of each component of the contract.

Labor quoted at $912,000 annually.
Estimated annual mileage is $260,000. Total
estimated
expenditures
$1,172,000
annually.

Each technician will cover multiple DOCCS
sites in geographical proximity to meet
contractual
Service
Level
Agreement
response and restore times.
G5 will hire, train and manage two tablet Labor quoted at $149,000 annually.
administrators to provide logistical and Estimated annual mileage is $13,000. Total
technical support for DOCCS. Light travel estimated expenditures $162,000 annually.
anticipated for on-site assistance at 25% of
the Technician miles.
G5 will provide 15 Site Administrators to Labor quoted at $1,116,000 annually.
perform
administrative
or
technical
operation and procedures, including: data
compilation of reports from the inmate
telephone system (ITS), analysis reporting
requirements,
maintaining
working
knowledge of the inmate telephone system
(ITS), report generation of standard and
custom
reports,
trouble
report
management, tracking and resolution,
training methods and audit methodologies.
Coordinates with customer, management
and other organization groups to resolve
technical and administrative issues.

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G5 may provide the following services as part of the implementation or during the
contract term:
G5 may supply initial materials, equipment Project
expenditures
and services as required to implement the $1,007,000.
DOCCS system such as phones, MDF/IDF
equipment, routers, workstations, etc.

estimated

at

G5 may supply two teams of qualified Labor, mileage, and per diems expenditures
electricians/technicians to provide on-site estimated at $687,000.
assistance to Securus for the term of the
implementation project. These teams may
perform site preparation, phone installation,
network installation and platform system
installation.

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Securus Technologies, Inc.

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Securus Technologies, Inc.

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PSRI Technologies, Inc
(M/WBE Form 100-G Utilization Plan Details)

As a WBE subcontractor to Securus, PSRI Technologies will provide Securus with the
following services for DOCCS:
3. Detailed Description of Work/Purchase

Under the supervision of the Securus
Investigative Support team, PSRI will:

4. Dollar Value of Subcontracts/
Supplies/Services and intended performance
dates of each component of the contract.

Labor quoted at $2,402,000 annually.

Hire, train and manage up to eighty
(80) qualified Communication
Analysts to monitor inmate phone
calls for DOCCS.
Hire, train and manage one (1)
First/Mid-level Manager and one (1)
Administrative Support Worker to
manage the Communication Analyst
staff
Hire, train and manage up to 5
qualified investigative staff personnel
to perform intelligent investigations,
real-time analysis on call data and
provide Suspicious Activity Reports
on call volume pattern, call volumes
and other needs as required by
DOCCS.
PSRI may provide the following services as part of the implementation or during the
contract term:
PSRI may supply initial materials, equipment Project expenditures estimated at up to
and services as required to implement the $1,000,000.
DOCCS system such as workstations,
ancillary equipment, etc.

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Securus Technologies, Inc.

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Securus Technologies, Inc.

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Completed Forms
Encouraging NYS Business Form

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Completed Forms
Vendor Reference Form (Appendix F)

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Completed Forms
Staff Qualification Form (Appendix G)

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Adam Mercer
Advisory Account Executive – Sales DOC
Adam has been with in the Corrections Communications industry for
more than 16 years. As a DOC Account Executive, he is responsible
for new business relationships. Adam works closely with DOC team
members to coordinate new business growth, cultivate existing
business relationships, and streamline communications to our
customers. He has dedicated the last 16 years of his career to serving the technology needs
of law enforcement and corrections agencies across the country.
Experience
•

Sales and Account Management responsibilities for State Department of
Corrections and “Mega” County/Local accounts located in the Eastern Region of the
United States

•

Attends represents company at local and national trade shows and conferences

•

Performs interdepartmental communications relative to implementation and
development of proposal and marketing information. Remote daily employee
management

•

Managed sales team responsible for Southeast Region encompassing seven states
including management of budgets, sales goals, quotas, RFP/RFIs and CRM data
management

•

Performed new sales and existing customer relationship management throughout
the Southeastern United States

•

Handled all rebids of existing customers, was responsible for prospecting for new
accounts in territory

•

Interfaced with implementation and development groups on behalf of internal and
external customers to further the product features and functions offered

•

Performed industry trend analysis to further growth and portfolio maintenance

•

Managed 20+ accounts totaling more than $25 million in annual revenue while
maintaining multi-million dollar new sales quotas annually

Training/Certifications


Huthwaite SPIN Sales Training



Bay Group Negotiation Training



Presenting What Matters Advanced Presentation Training



CISCO Routing and Networking



Microsoft SQL Server System Administration



Microsoft SQL Server Implementation

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

Microsoft Network Administration



Microsoft Windows Administration Certification

Education


University of Mobile – Mobile, Alabama
Bachelor of Science – Computer Information Systems

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Summary
Amy has been with Securus for more than 16 years. In her role
as Director of Account Management for the Department of
Corrections (DOC), she is responsible for successful
implementations of new assigned business, contract
management specific to State DOC’s and service and support of
existing valued customers.
Amy is dedicated to customer service. She is passionate about her customers and
works diligently to ensure their satisfaction with Securus’ performance.

Experience
Securus Technologies, Inc.
Present

Nov 2011 to

Sr. Territory Manager/Director of Account Management – Department of Corrections
• First point of contact for providing implementation support, contract
management, customer service and support for the following Department
of Corrections:
•

Missouri Department of Corrections

•

Louisiana Department of
Corrections

•

Illinois Department of Corrections

•

North Dakota Department of Corrections and Rehabilitation

Manager - Corporate Escalations
March 2009 to Nov
2011
The Corporate Escalations Team (CET) oversees and manages resolution of customer
issue(s) after all prior approaches to resolve the issue(s) have failed. CET ensures
that critical customer issues, those that jeopardize contract continuation, are resolved
expeditiously and that customer's needs are satisfied as quickly as possible. CET’s
responsibilities are to:
Own escalated issues and drive resolution in a timely manner
Be a single point of contact for Sales while a customer issues is overseen by CET
Identify root cause and implement changes to prevent similar future issues

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Sr. Account Manager – Partner Solutions Department
Aug 2002– March
2009
During this time at Securus, Amy managed over multi-million dollar accounts including
Sprint/Embarq, Verizon, SBC, AT&T and PCS.
Responsibilities included but not limited to:
• Controlling new project proposals and implementation management of those
projects.
•

Assisted in identifying Company performance issues and executing action
plan to close performance gaps

•

Implemented standard processes and guidelines to ensure effective
and efficient operations

•

Promote product and service capabilities

•

Assisted in development and management of national request-forproposal (RFP) fulfillment process

Regulatory Analyst December 1999 – August
2002
First assignment for Securus was in the position of regulatory analyst. In that role Amy
assisted in managing all Regulatory functions for Company. Responsibilities included:
•
•
•
•

Payment and tracking of all property taxes
Analysis and responses to all Public Utility Commission complaints
Managed, tracked and completed Regulatory reports for the Company
Assisted the Director in rate audits, rate analysis and rate regulatory compliance

Education
University of North Texas – 1987 - 1989

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Completed Forms
Attachment C – Proposal Submission Checklist

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CLOSING

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COMPANY SUMMARY
Securus Serves

City, County, State and Federal Governmental Agencies

Providing

Civil and Criminal Justice Technology Solutions

For

Public Safety, Investigation, Corrections
and Monitoring Professionals

With Products
And Services
That Provide

Emergency Response Communication
Incident Management Information Management
Public Information
Inmate Self-Service
Investigation
Monitoring
Verification
Inmate Entertainment
Trust Funding and more…

Name and Address

Securus Technologies
14651 Dallas Pkwy, Suite 600
Dallas, TX 75254-8815

Family and Friends Website: www.securustech.net
Agency Website:

www.securustechnologies.com

Management:

Richard A. Smith, CEO
Robert Pickens, President
Geoff Boyd, CFO
Josh Conklin, SVP Sales
Russell Roberts, SVP Marketing and Product Strategy

Corporate Office Locations

Dallas, TX; Framingham, MA; Miami, FL; Atlanta, GA

Other Brands Owned

JLG Technologies
Satellite Tracking of People (STOP)

Headquartered in Dallas, Texas, and serving nearly 3,500 law enforcement and corrections agencies and
1,200,000 inmates across North America, Securus Technologies is committed to serve and connect by providing
emergency response, incident management, public information, investigation, verification, communication,
information management, inmate self-service, and monitoring products and services in order to make our
world a safer place to live. Securus Technologies focuses on “Connecting what matters”. To learn more about
our full suite of civil and criminal justice technology solutions, please visit www.securustechnologies.com.

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ATTACHMENTS

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Attachment A:
Bidder’s Conference Form

Attachment B:
Addendum Acknowledgements

Attachment C:
Performance Bond Commitment

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BIDDER’S CONFERENCE FORM

Attachments
Bidder’s Conference Form

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ADDENDUM ACKNOWLEDGEMENTS

Attachments
Addendum Acknowledgements

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PERFORMANCE BOND COMMITMENT

Attachments
Performance Bond Commitment Letter

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