This text is machine-read, and may contain errors. Check the original document to verify accuracy.
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONS
AND COMMUNITY SUPERVISION
THE HARRIMAN STATE CAMPUS - BUILDING 2
1220 WASHINGTON AVENUE
ANTHONY J. ANNUCCI
ALBANY, N.Y. 12226-2050
ACTING COMMISSIONER
MAUREEN E. BOLL
DEPUTY COMMISSIONER AND COUNSEL
August 8, 2013
Mr. Elmer Robert Keach III
1040 Riverfront Center
P. O. Box 70
Amsterdam, NY 12010
Re: FOIL Log No. 13-0704
Dear Mr. Keach:
This is in response to your letter requesting records under the New York
State Freedom of Information Law.
We have received your $131.50 check, covering the fee for the enclosed
material.
Administrative Assistant
F.O.I.L. Unit
CP/csr
ENCLOSURE: 526 Pages
cc:
Freedom of Information
~-.,.---- ~--.-~.--.-.-.~..."..-------~-----
UniSYS Corporation
Telephone
7034396282
Towel' III
11720 Plaza America Drive
Reston VA 20190
•
UNISYS
09 March 2010
Mr. Thomas Herzog
State of New York Department of Correctional Services
Assistant Commissioner/Chief Information Officer
Building #2
1220 Washington Avenue
Albany, New York 12226
Subject: Telephone and Internet Transaction Charges for Pre-Paid Collect Call Accounts
Dear Tom:
This letter provides an overview of the rates and fees associated with the NYS DOCS ITS
program as well as an overview of the costs associated with processing pre-paid account
deposits over the telephone or via the www.myvconnect.com website.
The following table provides and overview of the rates that are charged under this contract.
There is only one mandatory rate that all users of the system must pay-the per minute call
rate. All other fees are avoidable.
Rate/Fee
Per Minute Rate
Value
$.048
Pre-paid Account
Transaction Fee
$7.95
Pre-Paid Account
Close Qut Fee
$4.95
Description
. Mandatory per minute rate charged to all telephone calls
. regardless of call type (ie., local, Interstate long distance,
interlata intrastate long distance, or intralata long distance)
or method of payment (ie., collect call LEC-billed or pre
paid collect call).
Transaction processing fee charged to transactions made
over the telephone or via the internet to deposit money on a
pre-paid collect call account. There is no transaction fee for
deposits made via U.S. Mail using money orders or certified
checks.
Transaction fee charged to close-out and refund a pre-paid
account.
Telephone and Internet Transaction Costs
The V-Connect prepaid collect service consists of an interactive voice response system (IVR) ,
the www.myvconnect.com website, VAC backoffice interiaces, the credit card payment gateway
interface, and the call center infrastructure that provides support for the V-Connect service.
1
i
It is important to point out that these costs are not borne by consumers that are collect call LEC
billed customers or those that pay their pre-paid account via money order or certified check.
More specifically, these costs include the following:
• V-Connect IVR, Call Center, Website, Infrastructure and Backoffice software
development and maintenance - These systems are required to enable customers to
establish and fUnd a prepay account in a manner other than the no cost method of using
the U.S. Mail. The cost of the infrastructure improvements needed to support the NYS
prepay program (e.g., servers, upgrade to telephone system, and upgrade to V
Connect)" the engineering development and continued support of the V-Connect
services, the Telco and data costs, and the associated costs of the call center
representatives equates to approximately $1.30 to $1.35 per credit card transaction.
• Credit card interchange fees - The interchange fee is determined by the nature of a
business and the processing procedures a merchant follows. Visa and MasterCard set
these rates by assessing the level of risk associated with funding and expenses involved
in processing a· transaction. Interchange fees have a complex pricing structure that
depends on the card association, the type and size of the merchant, the type of credit
card and the type of transaction.
As you might imagine, inmate telephone
communications is considered a high risk business. Sales that are not conducted in
person, such as over the phone or Internet, have higher interchange rates, due to their
increased risk of fraud. Moreover, to incentivize people to use credit cards, banks have
created innovative rewards programs that give credit card users benefits such as
freq~ent flyer miles every time they use their credit card. These reward cards carry
muc~ higher fees than other cards, because the rewards are financed largely through
the ihterchange paid by merchants. The current credit card interchange fee equates to
apprpximately $2.00 to $2.50 per credit card transaction.
• Credit card fraud, bad debt, and chargebacks - Before we cover fraud and
chargebacks, it is important that we establish a common understanding regarding default
liabirlty allocation under public law and private rules of credit card systems. The
following three points are fundamental to this discussion:
• Consumers rarely bear meaningful liability for fraudulent transactions unless they
benefited from the fraud
• Credit card issuers typically bear liability for fraud losses perpetrated in "card
present" transactions
• Merchants such as VAC and Unisys bear all liability for fraud losses perpetrated
in "card-not-present" transactions such as those over the telephone or via the
internet.
J
A chargeback is a transaction that a card issuer returns to a merchant bank as a
financial liability and which, in tum, a merchant bank will return to a VAC and Unisys. In
essence, it reverses a sales transaction. Charge backs are significant because we not
only Jose the dollar amount of the transaction being charged back, there is a charge back
fee qf $25-$30 per chargeback, and we also incur the costs of processing the telephone
calls: that were paid for fraudulently. Therefore, the total cost of the credit card
chargebacks and fees is currently running approximately $2.50 to $2.65 per credit card
tran~action.
2
A chargeback occurs when consumers ask their credit card company to remove a
charge from their credit card statement. Common reasons for reversals or chargebacks
are when a credit card number is stolen and used fraudulently or a consumer makes a
purchase, but believes that the seller failed to fulfill the service or deliver the product. 1
• Cre~it card dispute resolution and assistance - Lastly, we incur our own internal
costs for processing the chargeback and researching disputes. Generally speaking. the
chargeback system works to the advantage of the yonsumer and the process is often
abu~ed. It is very important that VAG is responsive in the settlement of credit card
disputes. If chargeback levels are too high, VAG risks losing their merchant account.
Therefore. VAG does everything they can to ensure that when there is a challenge or
their account comes under scrutiny. they have taken all the appropriate steps to
research the issue and provide as much information as possible. As such. it is a very
labor and time intensive process that costs approximately $1.30 to $1.35 per credit card
transaction.
In summary, these costs are directly related to the convenience of the telephone and web
based transactions. They are not mandatory and can be easily avoided by mailing in a
payment. If you have any questions, please do not hesitate to call me at (703) 969-6970.
ul R. Nicandri
artner
Unisys Fed~ral Systems
Gc: Mike MOlrooney, Jim Brennan, Steve Hodge
1
Total dollar amount of identity fraud in U.S in 2009 was an estimated $54 billion, up 12.5% from $48 billion In
2008. Identity. Fraud Survey Report from Javelin Strategy & Research.
3
~---~.~'-.~-.~~
----------- .. _----.._
.----.~
AC 1S52 CRa.. 4103)
APPROVED DOCUMENTTRANSMITTAL
__________________
STATE OF NEW YORK
OFFICE OF THE STATE COMPTROLLER
Bureau of Contracts, Floor 11·1
110 State Street
Albany, New York 12236
Da~:,
AgencyCode ) t) \
Contract No.:
60
X \~ Q R\ )...
Purchase Order_ _ _ _ _ _ __
TO:
Co'( r ~ c.. t
\0 ",S
o Enclosed is an approved contract. Refer to t~is contract number and agency code in all correspondence.
o Enclosed is an approved Amendment No.lChange Order No.
in the amount of
$_----
Ii Extension is approved to
;). 0
0. ~ D ") "3
\
Amount if applicable $
-
<2
o Enclosed is an approved purchase order. Refer to this purchase order number and agency code in all correspondence.
o Enclosed is an approved purchase order change notice in the amount of "'_ _ _ _ _ _ _ __
o
~r
STATE OF
NEW YORK
AC~qOC
ori!15ng
CONTRACT ENCUMBRANCE REQUEST
r[;vOe
Batch Number
~3i.fCblD
I'
13\/
1
Number of Documents
Amendment!
Supplemental
Net Amount
"
t
6
[XJ
0.0")
•
Originating Agency
Contract No.
DEPT OF CORRECTIONAL SERVICES
Pa eel.O.
IContractor Type
:Additional
.
Payee Name (Umit to
IZip Code
X
Adminillterin9 ASlency
36607
spaces)
Payee Name (Umit to 30 spaces)
GLOBAL TEL*LINK CORP
DBA VERIZON BUSINESS SVS
payee Address (Umit to 30 spaces)
Payee Address (Limit to 30 spaces)
2609 CAMERON ST
BLDG C-2
City (Umit to 20 spaces)
ttateAL
(Limn to 2 spat:e$)
MOBILE
Interest Bigible (YIN)
JAction CodeC
X160812
10160
IStat. Type
ilRS Code
lZ'Pcode
36607 3104
jlndk:ator ~ Department
!Indieator - Statewide
Y
COntract
Period
Contrect Amount
.00
Bid Data
(MM)
(DO)
(MM)
(DO)
(YV)
(MM)
04
01
01
03
Description (Limit to 50 spaces)
I
I ITO
INMATE COLLECT CALL TELEPHONE SYSTEM
DeSCription (Umit to 50 $ paces)
(YYJ
09
I'm
10 01 08
CHANGE REASON:
!EXTEND FOR TRANSITION
RenewaVAmendment ~innlng Dilte (MM)
(YY)
(00)
31
{DO}
NEW VENDOR
Provisions (Limit to 63 SPilces)
.pr;tt
D .n:SEl
,/1
Signilture
:oiJ,/
PATT,
IMet~
Audit Statu5
Cale9bry
!Bids Solicited
Number Rejected
Received
518-451-2127
4J/E
rr,,(-,
rI;"Jt~~urer / / .
.
f/rlt
Dat~
JPreparer'1 Phone No.
/l
I No Reply
!Declined
IAudit Group "R. r
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Date Approved
'~CO~
Project Code
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Date Rejected
. [AUdltor'S Initials
:~t::f ~:>,'::c.cMi:timt~:::::::::: ~:::;;r:~~ri:~:}: :::::::~t}:,:}
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STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
THE HARRIMAN STATE CAMPUS - BUILDING 2
1220 ~ASHINGTON AVENUE
ALBANY. N,Y, 12226-2050
~
~
BRIAN FISCHER
RICHARD D: ROY
COMMISSIONER
ol!PUTY COMMISSIONER,
December,H,2oo8
Mr. Jeffrey B. Haidinger
President of Services '
Global Tel*Link
'12021 Sunset Hills Road
Suite 100
Reston, Virginia 20190
RE: Contract #X160812
Inmate Telephone System
Extension: 1011108 - 3/31/09
Dear Mr. Haidinger
, The ,New York State Department of Correctional Services desires to
referenc(;Jd contract fora period, of up to six (6) months as indicated.
exte~d, the above
Please note that the .contract extension is valid,through March 31, 2009, but will cease
upon the award of a successor agreement which may occur ear1ier. All other terms and conditions
of the original agreement remain in force, including Appendix A, Standard Clauses for New York'
, State Contracts.
'
Enclosed in this packet are' mandatory forms related to the State Tax and Finance forms
and the State Finance Law§139 j and k, arid Consultant Disclosure requirements. The mandatory
, forms related to Vendor Responsibility ,from the last renewal are reusable. Please complete, sign,
and notarize the forms as applicable. Questions regarding the forms should be directed to me at
(518) 457-2540.
'
'if the.terms oUhis contia~t extensipn are acceptable to Global Tel"'Link, please indicate
agreement by an original ",notarized sign~t~re in the space provided on the four cOpies of the'
corporate acknowledgement document attached to this retter. Please return the S'igned "etters and
the completed mandatory forms as soon as possiqle,
Sincerely, '
~·4~
,~omas J. ~v'
,
Chief Information Officer
Managemenf Information' Services
.
!
Attachments ,
cc: Bruce Johnson, Chief Fiscal Officer
RECEIVED
MIS UNrr
New York State Department of Correctional Services
Contract Action:
New Contract
: Renewal.
Amendment
Contractor: Global Tel*Link
,
Project Title:
Inmate Telephone System
k
JAN 0;; 2009
Other
&;JMarRVICES
Contract #: X160812
Renewal Term: Qctober 1,2008 - March 31,2009
STATE OF NEW YORK
IN WITNESS TH~REOF, the parties hereto have executed or approved this AGREEMENT on the dates below their
signatures.
Contractor Certification:
"In addition to the acceptance of this contract, I also
certify that all information provided to the State
agency with respect to State Finance Law, § 139-k is
true, complete and accurate. Contractor also will
comply with the provisions of the NYS Infonmation
Security Breach and Notification Act. It is understood
that the Contractor shall be liable for costs associated
with such breaches if caused by the Contractor's
negligence, or willful acts. or omissions of the
Contractor's
agents,
officers,
employees.
or
subcontractors.
Agency Certifications:
"In addition to the acceptance of this contract, I also
certify that original copies of this signature page will be
attached to all other exact copies of this contract and
that the contractor is determined to be responsible as
that term is defined and utilized in the State Finance Law
§163 (3)(a)(ii).(4}(d) and (9)(f).
STATE AGENCY
CONTRACTOR
~
B:1iL
:rf.ff<~
Printed Name
Title:
b. \\&la,
fY¥
Title:
\>(.e~~, Se(v\Q': ~
f .. · · -
,,~- ....-
...
.."....11"
~
Date:
,.. '1
Chief Fiscal Officer
(t 1.101
OFFICE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE
Part I - Contract Information
(Complete/or all transactions)
I NYS Dept. Of Correctional Services
I. Agency Code:
2. Agency Name:
3. Batch ~umber:
4. Contract/Purchase Order No.:
5. Vendor Name:
,
[8l Prime Contractor
0
Subcontractor
7. Transaction Amount:
Vendor Federal EIN:
I$
9. Description of Contract:
I Extension of lrunate Phone contract (services and equipment)
10. Agency Contact Name,
Phone, and E-mail:
I Bruce Johnson, Chief Finnance Officer
11. Respon~ibi~ity
DetermmatlOn
I0
Responsible
12. Issues Disclosed or Found:
I0
No ~ Yes (List and describe resolution in Question 13)
0
Non-Responsible
13. Issue Detail: For each issue foun~ by the agency or disclosed by the vendor, describe the issue and
its resolution.
Note: [n the "Resolution" field, include,the agency's assessment of the issue, its relevance to the
. vendor's responsibility for this procurement; and any corrective or mitigating actions taken by the
agency or vendor in response to the issues (attach additional pages if necessary).
Page 1
Revised 07/30/07
OFFICE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE
!
Part II -+ Vendor Disclosure and Agency Process
i
.
.
(COmplet~.J
Jor
new contracts valued at $100,000 or more, and amendments that bring
contract Jtzlue to $100,000 or moreJor theftrst time.)
,
Page 2
Revised 07/30107
New York State Department of Correctional Services
i
CONtRACT MANAGER'S AFFIRMATION OF VENDOR RESPONSIBiliTY
iDETERMINATION WrTH VENDOR RESPONSIBILITY PROFILE
,
Vendor;Name: GTL - Cooper Communications Group
Contra¢t Number: X160812 Contract Period:' lD ID1\&6,
l),~! ~"0(.1
CONTRACT MANAGER'S RESPONSIBIUTY AFFIRMAnON
I, Thomas Herzog, have undertaken an affirmative review of ttw proposed contractor's
responsibility in accordance with the standards outlined in Comptroller's Bulletin No. G-221, and
based upon such review, have reasonable assurance that the proposed contractor is responsible
as indica~ed in question 9 above,
I have review the following data sources and found the following concerns that apply to Vendor
responsib1lity,
The agency finds no issues that Will impact on
ability to carry out the terms of this contract
1.
~~~~
.
.?Si9f\ed .
~,
Thomas ·Herzog
Title: .Chief Information Officer
Direct Phone Number: (518)457-2540 dtelliott@docs.state.ny.us
,
,
I
New York State Department of Correctional SerVices
CONTRACT MANAGER'S AFFIRMATION OF VENDOR RESPONSIBILfTY
DETERMINAnON WITH VENDOR RESPONSiBILITY PROFILE
Vendor Name: GTL
Contraft Number: X 160812 Contrsct Period: lofO{ ta~
!
-0313! (t:.) <t
l
CONTRACT MANAGER'S RESPONSIBILfn' AFFiRMATION
I, Thomas Herzog, have undertaken an affirmative review of the proposed contractor's
. responsibility in accordance with the standards ou~linedin Comptroller's Bulletin No. G-221, and
based upon such review, have reasonable assurance that the proposed contractor;s responsible
as' indicated in question 9 above.
I have review the following data sources and found the following concerns that apply to Vendor
responsibility.
4--~~//
Herzo
Thoma~
Title: Chief Information Officer .
Direct Phone Number: (518)457·2540 dtelliott@docs.state.ny.us
OFFICE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE
,AGENCY RESPONSIBILITY CERTIFICATION
The, below narned contracting entity has undertaken an affirmative review of the proposed contractor's
, responsibilhy and. based upon such review, has reasonable assurance that the proposed contractor as
indicated below is:
[8l Responsible
C
Non-Responsible
Contract/Purchase X160812
Order Number:
VendorNl;lme
Global Tel*Link
Signed'
'Print Name
Title
Contracting Entity
Bruce A. Johnson
Chief Fiscal Officer
NYS D~partment of Correctional Services
Date
Page 1
Revised 09/09/08
RECEIVED
MIS UNrr
SEP 302008
, Model Lango age to Obtain an Offerer's Certification of Compliance
.
witb State Finance Law §139-k(S)
NYS DEPT. OF
CORRECTioNAL SERVICES
Backgroond:
New York State Finance Law § I 39-k(5) requires that every Procurement Contract award
. subject to the provisions of State Finance Law §§ 139-k or 139-j shall contain a
certification by the Offerer that all information provided to the procuring Governmental
Entity with respect to State Finance Law § 13 9-k is complete, true and accurate.
Instructions:
A Governmental Entity must obtain the required certification that the information is
complete, true and accurate regarding any prior findings of non-responsibility, such as
non-responsibility pursuant to State Finance Law §139-j. The Offerer must agree to the
certification and provide it to the procuring Governmental Entity. While the nature ofthe
Procurement Contract will detennine how to obtain the certification and when the
certification should be obtained, the following documents have been identified for
consideration:
- solicitation documents (such as an Invitation for Bids or Requests for Proposal);
- procurement contract; and
~ other/stand alone certification.
It is recommended that the certification be obtained as early as possible in the process,
such a~ when an Offerer submits its proposal, bid or other form of offer.
AECENEO
MIg UNIT
SEP 302008
.
"fi "
NYS DEPT. OF
Model Language to Obtain Offerer Certl IcatlOn 0 f C . "
omp la~RECTiONAL SERVICES
with State Finance Law §139-k(5)*
Include the following language for certification by the Offerer:
Offerer Certit1cation:
By:
(b1)9 ~ , V'\
~
Name:
J1:.ffLe'-l·1)· I-\a.\d \
TItle:
PCf sidroti
Date:
q)!U-J()~
agee
Se it v\ce5
Contractor Name: _
C;)cty~ I ]eJ
Contractor Address:.
:J.ZPOt.'{
Y: 1j Or..
e.~a:::o
tJ\dui lp \ 1tL·
6tlect=:
3u=.l::IP:...;::O=--r-.!.--~_ _ _ _ __
*References in the Model Language may be revised as follows:
- "Governmental Entity" may be amended to specifically reference the
governmental unit conducting the procurement.
- "Offerer" may be amended to conform to the Offerer's legal identity or
abbreviation set forth in the contract.
· Mo~eJ Contract Termination Provision
Instructions:
A Contract Termination Provision should be included in each Procurement Contract
governed by State Finance Law § J39-k. New York State Finance Law § 139-k(5)
provides that every procurement contract award subject to the provisions of State Finance
Law §§ 139-k and .139-j shall contain a provision authorizing the Governmental Entity to
'terminate the contract in the event that the certification is found to be intentionally false
or intentionally incomplete, This statutory contract language authorizes, but does not
mandate, ,termination. "Governmental Entity" and "procurement contract" are defined in
State Finance Law § 139-k( I).
This required clause must be included in a covered procure~ent contrad. Inclusion·of
such a clause is recommended in any solicitation documents (such as Invitations for Bids
and Requests for Proposals). Doing so wit! provide notice to the business community
about the statutory requirement. [t is further recommended that this statutoriiy required
clause be co-located with any other contractual termination provisions. The Model
Contrac1Termination Provision set forth below, or similar language, may be used to
comply with the State Finance Law § J39-k(5) requirements. In any case,' the clause used
must contain the elements contained in that section.
If a contract is terminated in accordance with State Finance Law § 139-k(5), the
Governmental Entity is required to include a statement in the procurement record
describing the basis for any action taken under the termination provision.
ModeJ Contract Terminatio.n Provisio~*
The Governmental Entity reserves the right to terminate this contract in the event it is found that
the certification filed by the Offerer in accordance with New Y.ork State Finance Law §139-k was
intentionally false or Intentionally incomplete. Upon such finding, the Govemmental Entity m~y
ex~rcise. its termInation right by providing written notification to the Offerer in accordance with
the written notification terms of this contract.
* References in the Model Contract Termination Provision may be
amended as follows:
- "Governmental Entity" may be amended to specifically reference the
governmental unit conducting the procurement.
~ "Contract" may be amended to conform to the terminology used to
describe the underlying agreement (ie., Agreement, Contract)
- "Offerer" may b~ amended to con~orm to the Offerer's legal identity (set
forth in fu Ilor abbreviated) as set forth in the contract.
- The reference to the "written notification" may be amended to reflect the
type of notice provided for under the agreement (ie~, oral notice).
Modcl Summary Policy Language for Iliclusion in Solicitation
llackground:
Stal~ Finance Law ~ I 39-j(6) requires lh.il (l Gov~rnrncntal En! ity ilh.'ol'prll'aiL' a summary
or its policy and pwhibilioos r!tg!lrding pcrmb~ible COlHal~b during a ~()\~:rctl
procuremC:lll. Tht' rolkm illg niodcll:.lnguagc may be cu:.h>miled f(lr iJ~clllsioo in ~I
solicilmioo,
Instructions:
In addition to attaching a ,;opy ofrc)e",ml ruks and reguilltions and guidelines !lnd
procedures. ;,j Governmental Entity mllst i()clude a summary in its proposals, bid
documents iJr spccifkali{)l1S for all Pro':lIrl'm~'nt COIHraCis, Such langu<lgc should be
in(orporatcd illiu the r~k\'ant Jocumt'nts,
J
Pursuant to Stftll:: Finance Law §§ I39-j l.Ind 139·k, this slllicitatil\fl 1m use
id~nljficr th"l is pertinent :;ut:h as '" n.. ilation j()r Bid" or "Request lur
Pmposll'" clc,1 indudes and imposes cel1ain restrictions on
communications be~wcen <I Gov(!rnrnentnl Entity and un Offerer!bidder
during the pr()~urement process, 'An Offerer/bidder is restricted ;1'0111
making contacts frum the earliest !l\1ticc of imcnt to :iolidr offers l.or LlS~~
identifier that is pertinent such as "lnvitatkHl for Hid" or "}{equcsl for
Proposal" ctc.j through final award and <.lpproval Oflhc Procurement
Contract by the Governmental Enlity and, if applic£lble. Omce of the State·
Comptroller ("rC$tricled period") [conrorm for pertinent gov~ml11ent
entity] 10 other than designated staffunkss it is a contact that is included
among certain statutory exceptions set forth in State Finance Law ~ 139-j
O}(a), Dcsignalcd stan: llS (lfthc date hcrco[ is identilied on the /irst
pllg<:' ofthis solicitation [or'contbrm 10 \\'hat~v!!r locatioll is lIsed to ~
idenli(y designated ::'>taf1'J. Gm'ernrncn.llIl Entity cl11ploYl:cS I(;onform for
.pcrtil1("nt go"crnmcllt entity! an: ulso required to obtain certain
inlomHlli(m when conLacled during the restricted peri"d 'und ll1ake a
detcrminatkm l)fthe rcspnmibility ofthe Oftel'cr,'bidder pursuant to these
two SWlutC!>. Certuin t1ndings Ofni.lIHc:;ponsihrlil: ,an result in rejeclion
IIJr C0111mct <I\\urd anJ in the event of nVlIjindings within n 4 )l'.u peril,ld,
the Oflercrlhiddcr is JC'blirred fwni obtaining go\'ernm..:nl~1 Pf\lcllremt'nt
Cllotracts, Further information about lh..:sc r~4u irC01el1ts "::Ul be found
I.::<>nfvrm ror how will providt'copies urthe rules, regulations. guiJdino!s
or procedures I,
-
RECEIVED
MIS UNIT
SfP' 802008
Mod.el Language to Obtain Offerer's Affirmation.ofUnderstanding o~E~~gEPT. OF
. Agreement pursuant to State Finance Law §139-j (3) and §139-j (6) (b)
NAl SERVICES
Background:
(
State Finance Law §139-j(6)(b) provides that:
E
. very Governmental Entity shall seek written affirmations from all
Offerers as to the Offerer's understanding of and agreement to comply
with the Governmental Entity's procedures relating to permissible
contacts during a Governmental Procurement pursuant to subdivision
three of this section.
Instructions:
A Governmental Entity must obtain the required affirmation of understanding and
agreement to comply with procedures on procurement lobbying restrictions regarding
permissible Contacts in the restricted period for a procurement contract in accordance
with State Finance Law §§ 139-j and 139-k. It is recommended that this affirmation be
obtained as early as possible in the procurement process, such as when the Offerer
submits its proposal or bid. The following language can be. used to obtain the
affirmation.
Offerer affirms that it understands and agrees to comply with the procedures ofthe
Government Entity relative to permissible Contacts as required by State Finance Law §
139-j (3) and §139-j (6) (b).
r
qljZ..)b% .
Date:
BY:~~
.
Name:
Title:
Prcs..'de--Ot\ ~(\f\(c.)
,
e
Contractor Name:
&lbt:a..-\ Tel i- ti ('\'1- tDr of\:.l:TiC?f1
Contractor Address:
''ZLRDCj
J1obne,
CalY)efO'f'l
btrect
I1L ·Wl.P()1-'
.
.
.
Model Language to Obtain Offerer Certification of Compiiance
with State Finance Law §139-k(5)*
Include the following language for certification by the Offerer:
Offerer Certlfication:
I certify that all information provided to the Govemmental Entity with respect to Stare Anance
LaW§lS?~~.
By:
. Name:
.lltle:
~.
Je.f.fr-e.y B. l-taid\{)~or
.
.
1.I-27- D'6
Date:
?f-e6ickn'h &r'{\c.e:.~
COntractor Name:
COntractor Address:
I
Glbba) Td t Link WWQ...-11 IY("'>
2.UDq
.
C£::i.rne.(bY'l·
MDP\\e. \ AL
6l1"ee.r
•
3u=-~_b1--,------_ _ _~_ _ __
*References in the Mod'el Language may be revised:as follows:
. ' - "Governmental Entity" may be 'amended to specifically reference the
governmental unit ,conducting the procurement.
- "Offerer" may be amended to conform to the Offerer's legal identity or
libbreviation set forth in the contract.
4
New YOf~ Stale Department 01 Taxalfon and Finance
ST-220-CA
Contractor Certification to Covered Agency
(6106)
(Pursuant to Section 5-a of the Tax law, as amended, effective April 26, 2006)
For Information, consult Pul,lJlcatlon 223, Ouestions; and Answli/fS Concerning Tax Law SecUon 5-11 (see Need Help? on back);
r..nntmr.tnr't:: iMlnAI AmnlnVAr idAniificatinn numbtu
I,
(~IN' I COD'metor's sale
).eff({y(.' 6· '\ThA\G'l'if
(name)
U
e
'ax '0' nnmbar
fit
dUf
".
Ston
. hereby affirm, under penalty ofpe~ury, that I am,
cfltimated col'!trae,t value over
of contracl (bul not
Including renewals)
I
~s fU~ term
f'-eS\6t>....ot i
(tille)
Set'J\ c..:e...~
of the above-named contractor, that I am authorized to make this certification on behalf of such contractor, and I further certify
that:
(Mark: an X in only on9 box)
rj...The contractor has filed Form ST-220-TO with the Department of Taxation and Finance in 90nnec{ion with this contract and, to the best of
contractor's knowledge, the information provided on the Form ST·22Q.TD, is correct and complete.,
o
The contractor has previously filed Form ST-220·TD with the Tax Department in connection with _ _ _~_-'-_ _ _ _ _ _~
(insert contract number,or description)
and, to the best ofth~ contractor's knowledge, the information provided on that previously filed Form ST-22o-'TD, is cerrect and complete
as of the current date, and thus the contractor is not required to fife a new Form S'-"220-TD at this. time.
Sworn. to this?JL day
of 'DtCQ.rC\'Qt.£:
,20.ttL
~.
Qresl c:Ut\t \
:'Se(\(\ C4.!r
(title)
Instructions
General information
Tax Law section 5-a was amended. effective April 26, 2006. On or
after that date. in all cases where a, contract is sub/ect to Tax Law
section 5·a, a contractor must file (1) Form ST-220-CA. Contractor
Certification' to Covered Ag"ncy. with a covered agency, and
(2) Form S'-"22O·TO with the Tax Qepartment before a'contract
may take effect. The circumstances when a contract is subject to
section 5-a are listed in Publication 223, O&A 3. This pub6catlon is
available on our Web site. 'by fax, or by mail. (See Need help? lor
more information on how to obtain this publication.) In addition, a
contractor must file a new Form ST-220-CA with a covered agency
before an existing contract with such agency may be renewed.
If you have questions, please caR our information center at
1 800 698-2931.
Note: Form ST-220-CA must be signed by a person authorized to makEi
the certification on ,behalf of the contractor, and the acknowledgement
on page 2 01 this form must be completed belore a notary public.
When to complete this form
As set forth in Publication 223. a co,:lract is sU,b/ect to section 5·a, and
you must make the required cerlification(s), if:
i. The procuring entity Is a covered agency within the meaning of the
statute (see Publication 223, O&A 5);
Ii. The contractor Is a aontractor within the meaning of the statute (see
Publication 223, O&A 6); and
iii. The contract is a connatwithin the meaning of the statule. This is
.lhe case y.rhen it (a) has a value in excess of $100,000 and (b) Is a
contract for commodities or services, as such terms are defined lor
purposes of the statute (see Publlcatl9n 223, O&A 8 aM 9).
Furthermore, the procuring entity must he,ve begun the solicitation to'
purchase on or after January 1. 2005, and the resulting contract must
have been awarded, amended. ex!ended, renewed. or assigned on or
after April 26. 2006 (the ellective date 01 the section 5-a amendments).
Page 2 of 2 ST-22Q..CA (6106)
Individual, Corporation, Partnership, or LLC Acknowledgment
.~~'P()
~OF~)('~n~ }
S6.:
COUNTY OF
On the
f"l:ti(fa1L
3D day of
'Dt q:ro'ouL
in the year
20~,before me personally appeared
:::rdfC.e.t..\ e, ·l1t:Md l~
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 \f>'l,(t"
. Town of
County of
State of
~efti.
1:\'£.!)('C.u
fci(.ftl ;....
V' .0\ 0......
,
\<&\
.
.
; and further that:
[Mark an X in the appropriate box and complete the accompanying statement.]
o (If an individual): _he executed the foregoing instrument in his/her name and on hislher own behalf.
~ (If a corporation): _he is the e(.e~iAeot) ~x\c.c.-'"D
of (,)obu. ~L\ C\L
. 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 aiid on
behalf of said corporation as the act and deed of said corporation.
o (lfapartnersNp):_he~a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
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.
o (If a limited liabilitY company): _he is a duly authorized member of
,
LLC, the limitedliabHity company described in said instrument; that _he is authorized to execute the foregoing instrument
on behaH of the lim,ited liability cOlTlpany 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.~,"
......
r
~~B~ ..,;;,. ;-:.,:;_;-;.: ::;---_
~"A".ii:
Notary Public
Need hel'p?
Privacy notification
Th~ Commlnloner 01 Taxation arid Finance may collect ancl maintain personal .
rn!Qrmation pursuanl to the New York Slate Tax Law, Including but noilimiled 10,
sections 5'11,171, 171-11,287,308,429.475,505,697.1096, 1.142. and 1415
01 Illal Law: lind may require clSClolWre of soci.1 security numbers plll'$UiI nllo
42 USC 405(c)(2)(C){lj.
.
This Inlorrrie1ion will be used to determine and administer tax liabilities and, when
8111horlzed by law, for certain tax offset and exchange of Iax.inlOrmatlon programs as
well as lor a~ olher lawful purpose:
lnfotmatlon concerning quarlerly wages paid to emplOyees is plO\Ilded to certain
stale agencies lor purposes ollraLld prevention, !.Iupport vnforcemern, .evaluatlon 0(
the effectiveness of cerlaln em!)loymenl &1Jd training pfOQIlImS and other purposes
aUlhorized by law.
.
Failure to prOlilde Ihe required Infotmation may subjec! you to ciVil or criminal penal"e,_
or both, under the Tax Law.
'
This information Is maintained by the 0Ir8C\or. of Records Management and Oata
Entry, NYS Tax Qepartmen!, W A Harriman Campus, Albany NY 12227: telephone
1 I!OO 225-5829. From areas outside the Uniled Stales and outside Canada. call
(518) 485-6800, .
.
l!!l
rnternet aocess: www.nystax,gOit
(for information,lorms, and publications)
~
Fax-on-demand forms:
Telephon~
•
1 800 748:3675' .
assistance is available ltom
8:00 A.M. to 5;00 P.M. (eastern time),
Monday through Friday.
To order forms and publications:
From areas outside the U.S, and outside Canada: ,
Hearing and speech impaired (telecommunications
device for the deaf (TOD) callers only): .
L
1800698·2931
1800462-8100
(518) 485-6800
1 800 634-2110
persons with qlsabllitles: In compliance with the
Americans with DlsabillUes Act, we will ensure that our lobbies,
\",;; ol!ices, meeting rooms. and other faclrlties are accessible. \0
persons with disabilities. If you l1ave questions about special .
eccommodatlons for persons with disabilities, please calf 1 BOO 972-1233.
'5\
New York Stllt~ Department of TaxBlion and Finance
4
(6106)
(Pursuant to Section 5-a of the Tax Law, as amended.
effective April 26. 2006)
For Information, consult Publication 223, Questions and Answers
Contractor name·
ST-220-TD
Contractor Certification
.
13~
Conctt~nfng Tax
Law Section 5-8 (see NHd httlp? below).
Y:u: fOra.,-ri ao
Gr\Dba..\ Te\ \i-~(\
Contractor's principal place '01 business
ZU>O£\ ~ fro t1~\c..
Stale
City
~L-
Contractor's mailing address (If dilfBflinl /han BboVli)
.. .
-
. . ..
~
-
ZIP code
~or
..
~-
...
"""" 'rom oonloactor. EINI
:.
eseripflon
Privacy notification
The Commissioner of Taxation and Finance may collect
and maintain personal information pursuant to the New York
State Tax Law. including but not limited to, sections 5-a, 171.
171-a;287, 308.429, 475.505,697.1096,'1142, and 1415
of that Law; and may require disclosure of social security
numbers pursuant to 42 USC 405(c)(2)(C)(i),
This information will be used to determine and administer tax
liabHities and, when authorized by law. for certain tax offse~
and exchange of tax information programs as well as for any'
other.laWful pU,rpose.
Information concerning quarterly wages paid to employees
is provided to certain state agencies for purposes of
fraud prevention, support enforcement, evaluation of the
effectiveness of certain employment and training programs
and other purposes authorized by law.
Failure to provide the required information may subject you
to civil or criminal penalties, or both; under the Tax Law.
This information is maintained by the Director of Records
Management and Data Entry. NYS Tax Department,
W A Harriman Campus, Albany NY 12227: telephone
1 800 225-5829. From areas outside the United States and
. outside Cana~a, call (518) 485-6800.
.
Need help?
IlIl Internet access: www.nyslax.gov
(for information, forms, end publications)
.~ Fax-onodemand forms:
1 800748·3676
. . . Tel.pl1on. assll/tance is available from 8:00 A.M. to 5:00 P.M.
•
(aast$rn time), Monday through Friday.
.
To order forms and publications:
1 800462·8100
Sales Talt Information Center:
1 800 698-2&09
From areas outside the U.S. and outside canada:
(518) 4B5·6800
Hearing and spaech Impaired (telecommunications
device for the deaf (TOO) caUers only):
1 800 634·2110
L
"'16006 with disabilities: in compliance with the
Americans with Disabilities Act. we will eMure that our lobbies,
offices, meeting rooms. and other facilities are accessible 10 .
persons w~h disabilities. If you have questions about special·
accomrrodations for persons with 'disabilities. please carll 800 972·1233.
C5\
Page 2 of 4 ST·220·TD (6106)
I,
:fctff.f.L\
e.
)}c;.\a\~
(name) .
.
. hereby affirm., under penalty of perjury, that I am p{-e:sM;uclr, Se;.<'i'\(..-t.¥
.
(title)
. of the above-named contractor, and that I am authorized to make this certification on behalfof such contractor.
Make only one entry in each section below.
Section 1 - Contractor registration status
III The contr~ctor has made sales delivered by any means to locations within New York State of tangible personal property or taxable
services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax
quarter in whiCh this certification is m~de. The contractor is registered to collect New York State and local sales and compensating. use
• taxes with the Commissioner of Taxation and Finance pursuant to sectioQs 1134 and 1253 of Ihe Tax Law, and Is listed·on Schedule A of
this certification.
o
The conlractor has not made sales delivered by any means to locations within New York State of tangible personal property or taxable
servIces having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales lax
quarter in which this certification is made.
Section 2 - Affiliate registration status
o The contractor does not have any affiliates.
o To the best of the contractor's knowledge, the contractor has one or more affiliates having made sales delivered by any means to .
locations within New York State of tangible personal properly or taxable services having a cumulative value in excess of $300,000
during the four saies tax quarters which immediately precede the sales tax quarter in which this certification is made, and each affiliate
exceeding the $300,600 cumulative sales threshold during such quarters is registered to collect New York Slale and focal safes and
compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The
contractor has listed eaCh affiliate exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this
certification.
. .
91-To the besl of the contractor's knowledge, the contractor has one or more affiliates, .and ea,ch affiliate has Dot made sales delivered by
any means to locations within New York Slate of tangible personal property or taxable services having a cumulative value in excess of
$300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made.
Section 3 - Subcontractor registration status
o The contractor does riot have any subcontractors.
¥J-. To the best of the contractor's knowledge, the contractor has one or more'subcontrac~ors having made ~ales gelivered by·any means to
locations within New York State of tangible personal property or taKable services having a cumula.tive value in excess of $300,000 durIng
the fou r sales tax quarters which immediately precede the sales taX quarter in which this certification is made, and each subcontraclor
exceeding the $300,000 cumulative sales threshold during such quarters is registered to collect New York State and local sales and.
compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The
contractor lias listed Elach subcontractor exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this
certificati.on.
.
o To the best of the con~ractor's knowledge, the contractor has one or more subCOntractors, and each subcontractor has not mage sales
delivered by any means to locations Within New York State of tangible personal property Clr taxable services having a cumulative. value In
excess of $300,000 during the four slliestax quarters which lmmedial!!!!y precede Ire sales tax~s certification is made.
T
Sworn to this 3D day of,
~W
,2od
lAR/,.
GiNi{"
SER: 717!sS8
BER 31, 2012
~(-e.s\6ent
4
New yo,k SlIlle Department 01 Taxation and Finance
.Contractor Certification to Covered Ag.ency ST-220-CA
(6106)
(Pursuant to Section 5-a of the Tax law, as amended, effective April 26. 2006)
For Information, consu, publication 223, Questions and Answer,. Concermlng Tax Law Section 5. (see Need Help? on back).
t;rrVW..1t1. J'LA ~ I U »Contr..""',',, nrindnal DIa"",nf bll,,;nA""
.........,
~rmtrAr:tnrl,;:; it:>.dAr#to! AmnlnVAf idgntifit!Atinn numhAr tt=tN\
I.
agency US6 only
,Contract number or descrlpllon
rl..l' __1'''''' ,
Ci!v
\\OJo\rwL .
J@(ru• ".(name)
71P code
l':'a'A
:
I nnntrAr.tnr"Q: ~AlaQ tAY
In nUr'rdvi\t "f~H_....nt fro....
.
Estimated contract value olier
the fvll term of contract (i:JIJt not
-...:.....I including renewals)
il'"l\ftt_,.t... w>...
• hereby affirm. under penalty of pe~ury. that I am
J:fW\
I
?(e.~t\::::a ID'-t ~
(We)
.
of the above-named contractor. that I am authorized to make. this cenifica1ion on behalf of such contractor, and I further certify
that
.
(Mark an X in only one box)
~Thecontractor has f;'ed Form ST-220-TD with the Department ofTaxatiofl and Finance in connection ~ith this cont~ct and, to the best of
,
contractor's knowledge. the Information provid~d on the Form ST-220·TD, is correct and complete.
o .The contractor has previously filad Form ST·220·TO with tha Tax Department in connection with _ _ _ _ _ _ _ _ _ _ _ _ __
(insert contract num/)er or description)
'and. to the bestofthe contractor's knowledge. tha information provided on thaI previously filed Form S"f.220·TO.iseorrect and complete
as of the current date~ and thus the contractor is not required to fila a new Form ST.22OJTr!I at !fils ~
I
Sworn to this
.
3D day of
E
AiiiII!iiStffi ~;.
I
,
~ 'tll.ciU
e(.(.~, ~;,e:i<"CJ.hc
(titl6)
Instructions
General Information
Tax Law section 5-!I was amended, affective APril 26. 2006. On or
after thai date. in all cases where a contract is subject to Tax Law
section 5-a, a contractor must file (1) Form ST:220-CA, Contractor
Certification to Covered Agency. with a covered agency, and
(2) FormST·22()..TD with the Tax Departmant befora a contract
may taka eflact. The circumstanCes when a conlract is subject to
section 5-a are listed In Publication 223, O&A 3. This publication is
available on our Web site, by falC. or by mell. (See Need help? for
more Information on how to ob1ain this publication.) In addition. a
contractor must file a new Form ST-220·CA with a covered agency
before an existing contract.wlth such agency may be renewed.
If you have questions,
1 800 698·2931.
pleas~
call our information center at
. Nole: Form ST.220-CA must be signed by a person authorlze·d to make
the certification on behalf 01 the cootractor. and the acknowledgement.
on page 2 of this form must be completed belore a notary public.
When to complete this form
As set forth In Publication 223. a contract is su.bject to section 5-a, and
you must make the required certification(s). If:
i. The procuring entity a covered agency within the meaning of the
statute (see Publication 223. O&A 5);
ii. The contractor Is a contractor within the meaning of the statute (see
Publication 223. O&A 6); and
Iii. The contract Is a contract within the meaning 01 the statute. This is
the case ~hen it (a) has a value in excess of $100.000 and (b) is a
contract for commodities or servicl!!Js. as such terms are defined for
purposes of the statute (see Publication 223. Q&A 8 and 9).
is
.Furthermore. the procuring entity must ha.va begun the sollclt~tion 10
purchase on or after January 1. 2005. and the rE!sulllng contract musi
have been awarded. amended,. extended. renewed, or assigned on or
after April 26, 2006 (theeflectlve date of the !lection 5-a.amendmenlS).
Page 2 of 2 ST-22()...¢A (6/06)
CP~~
.
S:r.A.1ii-OF VWl:MutA../
COUNTY OF fii\(~'J-.
On the3L day of
Individual,. Corporation, Partnership, or LLC Acknowledgment
55.:
}.
~
in the year 20.!t1>. before me personally appeared
'Tr.f.ft:'tv\ 6-ik:UOt'W'
known to me to be me person who exeouted the foregoing instrument. who. t!eing duly sworn by me did depose and say that
_he resides.at
\C'1,fr 1~.tc6,(e( 'J)( •
Town of
Yle.ni\Q..v
County of
£tu<:ftk,.....
State of
"i fMC\. {)..J
. '
; and fu rther that:
[Mark an Xin the appropriate box and complete the accompanying statement.]
o (If an indiviejual): _he executed the foregoing instrument in hlslher name and on hislher own behalf.
~ (11 a corporation): _he is the Q(.e,;;>'ru..n\, 5e<-i\c::t-~
of &\0'094 TO 1: Uo\-:,the oorporation described in said instrument; that. by authority ofthe Board
of Directors of said corporation. _he is authorized to execute the foregoing instrument on behalf of the oorporation for
purposes set forth therein; and that. pursuant to that authority. _he executed the foregoing instrument in the name of alid on
behalf of said corpOration as the act and deed of said corporation.
~ ~apart~rs~p~_he~a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
of
, the par.tnership described in said instrument; that. by ttie ferms of said .
partnership. _he is aulhorized·to execute the foregoing instrument on behalf of the partnership for purposes set forth
therein; and that. pljlrsuant 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 partner:ship.
~ (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 for\h therein; and that. pursuant to that authority; _he executed
the foregoing instrument in the r.I~rne_oiand on behalf of said limited liability company as the act and deed of said limited
liabili~ com~~
~_
a . . . ..... _._. .
Need
. Privacy notification
. The Commissioner 01 Ta~atlon and Finance may coHoot and malnlain personal
inlormation pursuant 10 lhe New York State Tax Law. including but not limited to,
sectlooIl5'a, 171, 171·a. 287, 3oe. 42{1, 475; 50s, 697. 1096, 1142, and 1415
01 thai Law; and may re.quire disclosure 01 social security numbers pur$uanllo
42 USC 405(c)(2)(C)(i).
This information will be used to determine and administer tax 'liabilities anti, when
authorized by law. lor cerlaln tax ol/set and exchaoge of lax information prograrTIS as
weH as lor any other lawful pUrpo:l&. .
Inlormalion concerning quarterly wages paid to employees is (ilrovided 10 C9rtaln
state agendes lor. purposes of lraud prevention, support &filo_ment, evaluation 01
the ef!ecliven8Ss 01 certain emplojiment and training programs and other purp0$8S
aUlhO rlzed by law.
.
Failure to provide Ihe required Inlormation may subject you 10 civil or criminal penalties,
or both, urvler the Tax law.
. .
Thillinformalion Is maintained by the Direelot of Records MlI1lagemel1land Data
Entry. NYS Tax Department. W A Hamman Campus, AIb/lnvNY 12227; lelephone
! 800 225-5829. From areas outside the United States and outside Canada, can
(516) 1I;8S.mIOO. ' . '
.
.
Internelaccesi: www.nystax.gov
(for Information. lorms, and publications)
g-~
Fllx·on-demand to.rms: .
. . . Telephone aasistanee Is avallabl~ trom
...
8;00 A.M. to 5:00 P.M. (eastern time).'
Monday through Friaay.
To o'rder forms and publications;
From areas outside the U.S. and outside Canada:
Hearing IlI1d speech Implllntd (telecommunications
device lor the deaf (TOO) callers only):
~
1 800 748-3676
1 800 698-2931
1 800462-8100
(518) 485-6800
1800634-2110
Persons with disabilities: In compliance with the .
.
Americans with Disabilities Act. we will ensure that our lobbies,
ol/ices, meeting rooms, and other facilities ale accessible to
pei'iOns with diSabilitie$. If you have questions about special .'
I1CCOIT'I1'lOCltfons for persons with dlsablll1lea, please call 1800 972-1233.
4
New York State Department of 1l!Xallon and Finance
ST-220-TD
Contractor Certification
(6106)
(Pursuant to Section 5-a of the Tax Law. as amended.
effective April 26, 2006)
For Information, consun Publication 223, Questions and AnswelS Concerning Tax Law Section 5-s (see ~eed help? below).
nam:rcl )=UO'k cD<eo(~t\oY\
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Contractor's principal place pf business
ZLrOq
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Conlractor's mailing address (II differttnr than aboVll)
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Section 5-a of the Tax Law, as amenQed, effective April 26,
2006, requires certain contractors awarded certain state
contracts valued at mote than $100,000 to certify to the
.
Tax Department that they are registered to collect New York
State ana local sales and compensating use taxes, if they
made sales delivered by any means to locations within New
. York State of tangible personal property or taxable services
having a cumulative value in excess of $300,000, measured
over a specified period. In addition, contractors must certify
to the Tax Departni~nt that each affiliate and subcontractor
ex-ceeding such sales threshold during a specified period
is registered to collect New York State and local sales
and'compensating use taxes. Contractors must also file a·
Form ST-220-CA, certifYing to the prociJring state entity that
they filed Form ST-22O-1D with the Tax Department and that
the information contained on Form S1=-220-TD is correct and
complete as of the date they file Form ST-220-GA.
For more detailed infor~ation regarding this form and
section 5-a of the Tax Law, see Publication 223, Questions
and Answers Concerning Tax Law Section 5-a, (as amended,
effective April 26, 2006), available at www.nystax.gov.
Information is also available by calling the Tax Department's
Contractor Information Center at 1 800698-2931 ..
1
.
Note: Form ST-220-TO must be signed by a pers~m
authorized to make the certification on behalf of the
contractor, and the ackl10wledgement on page 4 of this form
must be completed befo,re a notary public.
Mail completed form to::
NYS TAX DEPARTMENT
DATA ENTRY SECTION
.W A HARRIMAN CAMPUS
ALBANY NY 12227
J
-II , .
'31&&()T
oonc..c!Or. EIN)
---
number or dellcrlpUon
General Information
ZIP code
Stale
Privacy notification
TheComrnissioner of Taxation and Finance may collect
and maintain personal information pursuant to the New York
State Tax Law, including but not limited to, sections 5-a, 171,.
171-a, 287,308,429.475,505,697,1096. 1142, and 1415
of that Law; and may require disclosure of social security
. numbers pursuant. to 42 USC .405(C)(2)(C)(I).
This information will be used to determine and administer tax
liabllitiesand, when authorized' by'law, for certain tax offset
and exchange of tax information programs as well as for any
other lawful purpose.
Information concerning quarterly wages paid to employees
is provided to certain state agencies for purposes of
fraud prevention; support enforcemenl, evaluation of the
effectiveness of certain employment and training programs
and other pU'rposes authorized by law.
Failure to provide the required information may subjeCt you
to civil or criminal penalties, or both, under the Tax Law.
This Information is maintalned by the Director of Records
Management and Data Entry, NYS Tax Department, .
W A Harriman Campus, Albany NY 12227; telephone .
1800225-5829. From areas outside the United States and
outside Cana~, call (518) 485-6800.
" Need help?
Internet acc...: wwW,nystaK.gov
(for infonTlatlon, forms, and publications)
~ Fllx-on-clemailC:I f.orms:
. 1 800 748-3676
Telephone 8S$1$tance is avall8b1e from 8:00 A.M. to 5:00 RM.
(eastern tim.e), Monday through Friday.
To orderforms and publications;
1800462-8100
SalelTax Information Center;
1 800 698-2909
From areas outside the U.S. and oUl$lde Canada:
(518) 485-6800
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Hearing and speech Impaired (telecommunications
device lor the deaf (TOO) callers only):'
1 800634-2110.
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Parsons with dlsabIHtl.s: In compliance with the
Americans with Disabilities Ac,t, we will ensure .lhat our lobbies,
offices, meeting rooms, and other facilities are accessible to
persons with disabilities. If you have questiOns about special
;
, .accorrrnodatiOlllii for pel"$OOS with disabilities, please D!l1I1 800 972· 1233
.
.
Page 2 of 4 ST·220-TO (6106)
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,hereby affirm, under penalty of perjury. that am .
(name)
Pr.esioLrlr, ~ecriL-e~
(title)
of the above-named cQntractor, and that I amauthorizad to make this certification on behalf of such contractor.
Make only one entry in each se'ctioh belOw.
Section 1. - Contractor registration status
~ The contractor has made sales' delivered, by any means to locations within New York State of tangible personal property or taxable
'
, services having a cumulatIve value In excess of $300,000 during the four sales tax quarters which immediately precede the sales tax
, quarter In which this oertifioation is made. The contractor is registered'to collect New York State and lecalsales and oompensatlng use
• taxes with the Comn1issioner of Taxation and Finance pursuant 10 seclions 1134 and 1253 of the Tax Law. and is listed on Schedule A of
this certification. " : "
o The contractor has not made sales delivered by any means to locations within New :York State of tangible personal property or taxable
services having a cumulative value in excess of $300.000 during the four sales tax quarters which .immediately precede the sales tax
quarter in which this certification is made.
Section 2 - Affiliate registration stalus
o The contractor does ~ot have any affiliates.
o To the best of the contractor's knowledge, the contractor has one or more affiliates having made sales delivered by any means to
locations within New York State of tangible personal property or taxable services having a cumulative value In excess of $300,000 ,
during the four sales1ax quarters which Immediately precede the sales tax quarter in which this certification is made, and each affiliate
exceeding the $300,000 cumulative sales threshold during 'such quarters is registered to collect New York State and local sales and
compensating use taxes with the CommisSioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The
contraotor has listed each affiliate exceeding the $300,000 oumulallve sales threshold during such quarters on Schedule A Of this
certification. .
~ To the best of the contractor's knOWledg~, the contractor has one or mOre affiliates, and each affiliate has not made sales delivered by
any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of
$300.000 during the four sales 1,ax quarters which immediately precede the sales tax quarter in which this c&rtiflcation is made.
Section 3 - Subcontractor registration status
o The contractor does not have any subcontractors.
~ To the best of the contractor's knowiedge, the contractor has one or more subcontractors hailing made ~ales deli~ered by any means to .
.
Jocations within New York State oJ tangible personal property or taxable SEI.rvices having a cumul~tive value'ln excess of $300,000 during
the lout sales tax quarters which immediately precede the sales tax quarter in which this certification fs made, and each subcontractor
Elxceeding the $300.000 cumulative sales threshold during such quarters is registered to collect New York State and local sales and
compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The
contractor has listed each subcontractor exceeding the $300~OOO cumulative sales threshold during such quarters on Sched~1e A of this
certification.
o To the best of the contractor's knowledge. the contractor has one or more subcontractors, and each subcontractor has not ma(je sales
delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative, value in
excess of $300.000 during the four sales tax quarters which immediately precede the sales tax quarter~ is made.
I
Sworn 'to this~ day Of' \).tty"'('\'Qif ,20 C '6
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EV7
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ST-220-TD(6/06)
Individual. Corporation, Partnership, or Li..C Acknowledgment
~.
STATE-OF Vlro\ri~.
55.:
COUNTY OF
On the
Wf.faol }
~day of 1»UN\b2,c
in the year
20~ before me personally appeared Tef:f'f£M fl·. 00ld l~
known to me to be the person who executed the foregoing instrument. who, being duly sworn by me did depose and say that
oan ~.u 1X.
",".£rrp. .
he resides at
Town of
County of
State of
'J
~(fa '"
'1\(6\0\ £U
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; and further that:
[Mark an X in the appropriate box and complete the accompanying statement.)
o (If an individual): _he executed the foregoing instrument in his/her name and on hislher own behalf.
I}?l (If a corporation): _he is the tfe5laen\\ ~y\ce5
'.
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of Cdcbc,L\]e\iU()J,. (;(s(manQ'!')the corporation described In said instrument; that, by authority olthe Board
of Directors of said corporation, _he is authorized ~o execute the foregoing instrument on behalf of the corporation for
purposes setforth therein; and that. pursuant to that authority, _he executed the foregoing instrument in the name of and on
b'ehalf of said corporation as the act and deed-of said corporation.
o (If a partnership): _he is
.
.'.
.
of
, the partnership described in said instrumerit; that, by the terms of said .
partnership, _he is ~uthorized 10 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 ofsaid partners~ip.
o (If a limited liability
~ompany): _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
,th.e foregoing instrument in the name of and.on behalf of said limited liability company as the act and deed of said limited
liability company f5J:!S!.. _:s:::__ .>.~
Notary Public
Registration No•. ,",L-r
-SV",.
: 7112688
31,2012
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THOMAS P. DiNAPOU .
110 STATE STREE.T
ALBANY. NEW YORK 12236
STATE CPMPTROLLER
STATE OF NEW YORK
OFFICE OF THE STATE COMPTROLLER
June 10,2009
Denise Patton
CORRECTION CENTRAL OFFICE
1220 Washington Avenue
Albany, NY 12226
SUBJECT:
extension to Xl6081l Inmate Phone Home Contract
DETERMINATION:
Approved
GROUNDS:
RESTRICTIONS:
Single Source
Dear Mr. Patton:
Your request for an exemption from giving notice in the New York State Con1:r8ct Reporter for extension to
X160812 InmatePh()ne Home Contract has been approved. This approval is for exemption only; it does not
constitute the prior approval ofOSC if required. For single or sole source exemptions, the reasonabJeness of
cost must be included with the contract package.
In accordance with the statute, you are stiJI required to publish a notice ofeither the Jetting or award ofthis
proposed contract in the New York State Contract Reporter. The notice must stare the reason for the
exemption and be placed as soon as practicable. It wi]] be your responsibility to maintain proof that this'
exemption was subsequently published in the newsletter.
A copy of this letter should accompany the transaction when submitted to our office for approval.
incere~
.
·il
cc:
Nancy Fisher
Empire State Development
RECEIVED
JUM 12 ZOOS
BUOGET & FINANCe
Confnlct Reporter Exemption Request No.
9351
New York State Department of Correctional Services
Contract Action:
New Contract
X Renewal
Amendment
Contractor: Global Tel·Link
Project Title:
Other
Contract #: X160812
Inmate Telephone System
Renewal Term: April 1, 2009 - September 30, 2009
STATE OF NEW YORK
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their
signatures.
Contractor Certification:
"In addition to the' acceptance of this contract, I also
certify that an informatlon provided to the State
agency with respect to State Finance Law, § 139-k is
true. complete and accurate. Contractor also will
comply with the provisions of the NYS Information
Security Breach and Notification Acl It is understood
that the Contractor shall be liable for costs associated
with such breaches jf caused by the Contractor's
negligence, or willful acts or omissions of the
Contractor's
agents,
officers.
employees,
or
subcontractors.
Agency Certifications:
"In addition to the. acceptance of this contract. I also
certify that original copies of this signature page will be
attached to all other exact copies of this contract and
that the contractor is determined to be responsible as
that term is defined and utilized in the State Finance Law
§163 (3)(a)(ii),(4)(d) and (9)(f).
CONTRACTOR
STATE AGENCY
~
By:
Ie.ffc~ f).
Printed Name .
Title:
Date:
tIa1d\OS(.C
frddeOb
Title:
Chief Fiscal Officer
Date:
&rY\'(ti:r
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STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
THBHARRDM~~STATECAMPUS
1220 WASHINGTON AVENUE
ALBANY, N.V. 12226-2050
BRIAN F1SCHER
COMMISSIONER
RlCHARD D. ROY
ASSOCIATE COMMISSIONeR
April 12, 2007
Gail P. Thorpe
Contract Management Specialist .
Office of the State Comptroller
110 State Street
Albany, New York 12236
Dear Ms. Thorpe:
Re:
Inmate Phone Program
MCI (Verizon Business), XI60812
I am responding to your April 12,2007 request for clarification on the Department's one-year contract
extension with M CIIV erizon for the Inmate Phone Program.
Rate Reduction
Please provide a summary of the collect call rate reduction determination, including the
require~ents set forth by Governor Spitzer and how the new rates were calculated.
In January 2007, Governor Spitzer directed that the Department couJd no longer accept commissions
from inmate phone services. The Department had previously received a commission of 57.5% on
every completed call. The rates established for a completed can under the original contract were $3.00
to connect and $.16 per minute.
Effective April 1, 2007 call rates were reduced by 50% and the cost of a call dropped to $1.50 to
connect and $.08 per minute, from which the Department will receive no revenue.
In consideration of the rates dropping, there is an anticipated increase in call volume. National data
suggests that if call rates drop 10%, call volume will increase 5%. Based on our current infrastructure,
DOCS projects that we have enough phones to handle a 20-25 percent increase in calls on April 1,
2007 without disrupting service to inmates/families.
DOCS monitors call volume. If volume increases 18% or more within the six months of April-Sept
2007, DOCS contract extension allows for a further rate reduction of 7.5%. This will provide
sufficient time and data for us to increase phones if we need to and further reduce rates.
Contract Amount Increase
What does the contract amount of $113,000 repreSent? The original revenue stream was based
on a commission payment to DOCS, which has been eliminated due to the Governor's action.
The section that you refer to is an error. There is no contract amount increase. Thank you for pointing
out the error.
The Gores Group
News articles dating back to November 2006 reflect an impending acquisition ofVerizon
Business by The Gores Group. When the acquisition closes, which is expected in the second
quarter of 2001, does DOCS intend to process an assignment?
MCIIVerizon intends to sell-off its contract for the Phone Home Service to its subsidiary Global Tell
Link (GTL) services. GTL is supported by the Gores Group - a venture capital consortium. The
Department is aware of MCIIVerizon's intentions and is working closely with both GTL and
MCIlVerizon to ensure that there will be no interruption in phone service and no change in calling
rates as a result of the transition of the contract from MCIlVerizon to GTL, which is anticipated to
occur in June 2007.
.
I hope these answers sufficiently address the issues you have outlined in your letter. If you need
additional information, please contact me at 457-2540 or tjherzog@docs,state.ny.us
~~
Thomas J. Herzog
Chief Infor1na.tion Officer
Management Infonnation Services
Cc:
Richard D. Roy, Associate Commissioner
Bruce Johnson, DirectorlBudget and Finance
Dan Ryan, OSC
Jason Effman, Counsel's Office
: Denise Patton,Budget and Finan~
. Robert Koberger, MIS
MiChael Mulrooney. MIS
Sharon Shear, MIS
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CONTRACT EXTENSION AGREEMENT
Xl6081~
BETWEEN
NYS DEPARTMENT OF CORRECTIONS
AMQ
Mel Comrm,rnigations SeN!ces. Inc.
The Department of Correctional Services (NY DOCS) Is extending ContractX1BOS12
("Contract") for the second one (1) year extension ("Contract Extension") from April 1, 2007 to
March 31, 2008, per the provisions of the Contract This Contract Extension is execuled by
Verizon Business Network Services Inc. on behalf of MCI Communications Servicas, Inc. d/b/a
Verizon Business ("Verlzon Business"). The Contract is hereby modified as follows:
• All Inmate calls made, including those to Canada, shall be IncJud&d in the blended
domestic rate for inmate phone traffIC under the Contract.
• Verizon Business wiN not have any obligation to pay any commission payments and NY
DOCS will not collect any commission payments previously required under Items 2.5 and
5.1 of the Contract
'
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• Ourlng the Contract Extension, collect calling rates will be reduced from the existing
rates under the Contract to the following:
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Collect - First 6 Months ot Renewal- April 1, 2007 ~ September 30, 2f!J7
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,
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Gall Type
.,
Local
. Rate Per Mlnu~
Surchar.ge
$1.50
$1.50
$0.08
$1.5fl
$0.08
$1.50
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$O.®
$O'(l8
"
IntraLATA
IntertATA
"
InterState
-_.
Collect
.* -
Call Type
Local
IntmLATA
InterLATA
InterState
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last 6 Months of Renewal. October 1, 2007 - MarcJl 81, 2008
Surcharge
$1.28.
$1,28
$1.28
$1.28
Rate Per Minute
$0.068
$0.068
$O.b68
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$0.068
- These rate(s) only apply under the following conditions: If !he monthly baseline average
calling volumes for April 1, 2007 through September 30,2007 demonstrate an Increased caJIng
volume of 18% or more relatiVe to the monthly bSS$line calling volumes for October 1, 2006
through March 31,2007. the subsequent downward adjustment of rates for the period October 1,
2007 -March 31.2008 detailed above will be implemented effective October 1, 2007. If the
increase In call volume is less than 18%, the rates shall remain at $1.60 surcharge and $0.08 per
minute for all calls.
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Verizon Business hereby acknowledges and agrees that Verizon Business bears the sole
responsibility of providing notification, in accordance with New York Slate Technology Law § 208
and/or New Yorl( General Business Law § 899-aa, of any breach of the security of its .
computerized data that InCludes "private information,· if the private Infonnation was. or is
reasonably believed to have been, acquired by a person without valid authorization. VerlZon
BU$lness shall furnish to DOCS a copy of the Reporting Form required In accordance with Slate
Technology Law § 208(7} and General Business law § 899-a(8), and available from the Office Of
Cyber Security and Critical Infrastructure Coordination at
htto:llWwtN.cscic.s(eletnv.us/securltylsecydLYbre8chlReportFoim,pdf
Furthermore, Verizon Business shal comply with New York General Business Law § 899-aa(3)
and immediately notify DOCS of any breach of the security of any system In which Verlzon
Business mainlalna computerized data which includes privatEt information which is owned by
DOCS.
.
All other terms of Contract X160812 remain the same, Including the applicability of Appendix A
entitled, 'Standard Slate Clauses, ~ attached here.
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IN WITNESS THEREOF, the partIes hereto have executed or approved this AGREEMENT on
the dates below their signatures.
Contract No. Xl6Q812
CONTRACTOR
STATE AGENCY
MCI Communications Service!, Inc
:.n_t~
~
t).;l.<.I'MAn \l:eSSClO\"
ByGJ..;A.tt-.J
Brian Fischer
Printed Name
TIlle:
Printed Name
~£ PriO''''j /CoA-rrL4cr~.
..3- r~ -a 1
Date:·
Date: Mclrch 19, 2007
Contractor Certification
"In addition to the aceeptanee of
this contract, I also certify that
information provided to the State agency
with respect to Exeeutive Order 117 is
f0J'llpJe.-., true and ·accurate."
State of
M:SSiS~jppi
County of
.......!'"h.
."'-:'~OO ~ the
~a 2 nQ
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Title: Conmissioner
~
State Ar;ency Certification
"In addition to .he acceptance 01
tbis contrad, I also eertify that
Original copies of thiJ lipature page
will be attaehed to aD otber cuct
copies of this: contract and t~fthe ", "::.,'.:-.,
co~tractor iJ d(iltermlned to be
Responsible as that term is utilized in
ExecutlveOrderNo.1l7, and as
derUled and u~ilized in the State
Finalu:e Jaw § 163(3)(a)(ii)(4)(d) and
(9)(f).tt
r
day o f r c h 2007, before personaUy appeared
r~+•••
t~know, wbo being by me dully sworo, did depose and (!.A)~ro.efCIl~O-r..
""f
at be/sbe resides a t t 0 VA
t that there helshe is tbe
Pr" n of M9M:t,
~ i ~~ irporation described herein whicb executed the foregoinr; instrument; and t at
\et ..: - ~'f,), c, It, e signed h~r 88me thereto by order of the board of direetors of said
~··••• PU~~.···co~ ration. c.?t'-V:~ a....-- CJhc
a
···;.RY
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....,..............'ATIORNEY GENERAL
APF'RG'vEO AS TO FORM
\\IYS ArroRNEY GENERAL
Tjtl~
Date:....."...~_ _
Title:
MAR 29 2007
~~.~
L0RPAlNE I AEMO
_ _ _-=.;Sl;;;.;;,Nl(li~ ~'!T0RNEY
D8te:~d1
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ATTACHMENT 2
Appendix A
Standard Contract Terms and Conditions
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8TANDAIID CLAUSES FOR N'VS CONTRACfS
APPENDrXA
TABLE OF CONTENTS
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1.
Bucntary Clause
2.
NOD-Assignment Clause
3.
Comptroller's Approval
4.
Workers' Compensation Benefits
S.
Non-Discrimination Requirements
6.
Wage and Hours Provisions
7.
8.
Non-Collusive Bidding Certification
International Boycott Prohibition
9.
Set-Off Rigbts
10.
Records
11.
Identifying Infonnation and Privacy Notification
12.
Equal Employment Opportunities For Minorities and Women
13.
Conflicting Terms
14. '
Governing Law
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15.
,16.
Late Payment
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No Arbitration, _.
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17.
Service of Proces~"\~' ,
13.
MacBride Fair Employment Principles
20.
Omnibus Procurement Act of 1992
21.·
Reciprocity and Sanctions Provisions
22.
Purchases of Apparel
I
Prohibition on Purchase of Tropical Hardwoods
19.
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APPKNDIXA
STANDARD CLAUSES FOR NYS CONTRACTS
STANDARD CI.AIlSF..s POR NYS CONIBACfS
&h1lll by tL'UOQ of "'oe. c.eed, color, nAtional origin,
dillabtlity: (lI) dillcriminatc in bwng "PLtltIt any Nc:w York State
ci~ who is qlltllli.:d tod avdoblc to petfC)JTJ) the lIIos!c. (lr (b)
discrimillll.te against or intimidate ""y employee hired {or the: pt:.t:fnrmallce
of work under thi:! conma. Coatmctor is subjcef to flnc.! uf $50.00 per
pctlIOO per day inr ooy vioktliOll of Section 22Q-c or Scctinc n9 0$ well liS
p<>l!.iblc terminalion of this CODner and forfdture of 1IIl moneys dllc
hetwndl.\lt ro.: II second or subsequenr
violation.
flOC
il).l
SUbcontlQCtocol
age, ~
"I'lK parties to Ihe attached contract, lic~'f16e, lease, :amemlment os:
other agt'llm'Ienl of GIIY klnd (heteinafter, me contract" or 'thi~
wnr:roct") 3gtl:(! to be bowld by tbe following clllll$1:$ which :l{C
hen:by mme a plll't of tbe amtrac:t (the: woro ·ConlnlCtor" ltacin
1cfe.rS to any party other than the Slate, whether 'II cont.etcr,
lio:ll:ler,liccnlcc,lcssor, teRCe or IIny other pany);
2.
HXJiCUTQRY CLAUSE. In lCeo.cdl.DC1!l with Section 41 r,(
the Staw pjganoe Law. the State IhW1 have 110 IiIIbility uacler I'lt.l$
contnet 10 the ContnKtoc or to anyone d.e beyond fund$
appmpriltW lind .v...iIable fot this cootraet,
J.
NON-ASSIGNMENT CLAUSE. In ~cotdancc ..,jeb
Scd:ion 138 of t~ St::Ite Fin.nce Law, thi6 contmCT may lIot be
lo1~j&ned by the Contnctor Of jill right, tide or illtetC>1t thC'l'cin
-igncd, trlllldi:lI1:d, convcylld, subk"t or otherwise diolposed of
without the previous cOlll>Cnt, in writing, of the SIllII: am! cny
attcmpllllO assign the contmct without Ibc Sratt:', written con$Cnt ate
uull :lilt! void, The COlltnctOf mny, however. amgn its right to
li\:ccivc payment withollt the Stlte', prior wrirrm eonllCtlt urueu rhi.
conteact co"eetn~ Ce.tli~ of PottIclpation Pllnowmt to ,\rtide 5
A of the SIGle FlIlllnee Lo""
... ·';1
4.
CQMPTROlLBB'S APPROVAL. In =roalloe with
ScetiOll 112 of the SI2!c Pinnnce law (I>r, if thi, COOtrKt i. whh the
State lJnivcnlify Of City Univcrt..ity of New York, Section 355 or
Section 6218 of the: EdllCG.li.on l.:Iw}.lfthis cuntrac:[ excIlcds $50,000
, (Of the minimum tbltllholds' :.greed 10 by the PfliCl! of'the S!2te
ComptrQlIer (or"ct'ttllin S.O.N.Y. gnd CO.N.Y. conlr,lcts). (:,c jf thi,:
iii 011' a.ncndmcnl for (Jtly amount to a cOUtract,whic'b" IIi sO;;' _ded,
cxc:ced~ IIilid 'illltllllOly amount, or if, by thill cootr:ict; die Sti>tflogtce:,
to give somcthiDll otllc.r than money wbcri fhe'YIIlueac, r_Pnably
estimated value of such con,ndcMcm C'lIcccda $10,000. ,4 sb;1Jl not be
valid,effi:ctive 01 binding upoo the Stilt\; u!ltiI iI' ha$1Xc;Q'_~p'roycd
by' !he State Comptrdlet' lind filcd",iii hi~ offioo: 'Compttoller'i
lIppm1l'lll of COntracn< let by the Office of General Scrvicc:s ill requited
when $ur;h COD~ exceed S85,OOO (Stlte l'il'lQn<:C Law Sct:boll
163.6..).
5-
WOlKERS'
COMPW'IMTION
DENlmTS.
In
1I(;coidance with Section 142 of the Still: I'lnaru:c Law. thitt contract
sIWl be void and of no focce and effect unless the Contna;>r mall
providr and maintain covctugt: during the life of thi:! cantnet fot the
benefit of sud!, cmplO)'=I lIS IItC fCtjWcd to be wvcred by the
provi:liom of Ihe Ww:kcrs' Compcn:rotion law.
6. NON-DISCBlMINAXIQN REOlDREMENIS. To the c~rent
a'llIind bl' Anide 1!) nf th= Executive lAw (llI'o known __ me Human
Right;; L:.w) and aU otbu Sl\rte lIJId Fedcml $tatlltOt)' and I;OlI$tilUtional
n<nl~nmil12lio1l provwl>llS, the Cnnuact()t wBI not ctisc;riminatc
ngain't any employee or oppl~anr for employmcnt beClllloiC of tllee,
creed, colol, SC:X, national origin, sexual om:nt'lllioll, age, dis2bilit)',
gL'11ctie pll:Wspo,.;aon or cvricr $tlIIUS, Or mariw stllUJ. Furthermore.
in nCC()fdlJla; with ~I 22Q-e of the Labor law, if thi. ;$ Dcontcact
for the <;onsrruction,lIltel'1lUon 01' tep0'rr'Dlany pubfic building or public
work or lOr the mam'(ActurC, _ or di:stributicn nf materials,
"'IuipmoW or $Up~IiC;l, and to thc extent that Ihi$ COl1tntct ~h" be
ptrinrmcd within Ih~ Slate of NL'W York, Contmctor agt\lc!!! that neither
it nor it~ subcontl2cton iIh~J1. by rC:l.~n of race, (teet!, color, Uisubility.
sex, or ..aDona! origin: Ca) dil;criminate in hiring a~in:!t any NL,\V York
lime ciri:!:cn whl) i!C qualified and aVAilab'" In perform dlC:' work; or (b)
discriminate againllt Of intimidatt: any employee hired fur the
pcrf<>rrrmnc:e I)f w.<>tk uncler Ihi~ <;onttltct. Jf th~ is • bWlding :l<.'t'I'icc
eontnlu "" de6ned ifl Meo<m 230 of me l.abot l.4w, then, in
acco«lan"" wilh Section 239 thereof, Cnatraetor agrcc~ mat neither it
8 of 47
Of
7. WAGE AND HOURS PROVISIONS. IE this i. II pubtit' wotlc
coo\'.r.llet eovcrcd by It.rtide 8 of the Labor 1_ or a buldin,a ~c
contract covcrw by Arlide 9 lhet'eof, ilcither Cont=i. c:mpIn)ftt nox
tbe L'ITI~ of ir.:a SlIbcontract:l)tS may be rcquill!d l)r permitted to
wotk more than m", number of /Ioual DC dAY' stated ill taid Ratutl:$,
except os OIhC1Wb.e provid.:d in the bbor law and 11>1 ser iOtth in
preY.ll.iling 'MIse: and ~upplement ,chedulC1l il1WCd by the StIlt!: Ltbof
D"J>IU'Mlent I'urthctmore.. Conttactor 2nd ils oIIlbeontnclOr, must pay at
letSt !he prevailing Wllge rate' lnd payor p!Uvide the prcv.iling
supplerncnrs. including the pr<:mium race. for c.vo:timc' pay, AS
determined by the StDCC Labor Department jD Ilc:<:nrdan~e with l\lC Labor
l.aw.
8, NON-COlJ.USlVE BinDING CEBTIFlCA.DON. 11\
accordance with Section 139-d of Ih" State Finance I AlW. if this CODUD.ct
"':113 a-roed based tIpOn the subalwion of bids, ,ContnlClOr affinn"
uader penalry o( perjury. mat ill bid was Arrived at independcntly and
without colluliion Slimed lit n:sll'i,ling compt'citinn. Con'b:lll:'lof further
.ffiniu tlmt, at the time Comndot 6illilni~.Jbll:iid, db 'authorized tad
tcspon,lblc penon executed arid dcfi'PL"rc:d 10, me ,Stile a noo·eaUu:sm
bidding cenificatlon on Contra~tot'l bch~t. :,. ,,' " " "
<
... :
,
'.
9.
1N'.!FRNA'11QN,,,. ' BOYCO'I"r , " PROHIBmON. In'"
aceorthnce with Section 22O-f of th~ J4IbO<' J..aw .....d Section '139-11 Of
fix: SWr Finance Low, if this contract txc«&t $S,DOO. the Cdn~t. '.' "
~cett, as 11. mIltemJ COtldition of the contrQCf,lhQt ndUler the Contr1lctot "',,
DOl' Any oubstllllioJly owned 01: affiliatW pcBOn, linn, parlnl:l1hip Of
cCI<pcm.tion ha$ I'lIItidp:tled, is pWcipatiug. or ~ba/l participate in lUI
inll:mati.onaJ boycott in violo.tion of the (cdml e.porr Adminitb3tiOtl
Aer of 1979 (SO USC API." ScC\'ion$ 24()1 et ,u:q.) ()t 'lIi!gUIatlons
then:undcr. If .uch Conrnctor. or $oy of !be oforuaid affiliucto of
Contra.ttor, is C'OlIVicted (')f; iIt othctwisc fouod 10 ~ vlolatcd aid law$
or qulaUon. upon Ihe 6oa1. dctctininttioll of 'me Unimd Stlltel
Comm=e Dcpa:rtmtlflt Of any oth~r appropci..w agmq of the Uni~,(!
St:oofe. $Ubsequent to the oonlr.lcl'. C1(CCUtiOIl, sucb coa!n.ct, amendment
0<' modifICation tbcl'Cto $halI be n:1lIl:n:d forfeit IIIld void. 1'he
Conullctor $hruJ $0 notify tbc Srruc CQmplXo1Ier within nvc (S) bwinen
d{\y~ of IIUch conviction, dcrerminarior. or di.pO'fition of appe:ll
(2NYCRR 10S.4).
10. SET-QPE lUGHJ'S. 'The Slate shd have aU of illl cnmmoo II'll.
$laQltory rights of ~ct·off,
ftghlll lIIlali includQ, but
not be limited t(), Iltt State's option fQ withhold fur the JlurpoIlC;< of left
otl any moneys due ro dIe CI/I'IICllcmr under thi$ conuact up to 911Y
amOIlCltt due: QtJCI uwing to rhe SlOb: with regard to thiJ contIllGl, !lny
otne:, 'UOtnlct wilh My $<ate dcparlmcnr or ol,"'I1C)'. including allY
couttllet for a t\:I:m commenting prior to the te:tm of IlIi$ COllttllct, pJu~
lOy ,mQunt.. due IIIld owing to th~ SI9'11: fc)( \lny othcr lCUun including,
witbolll Iimimric>n, mx dclincjUcnM, tee dclinqucncico; or mon$ry
pL"",ltic. rdative thcrcto. 11lC St:tn: $haD aL'f'Cile iu ~I-off righl" in
~ccotdal\C~ with normal Sratc p.raclieL'$ induding,. in ClISt~
:let"",ff
pun-uallt 10 1II1 audit, me fUl1I1i7.&tirlD of Illch audit by the Snlll: agenty, it.~
rcprc:scnlllriV(::I, Il~ me Sl'Ilte Comptmlret.
equitable WII;!
nw.:
or
M. RBCORllS. The CMtractOt shall ctltabliih .nd maintai n crnnpkle
and a'curutl: buub, m:otdos, documcnlll, 1ICcounlll QllU othet evidcn«
I
I
f
.~
l,',.
j.'
1.
or
STANDARD CLAVSF.8 FOR NYS CONTRACTS
directly pertinent to performance under this contract (beteirnllicc,
collectivdy, "the Rc:conl,,"). The RecO(Il~ mUft be kept Tor th~
bDlIlllCC of the wClldtr yell{ in which thc7 well: made and fox iix
(6) uldi~ j'Cllcs thereafter. The St.atc Compl1'Ol.lct, the Attorney
Gencftl tnd any other (X."aOQ or ID'Iity autho.tUed to (ondll.:t all
enmil\llli6n, as well t i til<: ~ or IIfICnciClS involved in this
contract, .h.U have accCIIII 10 the: ReeOt'd$ darlog normal buUtelll
IwI.w At an oftia: of the ConllllCllX within the ScotAe of New York
or, if 110 such office I.. aniiabk:. at a murutIIJ igtCClblc and
rea:IOfIoblc venue wiihin the State, for the term IpCcifUld above (Of
me putpOSCI of inspccDon, auditing and copying. The Slale ,b.U
take cCA$ooable Sll:pS co proteCt from public disdOilOO! any of the
Itccord, which life ~'J(c:mpt from dUcloswe under Section 87 of Ibe
l>ubli<: OffKCtS Law (the "Statut!=") provided thDt: (i) the
Contractor dlaI.I tixncly loftxm on <lp?l'QPriatu State offICial, in
wdtiDg. that soid. =ds ~hO\,lId not be disclol'C'd; and (iij wd
R:<:old>: ,It<UI be sufficiently Idcntiflcd~ and (iii) daigoalion of M
APPENDIX A
c:c.CI.'I$ of $100,000.00 ....bereby a eonmeting agc:ncy i$ committed to
elIfICnd or do~ flJlpend funds for Ih¢ acqui:dtioo, COIUl'l'llction, demolition.
I:qIkKi:OICat. major repW or ccl1OVllnon of rcal pl!Opc:rty and
improvements thc.rwn; or (IiJ) \) writtlC!n ~grC'C'1IlIJ1'It in <:lIceo of
5100,000.00 whcrd>~ the owner of a Sate ""qed houq project Is
committed to ""PClld Ot dOC$ expend fUlldti for the acquisiUon,
COl'l5tIuetion, demolition, 11:p1aa::mctlt, lIlIjot tl!pUr or tenovlllion of ren!
propctr:y Qnd lI'Ilprovemcat&l thct('on for INCh project, then;
(a) The Contlllctor will nm dist.rirninatc opn.t employc:e.l or
appJianl'8 for cmplo)'l'DCnt bccou:se of tace, aced, allor, nationd odgin.
m:x, AfC· di.tability or mariral ~tIIlWI, and will undc.."Jce or continue aiJting
progmms of qflUmwve aclion to ensUR: that mioority group incmbcp ami
'WOIl'ICn arc affocded equal .:mplo)'lllcut opportunltiel witbout
di:!CL'i.n1i.nation. AfflDlUlbve "don >Ihd au...n rcc;ruillllCDI, c.myNoymcnt,
job lI&Iignment. promotion, ~ demotion, ItaNfet, layoff, or
tcnninuioo and nttea of pay or other foIrlll' nf COmpCDIlaUon;
=oids ,.. Cl<CJIljlt
at the roq<lC1lt e>f th~ cont<1Kting agency. me Contnlcwr shall
each cmploymeat agency, IlLoor union. Of jlUthoriIed
fcp.n:SCntlltivC ofworllas widl which it rnu 11 t:OlI"ctive 1wgWnirlg ot other
.,«meot or undClSlllUdjqg. 10 fumi:lh a wrimn stltcmenr that sueh
employment AseDCY, lAbor union Qt .cptClICfltativc: w.il1 not dioIc<iminatc on
the buiiI of tIlW. Cl:c:cd, color. na!:iODlll oa:ia;io. ~ :age. disability OC IIIlIrital
$(ItIJ:S, ,nd that such union QX rcpceaent:ltivc will nflitmativdy cGopeCIrc if)
.he iJnplerncnraooD of the CO~$ oblipdnrur hetcin;.nd
under thc StatDtc i3 _I)tlable. Nothing contained hemn sboll
d~h. nr in my way Ildvcnlely affccr, the Stat~'f right to
dilCOv¢I)' in 1I1,y pending 0( future liligation.
fl.
!DF.N'llfYING INFOllMATION AND
(b)
reqlX'llt
21IDC'X
NOTIFICATION.
(Q) I'BD1:'JtAl. eMPLOYER IDl!.NTIf'ICA110N NUMBER
IndIO<' Fr..oBRAJ. SOClAL SECURl1Y NUMBER. AU inroia:s
<,.
:...
'.:':~~"
~~1::1"
""w~:
.';..;..{i,~~1
,;t'..
'.;..~
.
or New Yolk SUIte ,rand.a.rd vouchcrI :IIIbmitiJld M PltYlilb\t for
the ••1" of goods or IIC",~. ~ the' lL'Ii>lC! of rcaI nt petJ<>no.l
prorerty to It New Yode. Slate .gcocy MUlOt include die: payee's
,ideBcif.k.acion number:, te., the .C&r'~ or I~pr', idI..ndfiall:iOll
n~~et.:, 'l~ :'~~be( ~.,cith~ thc, ~Ct·8. ;~cd~ employ!'i:
, ,iL1~-nt:iliQlion numtic:r' Of Pederal 1I0cin/ ~otv nlimbc:r, or both' ,
lWeb nuttllx:u ~hcn the p"yc~ ~ both oiuch ~bm: FIIilua:
include rltis DUmberpi nmnbep may delay pay,~". Where th,'"
JXlyoe doos nOl.b;ave lI1,Icl:! nurnbez or numbas, thc.pil.yce, 00 i!"
invoi~c or New YQI~ ~tak; mndard vouiher, P,l~" U!$! ,~c: r~
or mllOn.s why ,\he' payee. ao~ opt bavcSllcb num~.or .ftumbcn;. .
;:
(c)dle Coml'llCtoC ~bAI! sttte, in d solicitations« ady~'ltitemcotll for
cmploycca, trurt, in the per{otml\llcc of the SlUe contntCT, uIJ qulli/icd
Applialnu will be afforded f.'<j1J'al empfoyment opportunitic5 wi!hou t
" ~inaci?n bccaullt, of race,. ('.tC.:d~ ·tolor; nodDita! origin: sa,' 19C•.
,d~biity ().j'mAritll smru$. ,
'
-"
.,.,
" ,
.'
to
(b) PRIVACY NOJ1FICATION, (t) The allthorlcy to rcquClt the
above pCI:iOnaI lrIformatiDn frotl'l a $diet of goodo or lICtvicel or ,.
lessor of !.'tIll oc pc=nlll property. :and !he authorily fl,) mQintlio
such information: ts found in Section S of the Sl:3te Tax J.:nw.
.DisclO<lurc of tlii:I i.nfomtlltmn by t:hi! seller or 1 _ to the Statei:s
m:mdatoq. Th~ principR1 purpose: fur wwell !he informution Is
(,'ollc<:ted is to enable the Stall:: C'O idalt:i£y Dlividulls, bumestlC$
~d !lth~n; who hay.. been dclinqllCllt in lilint tDlf. IIltlWl$ tiC rna)'
hav" ulldeWIlCOO
!lUI li2bililiol >111<1 to Aeocr;lly identify
pecwn$llffilctl::d by the IIIXC!' admiTUiteroi by the COllUl)is~il)ner of
Tlllcnioo IItId Finonte. The itlrormarioo will be uliCd for tall
admini.ll'ario» p'lltpOJeS and fOf any other putposc " ..thorixed by
thcu
law.
(2.) The pCCSOA*l infotmatioll ~ rt:<fIuted by the purchasing unit of
the agency contXacting 10 purchuc: the goods or ~etVkl:ll or ICllfC
rhe cnI or pen<onaI pmpcrty conred by thi3 (()l1tC:lCt or lQ\:IC. The
infocrnnlion is m:Un~ncd in New Yark State'. Cc:1'I1ll11 Accounting
Sysccrn b!' the Ditcetw of .\J:countinl! ()peratlon~, Offiec of tnc
St::lle Compt.roUcr, 110 State Stra:t.AIbIlllY. New York 12236.
t2.
~
EMPLOYMENT, opPORTUNrrws
. . ~. "
.
~
"1
,: i,
ContrUtot will include the pi~m(of -a", '''1)'', aall .c"
Above; in" i
~ l'UbcontrflC\' over S2SJlOO.OO tW· the: couistmCUon,' dc:molhlob, .", '
repl.l.celrlenc; mljor repAir, lCIlwat1oo, planning or defign -of Teal proJlflltY' . '.'
IInd,imp">VJ:!11Cftt' thc:wo (the "Wode") exi:ept .....hcroHbl! '\1C(odds f...:tlle·' ': :\'
,bea.c&c:iol WIC of the ContrAClor. Scc:tion 312 doc$ not' apply co: (i)' IInIl:lc,
~ or 1ICIVlce$ uilrcl"taI to thl, conr:u.cr; or (Ii) e.mploymat oulllide
New York State; or (iii) t-kmg Sl:l'\IKu. mut'llb~ polciee or the ule of
lIeeunriu. 'I'be State ,haD eorWdc:r cnmpliance by 1\ conflllCtUl' or
wboornmctor with the ~nlll of any fcdcrnJlaw conccmiug ecpl
employment opportunity which effcctuarn the Purpo8C of mil section.
IDe: contracling agency ~hllD' detcun.inc whether the lmpositiou !.If rile
n::quisemenlf or the provUionli hereof' duplicmc or Ct)dl]ict with any such
federal law md if such duplication or coo/li<;r 0001:$, the conlnltting
AgCIIcy ,hili! waive the appliabilil)' of Section 312 to the (lI(.1\:1\t of $uc;h
duplication or conllia. COIlI1'llat)(' will comply with alJ duly prumulgatcd
and IlIWful tUb and ~JI. of tnc Goycnlor's Office of Mino.dey 21'1«1
Wom:n'_ BIIMa:; DtVelOPlllcnt p<:rtaining hereto.
ll,
CQNFLICTING TERMS. 10 the CvctIt of a conflicT
the [l':Cm, of the COIltmct (including any And all altllchmenlol
rhecc:tiO and lU'I:Iendmenlll Ihl:.'t~f) Md the te1m$ uf tbi$ Appendix A, the:
ttrms of this Appendix A shall ('ontfOl.
bclW~
14.
G,O'VERNlN'G Lt\W. 'fh.j~ c:onl'ttl(t m:UI be govC'.'mcd by tbc
hr.w of the Stace ofN~'W Yotlc except .....hcr(l-Ihc l'''dotRI 'ilp~macy c1.u,e
requjrt~ rxhc~.
i
EQR
MTNQRl'I1BS AND \"9'QN:EN,
In acr:ordanc:c with Section 311 I)f the Executive l..aw. if thi:<
c(lomlCI is: (i) a wrillen agreement or pllrcnll:lC oroer imuumc:nt,
providing for II torol' cx~nditure in ~'Xc;ea~ of S2S,OOO.OO, whereby a
contnlCting tgct'lcy is COI1!.mittc:d !() caJlCod or 110<..,; expend fumh io
relUm for labor. $eMCtS, $Upjllics. equipment. rn<ttl:rilll, Of an)'
combi,,~tion of the foregoing, to be pcrfot.rned fur, or ccndcced or
fumi:!llCd tl) the cOntlacting ogcnC)'; or [Ii> a written .grccmcnt in
90f47
i
IS,I4TE PAYMENT. T'tmclioC$1l of payment QIId ~I'I)' intl:n!n C'O bc!
paid to ComrllClor (ur 11tt p"yft)cot sht.ll be guvemcd by ,\nide t 1.,\
of the S,~tu FlnllllCC Law to tlle c::ctcot ~qlli.rcd by law.
1
i
,
i
"
,I
16.
NO ARBIlRAIIQN. Disputes invulvillg dilil (,'I)(ltmct,
induding tho i»cac:h 0' aUt:f:,'(.'Ci bl'Cilcl) rh<:roof, IN)' nO( be ,ubm.im:d
I
I
j
l
f
!.,;,
t-
STANDARD CLA USES FOR NYS CONTRACFS
tv binding lubiwuion (except wnere !ltaIU torily authorized), but
mutt, i<lfh...w, be hc..ru
SIIltC of New 'fod,.
17.
j'l
a court of COOlI'\!t<:J'lt jurisdiction of the
SB&YlCE OF rROCES.), In Qddidon [(] 'ke metbods (If
aDowed by the SIllIl: Civil I'tlII:W r..aw &. RWeI ("CPLR"),
Contrac.tor henlby ~,to service of pmQ;ss upon it by
:cgis't'reU or cutiCied mai, return rcaipt requcsilld. Suvice
hemw.dc:r sbill be complen: upon ContractOr's o.ctua.I zee:rript of
pctXC<IS or upon the Stw;'$ tceclpt c>f the !Cturn IbeROf by the
SCM.:;C
United SIlIIl:S POoIttI Srrvic:e AS refus~d or ulldeliVllmlble. ContrllCror
must promptJ)· notify the State, in w~ of edi and every
chMgc of addre.s.l 10 which r;c:cvice of prOCHS can be made. Service
by the: Stan: to me m", lnown .ddrClil $hall be suffiQc:n!.
Contraclor will bIIve Ihiny (30) cakmd~f da)'ll Dlter servia:
be:wuaucr .is CQmplet\:: in wbicb to respolld.
18.
PROHIBITION mi PURCHASE
OF TROPICAL HARDWOODS, The CootraCrot «rtifie$ and
WUlDnts tbat all wood products to be ..oed UIld= tbl$ tvntrac:t
IlWIItd will be in atClll:d.lntc wirh, but not IiIl'IiICd 110. thC:'
t:pecifiarion' ~nd provisions of State FinlOte Law S165. (Use of
Tropied Hardwoods) which prohibits p"rcha~ A.xj U!le of ttopical
Iutdwoodol. uolc.ls spc:cifiatlly el<empled, by m~ Swc or :lny
governmental IIgcm:y or poIitiClll ~ubdMiiOl'l or public benefit
. l:'Oq'Ollltion. Qun1i£ic:a1ion for an exemption \.Uldet mill law will b"
the n:"Pon~ibility of th~ contmaor to e$l:IIbtls II 10 meet with
approval of thc. SIlLb:.
me
In ac!di!ioo. whcn,Il.Qy pottiQll of rbi, cont:mct .iQvoIvillg the _ of
whdher IUpPly Or inlltliUatio.u.. is to bcp"~~ by any,.· '
'.wbcn~ttactor, me prime C()tItm(tQ.l' willfudlotf! !!;Od cCtlify .is:i the' " .
submitted bid I'<oposal tbatihc fubGonllSCtor JJas bftfI informed .
: and i:I in compHlOtc wit.b ~"cjlicarioo. lind fI.:oviBiom regarding'
: ,UIIe of. tt.opicn.l hordwooc:Ll as derailed in ·165 Stille Pinancc I.aw.
, Any,..uch use mu~t meet with the 1tppro.i11 of rhc,sta.te; otherWise.
the: bid' may 'not,b. coOOdert:d, ~.wC'. Undll~ ljiddet E'
ci:rtifiotjun.. P#lOf of '1ualitiOalion for "Oiemplion will be: the:
relpomipility of !he COOtclctM to meet wim tl1c: lIpproval ()( the
',wood",
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MhCBRlDE J7.\JR &fl>LOYMENI PBINCIMS.
In acconlmce.with the MacBride Il,ir EmployJll~'tlt ~
{l:haptt:r 801 of me LAws or 1992>, the Contractor h<:teby
sripul:z.tes that ci.e Cont:nICtoc either (I) IJlht no bll:drteSs ol'enru"'111
in Northern Ireland, or (b) ~halJ rUe lawful ""Pi in good faim to
conduct uIIY bu$incA operocioflll in Nonbem Ireland ill acwtdollce
with the M.d'lridc Pair Employmcnr l'rinciples (D' de$Crlbcd in
Scctioo 165 of Ihe New YoOt St:atc Finance Law), lind lhaIJ ~it
independent monitoring of compiiaDa: witb $uch principl<:&
20,
OMNIBUS l!BDCUftEMENI Ad 0I/1m. It u the
policy of New' York Stole to ma)limi:.~ opponunilie.1 iUs tbe
parcicipo.non at New York Slllle bul'iflllu cotcrprio;~, including
minori!y and women-owned busincolil cntcrp ritICS a.I bidclus.
subc:ontnICt()($ .nd ~\lpplicrd on iN pzocumncnt COIlt1'llCts.
InforllHltion on thc'IIv"i]ability ofNcw York StlIn1 :lUbcontraclOtlI
alld lStIJ'pliCtll i.. available f.rom;
.
or Ecollo<nK Ocvcloplrulnt
J.)ivi:lion for SII1lIiJ Husiocss 30 South i>~ Sc - 7,h r~llor ,\lb.llllY,
Nt'W York 12245 TdcplKme; 51&.292-5220 I'u: 518-292,SB84
hupalwww.cmpin!.slall:. ny.\ls
N'fS D~llmmclU
AFPENDIXA
NYS Dqlamncn~ of Economic Devclol'ment
DiviAon of Miltority ..nd Wennen', BUlincs, D""elopment
30 Swtll Pce.rl 5t ,. 2nd l'loOt Albany. New York 12245 Tdcphonc: 5 1 8
292-5250 llu: 518-292-5803
h I1p a1WW111.cm pi re.S12tc. Ill', us
The Omnibw PtUCII_nt Act of J992 rcquiru tbar by lIigning tbis bid
proposal Of COntr2ct, ... appIknble. Contlac:.ton> certify that wbcn.:IrCf the!
tol!ll bid IIJIIOIIDt " 8fOa1e$ thIn SI miJlic,o:
('a) 1'bc: ContraCtor hili' made teIIfon.hle ef'fom u. encoul1&'! the
of New York Stille Bu.mc.;s Entup.rlse$ as supplie... lind
,ulx:onlfOctOtlI, including certified minority and womc...owocd bwineQ>
enl:ecpriscol. on tbil project, and bIIa retAined the documentation of fbl!$C
eCfortJ to be pcovicled upon :request to Ibc S~tc:;
pertlc:ip.noo
~) "hc CQllt:rnctorlllu complied with tile: FCIleral F,(jual Opportunity
Aao(1972{pJ... !l2-2(1)"l$arncnded;
(c;) Tho: Contracror agtCCJ to make , .....
-cmuble effom to provide
IIOtifieation 10 ~ York St::Itc: tefidcGIlI o( employment opportllBi1k:& on
rbl$ project through lis'ting an)' fUch pollirion$ witIJ the Job Sc.Mce
Divi.lion of tile New Yodc StlItc: Department of JAlbor, Dr pl')..iding $\lcb
lIotiAcation in lIIIch nIIlRQCf as is corWsttnt with lCCiiIdng collcc:tivo:
blupining contraa. Of "WCCmtnt:l. The Contractor Ignv to d.oc:wmem
IItcic cf{um Imd to I'tovi~ _ docwnCQllltioo ,to the State upon rcquc.lt;
IIOd
Cd) The Contraett>r acknowledges notice thl.t the: StAle
rntrj
seck
to
ob~ of&« m:dinr ~ fw:eign. ~Ir~ 1if. :r.,r7lul(pf 1,ru. <;''XI!m~.",.d
~ ~ r::OOpcmtc: with the State.in !ho:sc.•~ffQr~ r ""
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RiCIPRQClTY AND Qffl:tIQNS Pild9ISIONS: ~
.J
are ~by notified tholt if !heir ~,~~'PI'cc O.f.~ ~1~tlI!(~,.
'couotr}'.1I1Uion" prOYiAce. .late or pplitirial, ~jVii""""~lfpc\llU;res~ ,
.' . '.
Yqtk StDte vendors. 004 if tile, gpodJ (!r, .~ frtey. o~. will \)e'"
•ubs!.atilllly produced or ~~,Q!I~: N'1I\V:York S~ Ihe '"
, ,'.
Omnibus l't~l1lt'm Al:t 1994 ond ~ooO «mcndmenis (ClNpui 684 IIlid ,'"
Chapter 383, IC$pec:tivdy) requUc thar they be denied cnnlr.'«tl which the)'
would othc:rwilc: oblllin. NOl'E: :\$ of Mty 1S, 2002. the &t of
diK:rimi"at:ory jurildictioos Nbjec;r m I:I:U provision iacllldt... tlw stafl:ll of
South Camlinl, ,\lasIa, We$( Virginit, Wyomillg, Lwisiana ane.! flllwaii.
Cootact NYS l)cpartlllC2lt EcononW: Devdopmenr IOn Nmnt list or
jl.ld.idk:tioo. subject 10 thill provision.
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PURCHASBS OF APPAREL In .a:orcbl1ce with 5tit.: P"1nlIOal
162 (4-11), the StilI:!: shall notputcbse nny appa.n:l fron:Iuy v<:odor
IJrulb/c Ut unwilling to O'ttify tint (0) lIIIOO ~ppo:d wu OI....lIlfllCtllrc:d .in
c:omrlil>llc~ with aU applicable labor and occupational mi:ty 12wv.
including, bul not limitct! to, c;hUd labor IILW., w"IIe Qnd houtlllll.Wl< ond
workplace lIOfi.:ty law~, and (II) "\lendor will supply, with it, hid (or, if not,.
bicl oitvttion, pftor to or ~t the rime of iigning • COntnel with the Statc), if
known,lh. QOmc:" "lid 1IddrCOlllCll of ClCh subcontrac!oo: and alillt (If all
munllfatmdng plan~ to be utib:W by Ibe bidder
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t\ direclo!), of ccrtif,..-d ITIioority and wOOICf\·owncd oo.um::s>I
cncctprisc_ i. Il""wbk: !'rom:
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ATTACHMENT 3
State of New York
Vendor Responsibility Questionnaire
12of47
STATE OF NEW YORK
VENDOR RESPONSIBILITY QUESTIONNAIRE
FEIN # 4707S 1768
S'UB·CONTRACTOR
alrEllI1I
'II) DUNS It
5. WEBSITE ADDRBSS
www.verizonbusiness.com
22001 Loudon County Parkway
Ashburn, VA 20147
IN NBW YORK STATB, if different from above:
14 Corporate Woods Boulevard
Albany. NY 12211
R.nted X
OWlled
If rented, please provide landlord's name, address. and telephone number below:
Ra....: Stev. Vi.lb.IUI.
,Title,
S~,
Dir.otor
Tel.phone
Fax 1I"lDb..~, 636·793
.·man
14. VEJlDOR'S BUSINESS ElITlTY IS (please check appropriate box and provide additional information):
X
a)
Bllall1••• Corpozatiol1
'III
Sol. proprl.tor
0)
GeD....1 Parta.ra!Up
Oat. Establlahed
dl
Not·fot·Profit Corporatiol1
113/1992
o.t. Eatablish.d
Date
ofliloorpo~tlon
Dat. of 1I1oorpo~.t1oa
Stat. of l",o.rporatio,,"
Delaware
Stat. of Il1eorporation*
Chulttea Recl.tt.tion Nllmber
OIl
Limited. Li.blllty Compaa,. (LLC) Date EatabUs_d.
f)
Limited. Ll.blllty P.1'tn....b.ip
Oat. Eat.blla_d.
I)
Oth.r - Speeity.
D.t. Eat.bUsh.d
JllrIadlctlon FIl.d (If .pplieahl.)
• If not incofJl9rated in New York State, please provide a copy of authorization to do business in New York.
erizon has provided attached to this document a copy of Verizon's Corporate Status as obtained from
he New York Division of Corporation Web site.
15. PRIMARY BUSINESS ACTlVITY· (Please identify ihe primary business categories, products or services provided by YOllrbusmessJ:
Telecommunications Products and Services
h) BAKE (print):
TITLE:
Francis J. Shammo
Sr. Vice President
& Chief Financial
Officer
Verizon Communications
c) NAME (print):
TlTLlt:
Randal S. Milch
SeniorVP, General
Counsel & Secretary
13 of47
PrindpslOwner: Verizon
Business Network
Services Inc (100 %) .
STATE OF NEW YORK
VENDOR RESPONSIBILITY QUESTIONNAIRE
FEIN_
A DETAlLED EXPLANATION IS REQUIRED FOR EACH QUESTION ANSWERED WITH A "YES,' AND MUST
,
BE PROVIDED AS AN ATTACHMENT TO THE COMPLETED QUESTIONNAIRE. YOU MUST PROVIDE
ADEQUATE DETAILS OR DOCUMENTS TO AID THE CONTRACTING AGENCY IN MAKING A
DETERMINATION OF VENDOR RESPONSIBILITY. PLEASE NUMBER EACH RESPONSE TO MATCH THE
tTESTION NtTM8ER.
18.
Is the vendor certified in New York State as a (check please):
Minority Business Enterprise (MBE)
Women's Business Enterprise (WBE)
Disadvantaged Business Enterprise (DB E)?
Please provide a copy of any of the above certifications that apply.
19. Does the vendor use. or has it used in the past ten (10) years. any other
Business Name. FEIN. or D/B/A other than those listed in items 2·4 above?
List afl other businesll name(s). Federal Employer Identification Number(s) or any
D/B/A names and the dates that these names or numbers were/are in use. E:cpf4in
the reiaJionship to the vendor.
Yea~
,.--......
\!!V
No
MCI Communications Services, Inc. is registered to do business as "Verizon Business Services." That is a
registered d/b/a in all 50 states and has been in effect since 12/28/05. In the past, we did not have any
d/b/a registered for this entity, but we commonly contracted with that party and referred to ourselves as
"MCI" prior to the merger.
20.
Prior to June 2005, that entity's name was MCI WORLDCOM Communications, Inc. We dropped the
Worldeom name following emergence from bankruptcy. When we were WorldCom, we commonly used that
contracting party and referred to ourselves as "WorldCom" or (earlier) as "MCI Worldeom." So if I were to
answer this question, I'd put Mer WORLDeOM Communications, Inc. as a previous business name, Verizon
Business Services as our registered d/b/a, and Verizon Business, MCI, Worldeom, and MCI WorldCOm as
current and previous trade names.
Are there any individuals new serving in a managerial or consulting capacity to the vendor.
including principal owners and officers, who now serve or in the past three (3) years have
served as:
a.
An elected or appointed publ ic official or officer?
List elleh individual's name, businells title, the name ofthe organl'(.(llion and
POS;UIJn elected or appointed to, and dates ofservice.
Yea~
b.
A full or part-time employee in It New York State agency or as a consultant,
in their individual capacity, to any New York State agency?
List each individual's name. business title or consulting capllCity and the New
York State agency name, and employment position with applicable service dates.
Michael McCormack, Director ofNYS OFT 9/02-11/05
G;)
c.
d.
No
Ifyes to item #20b, did this individual perform services related to the
solicitation, negotiation, operation andlor administration ofpublic contraets
for the contracting agency?
List ;ach individual's nlZ1lle, business title or conslliling capacity and the New
YorkState agency name, and consulting/advisory position with applicable
service dates. List each conrract nlZ1lle and assigned NYS number.
Yes
An officer of any political party organization in New Yorl:: State, whether
paid or unpaid?
List each individual's name, businall title or consulting capacity and the official
political porty position held with applicable se",ice dates.
Yes@
140f47
®
STATE OF NEW YORK
VENDOR RESPONSIBILITY QUESTIONNAIRE
FEIN #
21. Within the past five (5) years, has the vendor, any individuals serving in
managerial or consulting capacity, principal owners, officers, major
stockholder(s) (10% or more of the voting shares for publicly traded companies,
25% or more of the shares for all other companies), affiliate or any person
involved in the bidding or contracting process:
Verizon Is involved in litigation and arbitration at all times due to the number of customers, suppliers, and
competitors that it has. Consequently, the request ofVerizon to compile a description of pending lawsuits
is an extremely arduous, burdensome and time.-consuming task. Although Verizon cannot provide such a
list, Verizon is not aware of any outstanding action that would, if successful, have a material adverse impact
on Verizon's ability to perform under the terms of this contract. In addition, Verizon makes the affirmative
declaration and commitment that Verizon shall provide the Customer notice of any action against Verizon
which action could, if successful, have a material adverse impact on the telecommunications services being
proposed hereunder to the Customer under any resulting Agreement. ·See Attachment for affiliate
information pertinent to this response.
a)
1.
2~
3.
4.
5.
6.
7.
8.
9.
been suspended, debarred or terminated by a local, state or federal
QNO
authority in connection with a contract or contracting process;
been disqualified for cause as a bidder on any permit, license,
Yes
concession franchise or lease;
Yes
entered into an agreement to a voluntary exclusion from bidding/
contracting;
had a bid rejected on a New York State contract for failure to comply
Yes
with the MacBride Fair Employment Principles;
had a low bid rejected on a local, state or federal contract for failure to
Yes
meet statutory affirmative action or MlWBE requirements on a previously
held contract;
had status as a Women's Business Enterprise, Minority Business
Yes
Enterprise or Disadvantaged Business Enterprise denied, de-certified,
revoked or forfeited;
been subject to an administrative proceeding civil action seeking
Yes
specific perfonnance or restitution in connection with any 10cal, state
or federal government contract;
been denied an award of a local, state or federal government contract,
No
had a contract suspended or had a contract terminated for
non-responsibility; or
had a local, state or federal government contract suspended or
Yes
terminated for cause prior to the completion ofthe term of the contract?
®
~
W
@
@
or
®
@)
~
G
b) been indicted, convicted, received a judgment against them or a grant of
immunity for any business-related conduct constituting a crime under local,
state or federal law including but not limited to, fraud, extortion, bribery,
racketeering, price-fixing, bid collusion or any crime related to truthfulness andlor
business conduct? *See Attachment for information.
15 of 47
No
---~----.
-_._- ..__ ._---..__... _.. _.
STATE OF NEW YORK
VENDOR RESPONSmILITY QUESTIONNAIRE
FEIN_
c) been issued a citation, notice, violation order, or are pending an
administrative hearing or proceeding or determination for violations of:
1.
federal, state or local health laws, rules or regulations. including but not
limited to Occupational Safety & Health Administration (OSHA) or
New York State labor law;
2.
state or federal environmental laws;
3,
unemployment insurance or workers' compensation coverage or claim
requirements;
4.
Employee Retirement Income Security Act (ERISA);
5.
federal, state or local human rights laws;
6.
civil rights laws;
7.
federal or state security Jaws;
8.
9.
"
federal Immigration and Naturalization Services (INS) and Alienage
laws;
state or federal anti-trust laws; or
10. charity or consumer laws?
For any of the above, detail the situation(s), the daters), the name(s), title(sj,
address(es) ofany individuals involved and, if applicable, any contracting agency,
specific details related to the situation(s) and any co"ective action(s) taken by the
vendor. "'See Attachment for information.
22.
In the past three (3) years, has the vendor or its affiliates' had any claims.
judgments, injunctions, liens, fines or penalties secured by any governmental
agency?
Indicate f this is applicable to the submitting vendor or alftliate. State whether the
situation(s) was a claim,judgment, injunction, lien or other with an explanation.
Provide the nam2(s) and address(es) ofthe agency, the amount ofthe origbtal'
obligation and outslllnding balance.lfany ofthese items are open, unsatisfied,
indicate the status ofeach item as "open" or "unsatisfied "
*See Attachment for information.
160f47
Yes@)
Yes@
Yes@
Yes@
Yes@
Yes'@
yes(§)
Yes<§)
Yes@)
YesG
-
~No
STATE OF NEW YORK
VENDOR RESPONSIBILITY QUESTIONNAIRE
FEIN
..,-....
23. Has the vendor (for profit and not-for profit corporations) or its affiliates), in
Yes~
the past three (3) years, had any governmental audits that revealed material
weaknesses in its system of internal controls, compliance with contractual
agreements and/or laws and regulations or any material disallowances?
Indicate f this is applicable to the submitting vendor or affiliate. DetAil the type ofmaterial
weaknessfound or the situation(s) that gave rise to the disallowance, any corrective action
taken by the W!ndor and the name ofthe auditing agency.
24. Is the vendor exempt from income taxes under the Internal Revenue Code?
,Yes ~
Indicate the reason for the exemption and provide a copy ofany supporting
information.
25. During the past three (3) years, has the vendor failed to:
a) file returns or pay any applicable federal, state or city taxes?
Identify the taxing jurisdiction, type 0/ tax, liability year(s), and tax liability
amount the vendor failed to file/pay and the current status 0/ the liabUlty.
b) file returns or pay New York State unemployment insurance?
Indicate the years the vendor failed to file/pay the insurance and the current
status ,,(the liability.
26. Have any bankruptcy proceedings been initiated by or against the vendor or its
affiliates) within the past seven (7) years (whether or not closed) or is any
bankruptcy proceeding pending by or against the vendor or its affiliates
regardless of the date of filing?
Indicatefthis is applicable to the submitting vendor or affrliate.lfit is an affiliate,
incbtde the affiliate's name and FEIN. Provide the court name, address and docket
number. Indicate If the proceedings have been initiated, remain pending or have
been closed Ifclosed, provide the date closed
*See Attachment for information.
• 27. Is the vendor currently insolvent, or does vendor currently have reason to
believe that an involuntary bankruptcy proceeding may be brought against it?
Provide financial information to support the vendor's current position"for example,
Current Ratio, Debt Ratio, Age ofAccounts Payable, Cash Flow and any documents
that will provide the agency with an understanding ofthe vendor's situation.
28. Has the vendor been a contractor or subcontractor on any contract with any
New York State agency in the past five (5) years?
List the agency name, address, and contract effective dates. Also provide state
contract identifICation number, if known.
Verizon is pleased to hold a large number of contracts with the
Stateof New York, Authorized Users of State coutracts, as well as
other service and equipment contracts with New York State
Agencies, which are too numerous to identify in this response.
AmoD2 others, those contracts are:
New York State OFT I Miscellaneous Circuits
ESP Albany, NY
I
COOOl14
17 of 47
Yes ~
Yes
-
®
~ No
Yes~
(§>No
1111105·11/1108
.- ...... ,-- .-.-..
,
New York State OGS
ESP Albany, NY
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5/19/01-5/19/07
Aggregated
Telecommunications PS58751
Group
Services
77010 Award 11134
29. In the past five (5) years, has the vendor or any affiliateS!:
a) defaulted or been terminated on, or had its surety called upon to complete,
any contract (public or private) awarded;
b) received an overall unsatisfactory performance assessment from any
government agency on any contract; or
c) had any liens or claims over $25,000 filed against the firm which remain
undischarged or were unsatisfied for more than 90 days?
Indicate if this is applicable to the submitting vendor or afflliate. Detail the
'situation(s) that gave rise to the negative action, any co"ective action taken by the
vendor and the name ofthe contracting agency_
Yes
Yes
Yes
Q
~
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1 "Affiliate" meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any
individual, entity or group of principal owners or officers who own more than 50% of the voting stock of
the vendor; or (c) any entity whose voting stock is more than 50% owned by the same individual, entity or
group described in clause (b). In addition, if a vendor owns less than 50% of the voting stock of another
entity, but directs or has the right to direct such entity's daily operations, that entity will be an "affiliate" for
purposes of this questionnaire.
180f47
", . .,-,"--,-,
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STATE OF NEW YORK
VENDOR RESPONSIBILITY QUESTIONNAIRE
FEIN
Statuf:
·
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M ' 'SoCS:. 'rf p...,
county of:
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CERTIFICATION:
. :i'~!:~
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The undersigned: recognizes that this questiormaire is submitted for the express purpose of
assisting the State ofNew York or its agencies or political subdivisions in making a detennination
reg.an:Jing an award ofcontract or approval ofa subcontract; acknowledges that the State or its
agencies and political subdivisions may in its discretion. by means which it may choose, verify 1he
truth and accuracy ofall statements made herein; acknowledges that intentional submission of f81se
or misleading information may constitute a felony under Penal Law Section 210.40 or a
misdemeanor under Penal Law Section 210.35 or Section 210.45. and may also be punishable by a
fine and/or imprisonment of up to five years under 18 USC Section 1001 and may result in contract
tennioation; and states that the information submitted in this questionnaire and any attached pages
is true. accurate and complete.
", ;. ,.;':'
, Ute undersigned certiijes that h~~be:' ': . '," '_
• . has not altered the content of the' questions in the questionnaire in any manner; i ,
'. • ' has read ~d understands ofthe,ite:rps contained the questionnaire and.-eny.pages
,'attached by the submitting vendor;
. , :.
t has supplied full and complete responses to each item therein to the best ofhislher
'\
. knowledge, information and belief;
• is knowledgeable about the submitting vendor's business and operations;
• understands that New York State will rely on the information supplied in this questionnaire
when entering into a contract with the vendor; and
• is under duty to Dotify the procuring State Agency ofany material changes to the vendor's
responses herein prior to the State Comptroller's approval of the coniract
all
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Name of Business: Mel Conmnlcations Sgryi!;e!l Ine.
Signature of Owner/Officer:
Address: lWOl
SJ1L; AACA:) ~~
Loudon COllnty ParkwaY
City,State,Zip: A$hbum,VA10147
Sworn 10 bdore me this
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Printed Name of Signatory: $'vle IMo.(\
Title:
VP PriC'''~ fc.QK\'Jl.A.cr
tVareb
Let~h
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Signa<"""
3- 12·0'1
Date
190f47
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NYS ,Department of State
Division of Corporations
Entity Information'
Selected Entity Name: MCI Communications Services. Inc.
Selected Entity Status Information
Current Eotity Name: MCI Communications Services, Inc.
Initial OOS FiHle Date: MARCH 23. 1973
County:
NEW YORK
DELAWARE
JurJsdictioo:
FOREIGN BUSINESS CORPORATION
Entity Type:
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Current Entity Status: ACTlVE
r
Selected Entity Address Infomurtion
DOS Process (f\ddress to whicb DOS-will mail process ifacc:epted 00 behaJfofiheentity). "~,",
, CiO nm'PRENTICE HALL CORPORATION SYSffiM, INC
80STATEST .
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ALBANY, NEW YORK, 12207
,
PresideDt aDd ChiefExecotive Officer
JOHN F. KILLIAN
1 VERIZON WAY
BASKING RIDGE, NEW JERSEY 07920
Principal Executive Office
MCI,INC.
22001 LOUDOUNCOUNTYPKWY
ASHBURN, VIRGINIA, 20147
Registered Agent
C T CORPORATION SYSTEM
111 EIGHTH AVENUE
NEW YORK. NEW YORK, 10011
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Verizon Response to Attached Better Business Bureau Report (NYBBB) as provided by tbe
State of New York.
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Page I 01'3
VERIZON COMMUNICATIONS 1095 Awnue of the Americas
N_ York, NY 10036
View Location Map
Orlglna' Business Start Date: 1/t11975
Prlru:ipal: Ivan Seidenberg, ChIef executive Officer Phone Number: (212) 8Sg..
2121
Additional Phone Numbers:
Fax NumbGr: (212) 869-3265
Website: www.verizon.Gom
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The infonnation in this report has Glther'~~hprovid~d by the comp~ny, or hal been compiled bythw Bureau from
other sourctis.
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BBB Membership
This company is a member of the Better BUsiness Bureau. ThIs means It supports the Bureau's servi<:es to the
public and meets our msmbership standards.
Customer Experience
The company's size, volume of business, and number of transactions may have a bearing on the number of
complaln~ received by tha BBB. The number of coMplaint$ Fled egalnat iii company may not be as important as the
tyPIl of coptplaints, and now the company nandled them. The BBB generally does not pass Judgment on the validity
of compla!nts filed. '
25 of 47
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Resolved
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addressing the dl$puted
issues, however the
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Page 3 of3
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Additional BusIness Names
I
Thl& flrrn also does business under the following names, This Is not ner:;ess8tily a complete list.
formerly Bell Atlantlc GTE Corp.
NYHEX
J
Report . . oft 11/17/2005
Copyright
e 2005 BBB of Metropcliblln New Yorll, Inc.
As a matter or .policy. the BettAilr Business Burelru does not endorse any produrt, Sl!!rvlce, 01' company. BBB repolts
generally coyer a three-ytBl'reporting period, anG! ant provided solely to assist: you In eXeTc:islng ~ur own best JlJdgment.
Informlltlon contaIned In this report Is believed reliable but nat gUi!lrBnteGd as I;Q ila:uracy. Reports are $ubject to change
at any tlme,
The Better Business .Bureau [l!pOrt$1lft memb~ lind non·members. M@mbershlpin the 00815 voll.lntal"/; j)nd.lT.1lU1bers: ,'" ','.' .• ' I
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Verizon Response to Attached Occupational Safety" lJealth AdministratioD (OSHA) as
provided by tbe State of New York.
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Occupatlona' Safety & Health Admfnlstratlon
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shawn in Italic. InformatIon for these open cases is especially dynamIc, e.g., violations
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Results; 1 - 13 of 13
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ST-220
NV\" Yorle Sm. Depllnm.", otTII><IIl"" ud Flun...
Contractor Certification
9/05 (Paae 1 of 4)
(pursuant to Section S-a of the Tax Law)
For more information, $ce Publication 222, Queltlon and AlUWtlr,f ConcerninB Tox LawSecllQII 5-0,
lIatnC
636-793-J457
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SAC.'MAC\ Yes Sc'lc\l"
(110m,)
, hmbyo.fllrm, IInder penalty q/ptrjury, Ihal I am
VP Prj C'O!J1c d~:t'(l...4-CT ~~J.(T"
(tfc/e)
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of the above-named contractor, tllnt I am authorized to maklt this certification on behalf of lucb contractor. and
that to the beSi of my knowledge;
Part L Contract Dot covered by seedon S-u of the Tax Law
(Mark 41'1 X ii, th.. hor 1/ fhl' $/alemlll,,1 i$ (App/lcable, (J)'OlIIlltl/'1c IhI$ box,)IO_ do 1I0l hmI" 10 complele 1'("16 1/ IhrDllfh Y.)
[J ne requirements oheetion S-II oftbc Tax Law do not apply to this contract (P,.ovidil a 8f1parate e::cplanation
of!d at,ach to ,Iris form).
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to' tlili iialil/i,'n1 in ParI I, mark QII X lItJ::cllo Ih, opplicabl, 3tatlfm~t lit /!atl,,: II
tlrrfJllglr LV I".d,'jf applit:ahl;; Part 'y.)
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Part II, Contractor registration stata.5
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(g) The c08tnietiwhasmade sales delivcred
meuido IOl:atioDS within New York. Slatc of;laogible,'
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, persoll~1 prop~rt)' or laXablt:' serviceS having a cumulative value: ill excess 01 $300,000 during tbe JDur:quarlerly' " ,',
periods ending on the last day of February. May. August, and Novem.ber whld! immediately precede the quarterly
period in which this cefrlficatloll is made and for which informlllion Is aVailable. and is registered for New York
State and local sales lind compl;nsatini lise lax purposes with the Commissioner of Tautlon and Finance punuanl
to ,eetlon! 11)4 and 1253 oftlie TaJl Law. The COl1tnu:tor is listed on Schedule A ortll;$ o:ertlficetion,
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As of the date of this certification, the contractor has not made sales'dellvered by any means to locations within
New York State of tangible penonal property or tauble serviees baving a cUIIlulath'e,value In I:l«:CSS of1300,000
during the four quarterly periods ending on the last day of February, May. Ausu$t, &lid November which
immedlatel), precede tbe qllattl:rly pcriod in wbieh thIs emificallon is made and for wblch Information is available.
1
Part III. Affiliate registratJon statIH
o As of the date orIbis ccrclncatioll, the contractor does not havl: byamllates.
The
181
c:ontractor hilS one or more amllates baving made sales delivcred by any means to locations within New
York State of tangible personal properly or taxable services bElving a cumulative value in excess of UOO,OOO
during tbe four quarterly periods CIIding on tbe last day of February. May, August. and November which immediately
precede the quarterly period in whicb !his ecnificltioll is made and for which inforJllation is available, and eoch
.ffillate! exceeding the 1300,000 cumulative sales threshold during such periods is regisll)l"ed for N~w York State and
local sales and compensating usc tax purposes with the Commissioner of Taxation and Finance pursuant to sections
Ill4- and 1253 oftbe Tax Law, The contractor bas listed each affiliate exceeding the $300,000 cumulative 3810:5
Ibreshold during slich periods on Schedule A of this certiflc:aUon.
o
The' c6ntraetor has one or more affiliates and, as of the date of this certification. eac~ armillt\!: has lIot mllde
sales delivered by lillY means to locations within New York Stale oftan,iblll' personal properly or taxable
servicll!' .baving 8 cumulll.tiv~ vallie in excess of $300,000 during the four quarterly periods ending 011 the last day
of l'ebJ'uary. May. August, aod November which immediately pt'Cj;cde tile Quarterly period in which this
"rtification is made and for which information is available.
370f47
87.:1209/05 (Paie 1 of 4)
Part IV. SlIbc:oBtractor regislration status
o Asoftbe date oftbis cert1f1eatlon. the contractor does not have IIny subcontractors.
129 The contractor has one or more subcontra.cton, and. each subcontractor has infOlilied the conttactor of whether
or not,as of the dille ofmis certification, it bas made sales delivered by any means to locations within New York
State of tangible personal property or taxable services baving a cumulative value in cxc:e&$ O(S300.000 during the
four quarterly periods ending OIl the Jut day ofFebruary, May. August, and November which immediately precede
tho qu!ptel'ly period in which this c,rlili.atioll is made and for which information Is available. Each subcontractor
iDfoming the cOJ\trll()lOC' that it has made sales in excess of the $300,000 cumulative sales, tbmhold duriDg sw:h
periodS has f\n!her infbrmed the contractor \bat it is registered for New Yorlc SIaI:e aad loc:al sales and compensa1ing
IIllC tax: puxposc:s with the CommJssioller of Taxation and Finance p\ll'$uant to sectioDS 1134 and 1253 ofthe Tax Law.
The contractor has listed each subeantrilctor exceeding the $300,000 cumulative sales tbreshold during such petiocls
on SchMule A armis ocrtificalloll,
o
The contractor has one 01 mOl1; sUOOmtrllCtors, and each subcontractor has infOrmed the contractor that,. as of
the date oftltis cllrUfJcalloll, iI.bas not made sallIS delivel'lld by any means to locations within New York State of.
tangible personal property or taxable services baving a cumulative value in excess of S300.000 during the four
quarterly periods endiDg on 1he last day ofFebmary. May, August. and November which immediately precede
the quarterly period in which this cc:rlll1cltion is made and for which information is available.
Part V. Subcontractor armis to reglstraUon status
.
,.;,~,.: "18] ·The cOri~~ has one or more Subcolitracl~rs. and ,eadI subconliactot hasj~formed.1he,\;OiitraetOr .
::w.,! ':tha~ as ,ofthe (!at.: llfthihertifi"iltiliQ. it&es notbave:ariy iarnlia'lts,' ,
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.DThe ~tractor bas one or men subconrracttm, and eacb subcontractor h83 informed the. conti-acter of wheth~ or
not, as ofthe date of Ibis certification. it bannyaffiliates having.rria<k sales delivered by any meatJS.>to locations
,., within.No\.V YOlk State oftangible persoa.I!l,plOp!;rty or taxable servi~ having a cumulative value inexceS$ of '
"'~' ,,$300.000 ~ng the four quarterly peJ:iocls· en(iUig, the last day ofFebrosry. May, Au~ltIld
which
. immedialely precede the quarterly period in which this certification is made and for which information is avaIlable.
Each subcontractor informing the contnlttol' that it has one or more .(nJlates having made sales in excess ofthe
$300,000 cumulative sales threshold during such periods has further Informed the oontn.ctor that each such llffIIille
i$ registered for New YQrk Stato and looal sales iUld compensating use tax purposes with the Commissioner of
TWtation l1Ild Finanoe pursuant tv sections 1134 and 1253 ofthe Tax Law, The contracr.o.r has listed each suboontractor
.ffillate ,exc~eding the $300,000 cumulative sales threshold during such periods on SdJedule A of this eertifl<:&IiOJl.
on
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N6vtmber
o The bntractor has ooe or more subcontractors, and ea(:h subcontractor bas infonned the comrac:tor that. as ofthl
date ofthis certification, it bas no affiliate having made sales delivered 'by allY means to locations within Now York.
State of tangible personal property or taxable services having II cumulativi value In excess of$300.000 during the fuur
quarterly periods ending on the last day ofFebruary. May. August. and November which immediately ~e Ihe
quarterly period in which this oertifiC:ltlOfi Is made and fOr which infonnation is available.
Sworn to Ihis
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&0... Y'd\ ,2007
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ST-21& 9/05 (Page 3 of 4)
Individual, Corporation, Partnership. or LLC Acknowledgment
STATE OF
M,sSLss;ep\
COUNTY OF
SS.:
,:/0 l,.,C 0
On the ela)' ~'" of
il'lthe),car20.o..1. before me personally appeared ~\eiMA.n
known to me 10 be the person who executed the fOretrinl instrument, who, being duly sworn by me did dOpOse: and
sa)'thathlHeside:sat .-'pO! tCy,dcMO
Qut\-b.j PO.dO.l.lQ"
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A5hbu.@.(\
County of Lou. d..oUQ
Town of '
State of
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; and further tbat:
, [Mark an X in tlIe a.ppropriate: box IIIld complete: the accompanyin, $talement.J
o (If an individual): _he executed the foregoing instrument ill his/her name and on hislher OWII behalf.
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fl!I (If II eOJ1loraliop): be is the
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described iD said instrumeat; that,. by aulbori of the: Bollrd ot Dircetors of said cwporation. _he is authorized to.
execute the foregol ..g in$ltume:nt on ~half of tne corporation for purposos set fortll therein; and that, pursuant to
,..""Ihat authority:, _be cx,ceuted ~c r~egl?~~'" In,~m~~t, i!'l.th,c, ~a:J.llcerf,an<I.C1fI beIl.alf of said corporation IU. thel!ll '
"'''''and'(fccd'ofsaid Corpon!Jion.,
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LtC, the limitecllja~lIIty company described in said Instrument; that _he is authorized to execute the foregola,
instrument on boblf of the limited liability company for purposes set fortI! therain; and that, pursuaPI to that
authority. '_Dc executed the foregoing instrumellt in the name: of and on behalf of said limited liability company II$'
the act lind deed of said limited liability compaDY.
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;'; ofsald partnership, _he is authoti'zed'tb ~e'cute'lhe'f6retoirig'iiu;truniellfoD bdlaltor.th~ partocn;hip for purposes
'-"'set fottb tberein; and that. pursuant to thal.il.u1h6ritYi~hc: el'leeured the 'foregoing instrument in the l'Ifl.me of and ou
behalf of said partncnhip 15 the act and deed erhllid partnersbip,
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the contractot; Sit a lubcoJ1tractor; or SA jf an affiliate of II subcontractor, and I:ompleta c:olumo$ a
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Information COJIcemlDg quarterly '!'IIIBCS paid 10 WlplOyees Is provided to certain stale apcles fDr p..rposes or fraud prevcnliOll,
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Offerer Disclosure of Prior Non-Responsibility DeterminatioDs
Name of Individual or Entity Seeking to Enter into the Procmement Contract;
MCI Commppic:atio!s Ss;rvfcg, Inc.
Address: 21001 Loudon County Parkway Asbbur!, VA 20147
Name and Title of Person Submitting this Fonn:
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Contract Procurement Number: X160812
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Date:
I. Has any Governmental Entity made a finding of non-responsibility regarding the iudividual or enllty
seeking to enter into the Procurement Contract in the previous four YC8lS? (Please circle):
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Yes
If yes, please answer the next questions:
2. Was the basis for the finding ofnon responsibility due to a violation of State Finance Law § 139-j
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(Please circle):
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Date of Finding of Non-responsibility:
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Basis of Finding ofNon-RespoRsibility:
(Add additional pages as necessary)
5. Has IIny Oovernmental Entity or other governmental agency terminated or withheld a Procurement
Contract with the above-named individual or elltity due to the intentional provision off.lse or incomplete
information? (please circle):
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Yes
ACP!.. 2.16.06 Non.14sponsil>lIily
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6. If yes, please provide detailll below.
Governmental Entity:
Date ofTermination or Withholdin, of Contract:
Basis ofTennination or Withholding:
(Add additional pages as necessary)
Offerer certifies that allinfonnatioft provided to the Governmental Entity with respe<:1 to State Finance Law
§J39-1c is complete. true and accurate •
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Offirer Certification:
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I certify that all information provided to the Govemment1ll Entity with Ili!SJ)eCt to.5titB Ffnanc:e Law §139
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Mel 9t!nmunlc;Btions Inc.
Contractor Address; 23001 Loudon County Parkway. Ashburn, VA 20147
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• "Go'Vemmental Entity" may be amended to specifically reference the
governmental unit conducting the procurement,
- "Offerer" may be amended to conform to the Offerer's legal identity or
abbreviation set forth in the contract,
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Agnement pursuaDtto State Finance Law §139-j (3) and §139-j (6) (b)
Background:
State Finance Law §139-j(6)(b) provides that:
Every Governmental Entity shall seek written IIffinnations from all Offerers as to
the Offerer·s understanding of and agreement to comply with the Governmental
Entity's procedures relating to permissible contacts during a Governmental
Procurement pursulUlt to subdivision three ofthis section.
Instructions:
A Governmental Entity must obtain the required affinnation of understanding and agreement to
comp]y with procedures on procurement lobbying restrictions regarding permissibJe Contacts in
the restricted period for Ii procurement contract in accordance with State Finance Law §§ 139-j and
139-k. It is recommended that this affirmation be obtained as early as possible in the procurement
process, such as when the Offerer submits its proposaJ or bid. The following language can be-used.
to obtain the affinnation.
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Contractor Address: 22001 Loudon County Parkway, Ashburn. VA 20147
ACPL 2. J6.06 Affirmation
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srA TE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICI!;S
THIl HARRIMAN STATE CAMPUS
1220
WASH1~()TON
AVENIJE
ALBANY. N,Y, 12226·2050
URII\N FISCH!.lR
rnM"'IS~ION~R
RICHARD D. ROY
...SSOCIA1F. COMMISSIONER
April 12. 2007
Gai] P. Thorpe
Contract Management Specialist
Office of the State Comptroller
110 State Street
Albany, New York 12236
Dear Ms. Thorpe:
Re:
Inmate Phone Program
MCI (Verizon Business). Xl60812
1 am responding to your Apri112, 2007 request for clarification on the Department's one-year contract
extension with MCVVerizon for the Inmate Phone Program.
Rate Reduction
Please provide a summary of the colleet call rate reduction determination, including the
requirements set fortb by Governor Spitzer and how tbe new rates were calculated.
In January 2007, Governor Spitzer directed that the Department could no longer accept commissions
from inmate phone services. The Department had previously received a commission of 57.5% on
every completed call. The rates established for a completed call under the original contract were $3.00
to connect and S. 16 per minute.
Effective April 1, 2007 call rates were reduced by 50% and the cost of a call dropped to $1.50 to
connect and $.08 per minute, from which the Department will receive no revenue.
Tn consideration of the rates dropping, there is an anticipated increase in can volume. National data
suggests that if call r~tes drop 10%, caU volume will increase 5%. Based on our current infrastructure,
DOCS projects that we have enough phones to handle a 20·25 percent increase in calls on April I,
2007 without disrupting service to inmateslfamllies.
DOCS monitors call volume. If volume increases 18% or more within the six months of April-Sept
2007, DOCS contract extension allows for a further rate reduction of 7.5%. lbis will provide
sufficient time and data for us to increase phones if we need to and further reduce rates.
Contract Amount Increase
What does the contract amount or $113,000 represent? The original revenue stream was based
on a commission payment to DOCS, wbich has been eliminated due to tbe Governor's action.
The section that you refer to is an errOr. There is no contract amount increase. Thank you for pointing
out the error.
The Gores Group
News articles dating back to November 2006 reflect an Impending acquisition of Verizon
Business by The Gores Group. When the acquisitIon closes. which Is expected In tbe second
quarter of 2007, does DOCS intend to process an assignment?
MCl/Verizon intends to sell-off its contract for the Phone Home Service to its subsidiary Global Tell
Link (GTL) services. GTL is supported by the Gores Group - a venture capital consortium. The
Department is aware of MCl/Verizon's intentions an<l is working closely with both GTL and
MCl/VerizOil to ensure that there will be no interruption in phone service and no change in caning
rates as a result of the transition of the contract from MCVVerizon to GTL, which is anticipated to
occur in June 2007.
I hope these answers sufficiently address the issues you have outlined in your Jetter. If you need
additional infonnation, please contact me at 457·2540 or tjhcrzog@docs.state.ny.us
Sincerely, ~ ,/ I*.1 j
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Thomas J. Herzog
Chief Information Officer
Management lnfonnation Services
Cc:
Richard D. Roy. Associate Commissioner
Bruce Johnson. Director/Budget and Finance
Dan Ryan, OSC
Jason Effman, Counsel's Office
Denise Patton, Budget and Finance
Robert Koberger, MIS
Michael Mulrooney. MIS
Sharon Shear. MIS
THOMAS P. DINAPOLI
STATE COMPTROLLER
110 STATE S:rREET
ALBANY, NEW YORK 12236
STATEOFNEWYORK
OFFICE OF THE STATE COMPTROLLER
April 12, 2007
Thomas Herzog
Chief Information Officer
Dept. of Correctional Services
Building 2
1220 Washington Avenue
Albany NY 12226
Dear Mr. Herzog:
Re:
Inmate Phone Program
MCI (Verizon Business), X160812
Please respond to the following questions pertaining to the amendment for a one-year extension and rate
reduction, effective April 1, 2007. between the Department of Corrections (DOCS) and MCI
Communications Services. Inc. (d/b/a Verizon Business).
Rate Reduction
Please provide a summary of the collect call rate reduction determination. including the requirements set
forth by Governor Spitzer and how the new rates were calculated.
Contract Amount Increase
What does the contract amount of $113,000 represent? The original revenue stream was based on a
commission payment to DOCS, which has been eliminated due to the Governor's action.
The Gores Group
News articles dating back to November 2006 retlect an impending acquisition ofVerizon Business by
The Gores Group. When the acquisition closes, which is expected in the second quarter of 2007, does
DOCS intend to process an assignment?
If you need to contact me relative to the questions outlined above, you can reach me at 486~30 11 or
gthorpe@osc.state.ny.us.
Sincerely.
Gail P. Thorpe
Contract Management Specialist
gpt
cc:
Dan'Ryan (OSC)
Sharon Shear (DOCS)
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
THE HARRIMAN STATE CAMPUS
1220 WASHINGTON AVENUE
ALBANY, N.Y. 12226·2050
BRIAN S. FISCHER
DEPUTY COMMISSIONER
ADMlNlSTRAT[VE SERVICES
COMMISSIONER
March 21, 2007
Contract Approval Unit
NYS Department of Law
The Capitol
Albany, NY 12224
RE: .
FACILITY:
CONTRACTOR'S NAME:
CONTRACT NO .IDATES:
PURPOSE:
AMOUNT:
10160 NYS Department of Correctional Services
MCI Communications Svs
d/b/a Verizon Business
X160812 04/01/07 - 0~/31/08
Inmate Phone Home Program
$113,000
Dear Sir/Ms:
Please find enclosed that above contract for your review and approval.
When the contract has been approved, please transmit the enclosures to:
Office of the State Comptroller
Contract Approval Unit - 11 th Floor
110 State Street
Albany, NY 12236
I have also included a selfwaddressed envelop and a form for my tracking purposes.
Kindly fill in the date/initial and return to me when you have forwarded to contract to OSC.
Should you have any questions feel free to contact me at 457-2127.
Thank you for your cooperation in this matter.
Very truly yours.
Co p,/
Denise A. Patton
Associate Budgeting Analyst
Budget & Finance
DAP
Enc.
STATE OF
NEW YORK
AC340C
CONTRACT ENCUMBRANCE REQUEST
7ZU~3~ a I
Orlginatin" Agency Code
JDi 1.00
Batch Type
1BV
,
[XJ
Amendmenfl
Supplemental
N.~morl '3t ()oqq~ .~lo
NumberofDocum.n~
Action Code
10160
C
SVS INC
RD
IRS Code
Stal Type
Indicator. Statewide
Contract
Period
000.00
(DO)
(VY)
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Code
Bids Solicited
Date Received
Number Rejected
No Reply
Initials
d
Dale Approved
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OFFICE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE
Agency Code: 10160
Batch Number:
Agency Name: Department of Correctional Services
Contract NumberNendor: X160812 MCI- D/B/A Verizon
('
AGENCY RESPONSIBILITY CERTIFICATION
The Department of Correctional Services has undertaken an affirmative review of the proposed
contractor's responsibility in accordance with the standards outlined in Comptroller's Bulletin No. G-221
and based upon such review, has reasonable assurance that the proposed contractor is responsible as
indicated in question 9.
Authorized Agency Officer: Bruce A. Johnson
Direct Phooe Number: 518-457-5604
Title: Director. Budget and Finance
Email: bajohnson@docs.state.ny.us
t
--------- ....
New York State Department of Correctional Serv!ces
CONTRACT MANAGER'S AFFIRMATION OF VENDOR RESPONSIBILITY
DETERMINATION WITH VENDOR RESPONSIBILITY PROFILE
Vendor Name Verizon New' York Inc.
Contract Number x160812
Contract Period: 411/07-3/31/08
CONTRACT MANAGER'S RESPONSIBILITY AFFIRMATION
I. Thomas Herzog, have undertaken an affirmative review of the proposed contractors
responsibility in accordance with the standards outlined in Comptroller's Bulletin No. G-221 , and
based upon such review. have reasonable assurance that the proposed contractor is [responsible
or non-responsible] as indicated in question 9 above.
I have determined Verizon New York Inc. responsible using the following supporting
documents:
Contract Manager: Thomas Herzog
Direct Phone Number:
Title: Chief Information Officer
....~.
OFFICE OF'THE STATE COMPTROLLER BUREAU OF CONTRACTS
w
VENDOR RESPONSmILITY PROFILE
Part I - Complete for aU contract transactions
1. Agency Code:
lOJ60
2. Agency Name:
3. Batch No:
5. Vendor Name:
NYS Department Of Correctional Services
4. Contract No. or Purchase, Order No.:
Verizon Inc.
~ Prime Contractor
6. Vendor Federal Employer
•Identification Number:
8. Description of Contract:
0
Subcontractor
. Contract Amount:
Agreement with Verizon to provide inmates the ability to call home at a
reasonable cost and maintain contact with friends and family.
9. ResponsibiJity Determination - The contracting agency has reviewed the proposed contractor
and made the following determination regarding the proposed contractor's responsibility:
~ Responsible
IZI The proposed contractor meets the appropriate standards.
[81 Responsibility issues identified have been addressed by remedial actions of the vendor to
the satisfaction ofthe contracting agency. [1]
o
Responsibility issues identified have been addressed by a formal agreement with the
vendor, which include measurable actions and standards satisfactory to the agency. II]
o Non-Responsible - The proposed cohtractor initially selected was found non-responsible.
[I]
[1] Attach and list in item 14 below additional documentation. ifneeded.
Part II. Complete for contract transactions exceeding $100,000
10. Did the contracting agency require vendor disclosure in each of the following areas?
Legal Authority ~ Yes
Financial & Organizational Capacity
Integrity [81 Yes
IZI Yes
Performance k8J Yes
II. W hat methods were used to obtain these disclosures and any other information used in making the
responsibility determination?
IZI OSC Questionnaire
o Solicitation Document
D Procurement Council Questionnaire
[81 Other (i.e .• vendor disclosure, web site, other information source). Describe: Dunn and
Bradstreet report. research on Various Web Sites: OSHA. OAG, DOL, BBB
,.6FFlCE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
/
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VENDOR RESPONSIBILITY PROFILE
b. Describe the process used to determine vendor responsibility. Attach and list!n item 14 below
//
additional documentation, ifneeded.
Basic Web Research was completed using standard search tools as well as NYS and Federa1
Governmental sites. Verison was asked to respond to any issues found. In addition, Verizon was
asked to provide a Dunn and Bradstreet report. The report returned no addional areas of concern.
Part III - Complete for all contract transactions
13. Identify any vendor responsibility issues found:
o No issues known or found.
12$l1ssues found. Describe below the issue and related resolution. Attach and Jist in item 14 below
additional documentation, if needed.
Narrative Description
Resolution
14. Attachments
r8J
Completed Vendor Questionnaire (required ifone was used in the procurement)
o Other (list)
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
THE HARRIMAN STATE CAMPUS - BUILDING 2
1220 WASHINGTON,..VENUE
ALBANY. NY, 12226-2050
BRIAN FISCHER
RICHARD D. ROY
COMMISSIONER
DEPUTY COMMISSIONER
December 17,2008
Ms. Catherine a. Solibakkc
Contracts Director
UNfSYS
1t 720 Plaza America Drive
Tower III
Reston, Virginia 20190
RE: Contract # C 160988
Inmate Telephone System
Period: 04/01/08-03/31/11
Dear Ms. Solibakkc:
Attached for your records is an original approved contract by and between the New Yark
State Department of Correctional Services (DOCS) and UNISYS Corporation for the
provision of Inmate Telephone Systems to DOCS.
Please advise if you have any questions or require additional information regarding this
approved contract.
'
Sincerely,
/
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Thomas J. Herzog
Assistant Commissioner
Chief Information Officer
Management Information Services
Attachment
TJH:CAM:db
cc:
Michael J. Mulrooney, MIS
Bruce Johnson, CFO
George Glassanos, Counsel's Office
Denise Patton, Budget & Finance
A~
·,52 (R~v -41C3,'
APPROVED DOCUMENTTRANSMITTAL
Oate:_ _ _ _ _ _ _ _ __
STATE OF NEW YORK
OFFICE OF THE STATE COMPTROLLER
Bureau of Contracts, Floor 11·1
11 0 State Street
Albany. New York 12236
Agency Code _'-Lf"",Q:.-Jtw,·
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Contract No.:
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Purchase Order_ _ _ _ _ _ _ __
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II2f Enclosed is an approved contract.
Refer to this contract number and agency code in all correspondence.
o Enclosed is an approved Amendment No.lChange Order No.
in the amount of
$._---
o Extension is approved to
........_Amount if applicable $,_ _ _ _ _ _ _ __
o Enclosed is an approved purchase order. Referto this purchase order number and agency code in all correspondence.
o Enclosed is an approved purchase order change notice in the amount of $,_ _ _ _ _ _ _ _ _
o
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
AGREEMENT
This AGREEMENT is hereby made by and between the State of New York Department of
Correctional Services (hereinafter referred to as DOCS) and Unisys Corporation (hereinafteneferred to
as Unisys).
WITNESSETH:
WHEREAS, DOCS has the authority to provide for the inmate telephone systems needs of its
facilities and desires to contract with skilled parties possessing the necessary resources to provide such
services; and
WHEREAS, DOCS bas solicited bids in order to procure the services of a well-qualified
service provider in order to provide such services and has selected Unisys to provide such service
services for DOCS; and
WHEREAS, Unisys is ready, willing and able to provide such services and possesses, or can
make available,
necessary qualified personnel, licenses, facilities and expertise and perform or have
performed the services required pursuant to the terms of this AGREEMENT;
an
NOW THEREFORE, in consideration of the promises, responsibilities and covenants herein,
DOCS and Unisys agree as follows:
1.
SERVICES: Unisys will carry out all responsibilities and services identified in the
proposal attached herein as Exhibits A B, C & D entitled:
A. DOCS' "Request for Proposals" dated November 5,2007 and all Appendices and
Attachments included in the "Request for Proposal.
B. DOCS' "Modifications to the Request for Proposals" letter dated December 12,2007.
C. Clarifications to Questions and Answers (Pre-bid Submission).
D. Unisys's Response and Clarification to DOCS' Questions Concerning Contractor's
proposal.
2.
COMPENSATION A.~-n PAYMENT: The parties acknowledge that all income and
revenue to be derived by Unisys from this contract shall be paid exclusively by the users of
the services, provided pursuant to this contract and that the State of New York, DOCS, its
officials and employees shall have no responsibility for these payments.
3.
INCORPORATED PAGES: This AGREEMENT incorporates the face pages attached
and all of the appendices identified on the face page hereof.
4.
EFFECTIVE DATE: This AGREEMENT shall become effective upon the Approval of
the Attorney General and the Comptroller of the State of New York.
5.
SUBCONTRACTING: This AGREEMENT shall be binding upon the parties, their
successors and heirs. Certain responsibilities may be subcontracted with tbe written
approval of DOCS.
6.
ST ATE OF IJAW: This AGREEM ENT shal1 be construed and interpreted in accordance
with the Laws of the State of New York.
7.
CIVJ.L..EQUAL-HUMAN RIGHTS: Unisys agrees to comply with all applicable
Federal, State and local Civil RJghts and Human Rights Laws with reference to equal
employment opportunities and the provision of services.
8.
CONFLICTING TERMS: In the event of a conflict between the terms of the
Contract (including any and all attachments thereto and amendments thereof) the
"authorities" to which resort will be made and which shall control are the following in the
order of priority presented here:
A. Appendix A, "Standard c::lauses fot New York State Contracts."
B. The contract, which includes the RFP, the following RFP Appendices, Unisys
"winning" Proposal and the Question and Answers
The contract appendices, as follows:
C. General Specifications
D. Offeror'S Certification of Compliance
E. Offeror's AtImnation of Understanding
F. Vendor Responsibility Fonn
O. Vendor Reference Fonn
H. Staff Qual ification Form
I. Financial Proposal Cost Form
J. Non- Disclosure Agreement
K. Notice ofIntent to Bid
L. Proposal Response Forms
9.
TERMINATION: Basis for termination is set forth in DOCS Request for Proposal,
Section 8.4 entitled "Breach of Service", Exhibit A.
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on
the dates below their signatures.
Contract No.
~~-----------------
CONTRACTOR
Unisys Corporation
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STATE OF
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COUNTY OF - };~
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My Commission Expires
March 31. 2011
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';"1 ,On the fl~ day of
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A1tL.~'di, 2008, before me personally appeared
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resides at lJi;/.::bi.V /_, that he/she is the
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of the Corporation described
herein whIch ex.::cuted the foregoing instrument; and that he/she si' ed hislher name thereto by order of
fue B : .
Of2.tors of sai . "Corporation.
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ATTORNEY GENERAL
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STATE COMPTROLLER
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STATE OF NEW YORK
.DEPARTMENT OF CORRECTIONAL
SERVICES
Request For Proposals
ForAn
Inmate Telephone System
Issued by: NYS Department of Correctional Services
Management information Services
1220 Washington Avenue Building #2
Albany, NY 12226
November 5,2007
NYS Department of Correctional Services
Inmate Telephone System
Table Of Contents
INTRODUCTION ................................................................................................................................ 1
1.6
THE DOCS MISSIO:'<l STATEMENT ........................................................................................................ 1
BACKGROVND .........................................................................................................................................1
OVERVIEW OF Ex ISTI~G INMATE TELEPHONE SYSTEM (ITS) .......................................................... 1
PlJRPOSE.................................................................................................................................................... 2
ISSlIlNG AGENCY / I:'<IQUIRIES ...............................................................................................................2
SCHEDULE OF EVENTS ..........................................................................................................................3
2
BIDDER INFORMATION ..................................................................................................................4
2.1
2.2
TERM OF AGREEMENT ..........................................................................................................................4
COl\-fPLETENESS Of' PROPOSAL.............................................................................................................4
MODIFICATIONS Of' BIDS ......................................................................................................................4
WITHDRA WAL OF BIDS .........................................................................................................................4
INCURRING COSTS .................................................................................................................................... 4
MANDATORY PRE-BID CONFERENCE .................................................................................................. 4
PRIME CONTRACTOR RESPONSIBILITY ...............................................................................................5
BEST VALUE •••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••5
Ap~LICABILITY OF FOIL •....•........•....•....•.........•......•...•...•....••....••...•...•....•.•..•.•....•...•....•......••.....•.....•..5
1.1
1.2
1.3
1.4
1.5
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
TEIlMS .•••..••••...•.•....••••.••.•••..•.••..••••.••..••••..••••....•••••.•••••..••••.••.••••.•••••••••••••••••••...••••.••••••••.••••..•.••...•.•.••..••.5
3
TECHNICAL REQUIREMENTS ......................................................................................................7
3.1
SYSTEMS ARCHITECTlIRE .....................................................................................................................7
3.1.1
3.1.2
3.1.3
3.1.4
3.1.5
3.1.5.1
3.1.5.2
3.1.6
3.1.7
3.1.7.1
3.1.7.2
3.1.7.3
3.1.7.4
3.1.7.5
3.1.7.6
NYS AND DOCS POLICIES ...................................................................................................................... 6
Proposed Deployment Model .............................................................................................................7
Scalability ...........................................................................................................................................7
System Trunking ................................................................................................................................7
Call Quality ........................................................................................................................................7
Continuity of Services ........................................................................................................................7
Backup............................................................................................................................................8
; Uninterruptible Power ....................................................................................................................8
Single Clock Source ...........................................................................................................................8
Recording and Monitoring ..................................................................................................................8
Simultaneous Access .......................................................................................................................8
Storage............................................................................................................................................8
Chain of Evidence ..........................................................................................................................9
Retrieval .........................................................................................................................................9
Equipment and Network Access ....................................................................................................9
Access to Recordings .....................................................................................................................9
3.2
SYSTEMS MANAGEMENT ....................................................................................................................... 9
3.2.1
3.2.2
3.2.2.1
3.2.3
3.2.3.1
3.2.3.2
3.2.4
3.2.5
Fault Management ...... :....................................................................................................................... 9
Configuration Management ................................................................................................................9
Provisioning and Active Directory ............................................................................................... 10
Accounting Management .................................................................................................................. 10
Third Party Auditing ................................................................................................... ~ ................ 10
Call Detail Records (CDR) .......................................................................................................... 10
Perfonnance Management ................................................................................................................ 10
Calls to Restricted Devices ............................................................................................................... 10
MANDATORY Fl'NCTIO~S ............................................................................................................................... 10
Alert Groups ..................................................................................................................................... 10
Pre-recorded Names ......................................................................................................................... 11
3.3
3.3.1
3.3.2
TOC-1
NYS Department of Correctional Services
Inmate Telephone System
Table Of Contents
3.3.3
3.3.4
3.3.5
3.3.6
Announcements ................................................................................................................................ 11
Automatic Number Identification ..................................................................................................... 11
Billing Name and Address Lookup .................................................................................................. 11
Class of Restriction (COR) ............................................................................................................... 11
3.4
MANDATORY FEATURES ..................................................................................................................... t t
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
Harassment Blocks ........................................................................................................................... 12
Call Termination ............................................................................................................................... 12
Number Control ................................................................................................................................ 12
Personal Allowed Numbers (PAN) .................................................................................................. 12
Phone Scheduler ............................................................................................................................... 12
Personal Identification Number (PiN) .............................................................................................. 12
Administration .................................................................................................................................. 12
Third Party Call Detection ................................................................................................................ 12
Hours of Operation ........................................................................................................................... 12
Call Duration .................................................................................................................................... 12
Telephone Testing ............................................................................................................................ 13
Phone Disconnect ............................................................................................................................. 13
Languages ......................................................................................................................................... 13
ANI Verification ............................................................................................................................... 13
Telecommunications Devices for the Deaf (TDO) ........................................................................... 13
Call Pattern Alerting .................................................................................................................. :...... 13
Emergency Shut Down ..................................................................................................................... 13
EQUIPM ENT ........................................................••.•••.••••...••••••••••.••••.. ~ ••.•••••...••••.••...•.•••••..•••••••..•.••.••.•••• 13
Telephones.......................................................................................... :............................................. 13
Portable Phones ................................................................................................................................ 13
Pedestal and Enclosures .................................................................................................................... 14
Telephone Wiring ............................................................................................................................. 14
Compliance ....................................................................................................................................... 14
Restoration of Facilities.................................................................................................................... 14
Inventol)'........................................................................................................................................... 14
Environmental .................................................................................................................................. 14
Servers and Processors ..................................................................................................................... 14
New Equipment ................................................................................................................................ 14
SOFTWARE ENHANCEMENTS AND U PGRADES ................................................................................... t 4
MAINTENA NCE.....................................................................................................................................t 5
Maintenance Responsibility ............................................................................................................. 15
damage ............................................................................................................................................. 15
Maintenance Window ....................................................................................................................... 15
Maintenance Center Location ........................................................................................................... 15
Maintenance Staff Experience .......................................................................................................... 15
Preventive Maintenance ................................................................................................................... 15
Remedial Maintenance ..................................................................................................................... 16
Maintenance Request Reports .......................................................................................................... 16
TRANSITION/MIGRATION....................................................................................................................t 6
Project Management ......................................................................................................................... 17
: Project Manager ........................................................................................................................... 17
DOCS Resources .......................................................................................................................... 17
Site Survey ................................................................................................................................... 17
Call Recording Migration ................................................................................................................. 17
Fallback Plan .................................................................................................................................... 17
Acceptance Testing .......................................................................................................................... 17
3.5
3.5.1
3.5.2
3.5.3
3.5.4
3.5.5
3.5.6
3.5.7
3.5.8
3.5.9
3.5.10
3.6
3.7
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
3.8.1
3.8.1.1
3.8.1.2
3.8.1.3
3.8.2
3.8.3
3.8.4
TOC-2
NYS Department of Correctional Services
Inmate Telephone System
Table Of Contents
3.8.5
3.9
3.9.1
3.9.2
3.10
3.11
3.11.1
3.11.2
3.11.3
3.11.4
3.11.5
3.12
3.13
3.14
3.15
Equipment Disposal .......................................................................................................................... 18
DATA EXCHANGE ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••18
NIEM Standards ............................................................................................................................... 18
Data Reconciliation .......................................................................................................................... 18
INFORMATION OWNERSHIP ................................................................................................................18
SECl..:RITY ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 18
ITS System Security ......................................................................................................................... 18
Jurisdiction ....................................................................................................................................... 19
Compl iance ....................................................................................................................................... 19
Background Checks .......................................................................................................................... 19
Information Security Breach ............................................................................................................ 19
PHASE-OlJT PLAN ...........................................................................................................................................................................19
TRAINING ..........................................................................................................................................................................19
DOCUl\1 EN1'A l'ION ..................................................................................................................................................................... 19
REPORTING ..........................................................................................................................................20
4
CUSTOMER SERVICE............................................................................................................................................21
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7
4.2
4.2.1
4.2.2
4.2.3
4.2.4
4.2.5
SUPPORT SERVICES FOR THE DOCS ..................................................................................................21
5
PERFORMANCE REQUIREMENTS .............................................................................................23
5.1
5.4
PROBLEM RESOLUTION ...................................................................................................................... 23
ESCALATION REQIJIREMENTS ............................................................................................................ 23
PERFORMANCE OBJECTIVES .............................................................................................................. 23
PERFORMANCE REVIE\VS ................................................................................................................... 24
6
VENDOR QUALIFiCATIONS .........................................................................................................25
6.1
COMPANY EXPERIENCE ......................................................................................................................25
PAST PERFORMANCE ...........................................................................................................................25
5.2
5.3
6.2
6.2.1
6.2.2
6.2.3
6.3
6.3.1
6.3.2
6.3.3
6.4
6.4.1
6.4.2
Principal Technical Support Representatives ...................................................................................21
Toll Free Access ...............................................................................................................................21
DOCS Authorized Representatives ..................................................................................................21
Gate Clearance ..................................................................................................................................21
Ticketing System ..............................................................................................................................21
DOCS Access to Customer Information ...........................................................................................21
Court Evidence and Expert Witness Testimony ...............................................................................21
SUPPORT SERVICES FOR CUSTOMERS ................................................................................................ 21
Toll Free Access and Multilingual Support ......................................................................................22
Customer Account Access ................................................................................................................22
Customer Outreach ...........................................................................................................................22
Call Blocking ....................................................................................................................................22
Vendor Pol icy Changes ....................................................................................................................22
Security Incidents .............................................................................................................................25
Performance Data ............................................................................... ~ .............................................25
Legal Validity ...................................................................................................................................25
STA"FF QlJAt.IFICATIONS ..................................................................................,. ....................................... 25
Staffing Numbers and Qualifications ...............................................................................................26
Staff Disqualification ........................................................................................................................26
Staff Resignation or Discharge .........................................................................................................26
VENDOR RESPONSIBILITY ...................................................................................................................26
Responsibility Questionnaire ............................................................................................................26
Financial Stability ............................................................................................................................ .26
TOC-3
NYS Department of Correctional Services
Inmate Telephone System
Table Of Contents
6.4.3
COinplaint History ................................................................................................. :.......................... 26
7
RATES, FEES AND COSTS .............................................................................................................27
7.1
7.2
7.2.1
7.2.2
7.2.3
7.2.4
7.3
7.3.1
7.3.2
No COMJ\,1ISSIONS................................................................................................................................27
RATE STRUCTURE ...............................................................................................................................27
8
CONTRACTUAL ISSUES ................................................................................................................29
8.1
8.7
LrCENSED OR PATENTED COMPONENTS ............................................................................................29
PERPETUAL LiCENSE ...........................................................................................................................29
ESCRO\V OF SOFTWARE ......................................................................................................................29
BREACH OF SERVICES .........................................................................................................................29
TERMINATION ......................................................................................................................................29
NONDISCLOSURE AGREEMENT ...........................................................................................................29
CO:'llTRACT PROVISiONS ......................................................................................................................29
9
ADMINISTRATIVE PROCEDURES ..............................................................................................30
9.1
CO~1MUNICATION WITH DOCS ..........................................................................................................30
9.2
PROPOSAL FORMAT ............................................................................................................................30
8.2
8.3
8.4
8.5
8.6
9.2.1
9.2.2
9.3
9.3.1
9.3.2
9.3.3
9.3.4
9.3.5
Domestic ...........................................................................................................................................27
International ......................................................................................................................................27
Rate Requirements ............................................................................................................................27
Calling Patterns ................................................................................................................................27
BILLING .................................................................................................................................................27
Collect and Prepaid ...........................................................................................................................28
NYS DOCS Liability ........................................................................................................................28
Technical Proposal .......................................................................................................................... .31
Cost Proposal ....................................................................................................................................31
PROPOSAL EvALLJATION ..................................................................~..................................................32
Mandatory Requirements (Pass/Fail) .............................................................................................. .32
Technical Evaluation (20 points) ......................................................................................................32
Vendor Responsiveness Evaluation (10 points) ...............................................................................32
Cost Evaluation (70 points) ...... ,....................................................................................................... 32
Scoring ............................................................................................................................................. .32
TOC-4
NYS Department of Correctional Services
Inmate Telephone System
Appendices And Attachments
APPENDIX A
STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS
APPENDIX B
GENERAL SPECIFICATIONS
APPENDIX C
INMATE TELEPHONE SYSTEM CONTRACT
APPENDIX D
OFFERER'S CERTIFICATION OF COMPLIANCE
APPENDIX E
OFFERER'S AFFIRMATION OF UNDERSTANDING
APPENDIX F
VENDOR RESPONSIBILITY FORM
APPENDIX G
VENDOR REFERENCE FORM
APPENDIX H
STAFF QUALIFICATION FORM
APPENDIX I
FINANCIAL PROPOSAL COST FORM
APPENDIX J
NON DISCLOSURE AGREEMENT
APPENDIX K
NOTICE OF INTENT TO BID
APPENDIX L
PROPOSAL RESPONSE FORMS
ATTACHMENT A
MAP OF NYS CORRECTIONAL FACILITIES
ATTACHMENT B
NYS DOCS POPULATION AND PHONE DETAIL
ATTACHMENT C
CURRENT STANDARD CALL PROCESSING EQUIPMENT
ATTACHMENT D
DATA EXCHANGE SPECIFICATIONS
TOC·S
.-
NYS Department of Correctional Services
Inmate Telephone System RFP
1 Introduction
1.1 The DOCS Mission Statement
The mission of the Depa rtment of Correctional Services (DOCS) is to provide for public protection
by administering a network of correctional facilities that:
• Retain inmates in safe and secure custody until released by law
• Offer inm ates an oppo rtunity to improve th eir employment potential and their ab i1ity to
function in a non-criminal fashion
• Offer stable and hum ane "comm unity" environm ents in which all pa rticipants, staffand
inmates, can perform their required tasks with a sense of satisfaction
1.2 Background
The DOCS Managem ent Infonnation Services (MIS) pr ovides a wide range of centralized serv ices
and support for the Departm ent's staff at seventy correctional facilitie s and fifteen central office or
of con tact for facility telecommunications an d
regional sites. MIS functions as a single point
networking needs and uses its aggregated purchasing capability to enhance facility operations. Some
ofthe services MIS provides include:
•
•
•
•
•
•
•
•
•
•
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
1.3 Overview of Existing Inmate Telephone System (ITS)
The DOCS' MIS staff and its bus iness partner Global Tel"'Link (GTL) collectively manage the
Inmate Call Home program which allows inmates to place collect-only telephone calls to fam ily and
friends. The current Inm ate Telephone System supporting the Inm ate Call Home program i s a
network of custom ized prem ise bas ed comm unications equ ipment and is located in each of the
DOCS correctional facilities. The system
supports 3,438 inm ate telephones ranging from
installations with as few as four (4) telephones to facilities with as m any as one hundred twenty-four
(124). A list of the DOCS location s and the nu mber of phones supported in each may be found in
Attachment B. The telephone instruments are wired with standard category three cables.
MIS maintains mainframe applications that provide authorized staffwith adm inistrative functions
and tools tHat allow the DOCS' Guidance staff the abili ty to maintain individual inmate calling lists.
Each inmate is allowed to place collect-only calls between the hours of7:00 am and 1 I :00 pm to any
of the fifteen telephone numbers appearing on their personal allowed list for a maximum duration of
thirty minutes per call. In th e six months prior to release
of this RFP the ITS processed
approximately 2.7 million calls for nearly 55 million minutes oftraffic.
The State of New York DOCS desires to con tract for a com prehensive, full featured ITS that will
serve all N ew York State Correctional facilities, inm ates and their fam ilies and support related
administrative and investigatory activities. The DOC S' intent is to implem ent an enterp rise ITS
solution that can be deployed statew ide 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) days ofthe expiration of th e existing contract and with no disr uption of service. The current
contract will expire on March 31, 2008.
Inmate Telephone System RFP
Page 1
November 5,2007
l
NYS Department of Correctional Services
Inmate Telephone System RFP
1.4 Purpose
The purpose of this Request for Proposals (RFP) is to solicit potential contractors for a proposal that
will lead to a contract with a responsive and qualified vendor for a new inmate telephone system that
offers the lowest possible ra te for inm ates a nd their f amiJies, and provides the DOCS with the
following scope of services:
ely execution of the
• Project management a nd im plementation services to assure a tim
procured services and the migration and integration of existing information
• Administrative, operational and sup port services necessary for the ITS to fulfill the DOCS
requirements and service levels
• Migration from the current system, services and equipment to the new ITS
• Operation ofa secure, high availability environment
telephony devices, servers,
• Provisioning and deploym ent of all equipment including
communication components 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
• Operational procedures, train ing, tools and
recover and administer the ITS services
documentation necessary to operate, backup,
• Neqessary staffing and support facilities to op
required service levels
• Interfaces to receive and provide inform
applications services
erate and maintain the ITS and meet the
ation between the ITS and the DOCS'
interna I
• Customer service support to meet the needs of the DOCS, inmates families and friends, and
authorized system users
1.5 Issuing Agency I Inquiries
The issuing agency of this Reques t for Propo sals (RFP) is the New York State Departm ent of
Correctional Services. This RFP outfin es the term s and conditions and all app Iicable inform ation
required for subm itting a bid. Bidders must strictly adhe re to the bid submission date and tim e to
prevent disqualification. Bidders must follow the format and instructions for submission as outlined
in Section 9.2, Proposal Format.
All inquiries concerning this RFP must be addressed in writing to the DOCS issuing office at:
Sally Sherman
DocsCaIIHome@docs.state.ny.us
ITS Coordinator
518-457-2540
NYS Department of Correctional Services
Management Information Services
1220 Washington Avenue Building #2
Albany, NY 12226
All inquiries must be submitted by email or written document as directed above, citing the particular
section and paragraph of this RFP. Bidders are responsible for ensuring delivery of their questions.
Inmate Telephone System RPP
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NYS Department of Correctional Services
Inmate Telephone System RFP
All Bidders must develop technical and cost pr
oposals that reflect the term s of the contract
provisions described in this RFP. Bidders should note that all clarifications and exceptions including
those relating to the term s 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 will be annexed to and become a part of the resulting
contract.
All Questio ns must be subm itted in writing, in cluding th ose posed at the mandatory pre-bid
r
conference, by the deadline for submission of questions indicated in Section 1.6 Schedule of Events.
1.6
Schedule of Events
11/29/07
12/05/07
12/12/07
12/27/07
. Closing Date for Receipt of Bids
Bid Opening Date (Technical Only)
Fri
Selection of Contractor
......
Contract Signed by the DOCS and Contractor
Contract Award (Office of the State Comptroller Approval)
Project Initiation Meeting
Implementation Complete
~...........
.-~
12/28/07
Wed
Wed
1123108
1/30108
NOTE: This is a ten tative timet able, which may ONLY be modified to address the State's
needs.
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NYS Department of Correctional Services
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2 Bidder Information
2.1 Term of Agreement
The Agreement shall run for three (3) years beginning April 1,2008 through March 31,2011 wi th
the DOCS reserving the sole right to renew the Agreement for two additional one year periods at the
same term s and rates by notifying the contractor of its intenti on no less than one-hundred-eighty
(180) days before the expiration of the original Agreement or the initial one year renewal period.
The DOCS shall reserv e the righ t to seek redu ced rates an d/or new term s of agreem ent from the
contractor prior to any extension.
2.2 Completeness of Proposal
Bidders must subm it proposals for the com plete range of services specified in this RFP. [t is the
responsibility of the bidder to ve rify the com pleteness of its proposal and its suitability to meet the
requirements of this RFP.
2.3 Modifications of Bids
Once subm itted, proposals m ay not be modified unless the DOCS specifically requests such
modification or exp lanation. Any modification or explanation subm itted 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 the DOCS shall not be accepted.
2.4 Withdrawal of Bids
Bids cannot be withdrawn for a minimum of sixty (60) days after th e bid subm ission date (see State
Finance law Section 163,9(e).) Requests to with draw proposals after the sixty day period, may only
be granted with written permission from the DOCS.
.
2.5 Incurring Costs
The DOCS 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 issuance of an award
Agreement.
The DOCS: shall not beheld liab Ie for any costs incurred by a bidder in the bidder's requirement to
attend the mandatory pre-bid conference to be held at the location specified in section 2.6.
The DOCS shall not be held liable for any costs in curred by a bidder in modifying or explaining
details of the bidder's proposal in response to direct, written questions from the DOCS.
The DOCS shall not be held liable for any cos ts incurred by a bidd er in any negotiations with the
DOCS required to finalize and sign a formal Agreement document.
2.6 Mandatory Pre-Bid Conference
Bidders intending to submit a proposal shal
I be required to attend a mandatory pre-bid
conference to be held on the day indicated in Section 1.6 at the New York State Department of
Correctional Services Training Academ y, 1134 New Scotland Road, Albany, NY 12208,
beginning at 1:00 p.m. Failure to attend the mandatory pre-bid conference shall automatically
disqualify a bidder from submitting a proposal.
For admission to the mandatory pre-bid conference each attendee must be pre-registered and present
a U.S. govemm ent or state issued picture identifi cation. The Bidder must pre-register at least two
Inmate Telephone System RFP
~.-.-.-..-~..~.-.. ~~-------------
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NYS Department of Correctional Services
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(2) business days prior to the conference date by com pleting the Notice of Intent to Bid in Appendix
K and e-mailingthe form to the address specified in Section 1.5. Itis the responsibility of the bidder
to ensure that proper delivery occurred. The bidde r may request a fillable PDF version of the form
from the DOCS contact person.
All questions to be ans wered at th e pre-bid conference shall be directed to the Department's RFP
contact perSon identi fied in section 1.5 and shall be subm itted in writing two (2) business days prior
to the conference. A lis t of all questions sent in by all interested parties shall be made available at
the start of the mandatory pre-bid conference.
Questions n ot subm itted prior to the mandatory pr e-bid conf erence shall be a nswered at the
conference only if the DOCS believes that to do so would be in the best interest of the State.
All answers provided at the mandatory pre-bid conf erence shall be su pplied to a II attendees in
writing, wirhin five (5) days after the conference.
2.7 Prime Contractor Responsibility
Bidders m ay subm it a proposal utilizing the servic es of subcontractors fo r any aspects of this
procurement; however, the prim e contractor must assume complete responsibility and liability for
the delivery of all services. Subcontractors m ay be used to meet the qu alifications required herein,
however, sObcontractors must be fully disclosed in the s arne manner as requ ired of the prim e
contractor and must provide th e same infor mation includ ing Vendor Responsibility, com pany
finances and staff qualifications. The roles and responsibilities of each proposed subcontractor must
be clearly delineated.
2.8 Best Value
The contract resu Iting from this RFP will be awarded to the qualified Bidder whose proposal is
Ie at
determined to provide the best value to the St
ate as defined in NYS Finance law availab
http://www.ogs.state.l1v.us!12urchase!snt/stlxi .as12.
2.9 Applicability of FOIL
Proposals submitted to the DOCS in respons e to th is R FP are sub ject to the New York State
Freedom of Information Law (FOIL). Information constituting trade sec rets, for purposes of FOIL,
must be clearly marked and identif ied as such upon submission. Bidders intending to seek a n
exemption from disclosure of these materials unde r FOIL must, at the tim e of subm ission, request
the exem phon in writing and pro vide an ex planation of why the disclosu re of the iden tified
information would cause substantial injury to the competitive position of the Bidder. Acceptance of
the identified inform ation by the DOCS does not cons titute a de termination that th e information is
exempt froin disclosure under FOIL. Determ
inations as to the availability of the identified
information will be made in acco rdance with FOIL at the tim e a request for suc h inform ation is
received by the DOCS.
2.10 Terms
The terms "shall", "m ust" and "will" designate mandatory requirements. Ifa Bidder fails to meet
any of these requirements they will be disqualified from further consideration.
The term s "bidder", "vendor", "contractor", and "p
shall have the same meaning.
Inmate Telephone System RFP
rovider" are used inte rchangeably herein and
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November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
2.11 NYS and DOCS Policies
The Bidder must agree to com ply with a II a pplicable New York State and DOCS policies,
procedures, regulations and directives throughout the term of the contract.
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NYS Department of Correctional Services
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3 Technical Requirements
This section describes the required features, functions and capabilities ofthe services to be acquired.
The bidder!!!.!!l! address each of these items in its response describing in detail the functionality and
services it can provide, how it will work and the service or performance levels it can achieve.
3.1
Systems Architecture
It is not the intent of the DOCS to merely replicate the current deploym ent model, any architecture
that meets the general business needs of the DOCS will be considered a nd evaluated for its relative
merit. Bidders m ay propose an architecture that is fully hosted, partially hosted, prem ise based,
centralized, distributed or any co mbination thereof. Provide in formation on your proposed system
architecture addressing each subsection and request under Section 3.1.
Proposed Deployment Model
3.1.1
Describe in detail the proposed solutions deployment m ode!. Your response must include a
detailed drawing of your recomm ended model in Microsoft Visio format. The proposed system
must provide 99.9% ("three nines") yearly availability. Describe the reliability of your offerings
and indicate how your solution will provide 99. 9% availability. Ind icate any single points of
failure within your solution. Describe any vendor partnerships required to make the system fully
functional. Indicate why your proposed deployment model is superior over other architectures.
3.1.2
Scalability
The contractor must be able to accomm odate an increase in se rvices during the te rm of the
contract as directed by the DOCS at no increase in call rates while continuing to meet all service
and performance requirem ents. The system must be ab Ie to scale to sup port a 50% incre ase in
volume and or end-user devices. Describe ho w your solution will meet this requirem ent and
what actions would be needed to fulfill the demand.
System Trunking
3.1.3
The system must be engineered to ensure th at all outbound calls are totally non-blocked. The
t
solution proposed must reserve separate ba ndwidth or channels for each phone withou
impacting the required bandwidth for the operational characteristics ofthe system. Describe how
your solution will meet this requ irement; detail the trunkin g requirements and the for mula that
will be used to fulfill the requirement.
3.1.4
Call Quality
The contractor shall be required to provide telephone reception quality at least equ al to current
reception quality levels and shaH accept the DOCS' decision regarding such determination. If an
IP based solution is proposed the bidder must detail which co dec wiJI be utilized and substantiate
3.9 for the chosen codec. Describe how your
a Mean Opinion Score (MOS) of no less than
solution will meet or exceed these requirements.
3.1.5
Continuity of Services
The vendor must provide sufficien t redundancy and business continu ity recovery ca pability to
meet a three (3) hour Recovery Time Objective (RTO) and a zero (0) Recovery Point Objective
(RPO) of all ITS com ponents. Describe how your solution provide s operational redundancy,
fault tolerance, and recovery such that services to the DOCS are not significantly dim inished and
that service levels as defined in Section 5 will continue to be met.
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NYS Department of Correctional Services
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3.1.5.1
Backup
The vendor shall be responsible for perfonn
ing all system and database back-ups and
archiving and shall provide all archival ha
rdware, supplies, and network and recovery
procedures to ensure that no data will be lost.
The vendor must back up all th e DOCS infor mati on and store copies securely off site in
compliance with the DOCS security policies.
Vendor must certifY the availability and
integrity of back-up data and th e media on wh ich it res ides. Describ e how you will meet
these requirem ents including frequency ofbac kups, off-site location( s) and security of
transfers.
Uninterruptible Power
3.1 ..5.2
The solutio n must assure no 10 ss ofITS functions for up to th ree (3) hou rs loss of
commercial power in the DOCS' facilities. Th e vendor must provide an ITS capab Ie of full
recovery from a power outage auto matically once commercial power is restored. Describ e
how your solution will meet this requirem ent including what facilities and services the
DOCS must provide.
3.1.6
Single Clock Source
The vendor shall ensure that inm
ate call pr ocessing equipm ent, call detail recording, and
recorded conversations will be synchronized from a single time of day clock source for all of the
DOCS locations. Describe how your solution will meet this requirement.
Recording and Monitoring
3.1.7
The system must provide un-dete cted monitoring of real-tim e inmate conversations, store and
replay of historical conversations with the optio n of storing to rem ovable media, and the ability
to lock certain call recordings from deletion.
These capabilities shall be provisioned to allow
access to so me or all features by un ique user-id, (e.g. facilities staff m ay only monitor calls in
real time, while investigative staff have the fu II feature set.) Describe how your solution will
meet this requirement.
Simultaneous Access
3.1.7.1
Recording or monitoring equipment may be centralized or premise based and shall have the
capability of un-detected recording of every completed inmate telephone call for the duration
of that ca II. The vend or shall pro vide th e ability and ba ndwidth for am inimum of 20
simultaneous user s wh 0 can lis ten to any recording at 0 ne tim e at any facility or any
combination of facilities while continuing to meet the requirements of Section 3.1.3.
Describe ho w you inten d to meet this requ irement, explain whether the reco rding will b e
premise based or centralized, detail the bandwidth and equipm ent requirements required to
meet this objective.
Storage
3.1.7.2
The vendor must store all call recordings and associated call detail records for six (6) months
at no additional charge to the DOCS. All
calls locked by the DOCS shall be
stored
indefinitely without add itional cos t to th e DOCS. The vendor shall provide a proposed
separate monthly charge to the DOCS for storing recorded calls for more than six (6) months.
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NYS Department of Correctional Services
3.1.7.3
Inmate Telephone System RFP
Chain of Evidence
The vendor must assure that th e chain of evidence is protec ted when copying recordings to
removable media and vendor must provide the so ftware or tools necessary for playback.
Describe how you will provide this function and explain its capabilities.
3.1.7.4
Retrieval
The system shall allow authorized staff to att ach tex tual descrip tions or "no tes" to each
recorded call record allowing for descriptions of the recording. Each recording must be
indexed by date, tim e, ANI (A utomatic Nu mber ldentif ication), P ersonallde ntification
Number (PIN), Term inating Number (TN), and te xtual "notes." Date and tim e stamps shall
be identical to the da te and time stamps recorded in the sy stem'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 w ill not require a manual media change. Describe how your solutio n
will meet or exceed these requirements.
3.1.7.5
Equipment and Network Access
Network access and all equipm ent or software required allowing th e DOCS to monitor,
retrieve, playback, and store recordings to rem ovable media, or print local reports shall be
provided by the vendor. Any equipm ent to be deployed must be approved by the DOCS.
The DOCS currently has approxim ately one work station per facility and approxim ately 20
remote workstations with this capa bility. Lo cations of the existing monitoring stations are
identified in Attachment C.
3.1.7.6
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;
• ,listen to live conversations only
•. listen to live or recorded conversations with tHe ability to store to removable media
Describe how your solution will meet or exceed these requirements.
3.2
Systems Management
The contrattor must provide the following system management functions. Describe how your
proposed solution meets each of the following requirements for the subsections under Section 3.2.
3.2.1
Fault Management
The bidder's solution must provide fault management capabilities that rec ognize, isolate, correct
and log: faults that occur in the system. Th e vendor must provide the DOCS with real tim e on
line no,ification of all systems alerts and alarms in cluding the status of all incidents. Describ e
the functionality of your fault management solution. Describe the capabilit ies, functionality and
visibility that the DOCS' ITS staff has with your fault management offering.
3.2.2
Configuration Management
The vendor must provide configuration management capabilities that include the provisioning of
devices, system s adm inistration, ga thering and storing of confi guration data, managing version
control, tracking and schedul ing of changes, an d the assignment of perm issions to access system
Inmate Telephone System RFP
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NYS Department of Correctiona! Services
Inmate Telephone System RPP
investigative features. Access to all system functions will be restricted to users authorized by the
DOCS. Each autho rized user must have
a unique user-id and pa ssword. Describe the
functionality of your configuration management solution. Descri be the capabilities and
functionality that the DOCS' ITS staff has with your offering.
3.2.2.1
Provisioning and Active Directory
The DOCS ITS staff pr ovision authorized users and applies perm issions to investigative and
control features on a case-by-cas e basis. The enterp rise goal is to autom ate provisioning
using role-based access stored with in Microsoft'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 accoun ting management capabilities that at a minimum provide
account verification and correction, billing assura nce and reconciliation and tracing of custom er
payment, credit and c all lim it/blocking status and history. Describ e the functionality of your
solution. Describe the capabilities and functiona lity that the DOCS' ITS staff has with your
offering.
3.2.3.1
Third Party Auditing
The DOCS or its ag ent shall have the righ t to a udit and review any aspe cts of the contractor
operations and systems including but not lim ited to data, documentation, procedures, billing,
financial records, custom er service statistics, staff backgrounds and anything related to the
functioning, operations, costs, rates or integrity ofthe system.
3.2.3.2
Call Detail Records (CDR)
The' vendor must provide all call detail records to the DOCS in
specified in Attachment D.
a frequency and form at as
3.2.4
Performance Management
The vendor solution must provide perform ance management capabilities to monitor the overall
ponents. Detail how you collect and analyze
performance ofthe ITS and its network com
performance data, monitor system health and re liability, establish performance thresholds and
provide reporting and inquiry func tions. Describe the frequency and types of reports that are
available. Describe the capabil ities and functionality that the DOCS' ITS staff has with your
offering.
3.2.5
Calls to Restricted Devices
The DOCS Directive 4423 prohibits inmates from placing calls to wireless communications
devices (e.g. cell phon es, pagers.) The intro duction ofnum ber'portability to the wireles s
telecommunications industry a nd the preponderance of cellular phones have made the directive
difficult to enforce. Describe how your solution can be used to block calls to portable devices.
3.3 Mandatory Functions
For each function listed in this section, th
e vendor must describ e in detail how their proposed
solution will meet the DOCS' 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 plac ed on a watch lis t. W hen a call in
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progress is detected to/from any number on the watc h list, the system shall optionally attempt to
bridge the call with a pre-determ ined group of numbers to allow rem ote 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.
3.3.2
Pre-recorded Names
The system shall prompt the inm ate to record their nam e when their PIN is first used. The
recorded name shall be used in subsequent announcements made to the called party.
i
3.3.3
Announcements
Upon delivery ofthe call, the system must clearl y announce to the called party that the call is
from a NYS Correctional Facilit y, the facility name, and the inm ates 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 DTMF dial pad. T he event shall be identified and recorded in call
detail records.
3.3.4
Automatic Number Identification
The Automatic Number Identifier (ANI) for all ITS telephones must identify the New York State
Department of Correctional Services and the facility name originating the call to the called party
in the caller identification string.
3.3.5
Billing Name and Address Lookup
The system shall allow authorized DOCS users th e ability to'perform billing nam e and address
lookup ofthe called party num ber using at a minimum the Local Exchange Carrier (LEC) Line
Information Data Base (LIDB.) The vendor shall describe any additional capabilities.
3.3.6
Class of Restriction (COR)
The ability to apply restrictions to individua I phones shall be based upon a COR associated with
each telephone. The vendor must support at am inimum the ability to restrict phones with the
following levels:
Level
Required
Disciplinary hold applies
Calling list required
Level 2
Required
Disciplinary hold does not apply
, Level 3
Calling list not Required
Required
Disciplinary hold does not apply
3.4 Mandatory Features
The following features are required elem ents for the DOCS' Inm ate Telephone System. Describe
specifically how your proposed solution provides the same functionality for each of these features.
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3.4.1
Harassment Blocks
The system shall support th e automatic denial of a PIN when a rem ote party refuses to accep t a
collect call. After refusing a call six (6) tim es within the no rmal daily hours of operation the
number must be blocked for a period of 48 hours.
3.4.2
Call Termination
The system shall a How author ized system users to instan tly term inate a call in pro gress. The
system must identify the event in call detail records and log the action separately identifying at a
inating the
minimum the facility, date, tim
e, PIN and th e user-id of the individual term
conversation.
3.4.3
Number Control
The system must provide the ability to block numbers globally (e.g. 800/900 numbers.)
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.
3.4.5
Phone Scheduler
The system shall provide the ability for the DOC S to make each phone, 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 Id entification
Number (PIN) before processing a call. The proposed solution must validate the PIN num ber
and inmate location prior to allowing each call. The list shall be refresh ed and batch updated as
specified in Attachment D.
3.4.7
Administration
The system must provid e the ability to adm inister sys tern functions and features including bu t
not lim ited to inm ate accounts, PIN's, PANs , phone schedules and access through what is
commonly referred to a s access co ntrollis ts. A ccess to functions an d features will requ ire
separate perm issions be associated with a uniqu e user-id. The vendor must describe in detail
how the permissions-based access will operate.
3.4.8
Third Party Call Detection
The system shall detect the attem pt to b ridge a call in -progress to a third party and provide
options to disconnect the call, flag the call, or playa voice prom pt warning. The event must be
captured in call detail records.
3.4.9
Hours of Operation
The solution shall allow the DOCS to set paramete rs that determ ine the hours of operations for
inmate phone services. The default shall be set to allow services to be available from 7:00 am to
11 :00 pm. At the DOCS direction, individual
phones or group of phones m
ay be further
restricted in their hours of operation.
3.4.10· Call Duration
The system shall allow the DOCS to control the maximum call duration. Current call duration is
one half (1/2) hour.
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3.4.11
Telephone Testing
The vendor shall provide the ability to allow th e DOCSon-site staffto test telephones at no
charge to the DOCS at any location to assure that they are fully operational.
3.4.12
Phone Disconnect
The system shall provide the ability to discon
remotely.
nect any phone or group of phones
locally or
3.4.13
Languages
System prompts shall be available in English a nd Spanish. Describe your system's ability to
support other languages.
3.4.14
ANI Verification
The vendor shall test all inm ate telephones f or location accuracy an d verify the Autom atic
Number Identifier (ANI) at im plementation, during turn up of new equipm ent and at a minimum
annually thereafter.
Telecommunications Devices for the Deaf (TOO)
3.4.15
The vendor shall provide Telecommunications Devices for the Deaf as determined by the DOCS.
Explain how your solution can extend telecommunications services to impaired inmates.
3.4.16
Call Pattern 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. The DOCS shall specify the alert
thresholds. Explain how your system can be utilized to perform this function.
3.4.17
Emergency Shut Down
The system shall provide for the em ergency s hut down of all phones in a facility or portion
thereof at each facility and provi de a master control in Central Office that can not be over-ridden
at a facility.
3.5 Equipment
The vendor shall provide all equipm ent required to provide ITS services for all of the DOCS'
facilities and locations. The vendor must pr opose equipm ent that is appropriate for a prison
environment. The DOCS shall own all telephones, pedestals and wiring upon successful installation ..
3.5.1
Telephones
All devices provided must be hearing aid com patible, include vol urn e controls on the housing, a
24 inch hand set cable and be appropriate for a prison environment. The devices provided must
be equivalent to or better than the curr
ently ins taIled device s which are Quadrum
Communications Model 7Q. The vendor may propose to reuse currently installed telephones.
3.5.2
Portable Phones
The vendor shall provide portable (wired) phones th at plug into standard jacks as required. The
vendor may propose to reuse currently installed portable telephones.
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3.5.3
Pedestal and Enclosures
The vendor must provide pedest als as specified by the DOCS
for both, inside and outside
locations and at the DO CS' direction, enclosur es for phones located outside. The vendor m ay
propose to reuse currently installed pedestals and enclosures.
3.5.4
Telephone Wiring
The vendor is responsible for th e installation and maintenance of all ITS wiring from the
Intermediate Distribution Frame (lDF) to the telephone instrument. Category 3 or better cabling
is required. The vendor m ay propose to reuse cu rrent wiring. All wiring and cabling shall be
performed i n accordance with manufacturers st andards and guidelin es and industry practices.
All installations shall be labeled and documented as mutually agreed up on between the DOCS
and the vendor.
3.5.5
Compliance
AU equ ipment, wir ing and com ponent insta l1ations shall conf onn to all app licable bu i1ding
codes, electric codes and accepted industry standards.
3.5.6
Restoration of Facilities
The contractor shall restore all damaged walls, cei ling and facilities to th eir original condition
and in compliance with all applicable building codes and requirem ents resulting from contractor
actions and activities. All work must be pre-approved by the DOCS.
3.5.7
Inventory
The vendor must maintain a current inventory of aU equipm ent and components and provide the
inventory to the DOCS as requested.
3.5.S·
Environmental
The DOCS will provide space, electricity and HVAC to support two (2) nineteen inch racks for
premise based equipm ent. The vendor is resp onsible for any additio nal requirem ents beyond
ambient temperature and standard power.
3.5.9
Servers and Processors
The vendor shall provide full specifications and product literature/brochures for all proposed call
processors, servers, storage devices, workstations and related components.
3.5.10·
New Equipment
The contractor shall replace all ex isting 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.
The vendor must provide full sp ecifications and product literat urelbrochures for all proposed
new components.
3.6
Software Enhancements and Upgrades
The vendor shall provide software enhancem ents and upgrades to the proposed ITS when the
enhancement and upgrades are generally availabl e in a custom er production environm ent. The
vendor shall be responsible for maintaining the inst ailed ITS at the latest general release of the
system software for all sy
stems including th e system adm inistration or system reporting
terminals/PCs. All software chan ges shall be pre-app roved by the DOCS and utilize app roved
change management procedures and configur ation management processes as defined under
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NYS Department of Correctional Services
Inmate Telephone System RFP
Configuration Management in Section 3.2.2. The vendor shall provide complete documentation for
all software upgrades or enhancements.
3.7 Maintenance
The vendor shall be solely responsible for the maintenance and support for all system com ponents
including telephones, pedestals, enclosures, circu its, network com ponents, software, call processors
and all other elem ents of the system . The ve ndor must describe its maintenance and support
capability, methods and procedures as it relates to the subsections below.
3.7.1 ; Maintenance Responsibility
Malfunctions which cannot be imm ediately dia gnosed and pinpointed to a certain item
of
equ ipment or service will require the participatio n of all service suppliers until responsibility for
the problem has been unequivocally established. As a part of maintenance responsibilHies, the
contractor shall represent the DOCS with the regulated telephone company or network provider
in order to identify and correct problems with service.
In no instan ce shall the failure to resolve the iss ue of responsibility re lieve 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 replacem ent of all equipm ent da maged
regardless of the cause including but not lim ited to inm ate dam age, na tural disaster, and the
DOCS" actions or operations at no cost to the DOCS.
3.7.3 , Maintenance Window
All scheduled maintenance must be performed outside of the norm al ITS operating hours which
is currently 7:00 am to 11 :00 pm.
3.7.4
Maintenance Center Location
Within 30 days of contract award the vendor sha Il detail the location and number of maintenance
staff, staffexperien ce and procedu res to provide on-site maintenance service at all the DOCS'
locatio~s with vendor provided equipm ent to meet the DOCS perform ance requirements. It is a
mandatory requirement of this RFP that the ven dor agrees to have maintenance personnel within
a three .(3) hour drive from each of the DOCS' locations throughout New York State. Failure to
do so will result in a breach of contract. A m ap ofthe DOCS' facility locations is provided in
Attachment A.
3.7.5
Maintenance Staff Experience
Service personnel must be trained and experien ced with installation an d maintenance of the
proposed system and equipm ent. The DOCS r eserves the right to reques t copies of training
certificates of service personnel. The DOCS re
serves the right to re ject any maintenance
personnel it determ ines are unqualified to pe rform maintenance service on the proposed
equipment.
3.7.6
Preventive Maintenance
At least quarterly, the vendor shall conduct an on-site inspection and preventative maintenance
service for all premise based equipment provided. The vendor shall certify the completion ofthe
quarterly inspection and notify the DOCS of any equipment changes.
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~
- - -..- - - - - - - - -
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NYS Department of Correctional Services
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The schedule shall be consistent with the operating requirements of the DOCS and shall be based
upon the specific needs of the equipment being maintained.
3.7.7
Remedial Maintenance
The DOCS' MIS ITS group wilI maintain a call screen ing service for all facilities. All serv ice
calls will b e placed by MIS or its agent. Remedial maintenance sh all be perform ed upon
notification to the vendor that the equipm ent is inoperable or unsuitable for operation. The
contractor shall be responsible for assuring that on p remise service for each reques t is provided
in accordance with the DOCS service levels as defined in Section 5.
3.7.8
Maintenance Request Reports
The supplier shall furnish the DOCS with a monthly report, in a format to be determined by the
DOCS, 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 offailure and work performed
Date and time failure was corrected
Name of person performing the service
Name of person and agency reporting trouble
3.S Transition/Migration
The vendor shall assum e responsibility for all inm ate telephone services effective April 1,2008 and
act as the DOCS' agent to assure uninterrupted ITS operations as ofthat 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:
"[The vendor] will transfer ownership ofthe
lazerPhone platform and associated CPE to NYS
DOCS at the end ofthe contract. This CPE will in elude all servers, channel banks, drop and insert
muxes, CSUs, routers, cards, blocks phones, and a II associated cabling. Global TelL ink will provide
NYS DOCS a license to operate the LazerPhone
system. [The vendor ] wi II work with the new
network provider as well as the new inmate call processor provider to insure a sm ooth transition
from one platform to the next. "
The vendor shall describe how they plan to migr
proposed system.
Inmate Telephone System RFP
ate from the current DOCS' ITS system to their
Page 16
November 5, 2007
NYS Department of Correctional Services
3.8.1
Inmate Telephone System RFP
Project Management
The vendor shall subm it a proposed Project Plan in MS Project form at. Such plan must effect
full statewide im plementation with in th e required 90 day transition peri od. Th e Plan must
include at least the following elements:
• Implementation plan
• Communications plan for both the
DOCS' and non-DOCS' users
• Migration plan
• Performance and service level plan
• Fallback plan
• Risk management and mitigation plan
• Project reporting process and
mechanisms
• Acceptance test plan
• Change management process
• Training plan
• Configuration management plan
;
3.8.1.1
Project Manager
The vendor shall provide a full tim e project manager for the duration ofthe im plementation
until the DOCS has accepted all system components and services. The project manager shall
be responsible for the developm ent and im plementation of the project plan, all transition and
migration requirements and acceptance testing. Within 30 days of contract award the bidder
must provide a resume of their proposed Project Manager for the DOCS approval. The State
reserves the right to require additional inform ation, including through direct interviews and
demonstrations, to enable it to make a determination of the Project Managers qualifications.
3.8.1.2
DOCS Resources
The vendor shall provide a breakdown of any DO CS' staff resources the vendor requires for
implementation, migration, and operation of their proposed solution.
3.8.1.3
Site Survey
The vendor shall be responsible for perform ing a site survey at all of the DOCS' facilities
and identifying all instaiJation and facility issues that could impact implementation.
3.8.2
'
Call Recording Migration
The DOCS currently stores 120 days 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 inform ation, chain of custody and playback ability. The vendor must describe their plan
for this migration.
3.8.3
Fallback Plan
The vendor shall provide details and procedures in its fallback plan to rest ore all services to the
prior system in the event of failure upon cutover.
3.8.4
:
Acceptance Testing
The project plan must include an A cceptance Test developed by the vendor. The DOCS will
evaluate this plan for comprehensiveness. Failure to successfully complete this test may result in
termination of vendor services and cancellation of the contract. The DOCS shall be the sole
determinant of the success of the acceptance test. No billing for services under the co ntract will
be made unless and until the acceptance test is satisfactorily completed. If the in itial acceptance
test is not successfully accomplished, the DOCS at its sole discretion may allow a retest.
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3.8.5
Equipment Disposal
The contractor shall be responsible for the rem oval and environm entally certi fied disposal of all
existing unused ITS equipm ent no later than ninety (90) days after the successful completion of
the acceptance test. The contractor will be res ponsible for rem oval of all equipment replaced
during the term of the contract at no cost to
the DOCS. All data and software must be
completely rem oved and destroyed in com pliance with the DOCS security policies and
procedures.
3.9 Data Exchange
The ITS contractor and the DOCS mainframe routinely exchange data to provide timely updates to
the ITS tha t allow prop er validation of an a ttempted call prior to processing. The contractor must
comply with the frequency and data exchange format as specified in Attachment 0 and provide
communication access for the data exchange 24 hours per day. W here appropriate the DOCS will
make a reason.able attempt to add or modify formats or schemas to accommodate the vendor for new
services implemented resulting from a contract award.
.
3.9.1
NIEM Standards
The contractor ag rees to migrate the exis ting da ta exchan ge requ irements to da ta standa rds
consistent with the National Inf ormation Exchange Model as they becom e operational for ITS
data elements at no cos t to the DOCS. The bidder may find additional inform ation regarding
NIEM standards at http://www.niem.gov.
3.9.2
Data Reconciliation
The vendor shall provide all da ta to the DOCS in a format specified by the DOCS for the
purposes of data reconciliation. The DOCS will reconcile th e vendors' data; exceptions will be
transmitted in th e sam e format as the daily modifications a s spec ified in Attachment D. The
vendor shall accept the modifications as the master record.
3.10 Information Ownership
All inm ate and DOCS' inform adon developed, stor ed or used in the ITS shall be owned by the
DOCS. The vendor shall act as custodian of that information in accordance with applicable statutes,
policies, regulations and procedures. Information shall be provided to the DOCS at its request in a
form and manner specified by the DOCS. Vendor agrees not to sell, use, share or display any data or
use it for any other purpose unless agreed upon, in writing, by the DOCS.
3.11 Security
Due to the sensitive, public security nature of the services under this contract, the vendor must
describe, in deta iI, the security measures tha t will be take n for perso nnel, da ta, communications,
systems and facilities in a Security Plan.
The security plan must address the steps th e ve ndor will take with regard to
protecting all
information and services that resu It from this RFP. The vendor must describe the security steps,
ensure that vendor staf for
including specific processes and
procedures that it will take to
subcontractors hir ed an d/or ass igned to th is projec twill maintain the conf identiality of a 11
information and data.
3.11.1
ITS System Security
The vendor shall describe the ITS system security for all data stored 10 cally or in a central
database. Such security descrip tion shall incIud e system security as well as how access to su ch
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NYS Department of Correctional Services
Inmate Telephone System RFP
sensitive in formation s hall be perfor med within the vendors' 0 rganization. Sensitiv e or
confidential information may require encryption at the DOCS discretion.
3.11.2'
Jurisdiction
The vendor must warran t to the DOCS that it w ill not transport 0 r make available physically,
electronically, verbally or in any other form or manner, a ny data (either test or production,)
provided or produced under the contract that might be awarded as a result of this RFP outside of
the borders of the United States.
3.11.3
Compliance
The vendor will com ply with all the DOCS security policies and procedures and requirements as
well as State security policies including but not lim ited to the NYS Office of Cyber Security and
Critical. Inf rastructure Coordination (CSCIC ) Infor mati on Security Policy available at
http://www.cscic.state.ny.us/lib/policies.
3.11.4·
Background Checks
Vendor personnel must meet the DOCS' requirem ents for background checks and be subject to
on-going review to assure staff continues to meet security screening standards.
3.11.5
Information Security Breach
The vend0r shall notity the DOCS immediately if it experiences any security breach that m ay
cause the DOCS or cus tomer data to be co rrupted or inappropriately accessed or used. Such
notice shall occur within 4 hours of any incident.
3.12 Phase-Out Plan
The vendor shall prov ide the DOCS a full explanati on on how it will handle a tran sition situation at
the end of the contract period. Any DOCS' owned equipment located outside the DOCS' sites, such
as recording equipm ent and software, must be provi ded to the next contract or or the DOCS at no
cost to the DOCS or the new vendor. The DOCS sh all own all p remised based eq uipment installed
and all data. At the DOCS direction, the contr actor must provide any a nd all data including call
recordings to the new vendor.
3.13 Training
The vendor shall specify the traini ng requirements and expected role sand responsibilit ies for all of
the DOCS' ITS staff required for the planning, im plementation and on-going operation ofthe ITS.
The vendor shall provide all training at no cost to the DOCS.
The vendQr will deliver the needed train ing in a manner, locatio n and schedule approved b y the
DOCS. All tra ining will inc lude proficiency testing and additional training will be provided at no
additional cost until all participants achieve proficiency. The vendor will provide re-fresher training
or training for new staff as needed at no cost.
The vendor must list and describe all training, in eluding the length, general content of and proposed
schedule for the training.
3.14 Documentation
The vendor must provide full, complete and
up-to-date docum entation specific to the DOCS
implementation no later than the beginning of implementation. The documentation shall include at a
minimum:
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NYS Department of Correctional Services
Inmate Telephone System RFP
• Detailed f1owchart(s) de picting the entire in mate call proc ess from the moment an inm ate
picks up the receiver to the com pletion of the ca II. The flow chart( s) shall include the tim e
intervals for each phase of call completion.
• Network diagrams and documentation of all circuits, routers, switches and other components
• Documentation of security and operational procedures
• User documentation for administrators
• User documentation for investigators
• Training information for inmates
• Information for called parties
• Technical system documentation
3.15 Reporting
The vendor shall describe all available standard reports that are part of their solution and provide the
DOCS with on-line access to run ad hoc reports.
The vendor shall describe any methodology in
which the DOCS may create its
own custom reports and how the data m
ay be form atted and
retrieved. On a monthly basis the vendor shall provide at a minimum, detailed reports in a form at
specified by the DOCS on:
• all service level and performance items as specified in Section 5.
• the num ber of calls, minutes, actual duration, billed duration, and reve nue broken down by
local, intra lata, inte rlata, inters tate and in ternational des tinations and the tota Is f or each
month and facility.
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--~
...
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NYS Department of Correctional Services
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4 Customer Service
4.1
Support Services for the DOCS
4.1.1
Principal Technical Support Representatives
The vendor shall assign prim ary and secondary Representatives who will be knowledgeable of
the DOCS' operational and support requirements and services leve Is and will act as the DOCS'
principal liaison for both Technical and Custom er Support and be available 24 hours per day.
When the primary liaison is unavailable, the secondary shall assume those duties.
4.1.2
Toll Free Access
The vendor must provide toll free access for technical support to the DOCS 24 hours per day 365
days per year. Customer support access to kno wledgeable personnel must be available within
ten (1 oj minutes of the DOCS initiating contact.
4.1.3
DOCS Authorized Representatives
The DOCS will es tablish an author ized list of individuals who have the author ity to reques t
maintenance dispatch or support services. The vendor will only act on the approval of a member
on the authorized list.
4.1.4
Gate Clearance
The vendor shall be responsible for establishing
DOCS' policies and procedures for on-site visits.
all gate clearances in conform ance with the
4.1.5
Ticketing System
The vendor shall utilize an automated ticketi
ng system to log, track, manage and assure
appropriate response to all calls for support. Th e DOCS' ITS staff shall be provided real time
access to this system. Describe ho w you will provi de this function and explain its capabilities,
include details as to what level of visibility and access the DOCS' ITS staff will have.
4.1.6
DOCS Access to Customer Information
The vendor shall prov ide the DOCS with secure on -line real tim e access to all custom er
information regarding account status and histor y. Describe how you wi \I provide this function
and exnlain its capab ilities, include details as to what level of visibility and access the DOCS'
ITS staffwill have.
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 procee dings. The vendor shall provide affidavits as
required throughout the term of the contract at no cost to the DOCS to support any legal
proceedings and shall provide expert witness testimony for two (2) incidents per year if required.
In the las t five (5) years the DOCS has expe rienced no incidents requiring expert witness
services.
4.2 Support Services for Customers
Of major concern to the NYS DOCS is the requirement that the vendor provide inmate families with
responsible, reliable customer service and support as outlined herein.
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NYS Depal"tl\lent of Correctional Services
Inmate Telephone System RFP
4.2.1
Toll Free Access and Multilingual Support
The vendor shall provide toll fr ee telephone access to knowledgeable customer service staff for
at least the norm al inmate telephone operating hours which are cu rrently 7:00 am to 11 :00 pm
365 days per year. All customer service representatives must have access to up-to-date customer
account inf ormation including at a minimum billing, paym ent and blocked call statu sand
history.! The vendor must provide live custom er support in a minimum of Spanish and English.
List other languages that the vendor can support.
4.2.2'
Customer Account Access
The vendor shall provide custom ers with se cure web based access to accoun t inform ation
including billing, paym ent and bloc ked call status and history. Customers should be provided
the capability to securely add funds to their
pre-paid account on-line. Describe how your
solution provides this functionality and explain its capabilities.
4.2.3
Customer Outreach
The NYS DOCS meets quarterly with inm ate advocacy groups to discuss issues relating to ITS
operations; the vendors' representative shall be required to attend all such meetings.
4.2.4
Call Blocking
The vendor must notify custom ers prior to initiati ng a block on collect calls . If a collect call
accoun. is in arrears and the vendor applies a block, the vendor must provide an opportunity for
the custom er to establish a pr e-payaccount. 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 time frames between each step in the process
•
What are 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
4.2.5
Vendor Policy Changes
The vendor must notifY the DOCS and custom ers before implementing policy changes including
but not lim ited to ca II lim its, pre-payment caps a nd call blocking criteria. All policy changes
must be approved by the DOCS and the appropriate regulatory authority.
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NYS Department of Correctional Services
inmate TeJephone System RFP
5
Performance Requirements
5.1
Problem Resolution
The DOCS has established priority levels for problem reporting and sh all have the sole authority to
determine the priority level of each reported probl em and to determine if the problem has been
resolved and the issue closed. Resolution time is based on 24 hour per day 365 day per year service.
The vendor must describe what step s they will take to meet or exceed the DOCS problem resolution
objectives including but not limited to:
Performance
Requirement
Characteristics
50% or more phones in a facility out of service
, rLoss~fadminist;atIv~~;i;:;vestigativea~~ess~ftinction
4 hour resolution
8 hour resolution
20% -49% of phones in a facility out of service
,~-,,',"""~-,
Loss of non-significant functionality
Software fixes not critica~ to operations
!"{O"dividual phones representing less than 20% of phones in a
fL~ss of trouble ticket system
'"''''''''~''''''''~''''-''-''-''~'''''
5.2
,,,-,,,-,,,',,,,
24 hour resolution
,,~----~,~,~-"~,~-,~""
Escalation Requirements
The vendor must establish escalation procedures th at provide at a minimum for the following points
of contact and timeframes.
Time
Escalation Point
Missed performance standard
Manager Teleco
Missed performance standard + 4
hours
Executive MIS
Missed performance standard + 6
hours
5.3
Supervisor
Missed performance standard + 2
hours
DOCS Contact Point
CEOCIO
m Director
Director
Performance Objectives
The vendor must provide services th at meet the perform ance levels delineated in the table below.
The vendoi must describe what step s they will take to meet or exceed the DOCS' perform ance and
service level objectives for the ITS.
Inmate Telephone System RFP
-"---,---,---,-----
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November 5, 2007
NYS Department of Correctional Services
Equipment
... ~.-.. - .. ~..
Inmate Telephone System RFP
Time from vendor receipt of order
to working installed equipment
,,~"~""m~_''''''''''~'_''_~~'
Monthly Meantime to Repair
Updates/new
releases
Time from availability to system
i 99.99%
7x24x365
s resolved on first
Customer Service
.
!
Complaints
!
!
Not to exceed 5% of
accounts per year
I
70% of calls resolved on first
call
Monthly mean wait time <
60 seconds
Service
Within 10 minutes 100% of
the time
Access to technical support
Monthly availability within
operational hours
~-,,--,~"~--,.~,~-
DOCS
Data transfer and
availability
Inmate calls
,
"
'~''''_'''''W'~'_'''_'_~M~''_ Te~tj,an'5%
of ~verage
annual population per month
5.4
Performance Reviews
The vendor shall provide monthly performance reports to the DOCS' specifi cations. Every quarter
the vendor shall prov ide a face-to-face review of all perform ance indicato rs and trends and a
summary of service issues. The vendor shall provi de an annual review of operational and financial
status, cost and rate analysis and an overall contract review.
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NYS Department of Correctional Services
Inmate Telephone System RFP
6 Vendor Qualifications
6.1 Company Experience
The bidder shall subm it satisfactory evidence that, in the sole judgm ent of the ~OCS, it has at least
three (3) years current experien ce in providing ITS production system s and services for comm ercial
or government clients. The proposed system must be a comm ercially available system and have
been in full production for at least one (I) year fo r at least three (3) custom ers and serve at least a
total of 500 inmate telephones.
The bidder shall subm it three (3) client references to support their experience claim s. Incom plete or
incorrect client contact information wi1l be evaluated to the bidder's detriment. Current employees of
the New York Sta te 0 epartment 0 f Correction al Se rvices m ay not be used as re ferences. The
information must be provided using the Appendix G - Vendor Reference Form.
Bidders shall provide the nam es of any Federal, State or local correct ional facilities and/or sys terns
where their services have been used in the past three (3) years.
6.2
Past Performance
6.2.1
Security Incidents
The bidder must provide details on all incidents of security breaches, lost or misused data in last
three (3) years including the nature and extent of the incident, remedial actions taken, and current
status.
6.2.2
Performance Data
The bidder must provide detailed perform ance info rmation for the three (3) referenc ed system s
identified in Section 6.1. At a minimum the pe rformance information shall in elude the item s
identified in Section 5.3.
6.2.3
Legal Validity
The bidder must provide docum entation of the validity of their chain of evidence methodology
and its acceptance in legal proceedings. The bidde r shall include the n umber of legal cases in
last three (3) years where their methodology was successful and explain any instances where the
validity ofthe chain of evidence was not accepted.
6.3 Staff Qualifications
The bidder shall provide inform ation regarding the qualifications and experien ce of the individuals
that will be the prim ary points of contact for bot h custom er and technical services as outlined in
Section 4.1.1. Provide resume(s) and completed Staff Qualification Forms (Appendix H) for at least
three (3) reference projects/assignments. The dates of the relevant experience must be included in
the resume .and the qualification form.
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NYS Department of Correctional Services
Inmate Telephone System RFP
6.3.1
Staffing Numbers and Qualifications
The bidder must provide:
•
The num ber of staff by functional area,
rates for the last 3 years
average years of experience and turnover
• 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
The DOCS shall have the right to require the contractor to remove any individual assigned to this
project at any time during the term ofthis contract at DOCS' sole discretion.
6.3.3
Staff Resignation or Discharge
The contractor shall immediately notify the DOCS oftheresignation or discharge ofthe prim ary
points of contact assigned to th is project. Transfer of know ledge must occur prior to the
departure of any staff m embers. The contract or shall propose a qualified replacem ent for the
DOCS' review and approval.
6.4
Vendor Responsibility
6.4.1
Responsibility Questionnaire
The vendor must dem onstrate their business integrity, financial and organi zational capacity, and
performance history. The vendor must provide vendor responsibility information on the Vendor
Responsibility Form in Appendix F.
6.4.2
Financial Stability
The vendor shall provide ev idence of its financial stability and resources to continue operations
to meet the requirem ents of this RFP. At am inimum, t he vendor should provide the most
recently availab Ie certified audited financial ann ual report, the most recent Dun and Bradstre et
report and such other materials necessary to demonstrate its financial soundness.
6.4.3
Complaint History
The vendor shall provide full disclosure of compJa ints 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.
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NYS Department of Correctional Services
Inmate Telephone System RFP
7 Rates, Fees and Costs
The vendor is responsible for ensuring that all
telephone services and rates com ply with all
applicable regulations includi ng bu t not lim ited to th eN YS Public Service Commission a nd the
Federal Communications Comm ission. All rates sha II be fixed for the term of the contract as
outlined in section 2.1.
7.1
No Commissions
Effective April 1,2007, the New York State 0 epartment of Correctional Services does not receive
commissions from inmate telephone traffic nor is it soliciting commissions from any contract award
resulting from this RFP.
7.2
Rate Structure
7.2.1
Domestic
The rate proposed and charged by the vendor shall be a single per m imite rate inclusive of all
fees, taxes, connect charges or other costs for a Il calls within the continental Unite d States, its
territories and protectorates, and Canada. The rate shall be a single blended rate for pre-paid and
collect calls.
7.2.2
International
The vendor shall propose a rate stru cture for international calls de tailing rates by country. The
rates for international calls sha II be a single per minute rate by country inclusive of all fees,
taxes, connect charges or other costs. The DOCS reserves the right to implement any alternative
international calling services and does not guara ntee minimum international calling volum e.
Any location not within the area de fined as covered by the dom estic rate as detailed above shall
be treated as international. Th e rate for each cou ntry shall be a single blended rate for pre-p aid
and collect calls.
7.2.3
Rate Requirements
The Vendor shall provide rates ba sed on three decim al places (e .g. $0.000). Rates shall apply
only from c aIled party acceptance of a call unt il the call is term inated 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 tim e for prom pts, rate inform ation or other functions .. T here shall be
no additional charges or fees added to the cost of a call.
7.2.4
Calling Patterns
Bidders will be provided with media containing call detail records for the six (6) month period
prior to release of the RFP at the mandatory pre-bid conference. It will be the sole responsibility
ofthe bidder to an alyze the ca II patterns and data contained on the media. The DOCS shall not
be responsible for establishing or guaranteeing any minimum num ber of calls, minutes used, or
revenue generated.
7.3 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. The vendor sha II describe its billing
methOdology, procedures and practices noting particul arly how it will assure the accuracy of its
billing and maximize calling opportunities for inmates and their families and friends.
Inmate Telephone System RFP
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November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
The description shall include whet her the vendor direct bills the called party for collect ca lis or
whether billing is performed by a third party or Local Exchange Carrier (LEC). If the LEC or a third
party is responsible for the billi ng of collect calls the vendor shall identify a II 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. All billing
and payment options must be pre-approved by the DOCS. The DOCS m ay consider additional
billing and payment options during the contract term solely at the DOCS discretion.
The vendor shall not restrict the pre-paid account holder from receiving the full dollar amount of
services up to the balan ce held by the vendor. The vendor shal I describe the process for a
customer to initiate a pre-paid account that shall include all vendor policies, custom
er
requirements and the minimum deposit required.
7.3.2
NYS DOCS Liability
The DOCS shall have NO responsibility or liability and shaH be held harm less for all costs for
any call billing, charges, paym ents, uncollectible charges, or fraud unde r this contract. The
DOCS shall not be held liable for any potential revenue loss to the vendor due to any decision on
the part of the DOCS to disconnect third party calls after detection or for any other lim itation of
services or access including but not limited to disciplinary actions and lockdowns.
Inmate Telephone System RFP
Page 28
November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
8 Contractual Issues
8.1 Licensed or Patented Components
The vendor must identify any software that is
not owned by the vendor or any patented or
proprietary com ponents and provide details on the vendor's authorization to use and resell such
components including duration of agreement and source.
8.2 Perpetual License
The vendor shall provide to the DO CS a perpetual non- exclusive license for all software utilized in
the delivery of services under this contract. The license shall con tinue after the term ination of the
contract but the DOCS shall not be entitled to free upgrades or support after contract termination.
8.3 Escrow of Software
Upon award the vendor shall escr ow all software and routines , docum entation and operational
information necessary for the full production operation of the ITS with an escrow agent approved by
the DOCS. The escrow agreement shall specify that the software source and production code and all
related material shall be provided to the DOCS at no cost in the even t that the vendor is unable or
unwilling to meet its ob ligations under this contract. In su ch event the DOCS 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 DOCS' production system.
8.4 Breach of Services
In the even1t of any material breach ofserv'ice by the contractor, the Department shall give written
notice specifying the material breach. If such wr itten notice of material breach is given and the
provider does not correct the breach to the DOCS satis faction within ten (l0) days after receipt of
the written notice, the DOCS shall have the right to unila terally and imm ediately term inate the
Agreement and seek a repJacem ent provider in order to maintain telephone service to the inm ates
without penalty to the DOCS.
8.5 Termination
Upon contract termination all installed equipment, wiring, servers, communications components and
related elements shall becom e the property of the DOCS without further cost to the DOCS. This
shall explicitly includ e a perpet uallicen se for all ins taIled so ftware. The DOCS shall own all
elements required to co ntinue the operation of a fully functional production system. The contractor
shall provide all ITS services including but not limited to call recording and cus tomer service and
billing required by this contract for ninety (90) days after the contract termination date.
8.6 Nondisclosure Agreement
Upon contract award the vendor will be required to sign the non disclosure agreement in Appendix J.
8.7 Contract Provisions
The ITS contract provisions in this
RFP including the proposed contract in
Appendix C plus
clarification questions and answers as well as th e selected vendor's proposal shall become the final
contract.
Inmate Telephone System RFP
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November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
9 Administrative Procedures
9.1 Communication with DOCS
From the date this RFP is released u ntH the day after a contract is awarded, no DOCS' em ployee is
to be con tacted regarding this RFP, except as may be authorized by the DOCS Contact Person
identified in Section 1.5. Any unauthorized con tact shall constitute grounds for disqualification and
rejection of the proposal.
The DOCS' reserves the right to:
• Amend, modify, postpone or cancel this RFP and reject all proposals submitted at any time.
• Accept 0 r reject any an d all bid s, or separab Ie portions of offers, and waive techn icatities,
irregularities, and om issions at any time prior to Contract ex ecution ifth eState determines
the best interests of the State will be served.
• Use any and all ideas submitted in the proposal received.
• Adopt all or any part of a Bidder's proposal in selecting the optimum configuration.
• Reject illegible, incomplete or vague bids in its sole discretion, and its decision shall be final.
• Make typographical corrections to proposals with the written concurrence of the Bidder.
• Correct computational errors with the written concurrence ofthe Bidder.
• Seek clarifications, request bid revisions, or request any info rmation deemed necessary for
proper evaluation of bids from all Bidders deemed to be eligible for Contract award. Failure
to provide requested information may result in rejection of the bid.
• Conduct contract negotiations with the next Bidder capab Ie of receiv ing award sh ould the
State be unsuccessful in executing an agreement with the selected Bidder within a reasonable
timeframe, the timeframe will be determined solely by the State based on the best interests of
the State.
• Analyze subm issions for the purpose of insu ring the co mpleteness and com parability of
otTers and make adjustm ents or norm alize submissions in the Bid Proposal, including the
Bidder's technical assumptions and underlying calculations and assumptions used to support
the Bidder's com putation of costs, or to apply such other methods as it deem s necessary to
make level comparisons across bids.
9.2 Proposal Format
The rules established for proposal co ntent and format will be rigid ly enforced. Variations from the
rules prescribed herein may subject the bidder to outright disqualification.
All proposals must be in the possession ofth e DOCS contact person by 2 PM EDT on the day
indicated in Section 1.6. It is the so Ie responsibility of the Bidder to insure the proposal is 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 ag ainst the loss of property in tr ansit or in handling by the DOCS
once received.
easily incorporated into the
Each vendor shall subm it its propos al so that update pages can be
original. T he official name of the firm subm itting the proposal must appear on th e outside front
cover of each binder, together with the name of the RFP contact person as given in Section 1.5 of the
Inmate Telephone System RFP
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November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
RFP. Every copy of the proposal must have each major section separated with index tabs to identity
the major sections of the proposal as they are named in the table of contents.
The bidder shall complete the forms in Appendix L, 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 com pleted
set of Response Form s shall be included in Section 1 of the bidder's proposal along with any
introductory text the bidder deems relevant.
Sections 2 through 7 of the bidder's proposal shall include all required substantiating documentation
and responses as specified in the RFP and the Response Forms. The substantiating docum entation
and responses shall cross reference the associated pa ragraph 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 com pleted and the responses and required docum entation are cross
referenced to the appro priate RFP paragraph number. A fill-able PDF version of Appendix L may
be requested from the RFP contact person identified in section 1.5.
In all cases where supporting docum entation is require d within the RF P, links to external websites
for such docum entation is unacceptable and m ay subject the bidder to disqualification. If the
required documentation does not lend itself to being bound in the form at specified, uniquely identify
the documentation and reference it accordingly.
This Request for Proposals is co mprised of a co ver sheet, the table of contents and pages num bered
sequentially in the footer ending with page num ber 32. If it is determined that a page(s) is missing
or otherwise defective, the bidde r must contact DOCS immediately so that a corrected copy can be
issued to the bidder. (t is the bidder's responsibility to ensure that all pages have been included in
the RFP received.
Bidders sha II subm it a total of six (6) copie s of their com plete pro posals; each with orig inal
signatures, along with one electron ic copy in PDF for mat of the technical proposal on CD. Late
proposals \yill be rejected. The six (6) signed Cost Proposals and attachments must be contained in a
separate se~led self-addressed stamped envelope.
COST PROPOSALS WILL NOT BE OPENED UNTIL THE TECHNICAL EVALUATION
HAS BEEN COMPLETED.
9.2.1 , Technical Proposal
The Technical Proposal shall be defined as the
Bidders response to the entire R FP with the
exception of the Cost Proposal Forms an\i attachm ents. The Tec hnical Response shall contain:
(i) the com pleted P roposaJ Response Form s (Appendix L) signed by the representative of the
Bidder having the authority to com mit the firm to the obligations set forth in the proposal (ii) a
response to all requirem ents and issues in the RFP cross referen ced to the paragraph num bers in
the RFP (iii) all forms included in the RFP completed as required.
9.2.2
Cost Proposal
The Cost Proposal shall be defined as the com pleted Cost Forms (Appendix I) showing the costs
for all Contract Services requested herein. The co sts shall be considered to be inclusive of all
travel, overhead, profit, and adm inistrative expens es. Th e cost propo sal form s shall b e in a
separate self-addressed starn ped envelope. In the event th e Bi dder is disquali tied during the
technical evaluation phase, the Cost Proposals will be retu rned unopen ed. The Cost Proposal
Form must be signed by the representative of the Bidder having the authority to commit the firm
to the obligations set forth in the proposal.
Inmate Telephone System RFP
Page 31
November 5, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP
9.3 Proposal Evaluation
Bidder's 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 Bidders techni cal proposal as defined in section 9.2.1 will be evalu ated in
two categories: (i) the technical merit ofthe solution (ii) the responsiveness of the vendor. The
process used to evaluate the proposals will proceed through the following phases:
9.3.1
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 vendor from further consideration.
9.3.2
Technical Evaluation (20 points)
The Technical Evaluation will evaluate and ra te the Bidders' propos ais and award points for
responses in the following sections:
j
a.
b.
c.
d.
..
e
Section 3.1, Systems Architecture.
Section 3.2, Systems Management.
Section 3.8, Transition/Migration.
Section 3.11 , Security .
Section 3.12, Phase-Out Plan.
9.3.3
Vendor Responsiveness Evaluation (10 points)
The Vendor Responsiveness Evaluation will evalua te and rate the Bidders' qualifications and
award points for responses in the following sections:
a.
b.
c.
d.
Section 4, Customer Service.
Section 5, Performance Requirements.
Section 6, Vendor Qualifications.
Section 7, Rates, Fees and Costs.
9.3.4
Cost Evaluation (70 points)
Cost Evaluation will be determ ined by the lowest per minute rate offered by the Bidder based on
three decimal places (e.g. $0.000.) The lowest bidder will receive the full 70 point value; higher
bids will receive a proportional point value de termined by the de Ita between the highest and
lowest bids. Bidders must complete Appendix I, Financial Proposal Cost Form.
9.3.5
Scoring
The points awarded to each Bidder in the Cost Evaluation, Technical Evaluation and Vendor
Responsiveness Evaluation categories will be combined to arrive at a score for each Bidder. The
Bidders wili then be ranked from highest to lowest score.
Inmate Telephone System RFP
Page 32
November 5, 2007
SJ:>eJ~uo:> a~~s
>lJOA MaN JO:l sasnel:>
V XIPuaddv
PJepu~s
.
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
TABLE OF CONTENTS
Clause
1. Executory
2. Non-Assignment
3. Comptroller's
4.
Clause
Approval
Workers' Compensation Benefits
5. Non-Discrimination
Requirements
6.
Wage and Hours Provisions
7.
Non-Collusive Bidding Certification
8. Internation
9. Set-Off
al Boycott Prohibition
Rights
10. Records
11.
Identifying Information and Privacy Notification
12. Equal
Employment Opportunities For Minorities and Women
13. Conflicting
Terms
14. Governing
Law
15. Late
16. No
Payment
Arbitration
17.
Service of Process
18.
Prohibition on Purchase of Tropical Hardwoods
19.
MacBride Fair Employment Principles
20.
Omnibus Procurement Act of 1992
21.
Reciprocity and Sanctions Provisions
22.
Purchases of Apparel
STANDARD CLAUSES FOR NYS CONTRACTS
STANDARD CLAUSES FOR NYSCONTRACTS
The parties to the attached contract, license, lease, amendment or
other agr eement of an y kind (herein after, " the contr act" or "this
contract") agree to be bound by the following clauses which are hereb y
made a part of the contract (the word "Contractor" herein refers to an y
party other than the State, whether a contractor, licenser, licensee, lessor,
lessee or any other party):
1. EX ECDTORY CLAD SE. In a ccordance with Section 41 ofth e
State Finance Law, the State shall have no liability under this contract to
the Contr actor 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 no t be assigned by the
inte rest therein as signed, tr ansferred,
Contractor or its right, title or
conveyed, sublet or otherwise disposed of without the previous consent,
in writing, of th e State and any attempts to assign the contr act without
the State's written consen t ar e null and void. The Contracto r may,
however, assign its right to receiv e pay ment without th e State's prior
written consent un less 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 ofN ew York, Section 355 or Section 6218 ofth e
Education Law) , ifthis contra ct exceeds $50,000 (or the minimum
thresholds agreed to by the om ce of the S tate Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any
amount to a co ntract which, as so amended, excceds saidstatutor y
amount, or if, by this contract, the St ate agrees to give somethin g other
than money whe n t he val ue or re asonablye stimated val ue of suc h
consideration exceeds $10,000, it shall not be valid, effective or binding
upon the State until it h as been approved by the State Com ptroller and
filed in his om ceo Com ptroller's approval of con tracts let by the Office
of General Serv ices is required when such co ntracts exceed $85,000
(State Finance Law Section 163.6.a).
4. WORKERS' COMPENSAnON BENEFITS. In ac cordance with
Section 142 of the State Fin ance Law, th is contract shall be vo id and of
no force and ef fect unl ess the Contractor shall provide and maintain
r the benefit 0 fsuch
coverage durin g the life of this contract fo
employees as are requ ired to be covered b y the provisions ofthe
Workers' Compensation Law.
,
5. NON-DISC RIMINATION REQUIREMENTS. To th e extent
required by Article 15:of the Executive Law (also known as the Humari
Rights Law) and all other State and Federal statutory and constitu tional
non-discrimination provisions, the Contractor will not discri minate
against an y em ployee or appl icant for em ployment becaus e 0 f race,
creed, color, sex, nation al orig in, sexual ori entation, age, disabili ty,
genetic pred isposition.or carrier status, or marital status. Furth ermore,
in accordance with Section 220-e of the Labor Law, if this is a contrac t
for the construction, alteration or repair of any public building or public
work or for the maflUfacture, sale or distribution of materials, equipment
or supplies, and to the extent that this contract shall be performed within
the S tate of N ew York, Cont ractor agr ees that neither i t nor its
subcontractors shall, by reason of race, cr eed, color, disability, sex, or
national origin: (a) di'scr iminate in hiring against any New York State
citizen who is qualified and available to perform the work; or (b)
discriminate ag ainst or in timidate any em ployee hir ed for the
perfornlance of work under this contr act. If this is a bu ilding service
contract as defined in Section 230 of the Labor Law, then, in accordance
with Section 2 39 ther eor, Co ntractor agrees that neith er 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)
Page 1
APPENDIX A
discriminate ag ainst or in timidate any em ployee hir ed for the
performance of work under th is contract. Contr actor is subject to fines
of $50.00 per person per day for an y v iolation of Section 220 -e or
Section 239 as well as possible term
ination of this contract and
forfeiture of all money s du e hereunder for a second or subs equent
violation.
6. WAGE A~ D HOt;RS PR OVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a build ing service
contract covered by Article 9 thereof, neith er Contractor's emplo yees
nor the employees of its subcontractor s may be required or permitted to
work more than the number of hours or day s stated in said statutes,
as set forth in
except as other wise provided in the Labor Law and
prevailing wage and supplement sche dules issued b y the State Labor
Department. Furthermore, Contractor and its subcontractors must pay at
vailing
least the prevailing wage rate and pa y or provide the pre
supplements, in eluding the pr emium rates for overtime pay
, as
determined by the State Labor Department in accordance with the Labor
Law.
7. NON-COLLt;SIVE BIDDING CERTIFICATION. In accordance
with Section I 39·d ofthe State Fi nance Law, ifth is contra ct wa s
awarded based upon the submission of bids, Contractor aflirms, under
penalty of perjury, that its bid was arrived at independently and without
collusion aimed at restricting competition. Co ntractor furth er affirms
that, at the ti me Contf'dctor subm hted its bid, an author
ized and
responsible person executed and delivered to th e State a non- collusive
bidding certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance
with Section 22 O-f of the Labo r Law and Section 139-h of th eState
Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the contr act, that n either the Contractor n or an y
substantially owned or affiliated person, firm, partnership or corporation
has particip ated, is participa ting, or shall partici pate in an int ernational
boycott in vio lation of the federal Export Administration Act 0 f 1979
(50 USC App. Sections 2401 et seq.) or regulations thereunder. Ifsuch
Contractor, or any of th e aforesaid affiliates of Contractor, is co nvicted
or is oth erwise found to h ave violated said laws or regulations upon the
final determination of the United 5t ales Com merce Department or any
to th e
other appropriate agenc y of the United States subsequent
contract's execu tion, such contra ct, am endment or modification thereto
shall be rendered forfeit and vo id. Th e Contr actor shall so notif y th e
State Comptroller within five ( 5) business day s 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. Th ese rights shall include, but
not be limited to, the State's option to withho Id for the purposes of set
off an y money s due to th e Co ntractor under this contract up to an y
amounts due an d owing to the State with regard to this con tract, any
other contr act with an y State depa rtment or agency , in cluding an y
contract for a te rm comm encing prior to the ter m of this contract, plu s
any amounts due and owing to the State for an yother reason including,
without limitation, tax delinquencies, fee delinquencies or monetar y
penalties relative thereto. The State shall exercise its set-offrights in
accordance with norm al 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. RECQRDS. The Contractor shall establish and maintain complete
and accurate bo oks, records, do cuments, accou nts and other evidence
under th is contract (her einafter,
directly per tin en! to performance
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 S tate 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 contract, shall have access to the
June, 2006
STANDARD CLAUSES FOR NYS CONTRACTS
Records during normal business hours at an of fice of th e Con tractor
within the State of New York or, if no such office is ava ilable. at a
mutually agreeable and reasonable venue within the S tate, for t he term
speci fied above for th e purpos es of inspe ction, aud iting and copying.
The State s hall take re asonable steps to protect from public dis closure
any of the Records which are ex empt from disclosure under Section 87
of the Public Officers Law (the "s
tatute") provided that : (i) the
Contractor shall timely inform an a ppropriate State official, in writing,
that said records should not be disclosed; and ( ii) said records shall be
sufficiently identified; and (i ii) designation ofs aid records as exempt
under the Statute is re
asonable. Noth ing contain ed herein shall
diminish. or in any way adversely affect, the State's right to discovery in
any pending or future litigation.
II. !DENTI
FYING INFORMATION AJliD PRIVA
CY
NOTIFICATION. (a) FEDERAL EMP LOYER IDENTIF ICATION
NUMBER and/or FEDERAL SOCIAL SECURITY NUMBE R. All
invoices or New York State standa rd vouch ers subm itted for pay ment
for the sale 0 f goods or services or the lease of real or personal property
to a New York S tate agency must include th e pa yee's iden tification
number, i.e., the seller's or lessor's identification number. The number is
either the pa yee's Federal ern ployer id entification number or Federal
social security number, or both such numbers wh en the payee has both
such nurn bers. Failure to in clude this number or numbers may delay
payment. Where the payee does not have such number or numbers, the
payee, on its invoice qr New York State standard voucher, must give the
reason or reasons why!the payee does not have such number or numbers.
authority to request the
(b) PRIVACY NOTIFICA TIO N. (I) The
above personal information from a seller of goods or services or a lessor
of real or personal property
,and the author ity to maintain such
infornlation, is found in Section 5 of the State Tax Law. Disclosure of
this inform ation by th e seller 0 r lessor to the St ate is mandatory. The
principal purpose for which th e information is co lIected is to enable the
State to identif y individu als, businesses and 0 thers who h ave been
delinquent in filing tax returns or may have understated their tax
liabilities and to genera lIy id entity persons affected b y th e taxes
administered b y the Com missioner ofTaxatio n and Finance. The
information will be us ed for tax administration purposes and f or an y
other purpose authorized by law.
(2) The personal information is requested by the purchasing unit of the
agency contracting to purchase the goods or serv ices or lease the real or
personal property covered by this contract or lease. The information is
maintained in New York State's Cen tral Ac counting System b y the
Director of Accounting Operations, Office of the State Comptroller, 110
State Street, Albany, New York 12236.
MENT OPPORTUNITI ES FOR
12. I<:QUAL EMPLOY
MINORITIES AJliD WOMEN. In accordance with Section 312 ofthc
Executive Law, if this contract is: (i) a VlTitten agreement or purchase
order instrumen t, provid ing fo r a to tal expenditure in ex cess of
$25,000.00, whereb y a con tracting agency is com mitted to expend or
does expend fu nds in return for labor ,s ervices, supplies, equ ipment,
materials or any combination of the foregoing, to be performed for, or
written
rendered or fur nished to the contracting ag ency; or (Ii) a
agreement in ex cess of$IOO ,000.00 whereby a contr acting agency is
committed to expend or doe s expend fund s for the acquisition,
construction, demolition, replacement, major repair or renovation of real
property and improvements thereon; or (ii i) a written agr eement in
excess of$IOO ,000.00 whereby the owne r of a State assisted housing
project is committed to expend or does expend funds for the acquisition,
construction, demolition, replacement, major repair or renovation of real
property and improvements thereon for such project, then:
(a) The Con
tractot will not disc riminate agains tern ployees or
applicants for employment because of race, creed, color, national origin,
sex. ag e, disability or marital status, and will undertake or continue
existing programs of affirmative action to ens ure th at minority gro up
Page 2
APPENDIX A
members and women are aff orded equ al emplo yment opp ortunities
without discrimination. Affir mative action s hall mean recruitment,
upgradings, demotion,
employment, job assi gnment, promotion,
transfer, la yoff, or term ination a nd rates of payor other forms 0 f
compensation;
(b) at the requ est of the contracting agency, the Contractor shall request
each em ployrnent agency, labor union, or autho rized representative of
workers with which it h as a collective bargaining or other agreement or
understanding, to furnish a wri !tim statement that such employ ment
agency, labor un ion or representative will not di scriminate 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) th e Contractor shall state, in all solicitations or advert isements for
employees, that, in the performance ofth e State contract, all qualified
applicants will be afford ed equal emplo yment opportunities without
discrimination because 0 f ra ce, creed, co lor, national or igin, sex, ag e,
disability or marital status.
.
Contractor will include the pro visions of "a", "b", and "c" above, in
every subcontr act over $25,00 0.00 for the co nstruction, dem olition,
replacement, major repair, ren ovation, planning or design of real
property and improvements th ereon (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 th is contraet; or (ii)
employment ou tside New Yo rk State ; or ( iii) banking se rvices,
insurance poli des or th e sale 0 f securities. The State s hall consider
complianee by a contr actor or subcontractor with th e requ irements of
any f ederallaw concerning
equal emplo yment opportunity which
effectuates the purpose ofthis sectio n. The contracting ag ency shall
determine whether the imposition of the requirements ofthe pro visions
any such fed eral law and ifsuch
hereof duplicate or conflict with
duplication or conflict ex ists, t he con tracting agency sh all waive the
applicability of Section 312 to the extent of such duplication or conflict.
Contractor will comply with all duly promulgated and lawful rules and
regulations of the Governor's Office of Minority and Women's Business
Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between the
terms of the co ntract (in eluding any and a II attachments thereto and
amendments thereof) and the terms of this Appendix A, the terms of this
Appendix A shall control.
14. GOVERNING LAW. Th is 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 pay ment and any interest to be
paid to Contractor for late payment shall be governed by Article II-A of
the State Finance Law to the extent required by law.
16. NO ARBIT RATIOJli. Disputes involving this contract, in eluding
the brea eh or alleged bre ach th creof, may no t be subm itted to binding
arbitration (exc ept where statutorily au thorized), but m list, ins tead, be
heard in a court ofcompetent 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 serv ice of pr ocess upon it b y registered or certi fied
mail, return receipt requested. Service here under shall be complete
upon Contractor's actual receipt of process or upon the Stat c's receipt of
the return th ereofb y the Unit ed States Posta) Service as refus ed or
undeliverable. Contractor must promptly notify the State, in writing, of
each and every change of addr ess to which service of proc ess can be
made. Service by the State to the last known address shall be su fficient.
Contractor will have thirty (30) cal endar days after serv icc hereu nder is
complete in which to respond.
June,200S
STANDARD CLAUSES FOR NYS CONTRACTS
18. PROHIBITION ON
PURCHAS E OF TR
OPICAL
HARDWOODS. The'Contracto r certifies and warrants that all wood
products to be used under this contract award will be in accordance with,
but not I imited to, th e spec ifications and provis ions of State Finance
Law § 165, (Use of Tropical Har dwoods) which prohibits purch ase'and
use oftropical hardwoods, unless specifically exempted, by the State or
any governmental agen cy or political subdiv ision or public benefit
corporation. Qu alification for an ex emption under this law will be the
responsibility of the contractor to establish to meet with the approval of
the State.
In addition, when an y portion ofth is con tract involving the use of
woods, whether supply or installation, is to be performed b y any
subcontractor, the prim e Contr actor will indicate and certifY in th e
submitted bid proposal that the subcontractor has been informed and is
in com pliance 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.
[n
19. MA<:BRIDE FAIR EMPLOYMENT PRINCIPLE
S.
accordance with the MacBride Fair Em ployment Principles (C hapter
807 of the Laws of 1992), the Contractor her eby stipulates that th e
Contractor either (a) has no business operations in Northern Ireland, or
(b) shall tak e lawful steps in good faith to conduct an y business
operations in Northern Ir eland in a ccordance with th e MacBride Fair
Employment Principles (as described in Section 165 of the Ne w York
State Finance Law), and shall pe rmit indep cndent monitoring of
compliance with such principles.
20. OMl'/1 BUS PROCUREMENT ACT OF t992 . It is the policy of
New York State to maximizc opportunities for the participation of New
York Slate business enterprises, including minority and women -owned
business enterpr ises as bidd ers, subcontractors and suppliers on its
procurement contracts.
Information on the availability of New York State subcontr actors and
suppliers is available from:
APPENDIX A
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 Cont ractor agr ees to make reasonable effor ts to provide
notification to New York State residents of em ployment opportunities
on this project through listing any such positions with the Job Service
Division ofthe New York State Department of Labor, or provid ing such
notification in such manner as is consistent with existing collective
bargaining contracts or agreements, The Contractor agrees to document
these efforts and to prov ide s aid do cumentation to th e State upon
request; and
(d) The Contractor acknowledges notice that the State may seek to obtain
offset cr edits fr om foreign countries as a resu It of this contract and
agrees to cooperate with the State in these efforts.
21. RECIPROCITY A ND SANCTIONS PROVISIONS. Bidders are
hereby no tified that if their prin cipal pi ace of business is Joc ated 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 pr educed or perf ormed outside New York State, th
e
Omnibus Procurement Act 1994 a nd 2000 amendments (Chapter 684
and Chapter 38 3, respectively) require that they be den ied contracts
which they would otherwise obtain. NOTE: As of May 15,2002, the
list of discriminatory jurisdictions subject to this provision inc ludes the
states ofS outh Carolina, Alaska, West Virginia, Wyoming, Louisiana
and Hawaii. Contact NYS Department of Economic Development for a
current list ofjurisdictions subject to this provision,
22. PURCHASES OF APPAREL. In accordance with S tale Finance
Law 162 (4-a), the State shall not purchase any apparel from any vendor
unable or unwilling to certify that: (i) such apparel was manufactured in
compliance wit h all appl icable labor and oc cupational saf ety laws,
including, but not limited to, child labor Jaws, wage and hours laws and
workplace safety laws, and (ii) vendor will supp! y, with its bid (or, if
not a bid situation, prior to or at th e time of signing a con tract with the
State). if known, the nam es and addresse s of each subcontrac tor and a
list of all manufacturing plants to be utilized by the bidder.
NYS Department of Economic Development
Division for Small Business
30 South Pearl St -- 7'h Floor
Albany, New York 12245
Telephone: 5111-292-5220
Fax: 518-292-5884
http://www.empire.state.ny.us
A directory of certified minority and women-owned business enterprises
is available from:
NYS Department of Economic Development
Division of Minority and Women's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-'5803
http://www.empire.state.ny.us
The Omnibus Procurement Act 0 f 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that whenever the
total bid amount is grelater than $1 million:
(a) The Contr actor has made reasonable eff orts to encourage th e
participation of New York State Bu siness Ente rprises a s suppliers a nd
subcontractors, including certified minority and women-owned business
Page 3
June, 2006
General Specifications
Appendix B
TABLE OF CONTENTS
(~ENERAL
I. Applicab
ility
2. Governing
Law
3. Ethics
Compliance
4. Contlict
of TernlS
5. Definitions
PAGE
I
1
I
I
1-3
BID SUBMISSION
6. International
Bidding
7. Bid
Opening
8. Bid
Submission
9. Facsimile
Submissions
10. Authentication of Facsimile Bids
I I. Late Bids
12. Bid Contents
13. Extran eous Terms
14. Confidentialrrrade Secret Materials
15. Release of Bid Evaluation Materials
16. Freedom of Infonnation Law
17. Prevailing Wage Rates - Public Works
and Building Services Contracts
18. Taxes
19. Expenses' Prior to Contract Execution
20. Advertising Results
21. Product References
22. Remanufactured, Recycled, Recyclable
Or Recovered Materials
23. Products Manufactured in Public
Institutions
24. Pricing
25. Drawings
26. Site Inspection
27. Procurement Card
28. Samples
3
3
3
3
4
4
4
4
4
4
5
5
6
6
6
6
6
6
6
7
7
7
7
BID EVALUATION
29. Bid Evaluation
30. Conditional Bid
31. CiarificationiR evisions
32. Prompt Payment Discounts
33. Equivalent or Identical Bids
34. Performance and Responsibility
Qualifications
35. Disqualification for Past Performance
36. Quantity Changes Prior To Award
37. Timeframe for Offers
43. Emergency Contracts
44. Purchase· Orders
45. Product Delivery
46. Weekend and Holiday Deliveries
47. Shipping/Receipt of Product
48. Title and Risk of Loss
49. Re-Weighing Product
50. Product Substitution
51. Rejected product
52. Installation
53. Repaired or Replaced Product/
Components
54. On-Site Storage
55. Emplo yees/Subcontractors!Agents II
56. Assignment
57. Subcontractors and Suppliers
58. PerformancelBid Bond
59. Suspension of Work
60: Termination
61. Savings/Force Majeure
62. Contrac t Billings
63. Default - Authorized User
64. Interest on Late Payments
65. Remedies for Breach
66. Assignment of Claim
67. Toxic Substances
68. Independen t Contractor
69. Security
70. Cooperation with Third Parties
71. Contract Term - Renewal
72. Additional Warranties
73. Legal Compliance
74. Indemnification
75. Indemnification Relating to Third
Party
Rights
76. Limitation of Liability
77. Insurance
9
9
10
IO
to
to
IO
10
10
to
II
II
II
II
II
II
II
12
12
12
12
13
13
13
13
13
13
13
13
15
15
15
15
15
8
8
8
THE FOLLOWING CLAUSES PERTAIN TO
TECHNOLOGY & NEGOTIATED CONTRACTS
8
8
8
8
8
8
TERMS & CONDITIONS
38. Contract Creation/Execution
39. Particip ation in Centralized Contracts
40. Modification of Contract Terms
41. Scope Changes
42. Es timated/Specific Quantity Contracts
TERMS & CONDITIONS PAGE
8
8
9
9
9
78. Software License Grant
79. Product Acceptance
80. Audit of Licensed Product Usage
81. OwnershipffitI e to Project
Deliver
abIes
82. Proof of License
83. Product Version
84. Changes to Product or
Service
Offerings
85. No Hardstop/Passive
License
Monitoring
86. Source Code Escrow for
Licensed
Product
15
17
17
17
18
18
18
19
19
GENERAL SPECIFICATIONS
APPENOIXB
GENERAL
I. APPLICABILITY The terms and conditions set forth in this
Appendix B ar e expres sly in corporated in an d applic able to the
resulting procurement contracts let by the Office of General Services
Procurement Services Group, 0 r Ie t by any other Authorized User
where incorporated by reference in its Bid Docum ents ..Caption s are
intended as deseriptiv e and ar e not intended to limit or other wise
restrict the terms and conditions set forth herein.
2. GOVERNING LAW This procurement, the reSUlting con tract
and an y purchase order~ issued hereund er shall be governed by the
laws of the S tate of New York excep t where the Federal supremacy
clause requires otherwise, and actions or proceedings arising from the
contract shall be heard in a court of competent jurisdiction in the State
of New York.
3. ETHICS COMPLIANCE All Bidders/Con tractors and th eir
employees must comply with th e requirements of Sections 73 and 74
of the Public a meers Law, oth er State codes, rules, regu lations and
executive'o rders establishing ethical stand ards for the conduct of
business with New York State. In signing the Bid. Bidder certifies full
compliance with those provisions for any presen t or future dealings,
transactions. sale s, contracts, services. 0 fiers, relationships, etc.,
involving New York State and/or its employees. Failure to comply
with those provisions may result in disqualification from the Bidding
process. termination of contr act, and/or 0 ther civil or
criminal
proceedings as required by law.
4. CONFLICT OF TERMS Unl ess otherwise s et for th in th e
procurement or contract documents, conflicts among documents shall
be resolved in the following order of precedence:
a. Appe ndix A (Standard Clauses for NYS Contracts)
b. Mini-Bid Project Delinit ion if appli cable and in accordance
with the ternlS and conditions of the Back-Drop Contract.
c. Contract an d ath er writ ing(s) selling forth the final
agreements, clarifications and terms between the Bid Documents and
Contractor's Bi d. In the
latter circum stance, clar ifications must
specifically note in writing wh at was offered by the Contr actor and
what was accepted by the State. Ifno t, such clarifications shall be
considered last in the order of precedence under this paragraph.
d. Bid Documents (Other than Appendix A).
i.
Bid Specifications prepared by the Authorized User.
ii.
Appendix B (General Specilieations).
Ill.
Incorporated Contrac t Appendi ces, ifan y, fol lowing the
order of precedence as stated for Contract above.
e. Contractor's Bid or Mini-Bid Proposal.
f.
llnincorporated Appendices (if any).
5. DEFINITION S Terms used in this Appendix B .. shall have the
following meanings:
AFFILIATE Any individual or other legal entity, (including but not
limited to solc proprietor, partnership, lim ited Ii ability company, firm
or corporation) that effectively controls another company in which (a)
the Bidder ow ns more than
50% of the ownership; or (b) an
y
individual or other leg a) en tity wh ich owns more than 50% 0 f th e
ownership of thc Bidder.' In ad dition, if a B idd cr owns less tha n 50%
of the ownership of another leg al entity, bu t directs or has the right to
direct such entity's daily operations, that entity will be an Affiliate.
AGENCY OR AGENC.IES The State of New York, acting by or
through one or more departments, boards, commissions, offices or
institutions of the State of New York.
July 2006
ATTORNEY GENERAL Attorney General of the State of New
York.
AUTHORIZED llSER(S) Agenci es, or an yother entity authorized
by the laws of the State of New York to participate in NYS centralized
contracts (in cluding but not limited to political subdivisions, public
authorities, public benefit co rporations and certain oth er entities set
forth in law), or the State of New York acting on behal f of one or more
such Agencies or other ent Hies, provided th at each such Agen cy or
other entity shall be held solely responsible for liabiliti es or payments
due as a result of its participation.
BID OR BID PROPOSAL An offer or pro posal subm itted by a
Bidder to furnish a described product or a solution, perform services or
means of achie ving a pra ctical end, a t as tated price for th e stated
Contract term, As required by the Bid Documents, the Bid or proposal
may be subject to modification th rough the solicitation by the Agency
of best and final offers during the evaluation process prior to
recommendation for award of the Contract.
BIDDER/OFFERER Any individual or oth er legal entity (including
but not limited to sole pro
prietor, par tnership, limited liability
company, firm or corporation) which submits a Bid in response to a
Bid Solici tation. The t erm Bidder shall
also include th e term
"offeror." In the ease ofnego tiated Contracts, "Bidder" shall refer to
the "Contractor."
BID DOCllMENTS Writings by the State setting forth the scope,
terms, condition sand te chnical specifications f or a procur ement of
Product. Such writings typically include, bu t are not I imited to ;
Invitation for Bids (IFB), Request for Quotation (RFQ), Reques t for
Proposals (RFP), add enda or amendments thereto, and term sand
'conditions which are incorpor ated b y reference, including bu t not
limited to, Ap pendix A (Standard Clauses for NYS Contracts),
Appendix B , (General Specifications). Where th ese Ge neral
Specifications are incorporated in negotiated Contracts that have not
been competitively Bid, the term "Bid Documents" shall be deemed to
refer to the ter ms and conditions se t forth in the negotiated Contract
and associated documentation.
BID SPECIFICAnON A \\TiUen
descr iption dra fled b y the
Authorized Use r setting forth the specif ic terms of the intended
procurement, which may
include: ph ysical or functional
characteristics, t he nature of a commodity or construction item, an y
description of th e work to be perfomled, Products to be provid ed, the
necessary qual ifications of the Bidder, th e capacity and cap ability of
the Bidder to successfully carry out th e propo sed Contract, 0 r the
process for ach ieving specific results and/or an ticipated outco mes or
any 0 ther requirement necessar y to perform work. Where
these
General Specifications are inco rporated in negotiated Contra cts that
have not been competitively Bid, the term "Bid Specifications" shall
be deem ed to refer to the terms and conditions set forth in the
negotiated Contract and associated documentation.
COMMISSIONER Commissi oner ofOGS, or in the
case of Bid
Specifications issued b y an Authorized Us er, the head of such
Authorized User or their authorized representative.
COM PTROLLER Comptroller of the State of New York.
CONTRACT The writing(s ) which contain t he agreem ent 0 f the
Commissioner and the Bidd er/Contractor setting forth th e tot al legal
obligation between th e part ies as deteml ined by app licable rul es of
Jaw, and which most typically include the following classifications of
public procurements:
GENERAL SPECIFICAnONS
APPENDIX B
a. Agency Specific Contracts Contrac t5 where t he 5 pecifications
for a Product or a particular scope 'of work are described and defined to
meet the needs of one or more Authorized User(s).
b. Ce ntralized Contracts Single or multiple award Contra cts
where the specifications for a Product or general scope ofwo rk are
described and d elined by the Office of Genera I Services to meet the
needs of Author ized Us.ers. Ce ntralizcd Contra cts may be awarded
through multiple awards or throu gh adoption of another jurisdicti on's
contract or on a sole source, single source, em ergency or competitive
basis. Once established, procurements may be made from the selected
Contractor(s) without further
competition or Mini·Bid unless
otherwise requ ired b y the Bid Specifications or Contract Award
Notification.
c. Back ·Drop Contracts Multip Ie award Cen tralized Contr acts
where the Offic e of General Services defin es the specifications for a
Product or general scope ofwo rk to meet th e needs of Autho rized
Users. Bids may be submitted either at a date and time certain or may
be accepted on a continuous or periodi c recru itment basis, as set forth
in the. Bid Spec ifications. Sele ction of a Contr actor(s) from among
Back·Drop contract holders for an actual Product, project or particular
scope of work may subsequently be made on a single or sole source
Drop
basis, or on the basis of a Mini-Bid among qualified Backcontract hold ers, or such other method as set forth in th
e Bid
Document.
d. Pigg yback Contract A Contr act let by any department, agen cy
or instrumentality of the United States government, or any department.
agency. office. political subdivision or instrum entality of any state or
state(s) which is adopted
and extended f or use b y th e OGS
Commissioner in accordan ce with the requir ements of the State
Finance Law.
e. Con tract Letter A let ter to the successful Bid der(s) indicating
acceptance of i ts Bid in response to a soli citation. Unless oth erwise
specified, the issuance of a Letter of Acceptan ce forms a Contract but
is not an order for Product, and Contractor should not take an y action
with respect to actual Contract deliveries ex cept on the basis of
Purchase Orders sent from Authorized User(s).
CO~TRACT
AWARD ;\IOTIFICATION Anannouncementto
Authorized Users that a Contract has been established.
CO;\lTRACTOR Any successful Bidder(s) to whom a Contract has
been awarded by the Commissioner.
DOCVME;\ITATIO~
The complete set of manuals (e.g ., user,
installation, inst ruction or diagnostic manuals) in ei ther h ard or
electronic copy, which are necessary to enable an Authorized Us er to
properly test- install, operate and enjoy full use of the Product.
EMERGE~CV An urgent and unexpected requ irement where health
and public safety or the conservation of public resources is at risk.
ENTERPRISE The total busin ess operations in the United Sta tes of
Authorized User (5) without reg ard to geographic location where such
operations are perform ed or the enli ty actually performing such
operations on behalf of Authorized User.
ENTERPRISE LICENSE A license gran t of unHm ited righ ts to
deploy, access, use and execute Product an
ywhere within the
Enterprise up to the maximum capacity stated on the Purchase Order
or in the Contract.
'
July 2006
ERROR COR REcnO;\lS Machine executable software code
furnished by Contractor which corrects the Product so as to conform to
the applicable warranties, performance standards and/or obligations of
the Contractor.
GROUP A classification of Product, se rvi ces or technology which is
designated by OGS.
INVITAnO;\l FOR BIDS (IFB) A ty pe of Bid Document wh ich is
most typically used where requi rements can be stated and award will
be made based on lowest pr ice to the responsive and responsible
Bidder(s).
LICENSED SOFTWARE' Software transferred upon the terms and
conditions set forth in the Contra ct. " Licensed Software" inc ludes
error corrections, upgrades, en hancements or new releases, and an y
deliverables due under a maintenance or service contract (e.g., patches,
data con version, or
custom
fixes, PTFs,
programs, code or
programming).
LICENSEE One or more Authorized
Users who acquir e Pr oduct
from Contractor by issuing a Purchase Order in accordance with the
terms and conditions of th e Co ntract; prov ided that, for purpo ses of
compliance with an indiv idual license, the term" Licensee" shall be
deemed to refer separately to th e indiv idual Authorized User(s) who
took receipt of and who is execu ling the Product, and who shall be
solely responsible for performance and liabilities ineurred. In the cas e
of acquis itions by State Agenci es, the Li censee s hall be the S tate of
New York.
LICENSE EFFECTIVE DATE The d ate Product is delivered to an
Authorized User. Where a License involves Licensee's right to copy a
previously I icensed and delivered M aster Cop y of a Program, th e
license effe ctive date for add itional copi es shall be deem ed to b e the
date on which the Purchase Order is executed.
LICENSOR A Contractor who transfers rights in proprietary Product
to Authorized Users in accordance with th e rights and oblig ations
specified in the Contract.
MINI-8ID PROJECT DEFINITION A Bid Document containing
project specific Bid Specifications developed by or for an Authorized
User which solicits Bids from Contractors previously qualified under a
Back-Drop Contract.
MULTIPLE AWARD A determination and award of a Contr act in
the discretion of the Commissio ner to more than one responsive an d
responsible Bid der who meets the requirements of a specif ication,
where the multiple award is made on the grounds set forth in the Bid
Document in order to satisfy multiple factors and needs of Authorized
Users (e.g., complexity of items, various manufacturers, differences in
performance req uired to accomplish or produce required end results,
production and distribution facilities, price, compliance with delivery
requirements, geographic location or other pertinent factors).
An y
;\lEW PROmXT RELEASES (Product Revisions)
commercially released revisions to the licensed version of a Product as
may be gener ally offered and availa ble to Authorized Users. New
revision off unctionality from a
releases involve a substantial
previously released version of the Product.
OGS The New York State Office of General Services.
PROCUREMENT RECORD Docum entation b y the Auth orized
User ofthe decisions made and approach taken during the procurement
process and during the contract term.
2
GENERAL SPECIFICATIONS
APPENDIXB
PRODUCT A deliverable un der an y Bid or Contract which may
include commodities, ser;vices and/or technology. The tenn "Product"
includes Licensed Software.
finnware, hardware, or computer system (such as local area or wide
area networks), including aesthetic di sruptions or distortions, but does
not includ e secu rity key s or oth er such devices installed byProduct
manufacturer.
PROPRIETARY Protected b y secrecy, patent, cop yright or
trademark against commercial competition.
PURCHASE ORDER The Authoriz ed User's fiscal fonn or fonnat
that is used when making a purchase (e .g., fonn al written Purchas e
Order, Procurement Card, el ectronic Purchase Order, or other
authorized instrument).
REQUEST FOR PROPOSALS (RFP) A type of Bid Document that
is used for pr ocurements wh ere f actors in addition to cost ar e
considered and weighted in awarding the co ntract and wh ere the
method of award is "best value," as defined by the State Finance Law.
REQUEST FOR QIJOTATION (RFQ) A ty pe of Bid Document
that c an be us ed when a fonn al Bid open ing is not required (e.g.,
discretionary, sole source, single source or emergency purchases).
RESPONSIBLE BIDDER A Bidder th at is detennined to have
financial and 0 rganizational ca pacity, legal authority, sat isfactory
previous performance, skill, judgment and integrity, and that is found
to be com petent, rei iable and experi enced, as determ ined b y the
Commissioner. For purposes of be ing deemed responsible, a Bidder
must also be detennined to be in compliance with Sections 139-j and
I39-k of the State Finan, ce Law rela tive to restrictions on co ntacts
during th e procurement process and disclosure of contacts and prior
findings of non-responsibility under these statutes.
RESPONSIVE BIDDER A Bidder meeting the specifications or
requirements pr cscribed in th e Bi d Documen tor solicitatio n, as
detennined by the OGS Commissioner.
SINGLE SOURCE A procurement where tw 0 or more Bidders can
supply the requ ired Product, an d the Commissi oner may award the
contract to one Bidder over the other.
SITE The location (street address) where Product will be executed or
services delivered.
'
SOLE SOURCE A procurement where only one Bidder is capable of
supplying the required Product.
SOURCE CODE The prog ramming statements or instr uctions
written and exp ressed in an y language understandable by a human
being skilled in the art which ar e translated by a language com piler to
produce executable machine Object Code.
STATE State of New York.
SUBCONTRACTOR Any individual or other legal entity, (including
but not limited to sole pro prietor, par tnership, limited liability
company, finn or corporation) who has entered into a contract, express
or im plied, for the pe rfonnance ofa portion 0 fa Contract with a
Contractor.
TERMS OF UCENS E The terms and cond itions set for th in the
Contract that are in effect and applicable to a Purchase Order at the
time of order placement.
.
VIRUS An y computer code, whether or not written or con ceived by
Contractor, that disrupts, disables, hanns, or otherwise impedes in an y
manner the operation of the Product, or any other associated software,
July 2006
BID SUBMISSION
6. INTERNATIONAL BIDDING All off ers (tenders), and all
infonnation and Product requir ed by the solicitation or prov ided as
explanation thereof, shall be submitted in English. All prices shall be
expressed, and all payments shall be made, in United States Dollars
($US). Any offers (tenders) submitted which do not meet the above
criteria will be rejected.
7. BID OPENING Bids may, as applic able, be opened publicly.
The Commissioner reserves the right at any time to postpone or cancel
a scheduled Bid opening.
S. BID SUBMISSIQN All B ids are to be pa ckaged, sealed and
submitted to the location stated in the Bid Specifications. Bidders are
solely responsible for timely delivery of their Bids to the locatio n set
forth in th e B id Spedf ications prior to th e stated Bid op ening
date/time.
A Bid return envelope, ifprovided with the Bid Specifications, should
be used with the Bid sealed inside, If the Bid response does not fit into
the envelope, the Bid envelope should be attached to the ou tside of the
sealed box or package with th e Bid insid e. If using a commercial
shipping package or
delivery company that requir es use of their
envelope, Bidder's sealed Bid, labeled as detailed below, should be
placed within th e shipper's sealed envelope to ens ure that th e Bid is
not prematurely opened.
All Bids must h ave a label on the outside of the package or shipping
container outlining the following infonnation:
"BID ENCLOSED (bold print, all capitals)
•
•
Group Number
IFB or RFP Number
Bid Submission date and time"
In the event that a Bidder fa i1s to provide such infonn ation on th e
return Bid envelope or shipping mate rial, the receiving entity reserves
the righ t to open the shipp ing package or envelope to detennine th e
proper Bid number or Product group, and the date and time 0 f Bid
opening. Bidd er shall haven 0 claim aga inst the rec eiving entit y
arising from su ch open ing and such open ing shall no t af feet the
validity of the Bid or the procurement.
Notwithstanding the receiving agency's right to open a Bid to ascertain
the foregoing infonnation, Bid der a ssumes all risk of late de livery
associated with the Bid not bei ng ident ified, packaged or labeled in
accordance with the foregoing requirements.
All Bids must be signed by a person authorized to commit the Bidder
to the tenns of the Bid Documents and the content of the Bid (offer).
9. FACSIMILE SUBMISSIONS Unless specifically prohibited by
the t enns of the Bid Spe
cifications, facsimile Bids m ay b e
SUBMITTED AT THE SOLE OPTION AND RISK OF THE
BIDDER. Only
the FAX numbe res) iadica ted in
the Bid
Specifications may be used. Access to the facsimile machine(s) is on a
"first come, first serve" basis, and the Commissioner bears no liability
or responsibility and makes no guarantee whatsoever with respect to
3
GENERAL SPECIFICAnONS
APPENDIXB
the Bidder's access to such equipment at an y specific time. Bidders
are solely responsible for submission and receipt of the entire facsimile
Bid by the Authorized User prior to Bid or ening and must inclu de on
the first page of the trans'mission the total number of pages transmitted
in the fa csimile, including the cover page, Inco mplete, ambiguous or
unreadable transmissions in wh ole or in part m ay be r ejected at the
sole discre lion of the Com missioner. Fa csimile Bids are full y
governed by all conditions outlined in the Bid Documents and must be
submitted on forms or in the format required in the Bid Specifications,
including the executed signature page and acknowledgment.
10. AUTHENTICATION OJ' FA CSIMILE BI DS The act of
submitting a Bi db y facsimile transmission, in eluding an exe cuted
signature page or as otherwise specified in the Bid Documents, snail
be deem cd a confirming act by Bidder which authenticates tne signing
of the Bid,
II. ,LATE BIDS For purposes of Bid openings held and conducted
by OGS, a Bid must be received in such place as may be designated in
the Bid Docum ents or ifno pi ace is spec ified in the OGS Mailr oom
located in the Empire State Pia za, A [bany, New York 12242, at or
before the date and time establishe d in the Bid Specifications for the
Bid opening. For purposes of Bid openings neld and conducted b y
Authorized Users other than OGS, the term late Bid is defined as a Bid
not received in the location established in th e Bid Specifications at or
before the date and time specified for tne Bid opening.
Any Bid received at the specified location after the time specified will
be considered a late Bid.' A late Bid shall not be considered for award
unless: (i) no timely Bids meeting th e requ irements of the Bid
Documents are received. or, (ii) in the case of am ultiple award, an
insufficient nu mber of tim ely Bids were received to sa tis/)' the
multiple award; and acceptance oflhe I ate Bid is in the best in terests
ofthe Authori zed Users; Bids subm itted for continuous or periodic
recruitment con tract awards must meet th e submission require ments
associated with their specifications. Del ays i n United States m ail
deliveries or any oth er means oftransm ittal, including couriers or
agents ofthe A uthorized User shall not excuse late Bid submissions.
Similar ty pes of delay s, including but not limited to, b ad weath er, or
security pr ocedures tor park ing and bui Iding adm ittance sha 1I not
excuse late Bid submissions. Determinations relative to Bid timeliness
shall be at the sole discretion of the Commissioner.
12. BID CONTENTS Bids must be complete and legible. All Bids
must be signed. All informatio n required by the B id Specifications
must be supplied by the Bidder on the forms or in the format specified.
No alteration, erasure or addition is to be made to the Bid Documents.
Changes may be ignored by the Commissioner or may be ground s for
rejection of the Bid. Changes, corrections and/or use of white- out in
the Bid or Bidd er's response portion of the Bid Document mu st be
initialed by an authorized representative of the Bidder. Bidders are
cautioned to ver i/)' their. Bids before submission, as am endments to
Bids or requests for with&rawal 0 f Bids received by the Commissioner
after the time specified for the Bid opening, may not be considered.
13, EXTRANEOUS TERMS Bid s must conform 10 th e terms se t
forth in the Bid Documents, as extraneous terms or material deviations
(including additional, in consistent, conflicting or alt emative terms)
may render the Bid non-responsive and may result in rejection of the
Bid.
'
.
Extraneous ter m(s) submitted on standard,
pre-printed forms
(including but n ot limited to: product literature, order forms, licens e
attacned or
agreements. co ntracts o~ othe r docum ents) that are
referenced with submissions shall not be considered part of the Bid or
July 2006
resulting Contract, but shall be deemed included for informatio nal or
promotional purposes only.
Only those extraneous term s that meet all the following requirem ents
may be considered as having been submitted as part of the Bid:
a, Each proposed extraneous term (addition, deletion, counter-offer,
deviation, or modification) must be spec ifically e numerated in a
writing which is not part of a pre-printed form; and
b. The writing must identify the particular specification requirement
(if any) that Bid der rejects or proposes to modif y by inclusion of the
extraneous term; and
c. The Bidder shall enumerate the proposed addition, counter offer,
modification or deviation from th e Bid Document, and the reasons
therefore.
No extraneous t erm(s), whether or not deem ed" material," s hall be
incorporated in to a Contra ct or Purchase Orde runless subm itted in
accordance with the above and the Commissioner or Authori zed User
expressly a ccepts each such term(s) in writing. Ac ceptance and/or
processing ofth e Bid shall no t constitute such written acceptance of
Extraneous Term(s).
14. CONFIDENTIALffRADE SECRET MATERIALS
a. Contractor Confidential, trade secret or proprietary materials as
defined by the laws of the State of New York must be clear] y marked
and identified as such upon submission by the Bidder. Markin g the
Bid as "confidential" or "proprieta ry" on its f ace or in th e document
header or foo ter s nail not be considered b y the Com missioner or
Authorized User to be sufficient without specific justif ication as to
cause
why disclosure of particular information in the Bid would
substantial inju ry to the
competitive posi tion of the Bidder.
Bidders/Contractors intending to seek an exemption from disclosure of
these materials under the Freed om of lnformation Law must request
the exemption in writing, set ting forth the reasons for the cI aimed
exemption. Acceptance of the claimed materials does not constitute a
detem1ination on the exem ption request, whi ch determination will be
made in a ccordance wi th statutory pro cedures. Properly id entified
information th at has been designate d confidential, trade secret, or
proprietary b y t he Bidder will not be disclose d except as m ay be
required by the Freedom of Info rmation Law or other appJicab Ie State
and federal laws.
b. Commissioner or Authorized User Contractor further warrants,
covenants and represents that any confidential information obtained by
Contractor, its agents, Subcontr actors, officers, distributors, resellers
or empl0 yees in the course of performing its obligat ions, including
without limitation, security
procedures, business operations
information, or commercial proprietary information in the possession
of the State or an y Authorized User hereun der or received from
another th ird party , will not be
divulged to an y third parties.
Contractor shall not be required to keep confidential any such material
that is publicly available through no fault of Contractor, independently
developed by Contractor without reliance on confidential information
of the Authorized User, or 0 therwise obtained under the Freedom of
Information Act or other app
Ii cable New York State laws
and
regulations. This warranty shall surv ive term ination of this Contract.
Contractor furth er agre es to tak e appropri ate steps as to its ag ents,
Subcontractors, officers, distributors, resellers or employees regarding
the obligations arising under this clause to insure such confidentiality.
15. RELEASE OF BID EVAL VA TION MATERIALS Re quests
concerning th e eva luation of Bids m ay b e subm itted und er th e
Freedom of Information Law. Inform alion, olher than statistical or
4
GENERAL SPECIFICATIONS
APPENDIXB
factual tabulations or data su ch as the B id Tabulation, sha II onl y be
released as required by law after Contract award. Bid Tabulations are
be
not maintain ed for all procur ements. Names of Bidders may
disclosed after Bid opening upo n request. Written requests should be
directed to the Commissioner.
16. FREEDOM OF INFORMATION LAW During the evaluation
process, the content of each Bid will be held in confidence and details
of any Bid will not be revea led (except as may be required und er the
Freedom of Inf ormation Law or ot her S tate I aw). The Freedom of
Information Law provides for a n exemption from disclosure for trade
secrets or infor mation the dis closure of which would cause in jury to
the competitive position'of co mmercial en terprises. This exception
would be effective both during and after the evaluation process. If the
Bid contains any such trade secret or other confidential or proprietary
infonnation, it must be accom panied in the Bid with a writ ten request
to the Com missioner to no t disc lose sueh in for mation. Suc h request
must state with particularity the reasons wh y th e information should
not be available for di sclosure and must be provi ded at t he time of
submission of the Bid. Notations in the header. footer or watermark of
the Bid Docum ent will not be considered suffici ent to consti tute a
request for non -disclosure of trade secret or other conf idential 0 r
proprietary information. Where a Freedom of In formation request is
made for trademark or other confidential or pr oprietary information,
the Commissioner reserves the right to determ ine upon written notice
to the Bidder whether such information qualifies for the exemption for
disclosure under the law. Notw ithstanding th e above, where a Bid
tabulation is prepared and Bids pub licly opened, such Bid tabulation
shall be available upon request.
17. PREVAILING WAGE RATES - PUBLIC
WORKS AND
BUILDING SE RVICE'S CONTRACTS If an y portion of work
being Bid is subject to the prevailing wage rate provisions of the Labor
Law, the following shall apply:
"Public Works'" and "Building Services'" - Definitions
i. Public Works Labor Law Article 8 app lies to eontra cts for
public improvement in whieh laborers, workers or mechanics ar
e
employed on a "public works" pr oject (distinguished from publie
"procurement" or "service" co ntracts). The S tate, a public benefit
corporation, a munieipal eorporation (including a school distr ict), or a
commission app ointed bylaw must be a party to the Contract. The
wage and hours provision a
pplies to an y work performed b y
Contractor or Subcontractors.
a.
ii. Buildine Se rvices Labor Law Artiel e 9 ap plies to Con tracts
for building service work over $1,500 with a public agency, that: (i)
involve the care or maintenance of an existing bu ilding. or (ii) involve
the transportation of offi ce fum iture or equipment to or from sueh
building, or (iii) involve the transportation and delivery of fossil fuel to
sueh building, and (iv) the prin cipal purpose of which is to furnish
serviees through use of building service employees.
b. Prevailing Wage Rate Applicable to Bid Submissions A copy
of the applicable prevailing wage rates to be paid or provided are
annexed to the Bid Documents. Bi dders must submit Bids which are
based upon the prevailing hourly wages, and supplements in cash or
equivalent benefits (i .e.; fr inge benef its and an y cash or non -cash
eompensation whieh are· not wages, as defined by law) that equal or
exceed the applicable prevailing wage r ate(s) for the location where
the work is to be performed. Bi dders may not submit Bids based upon
hourly wag e rat es and supplem ents below the applicable prevailin g
wage rates as established by the New York State Department of Labor.
Bids that fail to comply \vith this requirement will be disqualified.
July 2006
c. Wage Rate Pa yments I Change s During Co ntract Term The
wages to be paid under any resulting Contract shall not be less than the
prevailing rate of wages and supplemen ts as set forth bylaw. It is
required tha t th e Contra ctor ke ep inform ed of all ehang es in the
Prevailing Wage Rates during the Contra ct ter m that appl y to th e
classes of ind ividuals supplied b y the Con traetor on any pr ojeets
resulting from this Contraet, subjec t to the provisions of the Labor
Law. Contractor is solely liable for and must pay such required
prevailing wage adjustments during th e Contraet term as requir ed by
law.
d. Public Posting & Certified Payroll Reco rds In compliance
with Article 8, Seetion 220 of the New York State Labor Law:
i. Posting The Contraetor must publicly post on the work site, in
a prominent and aeeessible place, a legible schedule of the prevailing
wage rates and supplements.
ii. Payroll Records Contracto rs and Sube ontractors must keep
original payrolls or transcrip ts subscribed and affirmed as true under
the penalties of perjury as required by law. For public works contracts
no regular plaee of
over $25,000 where the Contraetor maintains
business in New York State, such re cords must be kept at the work
site. For building services contracts, sueh records must be kept at the
work site while work is being performed.
III. Submission of Ce rtified Payroll Tr anscripts for Public
Works Contr acts Only Contractors and Sub contractors on publie
works projeets must submit monthly payroll tr anseripts to the
Authorized Us er that has prep ared or dire cts t he prepar ation of the
plans and specifications for a pu blic works projeet, as set forth in the
Bid Specifi eations. For Mini-Bid solieit at ions, the pa yroll re cords
must be subm itted to the ent ity preparing the ageney Mini-Bid projeet
specifieation. For "ageney specific" Bids, the payroll reeords should
be subm itted to the entity issui ng the pur chase order. For al I other
OGS Centralized Contraets, sueh reeords should be suhm itted to th e
individual agen ey issuing the pu rchase order(s) for the wo~. Upon
mutual agreement of the Contractor and the Authorized User, the form
of submission may be submitted in as pecified disk format aeeeptable
to the Department of Labor provide d: I) the Con traetor/Subcontractor
retains the original records; ill!4, (2) an or iginal signed letter by a duly
authorized ind ividual of the Co ntractor or Subcontraetor attesting to
the tru th and a ccuracy of the reeords a eeompanies th e dis k. Thi s
provision does not applv to Article 9 of the
Lahor Law building
services eontraets.
iv. Records Retention Contr aetors and Subeontraetors must
preserve such certified transer ipts for a period of three years from the
date of completion of work on the awarded eontract.
Day's Labor Eight hours shall constitute a legal day's work f or all
classes of employees in this state exeept those engaged in f arm and
domestic service unless otherwise provided by law.
No laborers, workmen or mechanics in the emplo y of the Contractor,
Subeontractor or other person doing or contracting to do all or p art of
the work conte mplated by the Contract shall be perm hted or required
to work more th an eigh t hours in an y one calendar day or more than
five calendar days in an y one week except in cases of extraordi nary
emergency including fire, flo od or danger to Ii f e or pro perty.
"Extraordinary emergency" sh all be deemed to include si tuations in
which sufficient laborers, workers and meehanies cannot be employed
to earry on publie work expeditiously as a res ult of s ueh res trictions
upon the numb er of hours and day s of labor and the immediate
commencement or prosecution 0 r completion without undu e delay of
the pubJi c work is necessary
in the judg
ment of the NYS
5
GENERAL SPECIFICATIONS
APPENDIXB
Commissioner of Labor for the preservation of the Contract site or for
the protection 0 f thc Iifc and limb of the pcrsons using the Co ntract
site.
18. TAXES
a. Unless othen-vise specified in the Bid Specifications or Contrac 1,
the quoted Bid price includes all taxes applicable to the transaction.
b. Purchases made by 'the State of New York and certain non-State
Authorized Users are exem pt from New York State and 10 cal sales
taxes and, with certain exceptions, federal excise taxes. Tb sa tisfy the
requirements of the Ne-w: York State Sales tax exemption. either the
Purchase Order issued by a State Ag ency or the invoice forw arded to
authorize payment for such purchases will be suffici ent evidence that
the sale b y the Contra: ctor was m ade to the S tate, an exempt
organization under Section III 6 (a) (I) of the Tax Law. Non- State
Authorized Users must offer their own proof
of ex emption upon
request. No person, firm or cor poration is, however, eJj:empt from
paying th eState Truck Mileage a nd Unemplo yment Insuran ce or
Federal Social Security taxes, which remain the sole responsibility of
the Bidder/Contractor.
c. Pursuant to Revised Tax Law 5- a, Contractor will be requ ired to
furnish sales tax certification on its behal f and for its affili ates, and
subcontractors for Contracts with a value gr eater than $100,00 0 in
accordance with provisions of the law.
d. Purchases by Authorized Users other than the State of New York
may be subject to certain tax es wh ich were not included in the Bid
price, and in tho se instances th e tax should be co mputed based on' th e
Contract price and added to the invoice submitted to su ch cn tity for
payment.
19. EXPENSES PRIOR TO CONTRACT EX ECUTION The
Commissioner and any Authorized User(s) are not Babl e for any costs
incurred by a Vendor, Bidder or Contractor in thc prcp aration and
production of a Bid, Mini-Bid 0 r best and final offers or for any work
performed prior to Contract execution.
20. ADVERTISING RESLJLTS The pr ior written approval of the
Commissioner is required in ord er for results of the Bid to be used by
the Contractor as part of any commercial advertising. The Contractor
shall also obtain the prior written approvalo fthe Commissi oner
relative to the Bid or Contract for press or other media releases.
21. PROI>lJCT REFERENCES
a. "Or Egual" In all Bid Spe cifications the words "or equal" a re
understood to apply wh ere a cop yrighted, bran d name, tr ade name,
catalog reference, or patented Product is referenced. References to
such specific Product ar e intended as descriptive, not restrictive.
unless otherwise stated. Com parable Product will be consider ed if
proof of compatibility
is provide d, in eluding appropriate catalog
excerpts, des criptive I iterature, specifications and tes t data, e te. The
Commissioner's decision as to acc eptance of the Product as equal
shall be final.
b. DiSfrepa ndes in References In the event of a dis crepancy
between the model number referenced in the Bi d Specifications and
the written description of th e Products which cannot b e reconciled,
with respect to such discrepanc y, th en the writ ten descrip lion shall
prevail.
22. REMANUFACTURED, REC YCLED, REC YCLABLE 0 R
RECOVERED MATERIALS Upon the conditions specified in the
Bid Specifications and in accordance with the laws of the State of New
York, Contractors are encouraged to use recycled, recyclable or
July 2006
recovered materials in the manu facture of Products and pack aging to
the maximum extent practicable without jeopardizing the performance
or intend ed end use of th e Product or packaging unless such use is
precluded due to heal th, we Ifare, safety requ irements or in the Bid
Specifications. Contra ctors are fur
ther encouraged to offer
remanufactured Products to the maximum extent practicable without
jeopardizing the performance or intend ed end use of the Product and
are, safet y
unless such use is precluded due to health, welf
requirements or by the Bid Specifications. Where such us e is no t
practical, suitable, or perm itted by the Bid Specifications, Contr actor
shall del iver new materials in accordance with the" Warranties" set
forth below.
Items with recycled, recy ciable, recovered, refurb ished or
remanufactured content must be identified in the Bid or Bidder will be
deemed to be offering new Product.
D IN PUBLJC
23. PRODUCTS MANUFACTURE
INSTITUTIONS Bids offering Products that are manufactur
produced in public institutions will be rejected.
ed or
24. PRICING
a. Unit Pricin& If required by th e Bid Specifications, the Bidder
should insert the price p er unit speci fied and the price extensions in
decimals, not to exceed four pi aces for ea ch it em unles s otherwis e
specified, in the Bid. In the event of a discrepancy between the unit
price and the ex tension, the unit pric e shall govern un less, in th e sole
pricing is obviously
judgment of the Commissioner, such unit
erroneous.
b. Net Pricing Unless otherwise required by the Bid Specifications,
prices shall be net, including transportation, customs, tariff, deliver y
and other charges fully prepaid by the Contractor to the destination(s)
indicated in the Bid Specifications, subject to the cash discount.
c. "No Charge" Bid When Bids are requested on a number of
Products as a Group or Lot, a Bidder desiring to Bid "no charge" on a
Product in the Group or Lot must clear Iy ind icate such. Other wise,
such Bid may be considered incomplete and be rejected, in whole or in
part, at thc discretion of the Commissioner.
d. Educational Pricing All Products to be supplied for educational
purposes that are subject to educational discounts shall be identified in
the B id and such dis counts s hall be made available to qualifying
institutions.
e. Third Party Financing If Pr oduct acquisitio ns are financed
through an y third party financing, Contr actor may be requ ired as a
condition ofCo ntract Award to agree to the terms and conditio ns of a
"Consent & Acknowledgment Agreement" in a form acceptable to the
Commissioner.
f.
Best Pricing Offer During the Contract term, if substantially the
same or a smaller quan tity of a Product is sold b y the Contr actor
outside of this Contract upon the sa me or similar terms and conditions
as that ofth is Contract at a lower price to a federal, s tate or local
governmcntal entity, the price under this Contract, at the discretion of
the Commissioner, shall be immediately reduced to the lower price.
Price decreases shall take effect automatically during the Contract term
and apply to Purchase Orders submitted on or after:
(i) GSA Changes: Where NYS Net Prices are based on an approved
GSA Schedule, the date the approved GSA Schedule pricing decreases
during the Contract term; or
(ii) Commercial Price List Reductions: Where NYS Net Prices are
based on a discount from Contr actor's list prices, the date Con tractor
6
GENERAL SPECIFICATIONS
APPENDIX B
lowers its pricin g to its customers generally or to sim ilarly sit uated
government customers d\Jring the Contract term; or
(iii) SpecialOffc rsIPromotions Gen crally: W here Contra ctor
generally offers more advantageous special price promotions or special
discount pricing to other customers during the Contract term for a
similar quantity, and the maximum pr ice or discount associated with
such offer or promotion is better th an the discount or Net Price
otherwise available under this Contract, su ch better pr ice or discount
shall apply for similar quantity transactions under this Contract for the
life of such general offer or promotion; and
(iv) Special OfferslPromotions to Authorized Users: Con tractor
may offer Auth orized Users, under ei ther this Contract or an yother
Contmcting vehicle, competitive pricing which is lower than the NYS
Net Price set fo rth herein at an y time during the Contract ter m and
such lower pricing shall not b e a pplied as a global price reduction
under the Contmct pursuant to the foregoing paragmph (iii).
Unless otherwise specified in th e Bid Specifications, Contractor may
offer lower prices or better terms (see Modification of Contract Tern1s)
on any specific Purchase.Order( s) from any Authorized User without
being in contlict with, or obligation to comply on a global basis, with
the tern1S ofthis clause.
g. Best and Final Prices As specified in the Bid Documents and
Contract, a Con tractor m ay be solicited at th e tim e of is suance of a
Purchase Order or Mini-Bid award for best and final pricing fo r the
Product or service to be delivered to the Authorized User. Contractors
are encouraged to reduce their pricing upon receipt of such request.
25. DRAWINGS
a. Drawings Submitted With Bid W hen the Bid Specifications
require th e Bid der to furnish drawings andlor plans, such drawings
andlor plans shall conform to th e mandates of the Bid Documents and
shall, when approved by .the Commissioner, be considered a part ofthe
Bid and of a ny resulting Contract. All symbols and
other
representations appearing on the drawings shall be considered a part of
the drawing.
Where
b. Drawings Submitted Du ring th e Con tract Term
required t 0 develop, maintain a nd deliver diagrams or 0 ther tec hnical
schematics re garding the sc ope of work, Contract or shall do so on an
ongoing basis at no addition al charge, and must, as a condit ion of
paymcnt, update drawings and plans during the Contract ter
m to
reflect addition s, alterations, and dcletions. Such drawings and
diagrams shall be delivered to the Authorized User's representative.
c. Accuracy of Drawings Suhmitte d All drawings shall ben eat
and professional in manner and shall be clearly labeled as to locations
and ty pe of product, conn ections and compo nents. Drawings and
diagrams ar e to be in com pliance wi th a ccepted draft ing standards.
Acceptance or approval of such plans shall not reli eve the Contractor
from responsibilit y for design or other error s of an y sort in the
drawings or pi ans. or from i ts responsibilit y for perform ing as
required, furnishing product, services or installation , or carr ying out
any other requirements of the intended scope of work.
26. SITE INSPECTION Where a site insp ection is required by the
Bid Specificatio ns or Project Definition, Bidder shall be required to
inspect the site, including env ironmental or oth er conditions for pre
existing deficiencies that may affect the installed Product, equipment
or environment or services to be provided and, which may
affect
Bidder's ability to proper Iy deliver, install or otherwise prov ide the
required Product. All inqu iries re garding such conditions shal I be
made in wr iting. Bidd er shall be deem ed to have knowledg e 0 f an y
deficiencies or conditions which such inspection or inquiry might have
disclosed. Bidder must provide a detailed explanation with its Bid if
July 2006
additional work is requir ed un der this clause in order to pro perly
complete the d elivcry and installation of th c required Product or
provide the requcsted service.
27. PROCUREMENT CA RD
The State h as entered in to an
agreement for purchasing card services. The Purchasing Card enables
Authorized Us ers to make authoriz ed purcha ses direct! y fro m a
Contractor without process in g a
Purchase Orders or Purchase
Authorizations. Purchasing Cards ar e issued to s elected em ployees
authorized to purchase for th e Au thorized User and having direct
contact with Co ntractors. Card holders can make purch ases directly
from any Contractor that accepts the Purchasing Card.
The Contractor shall not process a transaction for pay
ment
through th e credit card clear inghouse unti I th e purch ased pr oducts
have been ship ped or services performed. Unless the cardh
older
requests correction or replacement of a defective or faulty Produ ct in
accordance wit h other Contra ct requir ements, the Contrac' tor shall
immediately cr edit a cardhold er's account for products returne d as
defective or faulty.
28. SAMPLES
a. Standard Sam pies Bid Spec ifications m ay indicate that th e
Product to be purchased must be equal to a standard sample on display
in a pi ace des ignated by the Co mmissioner and such s ample wi II be
made available to the Bidder for examination prior to the opening date.
Failure b y th e Bidder to exam ine such sam pie shall not entitl e th e
Bidder to an y relief from the conditions imposed by
th e Bid
Specifications.
b. Bidder Supplied Samples The Commissioner reserves the righ t
to request from the Bidder/Contractor a representative sample(s) of the
Product offered at an y time pr ior to or af ter award of a co ntract.
Unless otherwise instructed, samples shall be furnished within the time
specified in th e reques t. Unti mely submission of a sample may
constitute grounds for rejection of Bid or cancellation of the Contract.
Samplcs must be subm itted free of charge and be accompanied by the
Bidder's name and addre 5S, any desc riptive literature re lating to the
Product and a statement indicating how and where the sample is to be
returned. Where applicable, samples must be properly labeled with the
appropriate Bid or Contract reference.
A sample may be held by the Commissioner during the entire term of
the Contract and for a reasonable period thereafter for comparison with
delivcries. At the conclusion of the holding period the sample, where
feasible, will be returned as instructed by the Bidder, at the Bid der's
expensc and risk. Where the Bidder has failed to fully
instru ct the
Commissioner as to the return 0 fthe sample (i.e., mode and place 0 f
return, etc.) or refuses to bear t he cost of its re tum, th e sam pie shall
become the sole property of the receiving entity at th e conclusion of
the holding period.
c. Enhanced Sam pies W hen an approved s ample ex ceeds the
minimum specifications, all Product delivered must be of the same
enhanced qual ity and identity as the sample. T hereafter, in th e event
of a Contr actor's default, th e Commissioner may pro cure a Pro duct
substantially eq ual to th e enh anced sampl e from other sources,
charging the Contractor for any additional costs incurred.
d. Conformance with Sample(s) Submission of a sample (whether
or not such sa mple is tested by, or for, the Commissioner) and
approval thereof shall not relieve the Contractor from full compliance
with all terms and cond itions, perfo rmance r elated and oth erwise,
specified in th e Bid Specif ications. Ifin
the judgment 0 fthe
Commissioner the sam pie or product subm itted is not in accordance
with th e spe cification5 or testing requirements prescribed in th e Bid
7
GENERAL SPECIFICATIONS
APPENDIXB
Specifications, the Commissioner may reject the Bid. If an award has
been made, the Commissioner may cancel the Contract at the expense
of the Contractor.
e. Testing All samples are subject to tests in the manner and place
designated b y the Commission er, eith er prior to or after Contract
award. Unless otherwise stated in the Bid Specifications, Bidder
samples consumed or rendered useless by testing will not b e retumed
to the Bidde r. Testing costs for sam pies tha t fails to meet Contract
requirements may be at the expense of the Contractor.
f.
Requests For Samples By A uthorized Us ers Re quests for
samples by Authorized Users require the consent ofth e Contractor.
Where Contractor refuses to fumis has ample, Authorized User may,
in its sole discretion, make a det ermination on the perform ance
capability of the Product or on the issue in question.
BID EVALUATION
29. BID EVALUATION The Co mmissioner reserves the righ t to
accept or reje ct any and a II Bids, or separable portions of offers, and
waive technicalities, irregularities, and om issions if th e Commissioner
determines the best interests of the State will be served.
The
Commissioner, in hislher sole discretion, may accept or reject illegible,
incomplete or vague Bids and his! her decisio n shall be final. A
conditional or revocable Bid whi ch clearly· communicates the terms or
limitations of acceptance may be considered, and Contract award may
be made in co mpliance with the Bidder's con ditional or revo cable
terms in the offer.
30. CONDITIONAL BID Unless the Bid Specifications provides
otherwise, a Bid is not rendered non-responsive if the Bidder specifies
that the award will be ac ceptcd onl y on a II or a spec ified gro up of
items or Product included in th e speci fication. It is understood that
nothing herein shall be deemed to ch ange or alter the method of award
contained in the Bid Documents.
,th e
31. CLARIFICATIONSf REVISIONS Prior to award
Commissioner res erves .the righ t to s eek cI arifications, requ est Bid
revisions, or to request any info rmation deemed necessar y for proper
evaluation of Bids from all Bidders deemed to be eligible for Contract
award. Failur e to provide requested in formation may result in
rejection of the Bid.
32. PROMPT PAYMENT DISCOUNTS While prompt pay ment
discounts will not be considered in determining the low Bid, th e
Commissioner may consider any prompt payment discou nt in
resolving Bids which ar e oth erwise tied. However, any notation
indicating that the price is net, ( e.g., net 30 day s), shall be understood
to mean only that no prompt pay ment discou nt is offered b y th e
Bidder. The im position· of service, interest, or 0 ther ch arges, except
pursuant to the provisions of Ar ticle II-A ofthe State Finance Law,
which are appli cable in an y case, may render th e Bid non-respon sive
and may be cause for its rejection.
qualifications or facilities offer ed by the Bidd er/Contractor meet the
requirements set forth in the Bid Speci ficationsfContract or as set forth
during Contract negotiations. Contractor shall at all times during the
Contract term remain res
ponsible and responsive.
A
prepared, if requested b
y th e
Bidder/Contractor must be
Commissioner, to present evidence of legal authority to do business in
New YorkS tate, in tegrity, experience, abi lity, priorp erfonnance,
organizational and financ ial cap acity as well as where app licable, a
statement as to supply
,plan 4 machiner y and capacity of the
manufacturer or source for the production ,distribution and serv icing
of the Product 0 fferedlBid. If the Commissione r detem1ines th at the
conditions and terms ofthe Bid Do cuments, Bid Specificatio ns or
Contract ar e no t complied with, or that items, services or Pr oduct
proposed to be fumished do no t meet th e specified requ irements, or
that the
legal authority, in tegrity exper ience, abi lity, prior
performance, organization and financial capacity or faci Iities are not
satisfactory, th e Comm issioner may rej ect such Bid or tem1 inate the
Contract.
35_ D1SQUALlFrCATION FOR PAST PERFORMANCE AND
FINDINGS 0 F NON-RESPONSIBIL ITY Bidder m
ay be
disqualified fro m receivingaw ards if Bidder, or an yone in Bi dder's
employment, h as previous I y failed to perform satisfactor ily in
connection with public Biddin g or contr acts or is deemed non
responsible.
36. QUANTrTY CHANGES PRIOR TO AWARD
The
Commissioner reserves the right, at any time prior to the award ofa
specific quantity Contract, to alter in good faith the quantities listed in
the Bid Specifications. In the event such right is exercised, the lowest
responsible Bidder meeting Bid Specifications will be advised of the
revised quantities and afforded an opportunity to extend or redu ce its
Bid price in rei ation to the ch anged quantit ies. Refusal by th e low
Bidder to so extend or r educe its Bi d price may result in the rejection
of its Bid and the award of such Contract to th e lowest responsible
Bidder who accepts the revised qualifications.
37. TIMEFRAME FOR OFFERS The Com missioner reserves the
right to make awards within si xty (60) day s after the date of the Bid
opening or such other period of time as set forth in the Bid Doeuments,
during which period, B ids must remain firm and cannot e withdrawn.
Pursuant to Section 163(9)(e) of the State Finance Law and Section 2
205 of the Uniform Commercial Code when
applicable, where an
award is not made with in the sixty (60) day period or oth er time
specified as set forth in the Bid Documents, the Bids shall remain firm
until such lat er tim e as either a Contract is awarded or the Bi dder
delivers to the Commissioner written no tice of the wi thdrawal ofi ts
Bid. An y Bid which expressly states therein that acceptance must be
made within a shorter specified time, may at the sole discretion of the
Commissioner, be accepted or rejected.
TERMS & CONDITIONS
event tw 0
33. EQUIVALENT OR IDENTICAL BIDS In the
offers are found to be substantially equivalent, priee shall be th e basis
for determining the award recipient. If two or more Bidders su bmit
substantially equivalent Bids as to pricing or other factors, the decision
of the Commissioner to . award a Contract to 0 ne or more of such
Bidders shall be final.
38. CO]\llTRACT CREAnON I EX ECUTION Except f
or
contracts govemed by Article 11-B ofthe State Finance Law, subject
to and upon receipt of all required approvals as set forth in the Bid
Specifications a Contract s hall be deemed executed and created with
on the Commissioner's mailing or
the successful Bidder(s), up
electronic com munication to the addr ess on the BidfCon tract of: ( i)
the final Contract Award Notice; (ii) a fully executed Contract; or (iii)
a Purchase Order authorized by the Commissioner.
D RES
PONSIBILITY
34. PERFORMANCE AN
ommissionerreservestherigh
tto
QUALIFICATIQNS TheC
investigate or inspect at any time whether or not the Product, services,
39. PARTICIPATION IN CENT RALIZED CONTRACTS The
following shall not limit or inhibit the OGS Commissioner's authority
under State Finance Law, Section 163 (10) (e) (Piggybacking):
July 2006
8
GENERAL SPECIFICATIONS
APPENDIXB
a. Agencies. All State Agen cies may utilize and purchase under any
state Cent ralized Contract I et by the Commissioner, unless the Bid
Documents limit purcha~es to specific State Agencies.
b. Non-State Agen cy Au thorized Us ers Authori zed Us ers oth er
than State Agen cies ar e permitted to make pur chases through state
Centralized Con tracts where pe rmitted bylaw, the Contra ct 0 r the
Commissioner.
c. Voluntary Extension Purchase Orders is sued agains t a State
Centralized Contract by ,any Authorized User no t provided for in the
Bid Specifications shall be hono red by the Contractor at its discretion
and only with the approval of the OGS Co mmissioner and an yother
approvals required by law. Con tractors are en couraged to volun tarily·
extend se rvice Contracts to th ose additional entities au thorized to
utilize commodity Con tracts un der Sect ion 163 (3) (iv) of the State
Finance Law.
d. Responsibility for Performance Part
icipation in 5t ate
Centralized Co ntracts b y Au thorized Users is perm itted upo n the
following conditions: (i) the responsibility with regard to perform ance
of an y contractual obi igation, co venant, cond ition or te rm thereu nder
by any Authorized User other than State Agencies shall be borne and
is expres sly assumed by such Authorized Us er and not b y the State;
(ii) a brea ch of the Contra ct by any particular Authorized User shall
neither constitute nor be d~emed a bre ach ofth e Contract as a whole
which shall remain in fu II for ce and eff ect, and shall not atfect th e
the oblig ations of the Contracto
r
validity of the Contract nor
thereunder respecting non-br eaching Authorized Users. whether State
or otherwis e; ( iii) for a br each by an Authoriz ed Us er other th an a
State Agency, the State specifically and expr essly disclaims any and
all liability for such breach; and (iv) each non-state agency Authorized
User and Contractor guar antees to sa ve the State, its officers, a gents
and employees hamllessfrom any liability that may be or is im posed
by their failure to perfOrftl in accordance with its obligations under the
Contract.
e. Contract Migration Authorized Users holding indiv
idual
Contracts with a Contractor at the time that Contractor is awar ded a
Centralized Co ntract for th e same Products or services shall be
permitted to migrate to th at Centralized Contra ct effective wit h its
commencement date. Such migration shall not operate to diminish,
alter or elim inate an y right th at the Authoriz ed Us er otherwis e had
under the terms and conQitions of their individual Contract.
40. MODIFICATION OF CONTRACT TER\1S The terms and
conditions set forth in tlie Con tract shall govern all tr ansaetions by
Authorized User (s) under this Cont ract The Contract may only be
modified or am ended upon mutual written agreem ent 0 fthe
Commissioner and Contractor.
The Contractor may ,however, 0 tTer Autho rized User(s) more
advantageous pricing, pay ment, or other terms and conditions than
those set forth in the Cont ract. In such event, a copy of such terms
shall be furnished to the Authorized User(s) and Commissioner by the
Contractor at the time of such offer.
Other than where such term s are more advantag eous for th e
Authorized User(s) than fuose set forth in the Contract, no alteration or
modification ofthe term's oft he Contrac t, inc luding substituti on of
Product, shall b e valid or binding against Auth orized User(s) unless
authorized by the Commissioner or specified in the Contract Award
Notification. N 0 such all eration or modi fication shall be made b y
unilaterally affixing such terms to Product upon deliver y (in eluding,
but not limited to, attachment or inclusion of standard pre-printed
July 2006
-.~-~-~.-~
order form s, pr oduct lit erature, "shrink wrap" term s accom panying
software upon delivery. or oth er documents) or by incorporating such
terms onto order forms, purchase orders or other documents forwarded
by the Con tractor for pay ment, not withstanding Authorized User's
subsequent acceptan ce of Pro duct, or that Authorized User has
subsequently processed such document for approval or payment.
41. SCOPE CHANG ES The Commissioner reserves the right ,
unilaterally, to require, by written order, changes by altering, adding to
or deducting fro m the Bid Specificati ons, such changes to be within
the general scope of the Contract. Th e Commissioner may make an
equitable ad justment in the Contra ct pric e or delivery d ate if the
change aff ects the cost or time of performance. S uch equitable
adjustments require the consent of the Contractor, which consent shall
not be unreasonably withheld.
C QUANT lTY CONTR ACTS
42. ESTIMATED I SPECIFI
Estimated quantity contracts are expressly agreed and understood to be
made for only the quantities, if any, actu ally ordered during the
Contract term. No guarantee of any quantity(s) is implied or given.
Purchases by Authorized Users from Contra cts for services and
technology are voluntary.
With respec t to an y spec ific quantity stated in the contract, the
Commissioner reserves the right after award to 0 rder up to 20% more
or less (rounded to th e next highest whole number) th an th e sp ecific
quantities called for in the Con tract. Notwithst anding th e foregoing,
the Com missioner m ay pur chase grea ter or lesser perc entages of
Contract quantities should the Commissioner and Contractor so agree.
Such agreement may include an equitable price adjustment.
43. EMERGENCY CONTRACTS In the event tha t a disast er
emergency is declared by Executive Order under Section 28 of Article
2·B ofth e Executive Law, or the Commissioner determines pur suant
to hislher autho rity und er Section 163 (lO)(b) of the State Finance
Law tha t an emergency ex ists re qui ring the prompt and immediate
delivery of Pro duct, th e Commissioner reserves the right to
obtain
such Product from an y source, including bu t not limited to this
Contract(s), as the Commissioner in hislher sole discretion determines
will meet the needs of such emergency. Contrac tor shall not be
entitled to an y claim or lost pr ofits for Product procured from other
sources pursuant to this paragraph. The reasons underlying the finding
that an emergency exists shall be included in the procurement record.
44. PURCHASE ORDERS Unless otherwise authorized in writing
by the Commissioner, no Product is to be delivered or furnished by
Contractor until transmittal of an official Purchase Order f rom the
Authorized Us cr. Unles s te rminated or can celled purs uant to the
authority vested in th e Commissione r, Purch ase Orders shall be
effective and binding upon th e Contractor when placed in the mail or
electronically tr ansmitted prior to the termination ofth e co nlract
period, addressed to the Contrac tor at the addres s for receipt of orders
set forth in the Contract or in the Contract Award Notification.
All Purchase Orders issued pursuant to C
ontracts let b y the
Commissioner must bear the appropr iate Con tract number and, if
necessary, requ ired State appr ovals. As de emed neces sary, the
Authorized User may confirm pricing and other Product inform ation
with the Con tractor prior to pi acement of the Purchase Order. The
State reserves t he right to require an y oth er information fro m the
Contractor which the State deems necessary in order to com plete any
Purchase Order placed under the Contract. Unless otherwise specified,
all Purchase Or ders against Ce ntralized Contr acts will be plac ed by
Authorized Use rs directl y with th e Contractor and an y discrepancy
between the terms stated on the vendor's order form, confirmation 0 r
acknowledgment, and the Contr act terms shall be resolved in favor of
9
..
-~.~-~~-~
-~-~
GENERAL SPECIFICA nONS
APPENDIX B
the terms most favorable to
the Authorized User. Should an
Authorized User add written term s and conditions to th e Purchase
Order that conflict with th e terms and conditions ofthe Contract, th e
Contractor has the option of rejecti ng the Purch ase Order with in five
business da ys 0 fits rec eipt bu t shall first a ttempt to negoti a te the
additional wri tten term s and conditions in
good faith wit h th e
Authorized User, or fulf ill the Purchase Order. Notwithstanding th e
y
above, the Au thorized User reserves the right to dispute an
discrepancies ar ising from the presentation of addition al terms and
conditions with the Contractor.
If, with respect to an Agen cy Specific Contr act let by th e oas
Commissioner. a Purchase Order is not rece ived b y th e Cont ractor
within two weeks after the issuance of a Con tract Award Notification,
it is the responsibility ofthe Co ntractor to requ est in writing th at the
appropriate Authorized User forward a Purchase Order. If, thereafter,
a Purchase Order is not received wi thin a reasonable period of time ,
the Contr actor shall promptly no tiIY in writing the appr opriate
purchasing officer in oas. Failure to timely notify such officer may,
in the discretion of the oas Commissioner and without cost to the
State, result in the canc ellation of such requirem ent b y th e oas
Commissioner with a corresponding reduction in the Contract quantity
and price.
45. PRODUCT DELIVERY Deliver y must be made as ordered to
the address specified on the Purchase Order and in accordance with the
terms of the Contract or Contract Award Notice. Unless otherwise
specified in th e Bid Documents, delivery shall be made within thirty
calendar days after receipt of a Purchase Order by the Contractor. The
decision of the Commissioner as to com pliance with deliver y terms
shall be fin at The burd en of p roof for delay in receipt of Pur chase
Order shall rest with the Contractor. In all instances of a potential or
actual del ay in delivery, the Cont ractor sha II immediately notify the
Commissioner and the Author ized User, and confirm in writing the
explanation ofthe delay , and take appropriate action to avoid an y
subsequent late deliveries. Any extension of time for delivery must be
requested in writing by the Contractor and approved in writing by the
Authorized User. Failure to meet such delivery time schedule may be
grounds for cancellation of
the order or, in the Commissi oner's
discretion, the Contract. '
46. WEEKEND AND HOLIDAY DELIVERIES Unless otherwise
specified in the Bid Specifications or b y a n Authorized Us er,
deliveries will be scheduled f or ordinary business hours, Monda y
through Friday (excluding legal holidays observed by the State of New
York). Deliveries m ay be scheduled by mutual agreement for
Saturdays, Sunday s or leg al holiday s observ ed by th e State of New
York where the Product is for daily consumption, an emergency exists,
the delivery is a rep lacement, delivery is late, or oth er reasonable
circumstance in which event th e convenience of the Authorized User
shall govern.
47. SHIPPING/RECEIpT OF PRODUCT
a. Packagine: Tangible Product shall be secur ely and prop erly
packed for shipment, storage a nd stocking in appropriate, clearly
labeled s hipping contain ers an d accordi ng to accepted commercial
practice, wi thout an y extra ch arges for pa cking materials, cases or
other types ofcontain ers. Th e container s hall become and remain the
property ofthe Authorized User
unless other wise specified in the
Contract documents.
b. Shipping Charges Unless otherwise sta
led in the Bi
d
Specifications, all de liveries sha 11 be deemed to be fr cight on board
(F.O.B.) destin ation tailgate delive ry at the dock of the Authorized
User. Unles so therwise agreed, item s purch ased at a pr ice F .O.B.
Shipping point plus transportation charges shall not relieve the
July 2006
Contractor fro m responsibilit y f or saf e and proper delivery
notwithstanding the Author ized User's pay ment of transportation
charges. Contractor shall be responsible for ens uring that the B ill of
Lading states "charges prepaid" for all shipments.
c. Receipt of Product The Contractor shall b e solely responsible
for assuring that deliveries are made to personnel authorized to accept
delivery on behalf ofth e Authorized User. An y losses resulting from
the Contractor's failure to deliver Product to authorized personnel
shall be borne exclusively by the Contractor.
48. TITLE AND RISK OF LOS S Notwithstan ding the form of
sh ipment, till e or other propert y int erest, risk ofloss shall not pass
from the Contr actor to th e Aut horized User un til the Products have
been re ceived, ins pected and ace epted b y the re ceiving entity.
Acceptance shall occur within a reasonable time or in accordance with
sueh other defin ed acceptance period as may be specified in the Bid
Specifications or Purchase Or
der. Mere acknowledgm
ent b y
Authorized User personnel ofth e delivery or receipt of goods ( e.g.,
signed bill of I ading) shall not be deemed or co nstrued as ac ceptance
of the Products received. Any delivery of Product th at is substandard
or does not comply with the B id Specifications or Contract terms and
conditions, may be rejected or accepted on an adjusted price basis, as
determined by the Commissioner.
49. RE-WEIGHING PRODUCT Deliveri es ar e subject to re
weighing at the point of destination b y th e Authorized User. I f
shrinkage occurs which exceeds that normally allowable in the trade,
the Authoriz ed User shall have th e option to require delivery oCthe
differcnce in qu antity or to red uce the pa yment accord ingly. Such
option shall be exercised in writing by the Authorized User.
pecified
50. PRODUCT SUBSTITUTION In the event a s
manufacturer's Product listed in the Contract becomes unavailab Ie or
cannot be supplied b y the Co ntractor for any reason (except as
provided for in the Savings/Force Majeure Clause) a Product deemed
in writing b y t he Com missioner to be equal to or bet ter th an the
specified Product must be substituted b y the Contractor at no
additional cost or expense to th e Authorized User. Unless athe rwise
specified, any substitution of Product prior to the Com missioner's
written approval may be cause for cancellation of Contract.
51. REJECTED PRODUCT Wh en Product is r ejected, it must b e
removed by the Contractor from the premises of the Authorized User
within ten calendar days of notification of rejection by the Authorized
User. Upon notification of rejection, risk ofloss of rejected or non
conforming Product shall remain with Contractor. Rejected items no t
removed by the Contractor within ten calendar day s of notification
shall be regarded as abandoned by the Contractor, and the Authorized
User shall havc the right to dis pose of Product as its own property .
The Contractor shall promptly reimburse the Au thorized User fo r any
and all costs and expenses incurred in storage or effecting removal or
disposition after the ten-calendar day period.
.
52. INSTALLA TION Where installa tion is req uired, Contr actor
shall be responsible for pI acing and installing the Product in the
required loc ations. All materials used in the installation shall be of
good quality and shall be free from any and all defects that would mar
the appearance of th e Product or render it structurally uns ound.
Installation in eludes the fum is hing of an y eq uipment, rigg ing and
materials required to install or place the Product in the proper location.
The Contractor shall protect the site from damage for all its work and
shall repair damages or injury of any kind caused by the Contractor, its
employees, offi cers or agents. If any al teration, dism antiing' or
excavation, et c. is required to ef feet ins tallation, the Contractor shall
thereafter promptly restor e the structure or site. Work shall b
e
10
GaiERAL SPECIFICAnONS
APPENDIXB
perfonned to cause the least inconvenience to the Authorized User(s)
and with prop er consideration for the rights of other Con tractors or
workers. The Contractor shall pr omptly perfo nn its work and shalf
coordinate its activities with t hose of other Contractors. The
Contractor shall clean uP; and remove all debris and rubbish fro m its
work as requir ed or dir ected. Upon completion ofth e work, th e
building and surrounding area of work shall be left clean and in a neat,
unobstructed condition, and everything in satisfactory repair and order.
53. REPAIRED 0 R REPLACE D PARTS I
COMPONENTS
Where the Con tractor is required to repair, replace or substitute
Product or parts or components of the Product un der the Contr act, the
repaired, replaeed or substituted Products shall be subject to all tenns
and conditions for new parts and components set forth in the Contract
including Warranties, as set for th in the Additio nal Warranties Clause
herein. Replaced or repaired Product or parts and compone nts of such
Product shall be new a nd shall, if available, be re placed by the original
manufacturer's component or part. Remanufactured parts or components
meeting new Product standards may be pennitted by the Commissioner or
Authorized User. B efoie ins tallation, all pr oposed substitutes for the
original manufaeturer's installed parts or components must be approved
by the Aut horized User. Th e part orc omponent shall be equal to or of
better quality than the original part or component being replaced.
54. ON-SITE ST ORAGE With the wri lien approval 0 fth e
Authorized User, materials, equipment or supplies may be stored at the
Authorized User's site at the Contraetor's sole risk.
55. EMPLOYEES, SlJBCONTRACTORS & AG
ENTS
All
employees, Subcontractors or agents perfonning work under the Contract
must be t rained staff or technicians who meet or exceed the professional,
technical and training qualifications set forth in the Bid Specifications or
the Bid Documents. whichever is more restrictive, and must comply with
all security and adm inistrative requirements oft he Authorized User. The
Commissioner reserves the ri ght to conduct a security background check
or otherwise approve any' empJ oyce, Su bcontractor or age nt furnished by
Contractor and to refuse access to or require replacement of any personnel
for cause based on, including but not limited to, professional, technical or
training qualifications. quality of work or change in security status or non
compliance with Authorized User's security or other requirements. Such
approval shall not relieve the Contractor of the obligation to perfonn all
work in compliance \\1th the Contract terms. The Commissioner reserves
the ri ght to reject and! or ba r from the facility for cause any em ployee,
Subcontractor, or agents Qf the Contractor.
I
56. ASSIGNM ENT Th e Contr actor shall not assign, transfer
,
convey, sublet. or otheJ'\~ise dispose of the con tract or its right, title or
interest th erein, or its power to execute such contract to an yother
person, company, finn or corpo ration in performance ofth e contract
without the prior written consent of the Com missioner or Authorized
User (as applicable). Faiiure to obtain consent to assignment from the
oke and
annul such Con
tract.
Authorized User shall rev
Notwithstanding the for egoing, the State shall n ot hinder, prevent or
affect assignment of money by a Contractor for the benefit of its
creditors. Prior to a cons ent to as signment of monies becom ing
effective. the Contractor shall file a wri tten no tice of such monies
assignment(s) with the Com ptroller. Prior to a consent to assign ment
of a Contrac t, or portion ther eof, becom ing effective, the Contractor
shall subm it the request to assignment to the Co mmissioner and seek
written agreement from the Commissioner which will be filed with the
Comptroller. The Com' missioner res erves th e right to r . eject an y
proposed assignee in hislher discretion.
Upon notice to the Contractor, the Contract may be assigned without
the consent of the Conlr actor to another State A gency or subdiv ision
of the State pursuant to a governmental reorganization or assignment
July 2006
of functions under which the fu nctions are tr ansferred to a successor
Agency or to another Agency that assumes OGS responsibilit ies for
the Contract:
57. SUBCONTRACTORS AND SUPPLIERS T he Commissioner
reserves the right to reject an y proposed Subcontractor or supplier for
bona fide business reasons, which may include, but are not limited to:
they are on the Department of Labor's list of com panies with which
New York State cannot do business; the Commissioner determines that
the com pany is not qualiti ed; th e Commissioner determ ines that the
company is not responsible; th e co mpany has previously pro vided
unsatisfactory work or services; the company failed to solicit minority
and women's business enterpris es (M/WBE) Bidders as requir ed by
pri or C on tracts.
58. PERFORMANCE I BID BOND The Commissioner reserv es
the right to require a Bidder or Contractor to furnish without additional
cost, a performance, pay ment or Bid bond or negotiable irr evocable
letter of credit or other fonn of security for the faithful perfonnance of
the Contract. Where required, such bond or other security shall be in
thc fonn prescribed by the Commissioner.
59. SUSPENSION OF WORK The Commissione r, in hislhe r sole
discretion, reserves the right to su spend any or all activ ities under this
Contract, at any time, in the best interests ofthe Authorized User. In
the even t of such suspension, the Contractor will be given a for
mal
written not ice outlining the particulars of such suspension. Exa mples
of the reason fo r such suspension includ e, bu t are not lim ited to, a
budget freeze
or reduction 0 n State spcnd ing, declar ation of
emergency, cont ract compliance is sues or other such circumstances.
Upon issuance of sueh notice, the Contr actor is not to accept an y
Purchase Orders, and shall comply with the suspension order. Activity
may resume at such tim e as the Commissioner issues a form al written
notice authorizing a resumption of perfonnance under the Contract.
An Authorized User m ay iss ue a fonn a1 written no tice fo r the
r for
suspension of work for which it has engaged the Contracto
reasons specified in the above paragraph. The written notice shall set
forth the reason for such suspension and a cop y of the written notice
shall be provided to the Commissioner.
60. TERMINATION
a. For Cause: For a m ateriaI brea ch that re mains uncured for more
than thirty (30) day s or othe r specified period after written notice to the
Contractor, the Contract or Pur chase Order may be tenninated by the
Commissioner orAuthoriz cd User at the Contractor's expense where
Contractor becomes unable or incapable of perfonning, or meeting any
requirements or qualifications set forth i n t he Contract, 0 r for non
tion that Contractor is nonperfonnance, 0 r upon a detennina
responsible. Such tenn ination sh all be upon written no tice to the
Contractor. In suc h eve nt, the Commissioner or Aut horized User m ay
complete the contractual re quirements in a ny manner it may dee m
advisable and pursue available legal or equitable remedies for breach.
b. For Convenience: B y writ ten notic e, t his Contract may be
tenninated at any time by the State for convenience upon sixty (60) days
written notice or other specifled period without penalty or othe r early
tennination charges due. Such tennination of the Contract shall not
affect an y project or Purch ase Order tha t has been is sued und er th e
Contract prior to the date of such tenn ination. If the Contra ct is
tenninated pursuant to th is subdivi sion. th e Authorized User shall
remain liable fo r all accrued but unpaid ch arges incurred through the
date of the tennination. Contractor shall use due diligence and provide
any outstanding deliverables.
11
GENERAL SPECIFICATIONS
APPENDIXB
c. For Violat ion of t~e Sections 139-j and J39-k of the State
Finance Law: The Com missioner reserves the right to term inate the
Contract in the event it is fou nd that the certification filed by the
Bidder in accordance with Seetion 139-k ofthe State Finance Law was
intentionally false or intentionally incomplete. Upon such finding. the
Commissioner may exercise its termination right by providing written
notification to the Contrac tor in accordan ce with the written
notification terms of the Contract.
d. For Violation ofllevised Tax Law 5a: The Commi ssioner
reserves the right to tel1T1inate th e contract in the event it is found that
the certification filed bythe Contractor in accordance with §5-a of the
Tax Law is not timely filed du ring th e term of the Contract or the
certification fu mished was intention ally false or intent ionally
incomplete. Upon suc h fi nding, the Commi ssioner may exercise its
temlination right by providing written notification to the Contractor.
61. SAVINGS/FORCE MAJEU RE A force majeure occurrence is
an event or effect that cannot b e reasonably anticipated or controlled.
Foree majeure includes, but is not limited to, acts of God, acts of war,
acts of public enemies, str ikes, fi res, explosions, actions of the
elements, floods, or other similar ca uses bey ond the control of the
Contractor or the Commissioner in the performance of the Con
tract
which non- per formanee, by exercise of reasonable diligence, cannot
be prevented. Contractor shall provide the Commissioner with written
notice of any force majeure occurrence as soon as the delay is known.
Neither the Con tractor nor the Commissioner shall bel iable to the
other for any delay in or failure of performance under the Contract due
to a force majeure 0 ccurrence. An y such delay in or fai lure of
performance shall not constitute default or give rise to any liability for
damages. The existence of such causes of sue h delay or failure shall
extend the period for performance to such extent as determined by the
Contractor and the Commissioner to be necessary to en able com plete
performance b y.the Contractor if reasonable diligence is exe rcised
after the cause of delay or failure has been removed.
Notwithstanding the above, at the discr etion 0 fthe Commissi oner
where the de lay or failure wi! I signific antly im pair the value 0 f the
Contract to the State or to Authorized Users, the Commissioner may:
a. Accept allocated perform ance or deliveries from the Contr actor.
The Contractor, however, hereby agrees to grant preferential treatment
to Authorized Users with respect to Product su bjected to allo cation;
and/or
b. Purchase from other sources ( without recours e to and b y th e
Contractor for t he costs and expenses thereof) to replace all or part of
the Products wh ich are the sul:!iect of the delay, which purchases may
be deducted from the Contract quantities without penalty or liability to
the State; or
c. Terminate the Contract or the portion thereof which is subj ect to
delays, and thereby discharge any unexecuted portion ofth e Contract
or the relative part there~f.
In addition, the Comm issioner reserves the right, in his/h er sole
discretion, to make an equ itable ad justment in the Con tract terms
and/or pricing should extr eme a nd unforeseen volatility in th
e
marketplace affect pricing orthe availability of supply. "Extreme and
unforeseen volatility in ,the marketplace" is defined as market
circumstances which meet the following cri teria: (i) the vo latility is
due to causes outside the con trol ofContr actor; (i i) th e vo latility
affects the marketplace or ind ustry, not jus t the parti cular Contract
source of supply; (iii) the effect on pricing or availability of supply is
substantial; and (iv) the yolatility so affects Contraetor's performance
July 2006
that continued performance of
substantial loss.
the Con tract would result in a
62. CONTRACT BILL]
NGS Contractor and the
distributors/resellers designated by the Contractor, if any, shall provide
complete and accurate billing invoices to each Authorized User in
order to receive payment. Bi lIings for A uthorized Users must contain
all information required by th e Contra ct and t he Stat e Com ptroller.
The S tate Com ptroller shall render payment for A uthorized User
purchases, and such pa yment s hall be made in ac cordance with
ordinary State procedures and
pr actices. Payment ofContrac t
purchases made by Authorized Users, other tha n Agencies, s hall be
billed directly by Contr actor on invoiees/vou chers, tog ether with
complete and accurate supporting documentation as required by the
Authorized User.
Submission of an invoice and payment thereof shall not preclu de the
Commissioner from reimbursement or demanding a price adjustment
in any case where the Product delivered is foun d to deviate fro m the
terms and con ditions ofth e Contract or wh ere th e bi lIing was
inaccurate.
Contractor shall provide, upon request of the Co mmissioner, an y and
all information necessary to verify the accuracy of the bi lIings. Such
information shall be provided
in the forma
t requested b y the
Commissioner and in a media com mercially avail able fro m the
Contractor. Th e Commissioner may direct the Contractor to provide
the information to the State Comptroller or to any Authorized User of
the Contract.
63. DEFAlJLT - A(;THORIZED lJSER
a. Breach of Auth orized User Not Breach of Cent ralized Contract.
An Authorized User's breach s hall not b e de emed a breach 0 fthe
Centralized Contrac t, ra ther it s hall be dee med a breach of the
Authorized User's performance under the terms and cond itions of the
Centralized Contract.
b. Failure to Make Payment. In the event a participating Authorized
User fails to make pay ment to the Contractor for Products delivered,
accepted and properly invoiced, within 60 day s of such deliver y and
acceptance, the Contractor may, upon 10 day s advance written notice
to both th e Co mmissioner and the Author ized User's purchasing
official, sus pen d addition al shipm ents of Product or provisi
on of
services to such entity until such time as reasonable arrangements have
been made and assurances given by such entity for current and future
Contract payments.
c. Notice of Breach. Notwithstanding the foregoing, the Contractor
shall, at I east 10 days prior to declaring a breach of Contract by any
Authorized User, b y certified or registered mail, notif y both the
Commissioner and the purchasing official of the breaching Authorized
User of the specific facts, cir cumstances and gr ounds upon whieh a
breach will be declared.
d. It is understood, however, th
at if the Contr actor's basis fo r
declaring a br each is ins ufficient, the Contr actor's de c1aration of
breach and fai lure to service an Authoriz ed User s hall cons titute a
breach of its Contract and the Authorized User may thereafter seek any
remedy available at law or equity.
64. INTEREST ON LATE PAYMENTS
a. State Agencies The payment of interest on certain payments due
and owed by Agency may be made in accordance with Article II-A of
the State Finan ce Law (SFL § I 79-d et. Seq.) a nd Title 2 of the New
York Code of Rules and Regulations, Part I 8 (Implementation of
Prompt Payment Legislation -2 NYCRR §18.1 et seq.).
12
GENERAL SPECIFICATIONS
APPENDIXB
b. By Non-State Agencies The terms of Article II-A apply only to
procurements by and the consequent payment obligations of Agencies.
Neither expressly nor b y an y implication is th e statute appJi cable to
Non-State Authorized Users. Neither OGS nor the S tate Comptroller
is responsible f or pay ments on an y pur chases made by a Non-State
Agency Authorized User.
,
c. By Contractor Should the Contractor be liable for any payments
to the State hereunder, interest, late payment charges and collection fee
charges will be determined and assessed pursuant to Section ! 8 of the
State Finance Law.
65. REMEDIES FOR BREACH It is und erstood and agr eed that
all rights and r emedies:affo rded be low sha II be in addi tion to a! I
remedies or actions otherwise authorized or permitted by law:
a. Cover/Substitute Performance In the event of Contractor's
material br each, the Coin missioner may, with' or wi thou t for mally
Bidding: (i) Purchase from 0 ther sources; or (ii) If th e Commissioner
is unsuccessful after making
reasonable attempts, under
the
circumstances then exis ting, to tim ely obt ain acceptable service or
acquire replacement Product 0 f equal or comparable qu ality, th e
Commissioner may acquire acceptab Ie replacement Product of lesser
or greater quality.
Such purchases may. in the discretion ofth e Commissione r, be
deducted from the Contract quantity and payments due Contractor.
b. Withhold Payment In an y case where a question of non
performance by Contractor arises, payment may be withheld in wholc
or in part at the discretion of the Commissioner. Should the amount
withheld be finally p aid, a cash discount 0 riginally 0 ffered may be
taken as if no delay in payment had occurred.
or portion of the claim st ill outst anding, on dem and. The
Commissioner reserves th e r igh! to det ermine the disposition 0 fan y
rebates, settl ements, restitut ion, I iquidated dam ages, etc., which a rise
from the administration of the Contract.
66. ASSIGNMENT OF CLAIM Contractor hereby assigns to the
State an y and all i ts claim s for overcharg es as sociated with this
Contract which may arise under the antitrust laws of the United States,
15 USC Section 1, et. seq. and the antitrust laws ofth e State of New
York, General Business Law Section 340, et. seq.
67. TOXIC SUBSTANCES Each Contractor fu rnishing a toxic
substance as defined by Section 875 of the Labo r Law, shall pro vide
such Authorized User with not less than two copies ofa material safety
data sheet, whi ch sheet shall i nelude for each such substance the
information outlined in Section 876 ofthe Labor Law.
Before any chemical pr oduct is u sed or ap plied on or in any buildi ng, a
copy ofthe pr oduct label a nd Material Sa fety Data Sheet must be
provideo to and approved by the Authorized User agency representative~
68. INDEPENDENT CONTRACTOR It is understood and agreed
that the legal status of the Contractor, its agents, officers and employees
under this Contract is that of an independent Contractor, and in no manner
shall they be deemed employees of the Authorized User, and therefore are
not entitled to any of the benefits associated with such employment. The
Contractor agree s, during t he te rm ofth is Contract, to maintain a t
Contractor's ex pense th ose be nefits to which i ts employees would
otherwise be entitled by law, including health benefits, and all necessary
insurance for it s employees, including worker's compensation, disability
and unemployment insurance, and to provide t he Authorized User with
certifieation 0 f such in surance u P.!Jn request. The Co ntractor re mains
responsible for all applicable federal. state and local taxes, and a II FICA
contributions,
c.
BankruDtcv In the· event tha t the Contrac tor files a petition
under th e U,S. Bankruptcy Cod e duri ng the term ofthis Centr alized
Contract, Authorized Users may, at their discretion, make application
to exercise its right to set-offag ainst monies due the Debtor or, under
the Doctrine of Recoupment, credit the Authorized User the amounts
owed by the Contractor arising out of the same transactions.
d. Reimbursement of Costs Incurred Th e Contractor agrees to
reimburse the Authorized User promptly fo r any and all additional
costs and expen ses incurred for acquiring accep table services, and/or
replacement Pr oduct. Should the co st of cover be less than the
Contract price, the Contractor sha II have no claim to the difference.
The Contr actor coven ants an d agre es tha t in the event suit is
successfully prosecuted for an y default on the part of the Contr actor,
all costs and expenses expended or incurred by the Authorized User in
connection th erewith, including reas onable atto rney's fees, shall be
paid by the Contractor.
Where the Contractor fails to timely deliver pursuant to the guaranteed
delivery terms of the Contract, the ordering Authorized User may rent
substitute equipment temporarily. Any sums expended for such rental
shall, upon demand, b e reimbursed to th e Auth orized User pr omptly
by the Contractor or deducted by the Authorized User from pay ments
due or to become due th e Contractor on the same or another
transaction.
e. Deduction/Credit Su ms due a s a result of these remedies may
be deducted or offset by the Authorized User from payments due, or to
become due, the Contractor on the sa me or another tr ansaction. If no
deduction or on ly a p aftial d eduction is made in such fashion the
Contractor shall pay to the Authorized User the amount ofsuch claim
July 2006
69. SECURITY Contractor warrants, covenants and represents that
it will comply fully wi th ails ecurity pro cedures of th e Autho rized
User(s) in perfo rmance of the Contraet in eluding but no t limited to
physical, facility, do cumentary and eyber secu rity rules, procedures
and protocols.
70, COOPERATION WITH THIRD PART IES The Contractor
shall be responsible for fully eooperating with an y th ird party,
including but not limited to other Contractors or Subeontractors ofthe
Authorized User, as necessar. y to ensure deliver y of Product or
coordination of performance of services,
71. CONTRACT TERM - RE NEWAL In additi on to an y stated
renewal periods in th e Contract, an y Contract or unit por tion th ereof
let by the Commissioner may be extended by the Commissioner for an
additional period(s) of up to on e year with th e written concurrence of
the Contractor and Comptroller. Such extension may be exercised on
a month to mon th basis or in other stated per iods of time durin g the
one year extension.
72. ADDITIONAL WARR ANTIES Where Contractor, produ
ct
manufacturer or service provider genera lly offers addition al or more
advantageous warranties than set forth below, Contractor shall offer or
pass through any such warranties to Authorized Users. Contr actor
hereby warrants and represents:
a. Product Performance Contractor warrants and represents th at
Products delivered pursuant to this Contract conform to the
manufacturer's specifications, perform ance standards and
documentation, and th e doeum entation fully describes the proper
procedure for using the Products.
13
GENERAL SPECIFICATIONS
APPENDIX B
b. Title and Ownership Warranty Contractor warrants. represents
and conveys (i) full o\>,l1ership, clear title free 0 fall liens, or ( Ii) the
right to transfer or deliver perp etuallicense rig hts [0 an y Products
transferred to A uthorized User under this Contract. Contracto r shall
be solei y Ii able for an y costs of acquisition associated th erewith.
Contractor full y ind emnifies the Authoriz ed User for an y loss,
damages or ac tions arising fro m a breach 0 f said warrant y without
limitation.
c. Contractor Compliance Contractor repr esents and warrants to
pay, at its sole expense, for all applicable permits, licenses, tariffs, tolls
and fees to give all notices and comply with all laws, ordinances, rules
and regulations of an y governmental entity in conjunction with the
performance of obligations under the Contraet. Prior to award and
during the Contract term and an y rc newals th ereof, Contr actor must
establish to th e satisfact ion ofth e Com missioner that i t meets or
exceeds all requirements of the Bid/Contract and any applicable laws,
including bu t not lim ited to, permits, insurance cover age, licensing,
proof of eov erage for worker's compensation, and shall prov ide such
proof as requir ed b y th e Co mmissioner. Failure to do so may
constitute groun ds for the Com missioner to cancel or suspend this
Contract, in wh ole or in part, or to take an yother action deemed
necessary by the Commissioner.
d. Product Warranty Unles s recycled or recovered materials are
available in a ccordance wi th the "Recycled or Recover ed Materials"
be 5t andard new equipment, current
clause, Product offered shall
model or most recent rei ease of regular stock product with all parts
regularly used with the type of equipment offered; and no attachment
or part has been substituted or a pplied contrary to the manufacturer's
recommendations and standard practice.
Contractor further warran ts and represents that componen ts or
deliverables specified and furnished b y or through Contractor shall
individually, an d where specified and fum ished as a system, be
substantially un interrupted or er ror-free in op eration and gu aranteed
against faulty material and work manship for the warranty period, or
for a minimum of one (I) year from the date of acceptance, whichever
is longer ("Project warr anty period"). During the Project warr anty
period, def ects in the mater ials or workmanship of components or
deliverables specified and furnished by or through Contractor shall be
repaired or rep laced b y Con tractor a fno cos t or expens c to the
Authorized User. Contractor shall extend thc Project warranty period
as
for individual component(s), or for th e System as a whole,
applicable, by the cum ulative period( s) of tim e, aft er notifi cation,
during which an individu al component or the System requires
servicing or rep lacement (down time) or is in the possession of the
Contractor, its agents, off icers, Subcontractors, distri butors, resellers
or employees ("extended' warranty").
Where Contractor, the Independent Software Vendor "[SV," or other
third party manufacturer markets any Project Deliverable delivered by
or through Contractor wilh a sta ndard commercial warranty ,s uch
standard warr anty sha II b e i n addition to, and not re lieve the
Contractor from, Contractor's warranty obligations during the project
warranty and extended ~ arranty p eriod(s). Where such standard
commercial warranty CQvers all or some of the Project warran tyor
extended warran ty period(s), Co ntractor shall be responsible for the
coordination du ring the Project' warranty or extended war ranty
period(s) with ISV or other thir d party manufacturer(s) for warranty
repair or rep lacement of ISV or other third party manufacturer's
Product.
Where Contractor, ISV or other third party manufacturer markets any
Project Deliverable with a standard commercial warranty which goes
beyond th e Pr oject warr anty or ex tended warranty
period(s),
Contractor shall noti( y the Authorized User and pass throug h the
manufacturer's standard commercial warranty to Authorized Us er at
no additional charge; provided, however, that Contractor shall not be
responsible for coordinating ser vices under the third party ex tended
Project war rantyand extended
warranty after expiration of the
warranty period( s).
e, Replacement Parts Warranty If during the regular or extended
warranty period's faults develop, the Contractor shall promptly repair
or, upon demand, rep lace the defective unit or component part
affected. All costs for labor and material and transportation incurred
to repair or rep lace defective Product during the warranty period shall
be borne solely by the Contractor, and the S tate or Authorized User
shall in no event be liable or responsible therefor.
Any part 0 f co mponent re placed by the Contractor under th e Contract
warranty s hall be re placed at no cost t 0 the Authorized User and
guaranteed for the greater of: a) the warranty period underparagraph (d)
above; or b) i fa separate warranty for that part or component is generally
offered by the manufacturer, th e stan dard comm ercial warranty period
offered by the manufacturer for the individual part or component.
f.
Virus Warranty Th e Contractor represen ts and warrants that
Licensed Software contains no know n viruses. Contractor is not
responsible for viruses introduced at Licensee's site.
g. Daterrime Warran tv
Contractor wa rrants that Pro duct(s)
furnished pursuant to this Contract sh all, when u sed in acc ordance wit h
the Product docum entation, be able to accurately process dat e/time dat a
(including, bu t n ot Ii mited to, ca lculating, comparing, a nd sequencing)
transitions, including leap y ear 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.
Where Contractor is providing ongoing services, including but not limited
to: i) consul ting, integration, code or data conversion, ii) maintenance or
support services, iii) dat a ent ry or proce ssing, or iv) contrac
t
administration services (e. g., billing, invoicing, c1ai m processing),
Contractor wa rrants that services shall be provided in a n accurat e and
timely manner without interruption, failure or error due to the inaccuracy
ofC ontractor's bu siness operations i n processing dat e/time data
(including, bu t n ot Ii mited to, ca Iculating, comparing, a nd sequencing)
various date/time transitions, including leap year calculations. Contractor
shall be responsible for damages re suiting fr om an y delays, er rors or
untimely performance resulting therefrom, including but not limited to the
failure or untimely performance ofsuch services.
This Daterrime Warranty shall survive beyond termination or expiration
of this contract through: a) ninety (90) day so r b) the Contractor's or
Product manufacturer/developer's stated date/time warranty term,
whichever is 10 nger. Nothing in this warranty statement shall be
construed to Ii mit any right s or re medies otherwise avail a ble under thi s
Contract for breach of warranty.
Contract wa
rrants that
all
h. Workmanship Warranty
components or deliv erables specifie d and fum ished by or thro ugh
Contractor und er the Project De
finitionlWork Order meet the
completion criteria set forth in the Project Definition/Work Order and
any subsequent s tatement(s) 0 fwork, and th at services wi 11 be
provided in a workm anHke manner in accor dance with industry
standards.
i. Survival of Warranties All warran ties cont ained in
Contract shall survive the termination of this Contract.
this
+
July 2006
14
GENERAL SPECIFICATIONS
APPENDIXB
73. LEGAL COMPLIANCE Co ntractor rcpresents and warrants
that it shall secure all notices and comply with all laws, ordinances,
rules and regu lations of an y governmental entity in conjunction with
the performance of obligations under the Contract. Prior to award and
during the Contract term and an y renewals thereof, Contr actor must
establish to th e satisfact ion orth e Com missioner that i t meets or
exceeds all requ irements of the Bid and Contrac t and an y applicable
laws, including but not limited to, permits, licensing, and shall provide
such proof as required by the Commissioner. Failure to comply or
failure to provide proofmay constitute grounds for the Commissioner
to cancel or sus pend the,Contr act, in whole or in part, or to take any
other action deemed necessary by the Commissioner. Contractor also
and
agrees 10 disc lose inform ation and provide affirmations
certifications to comply with Sections I 39-j an d 139-k of the State
Finance Law.
74. INDEMNIFICATION Contractor sha II be fully Ii able for I he
actions of its agents, employees, partners or Subcontractors and shall
fully indemnify and save h armless the Authori zed Users from suits,
actions, damages and costs of e very name and description relating to
personal injury and damag e to re al or personal tangible pr operty
caused by any intentional act or negligence of Contractor, its agents,
employees, partners or Subcont ractors, withou t lim itation; pro vided,
however, that th e Contractor shall not indemnif y for that portio n of
any claim, loss or damage arising hereunder due to the negligent act or
failure to act of the Authorized Users.
TY
75. INDEMNIFICATION REL ATING TO THIRD PAR
RIGHTS The Contractor will also indemnify and hold the Authorized
Users harm less from and agai nst any and all damages, exp enses
(including reasonable attorney s' fees), cl aims, judgm ents, liab iHties
and cos ts that may be finally assessed against the Authorized Users in
any action for infringement of a United States Letter Patent, or of any
copyright, trademar~ trade secret or other third party proprietary right
except to the extent such:claims arise from the Authorized Users gross
negligence or willful misconduct, pr ovided that the St ate shall give
Contractor: (0 prompt \vritten notice of any action, claim or threat of
infringement suit, or other sui t, (Ii) the opportunity to take over, settle
or defend such action, claim or suit at Contracto r's sole expense, and
(iii) assistance in the defense 0 fan y such action at the expense of
Contractor.
If usage 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:
0) to procure for the Authori zed User the right to continue Usage (ii)
to modif y th e service or Product so
that Usage becomes noninfringing, and is of at least equ al qual ity and performance; or (iii) to
replace said ser vice or Product or part(s) thereof, as applicable, with
at least equal quality
and
non-infringing service or Product of
performance. If the above remedies are not available, the parties shall
terminate the Contract, in whole or in part as necessary and applicable,
provided the Au thorized User is given a refund for an y amounts paid
for the period during which Usage was not feasible.
The foregoing provisions as to protection from third party rights shall
not appl y to a ny infr iQgement occas ioned b y modification b y th e
Authorized User of any Product without Contractor's approval.
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 service or Product under the Contract
infringes an y patent,
copyright or proprietary right, and Contractor is of the opinion that the
allegations in such actio!,! in wh ole or in par t are not covered by the
indemnification and defense provisi ons set fo rth in the Contract,
Contractor shall immediately notify the Authorized User and the
July 2006
-
..
~~~.~
Office of the Attorne y General in writing and shall specif y to what
defend and ind emnitY
extent Contrac tor believes it is obligated to
under the term s and conditions ofthe Contract . Contractor sh all in
such even t protect the interests of the Authori zed Us er and secure a
continuance to permit the Auth orized User to appear and defend its
interests in coo peration with C onlractor, as is appropriate, including
any jurisdictional def enses the Authorized User m ay have. This
constitutes the Authorized User's sole and exclusive remedy for patent
infringement, or for infr ingement of an yother th ird party proprietary
right.
76. LIMITATION OF LIABILITY Except as otherwise set forth
in the Indemnification Paragraph s above, the limit ofliability shall be
as fol1ows:
a. Contractor's liability for any claim, loss or liability arising out of,
or connected with the Products and serv ices provided, and whether
based upon def ault, or 0 ther 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 th e Purchase Order for the Products and services,
or parts thereofforming the basis of the Authorized User's claim, (said
amount not to exceed a total of twelve (12) months charges pa yable
under the applicable Purchase Order) or (ii)
one million dollars
($1,000,000), whichever is greater.
b. The Authorized User may retain such monies from an y amount
due Contractor as may be necessary to satisfy any cl aim for da mages,
costs and the
like as set1ed a gainst the Aut horized Us er 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 th e Con tractor nor the
Authorized Us er s hall be Ii able fo r any consequential, indirect or
special damages of an y kind which may re suit di'rectly or indirectly
from such perform ance, including, withou t limitation, damages
resulting from loss of use or loss of profit by the Authorized User, the
Contractor, or by others.
77. INSURANCE Contrac tor shall secure and maintain insurance
mptly
coverage as specif ied in th e Bid Documents and shall pro
provide documentation ofspecified coverages to the Authorized User,
If 5 pecified, the Contractor m ay be requ ired to add the Authorized
User as an additional insured.
THE FOLLOWING CLAUSES PERTAIN TO
TECHNOLOGY & NEGOTIATED CONTRACTS
78. SOFTWARE LICENSE GRA NT Where Product is acquir ed
on a licensed basis the following shall constitute the license grant:
a. Liccnse S cope Licensee is gr anted a non- exclusive, perp etual
license to use, execute, re produce, display, perform, 0 r merge the
Product within its business enterprise in th e Un ited States up to the
maximum licen sed cap acity stated on the Purchase Order . Pr oduct
may be accessed, used, executed, reproduced, displayed or performed up
to the capacity measured by the applicable licensing unit stated on the
Purchase Order (i.e., payroll size, number of em ployees, CPU, MIPS,
MSU, concurrent user, workstation). Licensee s hall have the right to
use and distribute modifications or customizations of the Produ ct to
and for use b y any Author ized Users otherwise licensed to use th e
Product, provided that any modifications, however extensive, shall not
diminish Licensor's proprietar y title or int erest. No license, rig ht or
15
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GENERAL SPECIFICATIONS
APPENDIX B
interes( in any trademark, tr ade nam e, or s erviee m ark is gr anted
hereuntler.
b. dcense Term The license ternl
shall commence upon the
Licens1 Effective Date, provided, however, that where an ac ceptance
or trial per iod applies to th e Product, th e License Ternl shall be
extend. d by the time period for testing, acceptance or trial.
I
•
c. L' ensed Docu mentation I f com rnercially available, Li censee
shall h' v e the option to require th e Contr actor to deliver, at
Contra tor's ex pense: (i) one () ) hard cop y and one (I) master
electronic copy of the D\>cumentation in a mutually agreeable format;
(ii) based on ha rd copy instructions for acces s by download ing from
the Int:Eet (iii) hard copies of the Product Documentation by type of
license lin the following amounts, unless otherwise mutually agreed:
• In~ividuallNamed User License - one (I) copy per License
• Concurrent Users - 10 copies per site
• protesSing Capacity - 10 copies per site
Softwa· media must be in a format specified by the Authorized User,
withoutirequiring any type of conversion.
contralor hereby grants to Licensee a perpetual license right to make,
reprodle (in eluding downloading elec tronic co pies of the Product)
and distribute, either electron ically or otherwis e, copies of Pr oduct
Documentation as necessar y to enjo y full use of th e Product in
accordahce with the terms of license.
d. Product Tec hnical Suppor t & Maintenance Licensee shall
have th .e optio n of electing
the Product technical support and
the Contract b y giving
maintenance (H maintenance") set forth in
written noti ce to Contractor an y time during the Centralized Contract
term. Maintenance term(s) and any renewal(s) thereof are independent
of the expiration ofthe'C entralized Contr act term and will not
automatically renew.
Maintenance shall include, at a minimum, (0 the provision of erro r
corrections, upd ates, rev isions. fixes, upgr ade and new releases to
Licensee, and ( ii) Help Desk as sistance with 10 cally accessible "800"
or toll free, local telephone service, or alternatively on-line Help Desk
accessibility, Contractor shall maintain the Products so as to pr ovide
Licensee with the ability' to utilize the Products in accordance with the
Product documentation without significant functional downtime to its
ongoing business operations during the maintenance term.
Authorized User shall not be required to purchase maintenance for use
of Product, and may discontinue maintenance at the end of any current
maintenance ter m upon notice to Contractor. In the event that
Authorized User does not initially acquire or discontinues maintenance
of licensed Product, it may
, at an y time thereaf ter, reinstate
maintenance for Product witho ut an y additional p cnalties or other
charges, by paying Contractor the amount which would have been duc
under the Contr act for th e period of time that such mainten ance had
lapsed, at then current NYS net maintenance rates.
e. Permitted License Transfers As Licensee's business operations
may be altered, expa nded or diminished, lieens es granted hereunder
may be transferred or· combined for us e at an alternative or
consolidated site not origina Ily specified in t hc lie ense. in eluding
transfers between Agenc ies (" pernlitted lic ense tran sfers").
Licensee(s) do not have to ob tain th e approval of Contracto r for
permitted license transfers, but must give thirty (30) days prior written
notice to Contractor of such move(s ) and cert ify in writ ing tha t the
Product is not in use at t~e prior site. There shall be no additional
July 2006
lieense or oth er transfer fees d ue Contractor, provided th at: i) the
maximum capacit yof the co nsolidated machine is equal t 0 the
combined ind ividuallicense capacity of all licenses running at the
consolidated or transferred site (e.g., named users, seats, or MIP S); or
ii) if th em aximum capacit yo f the cons olidated machine is great er
than th e indiv iduall icense cap acity being tran sferred, a log ical 0 r
physical partition or other means of restr ieting access will be
maintained within the computer system so as to restrict use and access
to the Product to that unit of licen sed capacity solely dedicated to
beneficial use for Licensee. In the event that the maximum capacity of
the cons olidated machine is greater th an th e com bined ind ividual
license capacity of allliecns es running at the consolidated or
transferred site, and a logical or physical partition or other means of
restricting use is not available, the fees due Contractor shall not exceed
the fees oth erwise pa yable f or a single license for the upgrade
capacity.
f.
Restricted Us e By Ou tSQurcers I Fa cilities Man agement•
Service Bu reaus I or Oth er Third Part ies Outsourcers, facilities
management or service bureaus reta ined by Licensee shall have th e
right to us e the Product to mainta in Licensee's business operations,
including data processing. for the time period that they are engaged in
such activities, provided that: I) Licensee gives notice to Contractor
of such party, site of intended use of the Product, and means of access;
and 2) such party has ex ecuted, or agr ees to execu te, th e Product
manufacturer's standard nondis closure or restricted use agr eement
which executed agreement shall be accepted by the Contractor ("Non
Disclosure Agr eement"); and 3) ifs uch par ty is eng aged i n the
business of facility management, outsourcing, service bure au or othe r
services, such th ird party wi 11 maintain a logic al or phy sical partition
within its com puter system s 0 as to res trict us e and ac cess to the
program to that portion solely dedicated to beneficial use for Licensee.
In no event shall Licensee as sume an y Ii ability for third pa rty's
compliance with the terms of the Non-Disclosure Agreement, nor shall
the Non-Disclosure Agreement create or im pose any liabilities on the
State or Licensee.
Any third party with whom a Lice nsee h as a relationship for a state
function or business operation, shall have the temporar y righ t to use
Product (e.g., JAVA Applets), provided that such use shall b e limited
to the time period during which the third party is using the Product for
the function or busincss activ ity.
g. Archival Back-Uo an d Disaster Recovery Licensee may use
and cop y the Pr oduct and related Do cumentation in connection with:
i) reprodu cing a reasonable n umber of copies of the Produ
ct for
archival b aekup and dis aster recovery procedures in th e event of
destruction or corruption of the Pr oduct or disasters or emergencies
which requir e Licensee to restore ba ckup( s) or to initiate disaster
recovery pro cedures for its plat
form or op erating systems; ii)
reproducing a reasonable number of copies of the Product and related
Documentation for cold s ite storage. " Cold Site" storage s hall be
defined as a restorable back-up copy of the Product not to b e installed
until and aft er the dec! aration by the L iccnsee of a disaster; iii)
reproducing aback-up cop y of the Product to run for areas onable
a doeumented consolid ation or
period oftime in conjunction with
transfer 0 therwise al lowed he rein. " Disaster Recovery" s hall be
defined as thc installation and storage of Produ ct in r eady-to-execute,
back-up computer systems prior to disaster or breakdowll which is not
used for active production or development.
h. Confidentiality Restrictions The Product is a trade secret,
copyrighted and proprietary product. Li censee and its em ployees will
keep the Product strictly confidential, and Licensee will not disclose or
otherwise distribute or reproduce any Product to anyone other than as
16
GENERAL SPECIFICATIONS
APPENOIXB
author~ed under the term s of Contract. Li eensee will not remove or
destroy any proprietary markings of Contractor.
I
i.
estricted Use b Licensee Except as expressly authorized by
s of license, Licensee shall not:
Copy the Product:
(Ii) Cause or permit reverse compilation or reverse assembly of
all or m·y portion of the Product:
( ii) Expor t the Licensed Soft ware in viol ation of an y U.S.
Depart. ent of Commerce export administration regulations.
the te
q)
79.
RODllCT A CtEPTANCE Unle ss ot herwise provided by
mutual greement of the Authorized User and the Contractor, Authorized
User(s) shall have thirty (30) days from the date of delivery to accept
hardware produ cts and six ty (6 0) da ys from th e date of delivery to
accept ~·1I 0 ther Product. Where th e Con tractor is responsible for
installa ion, ac ceptance shall b e from com pletion of install ation.
Failure 0 provide notice of accepta nee or rejection or a def iciency
statemept to the Contractor by the end of the period provided for under
this clause constitutes acceptance by the Authori zed User(s) as of the
expiratilm of that period. The License Term shall be extended by the
time petiods allowed for tri al use, testing and acceptance unle ss the
Commi$sioner or Authorized Us er agrees to acc ept the Product at
comple~ion of trial use.
I
Unless btherwise provided by mutual agreement of the Authorized User
and the Contractor, Authorized User shall have the option to run testing
on the Product prior to accep tance, su ch tests and data sets to b e
specifie? by User. Where using its own data or tests, Authorized User
tative set of data availab Ie upon
must har the tests or represen
delivery, Th is dem onstration will tak e the fo rm of a documented
installation test, cap able of obs ervation by the Authorized User, and
shall bel made p art of the Contr actor's standard documentation. Th e
test da tla sha II rem ain a ccessible to th e A uthorized User afte r
completion of the test.
In the even t that the documented installation test cannot be completed
successf\.!lly within the sPecified acceptance period, and the Contractor
or Prod~ct is responsibleJor the delay, Authorized User shall have the
option tcr can cel the orde,r in wh ole or in part, or to extend th e testing
period fQr an ad ditional thirty (30) day increment. Authoriz ed User
shall no~ify Contractor of a cceptance upon suc cessful com pletion of
the doc~ented installation test. Such cancellation shall not give rise
to any e~use of action against the Authorized User for damages, loss of
profits, expenses, or other remuneration of any kind.
Ifthe Authori zed Us er el ects to provide a deficiency statement
specifYing how the Product fails to meet the specifications within the
testing per iod, Contractor shall have thirt y (30) da ys to corr ect the
deficiency, and the Authorized User shall have an additional sixty (60)
days to evaluate the Product as provided herein. Ifthe Product does
not meet the specifications at t he end of the extended testing period,
Authorized User, upon prior written no tice to Contractor, m ay then
reject the Product and return all de fective Product to Contr actor, and
Contractor shall refund any mo nies paid b y the Authorized User to
Contractor therefor. Costs and liabilities associ ated wi th a failure of
the Product to perform in acco rdance with th e function ality tests or
product specifications dur ing th e ac ceptance period shall be borne
fully by Contractor to th e extent that sa id costs or liabilities shall not
have be en caus ed by negligent or willful a cts or om issions of the
Authorized User's agents or employees. Said costs shall be limited to
the am ounts set forth in the Lim itation of Liabilit y CI ause for an y
liability for cos ts incurred a t t he direction or recommendatio n of
Contractor.
July 2006
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80. AUDIT OF LlCENS ED PRODUCT USA GE Contr actor
shall have th e right to period ically aud it, no more than annu ally, at
Contractor's expense, use oflieensed Product at any site where a copy
of the Product resides provided that: (i) Contractor gives Licensee(s)
at I east thirty (30) da ys advan ce writ ten noti ce, ( ii) such aud it is
conducted during such party's normal business hours, (iii) the audit is·
conducted by an independent auditor chosen on mutual agreement of
the parties. Contractor shall
recommend am inimum of three (3)
auditing/accounting firms from which the Licensee will select one (I).
In no case shall the Business
Software Allian ce (BSA), Software
Publishers Asso ciation (SPA), Software and I ndustry Inform ation
Association (SII A) or Federatio n Ag ainst Software Theft (FAST) be
used directly or indirectly to conduct audits, or be recommended b. y
Contractor; (iv) Contractor and Licensee are each entitled to designate
a represen tative who shall be enti t led to participate, and who shall
mutually agree on audit for
mat, and simultan eously review all
information obtained by the audit. Such representatives also shall be
entitled to copies of all repor ts, data or information obtained from the
audit; and (v) i fthe aud it shows that such party is not in com pliance,
Licensee shall be required to purchase additional licenses or capacities
necessary to bring it in to com pliance and sha II pay for th e unli censed
capacity at th e NYS Net Price in effect at time of aud it, or if none,
then at th e Co ntractor's U.S. Commercial list price _ On ce such
additional Ii censes or capacities are purchase d, Licensee sha II b e
deemed to have been in compliance retroactively, and Licensee shall
have no further liability of an y kind for the unauthorized use of the
software.
81.
OWNERSHlPrrITLE TO PROJECT DELlVERABLES
a. Def.!.!!iti!!.!!
(i) For purpose s of this paragraph, "Products." A deliverable
furnished under this Contract b y or through Contractor, in cluding
existing and cu stom Products, incl uding, but not limited to : a)
components of the hard war
e envi ronment, b) printed materials
(including but not limited to training manuals, sy stem and user
documentation, reports, dr awings), whether prin ted in hard cop y or
maintained on diskette, CD, DVD or other electronic media c) third
party softwar e, d) modification s, customizations, custom progr ams,
program listings, programming tools, data, modules, components, and
e) any properties embodied th erein, whether in tangible or intan gible
form (including but no t I imited to utilities, interfaces, tern plates,
subroutines, algorithms, formulas, source code, object code).
(ii) For purpo ses of this para
graph, "Existing Products."
Tangible Products and intangib Ie licensed Products that exist prio r to
the commencement of work under the Contr act. Contractor b ears the
burden of proving that a particular product was in existence prior to
the commencement of the Project.
(iii) For purpo ses of this paragraph, "Custom Products."
Products, preliminar y, tinal or ot herwise, which are cr eated 0 r
developed by Contractor, its Su bcontractors, partners, employees or
agents for Authorized User under the Contract.
b,
Title WProject Deliverables Contractor acknowledges that it
is com missioned b y the Auth orized User to perform the servic es
detailed in the Purchase Order. Unless otherwise specifi ed in writing
in the Bid or Purchase Order, th e Authorized User shall hav
e
ownership and license rights as follows:
(i) Existing Products:
1. Hardware· Title and ownership of Ex isting Hardware
Product shall pass to Authorized User upon Acceptance.
2. Software· Title and oWTIership to Exist ing Softwar e
Product(s) delivered by Contractor under the Contract that is nor mally
commercially distributed on a license basis by the Contractor or other
independent software vendor pr oprietary owner ("Existing Licensed
17
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GENERJI,L SPECIFICATIONS
APPENDIX B
Produ~")' whether or not embedde
d in , delivered or oper ating in
conjun tion with hardware or Custom Products, shall remain with
Contra. tor or the proprietar y owner of other independent so ftware
vendor(s) (ISV). Effective upo n acceptance, such Product shall be
licensed to Authorized Us cr in accordance with the Contractor or IS V
owne~' standard licens e agr eement, provided, however, that such
stand a lie ense, must, at a minimum: (a) grant Authorized User a
non-ex 'j.uSive, perpetual license to use, ex ecute, reprodu ce, dis play,
perfo . ad apt (unless Contractor advises Authorized User as part of
Contra<!:tor's proposal that ad aptation will v iolate existing agreements
or statutes and Contractor demonstrates such to the Authorized User's
e
satisfaqtion) an d distribute Ex isting Licensed Product to th
Autho~zed Use r up to the lic ense capa city sta ted in the Pure hase
Order r work order with all license rights necessary to fully effect the
general business purpose(s) stated in the Bid 0 r Authorized User's
Purchase Order or work ·order, including the financing assignment
rights s¢t forth in paragraph (c) below; and (b) recognize the State 0 f
New York as the licensee where the Authorized User is a state agency,
departn1ent, board, commission, office or ins titution. Where these
rights are not otherwise covered by the ISV's owner's standard license
agreemfnt, th e Contractor shall be responsible for obtaining these
rights at i ts s ole cos t and expense. Th e Authoriz ed Us er shall
reproduice all copyright notices and any other legend of ownership on
any copies authorized under this paragraph.
(L
Custom Products : Effective upon creation of Custom
Produc$, Contractor hereby conveys, assigns and transfers to
Authori~ed Use r the sole and exclusiv e rights, title and in terest in
Custom. Product(s), whether preliminary, final or otherwise, in cluding
all tr adbmark a nd cop yrights. Contractor her eby agrees to take all
necessarY and appropriate steps to ensure that the Custom Products are
protect~d against unauthorized cop ying, reprod uction and mar keting
by or through Contractor, its agents, employees, or Subcontr actors.
Nothina herein shall preclude the Contractor from otherwise using the
related or underly ing gener al knowledge, skills, id eas, concepts,
techniqliles and experience developed under a Purchase Order, project
definitiqn or work order in the course of Contractor's bu siness.
Authori~ed Use r may, bypro viding writt en notice ther eoft 0 the
Contrac~or, elect in the al temative to tak e a no n-exclusive perp etual
license Custom Products in lieu of Authorized User taking exclusive
ownership and title to such Products. In such case, Licensee on behalf
of all A~thorized Users shall b e granted a non -exclusive perp etual
license (0 us e, execut e, reproduce, display, perform, adapt and
distribute Custo m Product as necessary to fully eff ect the ge neral
business purpose(s) as stated in paragraph (b)(i)(2), above.
10
c. Trl!nsfers or Assignments to a Third Party Financing Agent It
is underrtood an d agreed by the parties that a condition precedent to
the consummation of the purchase (s) under the Contract may be the
obtaininJg of acceptab Ie th ird party financing by the Authorized User,
The Au~horiz ed User shall make the sole determination of the
accepta~ility of an y finan cing proposal. The Authorized User will
make al1 reas onable effqr ts to obt ain such financing, but makes no
representation that such financin g has been obtained as of the date of
Bid rec¢ipt. Where financing is used, Authorized Use r may asS! gn or
transfer i ts ri ghts i n Licensed Products (e xisting or custom) t 0 a third
party fin~cing entity or fruste e ("Trustee") as collateral where required
men!. Trustee's sole rights wi th
by the terms of the financing agree
respect ti 0 transfera bility or use of License d Product s shall be
to
exclusively sublicense to: Authorized User all ofits Li censee's rights
under t he te rms and conditions oft hc Lice nse Ag reement; provided,
further, however, in the e. vent of any term ination or expi ration of such
sublicen$e by reason of payment in fu II, all of Trustee 's rights in suc h
Licensed Product shall terminal e immediately and Authorized User's
prior rig~ts to such Existing Licensed Product shall be revived.
July 2006
I
d. Sale or License 0 f Custom Pro ducts Involving Ta x-Exempt
Financing (i.e.. Certific ates of Participation - COPS) The Authorize d
User's sale or o ther transfer ofCustom Products which were acquired by
the Auth orized User using third party , tax-exe mpt fm ancing may not
occur until such Custom Products are, or become, useable. 1n the event
that the Contractor wishe s to ob tain 0 wnership ri ghts to Custom
fair mark et value
Product(s), the sale or othe r transfer shall be at
determined at the time of such sale or other transfer, and must be pursuant
to a separate written a greement in a form acce ptable tot he Authorized
User which complies with the terms of this paragraph.
e. Contractor's 0 bligation with Regard to ISV (T hird Par tv>
Product Where Contractor furnishes Exi sting Licensed Product(s) as a
Project Deliverable, and sufficient rights necessary to effect t he purposes
oft his section are n ot ot herwise pro vided i n t he Co ntractoror ISV's
standard license agreement, Contractor shall be responsible for obtaining
from the ISV third party proprietary owner/developer the rights sct forth
herein to the benefit of the Authorized User at Contractor's sole cost and
expense.
82. PROOF OF LICENSE The Contractor must provide to each
Licensee who places a Purch ase Order eith er: (i) the Pr oduct
developer's certified License Co nfirmation Certificates in the na me of
such License e; or (ii) a writt en confirm ation from the Proprietar y
owner accepting Product invoice as proof of license. Con tractor shall
submit a sam pIe certificate, or alternatively such written confirmation
from the proprietar y developer. Such certific ates must be in a form
acceptable to the Licensee.
83. PRODUCT V ERSION Pure hase Orders shall be deemed to
reference Manufacturer's most recen tly released model or vers ion of
the Product at time of order, unle ss an earlier model or versi on is
specifically requested in wri ting by Authorized User and Contractor is
willing to provide such version.
84. CHANGES TO PRODUCT OR SERVICE OFFERINGS
a. Product or Ser vice Disc ontinuance Whe re Contractor i s t he
Product Manufacturer /Developer, an d Contractor publicly announces
to all U.s. customers ("date of notice") that a Product is being
that maintenance serv ice or
withdrawn from the U.S. market or
technical support provided by Contractor ("withdrawn support") is no
longer going to be offered, Contractor shall be required to: (i) notii)'
the Com missioner, each Li censee and ea ch Authorized Us er then
under con tract for maintenance or technical support in writing of the
intended discon tinuance; and (ii) con tinue to offer Product or
withdrawn support upon the Contract terms previously offered for the
greater of: a) the best terms
offered by Con tractor to an yother
customer, or b) hot less than twelve (12) months from the d ate of
notice; and ( iii) at Authorized
User's option, provided
that th e
ate of
Authorized User is under contract for maintenance on the d
notice, either: provide the Authorized User with a Product replacement
or migration path with at least equivalent functionality at no additional
charge to enable Authorized User to continue us e and maintenan ce of
the Product.
In the event th at th e Contra ctor is n..Q.L the Product Manufacturer,
Contractor shall be required to: (i) provide th e notice required under
the paragraph above, to th e entities described within five (5) business
days of Contr actor receiv ing no tice from th e Pr oduct Manufacturer,
and (ii) include in such noti ce th e per iod of time from the date of
notice that the Product Manufacturer will continue to provide Product
or withdraw support.
The provisions of this subdivis ion (a) shall no t appl yo r eliminate
Contractor's obligations where withdra'wn support is being provided
by an independent Subcontractor. In the event that such Subcontractor
18
GENERAL SPECIFICATIONS
APPENDIXB
ceases to prov ide serv ice, Contractor shal I be responsible for
subcontracting such service, subject to state app roval, to an alternate
Subcontractor.
FOR NEGOTIATED
CONTRACTS T HE FOLLOWING
CLAUSES ARE RESERVED BEC AUSE BIDDING DOES
NOT APPLY:
b. Product or Se rvice Re-Bundling In the event that Contractor is
the Product manufacturer and publicly announces to all U.S. customers
(Hdate of notice") th at a Product or main tenance or technical support
offering is being re-bundled in a different manner from the structure or
licensing model of the prior U.S. commercial offering, Contractor shall
be required to: (i) notify the State and each Authorized User in writing
of the in tended change; (ii) conti nue to prov ide Product or withdrawn
support upon the sam e terms and conditions as previously offered on
the then-current NYS Contract for the gr eater of: a) the best terms
offered by Contractor to any other customer, or b) not less than twelve
(12) months from the date of notice; and (iii) shall submit the proposed
rebundling ch ange to the Commissioner for a
pprovaJ prior to its
becoming effective for the· remainder of the Contract term. Tl!JL
provisions of this section do not a Poly if the Contractor is not the
Product manufacturer.
Clauses: 7,8,9,10, II, 12,13,16,15,21,25,26,28,29,30,31,32,
33,36,49,50,52,54 and 37
85. NO HAROS TOPfPASSIVE UCENS
E MONITORING
Unless an Auth orized User is otherwise spe cifically ad vised to the
contrary in wri ting a t the time of order and prior to pur chase,
Contractor her eby warrants and repr esents that th e Product and all
Upgrades do no t and will not contain an y computer code that would
disable th e Product or Upgrades or impair in an y way its oper ation
based on the elapsing of a period of tim e, exc eeding an authorized
number of copies, advancement to a particular date or other numeral,
or other similar self-destruct mechan isms (so metimes referr ed to as
"time born bs," "time locks, " or "drop dead" devices) or that would
permit Contractor to access the Product to cause such disablement or
impairment (sometimes referr ed to as a "
trap door" device).
Contractor agrees that in'the event of a breach or alleged breach of this
provision that A uthorized User s hall not have an adequate remedy at
law, includ ing monetar y damages, and tha t Authorized Us er shall
consequently b e entitled to seek a temporar y restr aining order,
injunction, or other form of equitabl e relief against the· continuance of
such breach, in addition to any and all remedies to which Authorized
User shall be entitled.
86. SOlIRCE CODE ESCROW FOR LICENSE 0 PROOllCT If
Source Code or Source Code escrow is offered by either Contractor or
any oth er commercial
Product manufactur er or developer to
the
customers, Contractor shall eith er: (i) provide Licensee with
Source Code for the Product; or Oi) place the Source Code in a third
party escrow arrangement with a designated escrow agent who shall be
named and identified to the S tate, and who shall be directed to release
the depos ited Source Code in accordance with a standard escrow
agreement acceptable to the Stat e; or (iii) will certify to the Sta te that
the Product manufacturer/developer has named the State, acting by and
through the Authorized User, and the Licensee, as a named beneficiary
of an established escrow:arrangement with its designated escrow agent
who shall be named and identified to the S tate and Licensee, and who
shall be dire cted to releas e the deposited Source Code in accord ance
with the terms ofescro\~. Source Code, as well as any corrections or
enhancements to such source code, shall be updated for each new
release of tile Product in the same manner as provided above and such
tied to t he State in writing .
updating of es crow shall be certi
Contractor shall identitY'the escrow agent upon commencement ofth e
Contract term and shall certif y annually th at th e escrow remains in
effect in compliance with the terms of this paragraph.
The State m ay rei ease· the Source Cod e to Lic ensees und er this
Contract who have licensed Product or obtained services, who may use
such copy of the Source Code to maintain the Product.
July 2006
19
GENERAL SPECIFICATIONS
APPEND1XS
INDEX
Paragral2h
Paragral2h
i
ANo.
Additional Warranties
Advertising Results
Applicability I
Assignment 56
Assignment of Claim
Audit of Licensed Product Usage
Authentication of Facsimile Bids
72
20
MNo.
Modification of Contract Terms
I
I
No
66
80
10
Har~stoPlPassive License Monitoring
on-SiteQStorage
Ownershipffitle to Project Deliverables
40
85
54
81
~
Bid Contents
Bid Evaluation
Bid Opening
Bid Submission
12
29
7
8
£
Participation in Centralized Contracts
Performance and Responsibility Qualil1cations
PerformancefBid Bond
Prevailing Wage Rates Public Works
& Building Services Contracts
Pricing 24
Procurement Card
Product Acceptance
Product Delivery
Product References
Product Substitution
Product Version
Products Manufactured in Public Institutions
Prompt Payment Discounts
Proof of License
Purchase Orders
£:
Changes to Product or Service Offerings
Clarification/Revisions 31
Contidential/Trade Secret Materials
Conflict of Terms
Conditional Bid
Contract Billings
Contract Creation/Execution
Contract Term • Renewal
Cooperation with Third Parties
84
14
4
30
62
38
71
70
!2
Default - Authorized User
Definitions 5
Disqualification for Past Performance
Drawings 25
39
~4
58
17
27
79
45
21
50
83
23
32
82
44
63
35
IQuanti~
Changes Prior to A ward
36
Rejected Product
Release of Bid Evaluation Materials
Re-Weighing Product
Remanufactured, Recycled, Recyclable or
Recovered Materials
Remedies for Breach
Repaired or Replaced Product/Components
51
15
49
B.
&.
Emergency Contracts
Employees/Subcontractors/Agents 55
Equivalent or Identical Bids
Estimated/Specific Quantity Contracts
Ethics Compliance
Expenses Prior to Contract Execution
Extraneous Terms
43
33
42
3
19
13
22
65
53
~
.E
Facsimile Submissions
Freedom of Information Law
9
16
Q
Governing Law
2
1
Indemnil1cation 74
Indemnification Relating to Third Party Rights
Independent Contractor
Installation 52
Insurance 77
Interest on Late Payments
International Bidding
75
68
I
Scope Changes
Security 69
Site Inspection
ShippinglReceipt of Product
Software License Grant
Source Code Escrow for Licensed Product
Subcontractors and Suppliers
Suspension of Work
61
41
26
47
78
86
57
59
I
64
6
L
Late Bids
Legal Compliance
Limitation of Liability
I Samples 28 Majeure
Savings/Force
Taxes
Termination 60
Timeframe for Offers
Title and Risk of Loss
Toxic Substances
18
37
48
67
II
73
76
I weeke: and Holiday Deliveries
46
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
AGREEMENT
This AGREEMENT is hereby made by and between the State ofNe
w York
ereinafter DOCS) and t he CONT RACTOR
Department of Correctional Services (h
identified on the face page hereof.
WITNESSETH:
WHEREAS, the DOCS has the authority
to provide funding for the Inm ate
Telephone Systems of its facilities and desires to contract with skilled parties possessing
the necessary resources to provide such services; and
WHEREAS, the DOCS has solici ted bids in order to procure the services of a
well-qualified services provider in order to provide such services and has selected
CONTRACTOR in order to provide such services for DOCS; and
willing and able to prov ide such
WHEREAS, the CONTRACTOR is ready,
services and possesses or can make available all necessary qualified personnel, licenses,
facilities and expertise and perform or have perfor med the services required pursuant to
the terms of this AGREEMENT;
the prom ises, responsibilities and
NOW THEREFORE, in consideration of
covenants herein, the DOCS and the CONTRACTOR agree as follows:
1.
SERVICES: CONTRACTOR will carry ou tall respons ibilities and serv ices
identified in the proposal attached herein as Exhibit B, entitled:
"B." Scope of Services shall include not only the Vendor's Proposal, but also the
"Request for Proposal" both attached and wh ich are expressly made a part of this
contract.
2.
COMPENSATION AND PA YME NT: The parties ackno wledge that all incom e
and revenue to be derived
by the contractor f rom this contract shall be paid
exclusively by the users of the services provided pursuant to this contract and that
the State of New York, The DOCS , its officials and em ployees shall have no
responsibility for these paym ents, except, that if the DOCS utilizes the phone
record storage services ofthe contractor in excess of what is provided for herein,
or a monthly fee in the a
mount
the DOCS shall pay to the Contract
3.
INCORPORATED PAGES: This AGREEMENT incorp orates th e face pag es
attached and all of the marked appendices identified on the face page hereof.
4.
EFFECTIVE DATE: This AGREEMENT shall become effective upon the
approval of the Attorney General and Comptroller ofthe State of New York.
5.
SUBCONTRACTING: This AGREEMENT s hall be binding upon the parties,
their successors and heirs. Certain respons ibiJities may be subcontracted with the
written approval of DOCS.
6.
STATE OF LA W : This AGREEMENT shall be cons
accordance with the Laws of the State of New York.
7.
ACCOUNTING: DOCS shall be entitled to and shall rec
eive from
CONTRACTOR an accounting of its expenditu res at the conclusion of the period
ofthe AGREEMENT.
8.
CIVIL-EQUAL-HUMAN RIGHTS: The CONTRACTOR agrees to comply with
all applicable Federal, State and local Civil Rights and Hum an Rights Laws with
reference to equal employment opportunities and the provision of services.
9.
LATE PAYMENT: Interest on late paym ent is governed by State Finance Law
Section 179-m.
10.
CONFLICTING TERM S: In the e vent of a conf lict between the te rms of the
contract (including any and all attachments thereto and am endments thereof) the
"authorities" to which resor t will be made and which shall con trol are the
following in the order of priority presented here:
trued and inter preted in
I. Appendix A
2. The contract
3. The contract Appendices
4. The project definition
5. The vendor's proposal
II.
TERMINATION: This AGREEM ENT m ay be term inated at any tim e upo n
mutual written consent to the DOCS and the CONTRACTOR. Also, the DOCS
may term inate th e AGREEMENT imm ediately, upon written notice of
termination to the CONTRACTOR, if the CONTRACTOR fails to comply with
the te rms and conditio ns of this AGREEMENT and/or with any la
ws, rule s,
regulations, policies or procedures a ffecting this AGREEMENT. Should the
CONTRACTOR complete documents pursuant to State Finance Law § 139-k, the
Governmental Entity reserves the right to terminate this contract in the e vent it is
found that the certification filed by the Offerer in accordance with New York
State Finance Law § 139-k was intentionally
false or intentionally incom plete.
Upon such finding, the Governmental Entity may exercise its termination right by
providing written notification to the
Offerer in accorda nce with th e written
notification terms of this contract.
a:lueu dwo ::> :J.o uOIJe:lI:J.!:aJa::> s,JaJauo
a xlPuadd"
Offerer's Certification of Compliance
with State Finance Law §139-k(5)
Background:
New York State Finance Law § I 39-k( 5) requires that every Procurement Contract award
subject to the provisions of State Finance Law §§ 139-k or 139-j shall contain a
certification by the Offerer that all information provided to the procuring Governmental
Entity with respect to State Finance Law §139-k is complete, true and accurate.
Instructions:
A Governmental Entity must obtain the required certification that the information is
complete, true and accurate regarding any prior findings of non-responsibility, such as
non-responsibility pursuant to State Finance Law § 139-j. The Offerer must agree to the
certification and provide it to the procuring Governmental Entity ..
---...- - -...
--~---.---.
---------
Offerer Certification of Compliance
with State Finance Law §139-k(5)*
Offerer Certification:
I certify that all infonnation provided to th e Department of Cor rectional Services with res pect to S tate Finance Law
§ I 39-k is complete, true and accurate.
By:
Name:
Title:
Contractor Name:
Contractor Address:
6UIPUeJSJ9pUn lO uOI~ewJ!:UV S, J9J9:UO
. 3 x!pu9ddV
Offerer's Affirmation of Understanding of and Agreement pursuant to State
Finance Law §139-j (3) and §139-j (6) (b)
Background:
State Finance Law § I 39-j(6)(b) provides that:
Every Governmental Entity shall seek written affinnations from all
Offerers as to the Offerer's understanding of and agreement to comply
with the Governmental Entity's procedures relating to pennissible contacts
during a Governmental Procurement pursuant to subdivision three of this
section.
Instructions:
A Governmental Entity must obtain the required affirmation of understanding and
agreement to comply with procedures on procurement lobbying restrictions regarding
permissible Contacts in the restricted period for a procurement contract in accordance
with State Finance Law §§ 139-j and 139-k.
. Offerer affinns that it understands and agrees to comply with the procedures of the
• Department of Correctional Services relative to pennissible Contacts as required by State
Finance Law §J39-j (3) and §139-j (6) (b).
By:
Date:
-----------------
Name: ____________________________
Title: ______~_ _ _ _ _ _ _ __
Contractor Name:
---------------------------------------------------
Contractor Address:
----~
.....--~ ...
-----------------------------------------------
-.---------------
New York State
Standard Vendor Responsibility Questionnaire For Profit Business Entity
Legal Business Name
EIN
Address of the Principal Place of Business/Executive Office
Phone Number
E-mail
Fax Number
Website
Name:
Phone Number
Title
Fax Number
Email
List any other DBA, Trade Name, Other Identity, or EIN used in the last five (5) years, the state or county where
. filed, and the status (active or inactive): (if applicable)
Type Nam
EIN
e
State or County where filed
Status
t.O Business Entity Type Please check appropriate box and provide additional information:
a) D Corporation (including PC) IDate of
b)D Limited Liability Co.
(LLC 'or PLLC)
IDate Organized
c) D Limited Liability
Date of Registration
d) D Limited Partnership
Date Established
e) D General Partnership
Date Established
f) D Sole Proprietor
How many years in business?
g) D Other
Date Established
County (if formed in
If
'No' indicate jurisdiction where Business Entity was formed:
D United States
State
Country
D Other
1.2 Is the Business Entity currently registered to do business in New York State with the
Department of State? Note: Select 'Not Required' if the Business Entity is a Sole Proprietor or
No
'No' explain why the Business Entity is not required to be registered in New York State.
No
1.3 Is the Business Entity registered as a Sales Tax Vendor with the New York State Department of
Taxation and Finance?
If 'No', explain and provide detail, such as "not required", "application in process", or other reason for not being
registered.
Vendor Responsibility Form
Page 1
Appendix F
New York State
. Standard Vendor Responsibility Questionnaire For Profit Business Entity
1.7 Is the Business Entity's
If'No',does the Business Entitv maintain an office in New York State?
Provide the address and telephone number for one New York office.
DYes
DYes
DNo
DNo
No
Women Owned Business Enterprise (WBE), New York State Small Business or a Federally
Certified Disadvanta!!ed Business
If 'Yes', check all that apply:
D New York State Certified Minority Owned Business Enterprise (MBE)
D New York State Certified Women Owned Business Enterprise (WBE)
D New York State Small Business
D Federally Certified Disadvantaged Business Enterprise (DBE)
1.9 Identify Business Entity Officials and Principal Owners. For each person, include name, title and percentage of
Attach additional
Percentage Ownership (Enter
. Name Title
1.8 Is the Business Entity a New York State Certified Minority Owned Business Enterprise (MBE),
0%
Explain relationllhip with the Affiliate and indicate percent ownership, if applicable (enter N/A, if not applicable):
Are there any Business Entity Officials or Principal Owners that the Business Entity has in
common with this Affiliate?
Individual'S Name
Position/Title with Affiliate
No
2.1 Has the Business Entity participated in any Joint Ventures within the past three (3) years?
No
Attach additional
Joint Venture Name:
Vendor Responsibility Form
Joint Venture EIN (If available):
Page 2
I Identify parties to the Joint Venture:
Appendix F
New York State
Standard Vendor Responsibility Questionnaire For Profit Business Entity
3.0 Has the Business Entity held any contracts with New York State government entities in the
last three (3) years? If "Yes" attach a list including the Contract Number, Agency Name,
Contract Amount, Contract Start Date, Contract End Date, and the Contract Description.
DYes
DNo
4.5 initiated a request to withdraw a bid submitted to a government entity or made any claim of
an error on a bid submitted to a government entity?
For each "Yes" answer above provide an explanation ofthe issue(s), the Business Entity involved, the relationship to
the submitting Business Entity, relevant dates, the government entity involved, and any remedial or corrective
action(s) taken and the current status of the issue(s). Provide answer below or attach additional sheets with numbered
responses.
5.1 been subject to an administrative proceeding or civil action seeking specific performance or
restitution in connection with any government contract?
5.2 entered into a formal monitoring agreement as a condition of a contract award from a
DNo
For each "Yes" answer provide an explanation of the issue(s), the Business Entity involved, the relationship to the
submitting Business Entity, relevant dates, the government entity involved, and any remedial or corrective action(s)
taken and the current status of the issue(s). Provide answer below or attacb additional sheets with numbered
responses.
6.1 had a denial, decertification, revocation or forfeiture of New York State certification of
DYes DNo
Minority Owned Business Enterprise, Women Owned Business Enterprise or federal
certification of Disadvantaged Business Enterprise status, for other than a change of
For each "Yes" answer provide an explanation of the issue(s), the Business Entity involved, the relationship to the
submitting Business Entity, relevant dates, the government entity involved, and any remedial or corrective action(s)
taken and the current status of the issue(s). Provide answer below or attach additional sheets with numbered
responses.
Vendor Responsibility Form
Page 3
Appendix F
New York State
Standard Vendor Responsibility Questionnaire For Profit Business Entity
7.0 been the subject of an investigation, whether open or closed, by any government entity for a
civil or criminal violation?
7.1 been the subject of an indictment, grant ofimmunity, judgment or conviction (including
pntprino into a plea bargain) for conduct constitutinl! a crime?
7.2 received any OSHA citation and Notification of Penalty containing a violation classified as
serious or willful?
7.5 entered into 11 consent order with the New York State Department of Environmental
Conservation; or a Federal, State or local government enforcement determination involving a
violation of federal, state or local environmental laws?
7.6 other than the previously disclosed:
(i) Been su bject to the imposition of a fine or penalty in excess of $1 ,000 imposed by any
government entity as a result of the issuance of citation, summons or notice of violation, or
pursuant to any administrative, regulatory, or judicial determination; or
(ii) Been charged or convicted of a criminal offense pursuant to any administrative and/or
action taken
For each "Yes" answer provide an explanation of the issue(s), the Business Entity involved, the relationship to the
submitting Business Entity, relevant dates, the government entity involved, and any remedial or corrective action(s)
taken and the. current status ofthe issue(s). Provide answer below or attach additional sheets with numbered
responses.
8.0 a sanction imposed relative to any business or professional permit and/or license?
8.1 an investigation, whether open or closed, by any government entity for a civil or criminal
violation for any business related conduct?
8.2 an indictment, grant of immunity, judgment, or conviction of any business related conduct
constituting a.crime including, but not limited to, fraud, extortion, bribery, racketeering, price
bid collusion or any crime related to truthfulness?
8.3 a misdemeanor or felony charge, indictment or conviction for:
(i) any business-related activity including but not limited to fraud, coercion, extortion, bribe or
bribe-receiving, giving or accepting unlawful gratuities, immigration or tax fraud,
racketeering, mail fraud, wire fraud, price fixing or collusive bidding; or
(ii) any crime, whether or not business related, the underlying conduct of which related to
truthfulness, including but not limited to the filing of false documents or false sworn
statements, Deriurv or la
8.4 a debarment from any government contracting process?
DYes DNo
DN/A
For each "Yes" answer provide an explanation of the issue(s), the individual involved, the government entity involved,
the relationship to the submitting Business Entity, relevant dates, any remedial or corrective action(s) taken and the
: current status ofthe issue(s). Provide answer below or attach additional sheets with numbered responses.
Vendor Responsibility Form
Page 4
Appendix F
New York State
: Standard Vendor Responsibility Questionnaire For Profit Business Entity
9.0 Within the past five (5) years, has the Business Entity or any Affiliates received a formal
unsatisfactory performance assessment(s) from anv 1!overnment entitv on any contract?
If "Yes" provide an explanation of the issue(s), the Business Entity involved, the relationship to the submitting
Business Entity, relevant dates, the government entity involved, and any remedial or corrective action(s) taken and
the current status of the issue(s). Provide answer below or attach additional sheets with numbered responses.
No
9.1 Within the past five (5) years, has the Business Entity or any Affiliates had any liquidated
assessed over $25,000?
If "Yes" provide an explanation of the issue(s), the Business Entity involved, the relationship to the submitting
Business Entity, relevant dates, contracting party involved, the amount assessed and the current status of the issue(s).
Provide answer below or attach additional sheets with numbered responses.
No
; 9.2 Within the past five (5) years, has the Business Entity or any Affiliates had any liens, claims or
judgments (not including VCC filings) over $25,000 filed against the Business Entity which
remain undischal1!ed or were unsatisfied for more than 90
If "Yes" provide an explanation of the issue(s), the Business Entity involved, the relationship to the submitting
Business Entity, tl1e lien holder or claimant's name, the amount of the Iien(s) and the current status of the issue(s).
Provide answer below or attach additional sheets with numbered responses.
No
; 9.3 In the last seven (7) years, has the Business Entity or any Affiliates initiated or been the subject
of any bankruptcy proceedings, whether or not closed, regardless of the date of filing. or is any
If "Yes" provide ,the Business Entity involved, the relationship to the submitting Business Entity, the Bankruptcy
chapter number" the Court name, and the docket number. Indicate the current status of the proceedings as
"Initiated," "Pending" or "Closed." Provide answer below or attach additional sheets with numbered responses.
9.4 During the Pltst three (3) years, has the Business Entity and any Affiliates failed to file or pay
I I I Yes LI No
any tax returns required by federal, state or local tax laws?
If "Yes" provide the Business Entity inVOlved, the relationship to the submitting Business Entity, the taxing
jurisdiction (fed~ral, state or other), the type of tax, the liability years, the tax liability amount the Business Entity
. failed to file/pay and the current status of the tax liability. Provide answer below or attach additional sheets with
numbered responses.
DYes DNo
; 9.5 During the past three (3) years, has the Business Entity and any Affiliates failed to file or pay
any New York State unemployment insurance returns?
! If "Yes" provide the Business Entity involved, the relationship to the submitting Business Entity, the years the
; Business Entity failed to file/pay the insurance, explain the situation and any remedial or corrective action(s) taken
and the current status of the issue(s). Provide answer below or attach additional sheets with numbered responses.
; 9.6 During the past three (3) years, has the Business Entity or any Affiliates had any government
No
audits?
DNo
If "yes" did any audit reveal material weaknesses in the Business Entity's system of internal
DNo
controls?
For each "Yes" ~nswer provide an explanation of the issue(s), the Business Entity involved, the relationship to the
submitting Business Entity, relevant dates, the government entity involved, and any remedial or corrective action(s)
taken and the current status of the issue(s). Provide answer below or attach additional sheets with numbered
responses.
Vendor Responsibility Form
Page 5
Appendix F
New York State
Standard Vendor Responsibility Questionnaire For Profit Business Entity
10.0 Indicate wbether any information supplied herein is believed to be exempt from disclosure
under the Freedom of Information Law (FOIL). Note: A determination of whether such
information is exempt from FOIL will be made at the time of any request for disclosure
Indicate the question number(s) and explain the basis for the claim.
Vendor Responsibility Form
Page 6
Appendix F
New York State
Standard Vendor Responsibility Questionnaire For Profit Business Entity
Certification
The undersigned: recognizes that this questionnaire is submitted for the express purpose of assisting the
State of New York or its agencies or political subdivisions in making a determ ination regarding an
award of contract or approval of a subcontract; acknowledges that the St ate or its agencies or political
subdivisions may in its discretion, by means which it may choose, verifY the truth and accuracy of all
statements made herein; and ack nowledges that intentional subm ission of false or misleading
information may constitute a felony under Penal Law Section 210.40 or a misdemeanor under Penal
Law Section 210.35 or Section 210.45, and may also be puni shable by a fine and/ or imprisonment of up
to five years under 18 USC Section 1001 and may result in contract termination.
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 questionnaire;
•
has not altered the content of the question set in any manner;
• has reviewed and/or supplied full and complete responses to each question;
• to the best of their knowledge, in
•
•
formation a nd belief, confirm s that the Business Entity's
responses are true, accurate and complete, including all attachments; if applicable;
understands that New York State will rely on information disclosed in this questionnaire when
entering into a contract with the Business Entity; and
is under obligation to upda te the information provided herein to include any material changes to
the Business Entity's responses at the time of bid/proposal submission through the contract award
the state' s
notification, and m ay be requir ed to update the info rmation at the request of
contracting entity or th e Office of the State Comp troller prior to th e award and/or approval of a
contract, or during the term of the contract.
Signature of Owner/Officer
-----------------------------------------------------
Printed Name of Signatory
Title
Name of Business
Address
City, State, Zip
Sworn to before me this
day
- - - - - - -,20__ ,
________________________ Notary Public
Vendor Responsibility Form
Page 7
Appendix F
WJ0:l a:)uaJa:J.a~ JopuaJ\
~
xlPuadd"
Vendor Reference Form
NYS DOCS ITS RFP
Appendix G
Vendor Reference Form
Complete a separate set of forms for the prime contractor and each proposed subcontractor
Prime Contractor Name:
Subcontractor Name (ifapplicabJe):
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 DOCS)
Number of locations/facilities:
Number phones:
Number inmates served:
Number of users:
Number of called party accounts:
Vendor Reference Form
Page 1
Appendix G
Vendor Reference Form
NYS DOCS ITS RFP
AppendixG
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:
Vendor Reference Form
Page 2
Appendix G
· WJ0.:l UOI~e!)Y!leno u~s
H xIPuaddv
Staff Qualification Form
. NYS DOCS ITS RFP
Staff Qualification Form
Complete a separate form for each proposed staffperson and attach full resume.
Vendor Name:
Name of Proposed Staff:
Position and Title:
Name of Firm:
Telephone Number:
Role in This Contract:
Years Experience - Total:
Years Experience - With Current Firm:
Education (Degree(s) and Specialization):
Appendix H
Staff Qualification Form
NYS DOCS ITS RFP
Staff Qualification Form
References
Complete a separate form for each ofthree (3) references
Relevant Project:
Relevancy to DOCS Requirements:
Reference Organization Name:
Address:
City, State, Zip Code:
Contact Name:
Title/Position:
Phone Number:
Email:
Specific Role:
Dates of relevant experience:
Brief Description (Briefscope, size, cost etc.):
Appendix H
Financial Proposal Cost Form
NYS DOCS ITS RFP
Appendix I
Financial Proposal Cost Proposal Form
Prime Contractor Name:
Subcontractor Name(s):
arapplicable)
Authorized Signature:
Instructions:
Complete the Financial Proposal Cost Form showing the costs for the Co ntract Services requested. The
costs shall be considered to be inclusive of all travel, overhead, profit, and administrative expenses. The
cost proposal form shall be subm itted in a separate self-addressed starn ped envelope in the event the
Bidder is disqualified and the Cost Proposal is unopened and returned.
Vendor shall provid e rates based 0 n three decim al places (e.g. $0.000). Rates sh all app ly only from
called party acceptance of a call until the call is term inated 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 tim e for
prompts, rate inform ation or other functions. There shall be no additional charge s or fees added to the
cost of a call.
Domestic Rate:
The rate proposed and charged by the vendor shall be a single per minute rate inclusive of all fees, taxes,
connect charges 0 roth er cos ts for all calls within the co ntinental United States, its terr itories an d
protectorates, and Canada. The rate shall be a single blended rate for pre-paid and collect calls.
Domestic
Total Cost er Minute
International Rates:
The vendor shall propose a rate struct ure for international calls detailin g rates by country. The rates for
international calls shall be a singl e per minute rate by country inclus ive of all fees, taxes, connect
charges or other costs. The DOCS 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 dom estic rate as detailed above shall be treated as internationaL The rate for
each country shall be a single blended rate for pre-paid and collect calls.
Storage Rate:
The vendor shall provide a proposed separate monthly charge to the DOCS for storing recorded calls for
more than six (6) months. The rtlle shall be inclusive of all fees, taxes and charges.
I Storage Rate
I Cost per Month
Disclosure of New York State
Department of Correctional Services Information
THIS NONDISCLOSURE AGREEMENT is entered into as of
by the
New York State Departm ent of Correctiona 1 Services (" DOCS") which is the party
disclosing confidential infor mation, and
, which is the party
receiving confidential inf ormation ("Recipien 1'), in ord er to protec t the conf idential
information which is disclosed to the Recipient by DOCS.
NOW THERFORE, in consideration of the mutu al covenants contained herein,
the parties hereto agree as follows:
I. The Recipien t's rep resentatives for receiving conf idential inf ormation are :
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _. Recipient shall not disclose the
confidential inform ation to any of its em ployees other than those w ho have a need to
review it and which employees are legally obligated to honor the confidentiality provisions
herein.
2. The con fidential inf ormation disC\o sed by DOCS under this
described as:
Agr eement is
3. The Recipien t shall keep the inform
ation confidential and shall use the
confidel}tial information only for _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _"
The ReCipient shall n ot make any copies ofthe conf "idential inf ormation except a s
necessary for its em ployees who are entitled to view it under Section I above. Any copies
made shall be identified as belonging to DOCS and marked "confidential" or with a similar
legend.
4. The Recipient sha II, where applicable, pro tect the confidential information in a
manner consistent with the Health Insu
rance Portability a nd Accountability Ac t
("HIPAA") of 1996 Privacy and Security provisions and all other applicable regulations. .
5. The Recipient sha II comply with all Fe deral and State regul ations intended to
protect criminal history records as they apply to the confidential information.
6. The Recipient sha II com ply with all DOCS directives, polic ies, practices and
procedures as they apply to the protection of the confidential information.
7. The Recipient shall, in the event of una uthorized disclosure of the confidential
information, immediately notify DOCS, in writing, and fully comply with the requirements
of the New York State Breach Notification Act.
8. To the extent perm itted by law, the
Recipient shall protect the disclosed
confidential inform ation by using the sam e de gree of care, but no Ie ss than a reaso nable
degree of care, to prevent the unauthorized use, dissem ination or publication of the
confidential information as the Rec ipient uses to protect its own confidential information
of a like nature.
9. The Recipient shall have a duty to protect all confidential infor mation which is
disclosed to it, whethe r disclosed in writing, orally or in any othe r manner and which is
identified as confidential at the time of disclosure. Ifthe disc losure is in writing, it shall be
marked ~. confidential." If a disclosure is not in writing, DOCS shall provide Recipien t
with a written memorandum summarizing and designating such information as confidential
within thirty (30) days of the disclosure.
10. This agreem ent controls inform ation that is disclosed to Recipient between the
effective date (the date oflast signature) and _ _ _ _ _ _ _ __
11. The Re cipient's duties under paragra ph 3,4,5,6 & 7 of this Agreem
expire six (6) years after the information is received.
ent shall
12. This Agreem ent imposes no obligation upon the Recipient with respect to
confidential information which (a ) was in th e Recipien t's possession before receipt by
DOCS; (b) is or becom es a matter of public knowledge through no fault of the Recipient;
(c) is received by the Recipient from a third party without a duty of confidentiality; (d) is
disclosed by DOCS to a third pa rty without a duty of confiden tiality on the th ird party; (e)
is independently disclosed by the Recipien t with DOCS' prio r written approval; (f) is
developed by the Recipient without reference to information disclosed hereunder.
13. DOCS warrants that it has the right
Agreement.
to make the disc losure under this
14. Neither party acquires any intellectual property under this Agreement.
15. Neither party has an ob ligation under this Agreem ent to purchase, sell or
license any service or item from the other party.
16. The Recipient shall adhere to U.S. Export Administration laws and Regulations
and shall not export or re-export technical da ta, inform ation or products received from
DOCS or the direct product of such technical data or information to any proscribed country
listed in the U.S. Expor t Adm inistration Re gulations, unless properly authorized by the
U.S. Government.
16. The parties do not intend that any agen
them by this Agreement.
cy or partnership be created between
17. All additions or modifications to this Agreement must be in writing and signed
by both parties.
18. This Agreement is made under and shall be governed by the laws of the United
States.
19. This Agreement may be term inated immediately by either party upon delivery
of written notice of te rmination to the othe r party. Suc h term ination shall no t affect
Recipient's duty with respect to confidential information disclosed prior to termination.
IN WITNESS WHEROF, the parties hereto have executed this Agreement as of
the date first above written.
NYS Department of Correctional Services
(Please Specify Company)
By: _ _ _ _ _ _ __
Print Name: _ _ _ _ _ _ _ _ _ _ __
Title:_ _ _ _ _ _ _ _ _ _ _ __
Date:_ _ _ __
By:_ _ _ _ _ _ _ _
Print Name: _ _ _ _ _ _ _ _ _ _ __
Title:_ _ _ _ _ _ _ _ _ _ _ _ __
Date:_ _ _ _ __
Forward all executed copies of nondisclosure agreements to:
NYS Department of Correctional Services
Information Security Officer
Building 2
1220 Washington Ave
Albany, New York 12226-2050
PIS O~ ~ua~ul jO a~!~ON
)I
XIPuaddV
NOTICE OF INTENT TO BID
REQUEST FOR PROPOSALS NUMBER:
DOCS RFP MIS ITS 07-001
RFP TITLE: Inmate Telephone System
IF YOU INTEND TO SUBMIT A PROPOSAL, you should:
a.
Complete section 2 and section 3 of this fonn.
b.
Return this fonn to the DOCS via email atDocsCallHome@docs.state.ny.us
IF YOU ARE NOT SUBMITTING A PROPOSAL, you should:
a.
Complete section 1 and section 3 of this fonn.
b.
Return this fonn to the DOCS via email atDocsCaIlHome@docs.state.ny.us
c.
[t is also requested that you indicate your reason for not sUbmitting.
Section 1
o
o
o
We do not provide the requested service/technology /commodity. Please remove our finn from your
mailing list.
We are unable to bid at this time because:
----------------------------------------------
Please retain our firm on this list.
Section 2
o
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
i
t
2
3
,
14
Section 3: Designated Contact Person
Name of Finn:
FED ID. NO.:
-------------------
Address 1: _____________________________________________________________________
Address2: ______________________________________________________________________
Telephone: ___....
E<--_____________
mail: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
...iwtl-",e...
Printed Name: ___T : _________________
Date: ____________________________________
SWJ0:.l
asuodsa~
lesodoJd
1 xlPuaddv
Proposal Response Forms
Appendix L
NYS Department of Correctional Services Inmate Telephone System RFP
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2.3 MODIFICAT
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WITHDRAWAL OF BIDS
2.5INCU
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MANDATORY PRE-BID CONFERENCE
PRIME CONTRACTOR RESPONSIBILITY
2.813EST
2.9 i
VALUE
APPLICABILITY OF FOIL
2.10 -qERMS
NYS AND DOCS POLICIES
Appendix K, Notice ofIntent to Bid.
If subcontractors are used they must be fully disclosed in thesame manner as required of the prime contractor.
3 If bidder is seeking an exemption from disclosure of materials under FOIL.
I
2
Proposal Response Fonns
Page 2
Appendix L
Proposal Response Forms
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MS MANAGEMENT
Management
3.2.2 Configuration
3.2.2.1
4
Management
Provisioning And Active Directory
Appendix I Financial Proposal Cost Form
Proposal Response Forms
Page 3
Appendix L
Proposal Response Fotms
NYS Department of Correctional Services Inmate Telephone System RFP
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Groups
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Automatic Number Identification
Billing Name And Address Lookup
Class Of Restriction (COR)
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ent Blocks
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Scheduler
Personal Identification Number (PIN)
3.4.7
...••... - ........
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3.4.8 Third Party Call Detection
Proposal Response Forms
Page 4
Appendix L
Proposal Response Forms
, NYS Department of Correctional Services Inmate Telephone System RFP
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3.4.10 Gall
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3.4.11 Telephone
3.4.12 Phone
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Disconnect
Verification
Telecommunications Devices For The Deaf (TDD)
Call Pattern Alerting
3.4.17 I~mergency
Shut Down
3.5 EQUIPMENT
3.5.1 "ijelephones
Phones
3.5.4 "qelephone
Wiring
3.5.5 (:;ompliance
"",,.~.,-,------.
.
3.5.6 Hestoration
Of Facilities
3.5.7 h~ventory
3.5.8 Hnvironmen
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3.5.9 'Servers And Processors
3.5.1 0 I~ew
Equipment
SOFTWARE ENHANCEMENTS AND UPGRADES
Propnsal Respnnse Forms
- - - - - . _ - - - _... _ - - - - - - - - - -
Page 5
Appendix L
Proposal Response Forms
Appendix L
NYS Department of Correctional Services Inmate Telephone System RFP
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3.7.5
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3.7.6 F)reventive
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3.7.7 Hemedial
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3.8 -ITRANSITI
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3.8.1 F'roject
3.8,1,1 Project
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3,8,5 I!quipment
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3,9 DATA
EXCHANGE
3,9.1 NIEM
3,9,2 I)ata
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Reconciliation
Proposal Response Forms
Page 6
Appendix L
Proposal Response Fonns
NYS Department of Correctional Services Inmate Telephone System RFP
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3.11.3 Ctompliance
3.11.4 Background
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3.11.5
3.13 -rtRAINING
3.14 DOCUMENTATION
3.151~EPORTING
Proposal Response Forms
Page 7
Appendix L
Proposal Response Forms
NYS Department of Correctional Services Inmate Telephone System RFP
Appendix L
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4.1.4 (~ate
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Cowrt Evidence And Expert Witness Testimony
i SUPPORT SERVICES FOR CUSTOMERS
Toll Free Access And Multilingual Support
4.2.3 Gustomer
4.2.4
(~all
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Blocking
Appendix L
NYS Department of Correctional Services Inmate Telephone System RFP
Proposal Response Fonns
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Proposal Response Forms
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6.4.2 I~inancial
6.4.3 qomplaint
5
RESPONSIBILITY
Questionnaire
Stability
History
Appendix F Vendor Responsibility Form
Proposal Response Forms
Page 10
Appendix L
Proposal Response Fonns
NYS Department of Correctional Services Inmate Telephone System RFP
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7.2.4 (jailing
7.3
6
And Prepaid
NYS DOCS Liability
As an attachment to Appendix I Financial Proposal Cost Form.
Proposal Response Fonns
.---~
Patterns
I~ILLING
7.3.1 C~ollect
7.3.2
Requirements
.....- - . - - ..
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Page 11
Appendix L
Proposal Response Forms
NYS Department of Correctional Services Inmate Telephone System RFP
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NATION
8.6 NONDISCLOSURE AGREEMENT
8.7 GONT
Proposal Response Forrns
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RACT PROVISIONS
Page 12
Appendix L
Proposal Response Fonns
NYS Department of Correctional Services Inmate Telephone System RFP
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Proposal
9.31iROPOS
AL EVALUATION
Requirements (Pass/Fail)
Vendor Responsiveness Evaluation (10 Points)
Cost Evaluation (70 Points)
Response Forms
13
Appendix L
Proposal Response Forms
NYS Department of Correctional Services Inmate Telephone System RFP
Appendix L
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 responses given herein on
pages 1 13 of Appendix L, Proposal Response Form;
• has reviewed and/or supplied full and complete responses to each question;
• to the best of their knowledge, information and belief, confirms that the Business Entity's responses are
true, accurate and complete, including all attachments;
• 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, Zip: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Date:
Proposal Response Forms
Page 14
Appendix L
Attachment A
Map of NYS Correctional Facilities
Proposal Response Forms
Page 15
Appendix L
Map and Addresses of NYS DOCS facilities
ATTACHMENT A
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Map and Addresses of NYS Facilities
Page 1
ATTACHMENT A
Attachment B NYS DOCS Population and Phone Detail
Addresses, Security Levels, Population and Number of Inmate Phones
-------~
..
--~~-.--.
-~~-
NYS DOCS Population and Phone Detail
Facility Address
ATTACHMENTS
Average
Security !
Daily
Level I Gender
Population
Adirondack Correctional Facility
Box 110, Rt 86
Ray Brook, New York 12977-0110
(518) 891-1343 (Essex County)
Med Male
Albion Correctional Facility
3595 State School Road
Albion, New York 1441 1-9399
(585) 589-5511 (Orleans County)
Med Fe Ii
Altona Correctional Facility
555 Devils Den Road
Altona, New York 12910-2090
(518) 236-7841 (Clinton County)
Med Male
Arthur Kill Correctional Facility
2911 Arthur Kill Road
Staten Island, New York 10309-\ 101
(718) 356-7333 (Richmond County)
Med Male
Attica Correctional Facility
Exchange St
Attica, New York 1401 1-0149
(585) 591-2000 (Wyoming County)
Number
Of
Inmate
Phones
Facility
Code
555
37
II
1,122
56
II
476
31
II
1,366
39
II
Max Male
2,200
89
II
Auburn Correctional Facility
135 State Street
Auburn, New York 13021-1800
(315) 253-8401 (Cayuga County)
Max Male
1,771
60
II
Bare Hill Correctional Facility
181 Brand Road, Caller Box #20
Malone, New York 12953-0020
(518) 483-841 I (Franklin County)
Med Male
1,714
71
II
Bayview Correctional Facility
550 West 20th Street
New York,New York 10011-2678
(212) 255-7590 (New York County)
Med Fe
male
201
8
Beacon Correctional Facility
p.o. Box 780, 50 Camp Beacon Rd
Beacon, New York 12508-0780
(845) 831-4200 (Dutchess Co.)
Min Fe
male
238
10
NYS DOCS Population and Phone Detail
I
male
I
!
1
I
>
Page 1
II
ATTACHMENT B
NYS DOCS Population and Phone Detail
Facility Address
ATTACHMENTB
u ...•......... "J
T
Gender
~.,~I
Bedford Hills Correctional Facility
247 Harris Road
Bedford Hills, New York 10507-2400
(914) 241-3100 (Westchester Co.)
Max Fe
Buffalo Correctional Facility
3052 Wende Rd
Alden, New York 14004-0300
(716) 937-3786 (Erie Co.)
Daily
II
837
45
Min Malle
129
6
Butler Correctional Facility
P.O. Box 388, Westbury Cutoff Rd
Red Creek, New York 13143-0388
(315) 754-8001 (Wayne County)
Min Malle
436
14
II
Camp Gabriels
PO Box 100, Rte 86
Gabriels, New York 12939-0100
(518) 327-3111 (Franklin County)
Min Malle
194
Camp Georgetown
3191 Crumb Hill Road
Georgetown, New York 13072-9307
(3\5) 837-4446 (Mad ison County)
Min Malle
189
Camp Pharsalia
496 Center Road
South Plymouth, New York 13844-6777
(607) 334-2264 (Chenango County)
Min Mal!e
161
10
II
Cape Vincent Correctional Facility
Rte. 12E, PO Box 599
Cape Vincent, New York 13618-0599
(315) 654-4100 (Jefferson County)
Med Male
866
64
II
Cayuga Correctional Facility
P.O. Box 1150, Rte. 38A
Moravia, New York 13118-1150
(315) 497-1110 (Cayuga County)
Med Mate
1,042
67
II
Chateaugay Correctional Facility
State Route 11, P.O. Box 320
Chateaugay, New York 12920-0320
(518) 497-3300 (Franklin County)
Med Ma!e
216
NYS DOCS Population and Phone Detail
male
I
Number
Of
Inmate
Phones
,
Page 2
ATTACHMENT B
NYS DOCS Populatlon and Phone Detail
!
Facility Address
ATTACHMENTS
Number
Of
Inmate
Phones
Facility
Code
2,857
115
II
1,112
60
II
Average
Daily
Gender
Population
Security
Level
Clinton Correctional Facility
Route 374, Cook Street
P.O. Box 2000
Dannemora, New York 12929-2000
(518) 492-2511 (Clinton County)
Max Male
Collins Correctional Facility
P.O. Box 490, Middle Rd
Collins, New York 14034-0490
(716) 532-4588 (Erie County)
Med Male
Coxsackie Correctional Facility
Box 200, Rte. 9W
West Coxsackie, New York 12051-0200
(518) 731-2781 (Greene County)
Max Male
i
1,035
93
II
Downstate Correctional Facility
122 Red Schoolhouse Rd, P.O. Box 445
Fishkill, N~w York 12524-0445
(845) 831-6600 (Dutchess County)
Max Male
1,238
52
II
Eastern NY Correctional Facility
Box 338, Institution Rd
Napanoch, New York 12458-0338
(845) 647-7400 (Ulster County)
Max Ma',e
1,180
79
Edgecombe Correctional Facility
611 Edgecombe A venue
New York, New York 10032-4398
(212) 923-2575 (New York County)
Min Malle
1
124
8
II
Elmira Correctional Facility
PO Box 500, 1879 Davis St
Elmira, New York 14902-0500
(607) 734-3901 (Chemung County)
Max Male
1,830
106
II
Fishkill Correctional Facility
Prospect Street
Beacon, New York 12508-0307
(845) 831-4800 (Dutchess County)
Med Male
1,706
82
II
Five Points Correctional Facility
Caller Box 400, State Route 96
Romulus, New York 14541
(607) 869-5111 (Seneca County)
Max Male
1,421
124
NYS DOCS Population and Phone Detail
!
!
,
Page 3
ATTACHMENT B
NYS DOCS Population and Phone Detail
Facility Address
ATTACHMENT B
Number
Average
Of
Gender
Daily
Inmate
Population
Phones
Security
Level
Franklin Correctional Facility
Bare Hill Road, P.O. Box 10
Malone, New York 12953-0010
(518) 483-6040 (Franklin County)
Med Male
1,719
84
Fulton Correctional Facility
1511 Fulton Avenue
Bronx, New York 10457-8398
(718) 583-8000 (Bronx County)
Min Malle
77
8
i
II
I
,
Gouverneur Correctional Facility
Scotch Settlement Rd., P.O. Box 370
Gouverneur, New York 13642-0370
(315) 287-7351 (St. Lawrence County)
Med Male
I
1,040
64
II
Gowanda Correctional Facility
P.O. Box 350, South Road
Gowanda, New York 14070-0350
(716) 532-0177 (Erie County)
MedMale
,
1,744
80
II
Great Meadow Correctional Facility
11739 StBox 51
Comstock, New York 12821
(518) 639-5516 (Washington County)
Max Ma!e
,
1,660
84
II
Green Haven Correctional Facility
Stormville, New York 12582
(845) 221-2711 (Dutchess County)
Max Male
I
2,332
107
II
Greene Correctional Facility
P. O. Box 8
Coxsackie,New York 12051-0008
(518) 731-2741 (Greene County)
Med Male
1,615
71
II
Groveland. Correctional Facility
7000 Sonyea Road
Sonyea, New York 14556
(585) 658-2871 (Livingston County)
Med Male
1,238
66
II
Hale Creek ASACTC
279 Maloney Road
Johnstown, New York 12095
(518) 736-2094 (Fulton County)
Med Ma!e
,
460
22
II
NYS DOCS Population and Phone Detail
~--~.-.~-----
,
Page 4
ATTACHMENT 8
NYS DOCS Population and Phone Detail
Facility Address
ATTACHMENT B
i
Average
Daily
Gender
Population
Security
Level
Hudson Correctional Facility
Box 576
Hudson, New York 12534-0576
(5\8) 828-4311 (Columbia County)
Med Male
Lakeview Shock Incarceration C. F.
P.O. Box T
Brocton, New York 14716
(716) 792-7100 (Chautauqua County)
Min
Lincoln Correctional Facility
31-33 West II Oth Street
New York, New York 10026-4398
(212) 860-9400 (New York County)
Min Malie
I
511
Male
and
Female
Number
Facility
Of
Inmate
Code
Phones
34
III
III
1,16541
,
150
8
III
Livingston Correctional Facility
Route 36, Sonyea Road
Sonyea, New York 14556-0049
(585) 658-3710 (Livingston County)
Med Ma:e
868
37
III
Lyon Mountain Correctional Facility
Box 276
Lyon Mountain, New York 12952-0276
(518) 735-4546 (Clinton County)
Min Malie
156
6
III
Marcy Correctional Facility
P.O. Box 5000
Marcy, New York 13403
(315) 768-1400 (Oneida County)
Med Male
124
82
III
Mid-Orange Correctional Facility
900 Kings Highway
Warwick, New York 10990-0900
(845) 986-2291 (Orange County)
Med Male
723
55
III
Mid-State Correctional Facility
P.O. Box 2,16
Marcy, New York 13403-0216
(315) 768-8581 (Oneida County)
Med Male
1,644
94
Mohawk Correctional Facility
P.O. Box 8450
61 00 School Road
Rome, New York 13440
(315) 339-5232 (Oneida County)
Med Mal.e
2,403
101
NYS DOCS Population and Phone Detail
I.
!
l
I
!
PageS
III
ATTACHMENT B
ATTACHMENTB
NYS DOCS Population and Phone Detail
Facility Address
Number
Of
Inmate
Phones
Average
Gender
Daily
Population
Security
Level
Facility
Code
Monterey Shock Incarceration Corr.
Fac.
R. D. # 1, 2150 Evergreen Hill Road
Beaver Dams, New York 14812-9718
(607) 962-3184 (Schuyler County)
Min Malie
216
12
II
Moriah Shock Incarceration Corr.
Fac.
P.O. Box 999
Mineville, New York 12956-0999
(518) 942-7561 (Essex County)
Min Malle
178
12
II
Mt. McGregor Correctional Facility
1000 Mt. McGregor Road, Box 2071
Wilton, New York 12831-5071
(518) 587-3960 (Saratoga County)
Med Maie
694
29
II
Ogdensburg Correctional Facility
One Correction Way
Ogdensburg, New York 13669-2288
(315) 393-0281 (St. Lawrence County)
Med Male
596
27
II
Oneida C<~rrectional Facility
6100 School Road
Rome, New York 13440
(315) 339-6880 (Oneida County)
Med Male
1,178
59
II
Orleans Correctional Facility
35-31 Gaines Basin Road
Albion, New York 14411
(585) 589-6820 (Orleans County)
Med Male
997
64
II
Otisville Correctional Facility
Box 8
Otisville, New York 10963-0008
(845) 386-1490 (Orange County)
Med Mai.e
601
42
QueensbOl:'o Correctional Facility
47-04 Van Dam Street
Long Island City, NY 11101-3081
(718) 361-8920 (Queens County)
Min Malle
413
32
II
Med Male
869
47
II
I
I
.1
Riverview Correctional Facility
P.O. Box 158
Ogdensburg, New York 13669
(315) 393-8400 (St. Lawrence County)
NYS DOCS Population and Phone Detail
Page 6
ATTACHMENT B
NYS DOCS Population and Phone Detail
I
Facility Address
ATTACHMENT B
Average
Daily
Gender
Population
Security
Level
Number
Of
Inmate
Phones
Facility
Code
Rochester Correctional Facility
470 Ford Street
Rochester, New York 14608-2499
(585) 454-2280 (Monroe County)
51
4
II
Max Male
544
38
II
Max Male
1,751
92
II
Max Male
884
32
II
Max Ma!e
543
40
Min Malle
I
170
10
II
355
17
II
Med Male
845
43
II
Max Male
1,274
32
II
Min Malle
i
Shawangunk Correctional Facility
750 Prison Road
Wallkill, New York 12589-0750
(845) 895-2081 (Ulster County)
I
Sing Sing Correctional Facility
354 Hunter Street
Ossining, New York 10562-5442
(914) 941-0108 (Westchester County)
Southport Correctional Facility
P.O. Box 2000, Institution Road
Pine City, New York 14871
(607) 737-0850 (Chemung County)
Sullivan Correctional Facility
Box 116, Riverside Drive
Fallsburg, New York 12733-0116
(845) 434-2080 (Sullivan County)
Summit Shock Incarceration C. F.
RFD, Dibbles Road
Summit, New York 12175-9608
(518) 287-1721 (Schoharie County)
Taconic Correctional Facility
250 Harris Road
Bedford Hills, New York 10507-2498
(914) 241-3010 (Westchester County)
Med Fe
male
Ulster Correctional Facility
P.O. Box 800, Berme Road
Napanoch, New York 12458
(845) 647-1670 (Ulster County)
Upstate Correctional Facility
P.O. Box 2000
309 Bare Hill Road
Malone, New York 12953
(518) 483-6997 (Franklin County)
NYS DOCS Population and Phone Detail
~~-'~----'--~
.. -~-------
Page 7
ATTACHMENT B
NYS DOCS Population and Phone Detail
Facility Address
ATTACHMENT B
.....,.-........... •
T
Average
Gender I Daily
Population
~.J
~•• ~I
Number
Of
Inmate
Phones
Facility
Code
II
Wallkill Correctional Facility
BoxG
Wallkill, New York 12589-0286
(845) 895-2021 (Ulster County)
Washingt~n
Med Mate
I
597
31
Med Male
1,061
49
Med Male
646
51
II
Max Male
932
85
II
Correctional Facility
Box 180, 72 Lock 11 Lane
Comstock, New York 12821-0180
(518) 639-4486 (Washington County)
I
II
Watertown Correctional Facility
23147 Swan Road
Watertown, New York 13601-9340
(315) 782-7490 (Jefferson County)
!
Wende Correctional Facility
P.O. Box 1187 (3622 Wende Road)
Alden, New York] 4004-1187
(716) 937-4000 (Erie County)
Willard Drug Treatment Center
P.O. Box 303
7116 County Route 132
Willard, New York 14588
(607) 869-5500 (Seneca County)
Drug
Treatment
Center
Male
and
Female
II
89947
Woodbourne Correctional Facility
Riverside Qrive
Woodbourne, New York 12788
(845) 434-7730 (Sullivan County)
Med Male
791
52
II
Med Male
,
1,701
75
II
l
Wyoming Correctional Facility
P.O. Box 501, Dunbar Road
Attica, New York 14011
(585) 591-1010 (Wyoming County)
NYS DOCS Population and Phone Detail
Page 8
ATTACHMENT B
Standard
Standard on Site GTL Call Processing Equipment
Switch Room Equipment
56" Rack with 19" Shelving
15" Monitor with Keyboard
Controller
Mass
Storage
Router
Switch
lAD (Integrated Access Device)
Power
Vault
Power
Supply
TrippLite
UPS
Standard Monitoring, Recording and Administration Tenninals
Dell Optiplex GX-150
One unit per facility located in the Arsenal, Chart Office or Watch Commanders office.
Work Station Locations
NY DOCS Bldg 2
1220 Washinton Avenue
Albany, NY 12226
8 Work Stations and 2 color networked office printers
NY DOCS IG
150 Broadway
Menands, NY 12204
(518) 402-6020
6 Work Stations and 1 color networked office printer
NYINJ HIDTA
75 9TH AVE
NEW YORK NY 10011-7006
County - NEW YORK
2 Work Stations and 1 color networked office printer
Upstate NY Regional Intelligence
630 COLUMBIA ST EXT
LATHAM NY 12110-3063
County - ALBANY
Main Listed: (518) 786-2100
.
2 Work Stations and 1 color networked office printer
Buffalo IG
535 Washington St.
Buffalo, NY
2 work stations and 1 color networked office printer
Attachment 0
Data Exchange Specifications
1 Oat a Exchange Specifications
1.1 General Description
The Departm ent of Correctional Services and the
ITS vendor interact to exchange a variety of
information. On a nightly basis, the DOCS prov ides inform ation concerning inm ates entering and
leaving the DOCS, inmates' author ized call lis ts, and inm ates rest ricted from placing calls. The
vendor provides the details of the previous day's call detail records, both complete and incomplete.
The DOCS provides the facility loca tion of each inmate in its population on a nightly basis. Hourly
updates are also available during normal operation hours.
On a one-tim e basis for start-up purposes, th e DOC S will provide the vendor with a full start-up
dataset th at includ es a II the files in the formats ind icated for daily changes as described in the
following pages.
1.2 Concepts
The ITS operated by the vendor provides for call blocking by inmate. This requires the maintenance
of a file of phone num bers each inmate is al lowed to call and the author ization code (PIN) for each
inmate. The DOCS "Locator" system records info rmation concern ing each inm ate's adm iss ion to
and release from the DOCS. Adm ission and release transactions will be passed to the vendo reach
night as inmate adds and deletes. To reduce abuse of these "auth codes", the codes will be dele ted
from the vendor authorization fi Ie upon an inmate's release.
The DOCS operates a computer application that records and collects data concerning inmates' phone
£alls. 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 inm ate allowed call lists will be sen t to the vendor each night via FTP or som e other
agreed upon tran sfer pro tocol. Mod ifications to th e call list will b e sen t as add, delete 0 r replace
transactions.
The DOCS inmate "Disciplinary" system records among other penalties, the loss of the privilege to
use the ITS. A file of phone pr ivilege restrictions w ill be sent to the vendor nightly. These
transactions will contain the date the restriction is to expire. An ancillary system to associate phones
by ANI to specif ic loc ations with in specific facilities is also maintained. File transf er 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 inm ates under custody along with their cu rrent 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 inm ates location that have occurred since the last
hourly update or the last nightly "U ndercustody" file send was com pleted. In return, the vendor
must provide a call detail file to the DOCS' comput er each night. This file, containing th e dates,
times, auth,codes, phone numbers, elapsed times, etc. for each call including uncompleted calls, will
be posted to an application file to allow in
quiry' and reporting by aut horized DOCS users to
determine calling patterns of an individual inmate or to a specified phone number.
Attachment D
Data Exchange SpecirlCations .
Attachment D
Data Exchange Specifications
1.3 DOCS to Vendor Data Exchange
1.3.1 PIN
Every inm ate is assigned an eight digit num eric autho rization code or Persona I Id entification
Number (PIN) to input prior to entering the called phone number. This PIN is derived from the
inmate's DOCS Department ID Number (DIN) as described below:
PIN
YYNNSSSS where
YY = Year portion ofthe inmate's DIN
NN = Alpha portion of the inm ate's DIN con v erted to the ordinal pos ition of the letter in the
alphabet.
SSSS= sequence number portion of the inmate's DIN
1.3.2 Nightl
y Batch Files
Following norm al end- of-night pro cessing for inm ate sys terns, the DOCS will prepare and
transmit the following three files to the vendor: Inm ate information change file, ANI change file,
and Inmate undercustody location file.
1.3.,2.1
Inmate Information Change File
This file consists of three tr ansaction types: Inmate changes, Restriction changes, and Phone
number changes. Alth ough each transaction type m ay be prepared separately, all three
transaction types will be merged into a sing Ie file with mixed record formats detailed at the
endiofthis document. The transaction file will be in auth code (PIN) order within transaction
type. The transaction types are in the order
stated above. The vend or 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
IDeletes/Replaces
Inmate transaction types cons ist of an Add, Delete or Re place transaction. Adds and
Deletes are based upon the DOCS Locator
system adm ission and releas e/discharge
transactions that were entered during the day. Replace transactions are generated by a
change in an inm ate's Hearing 1m paired 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 DOCS 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 inm ates with penalty dates. The penalty expiration must be
, checked by the vendor and the restriction rem oved from the vendor's authorization file
on a nightly basis, when the expiration date ha s been reached; This will ensure that on
, those occasions when file transfer is unsu ccessful, an inm ate 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.
Attachment 0
2
Data Exchange Specifications
Attachment D
Data Exchange Specifications
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 Num ber Registration part ofthe DOCS ITS. On any
. given day an inm ate may have any num ber 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 num bers. ANI's are phones within the
DOCS facilities from which inm ates are allowe d to make calls. These ANI phone num bers
differ from norm aJ phone num bers in that the middle three digits, usually the exchange, is
actually the DOCS three digit facility code wh ere 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 reco rd layout and service level definition s for more
detail. On any given day there m ay or may not be any ANI transaction records. A file will
always be sent, containing a Header and Trailer record, even ifthere are no Detail records.
1.3.2.3
Inmate Undercustody Location File
This file consists of one record for each inm ate who is under custody on the DOCS 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 inm ate population
at the given point in time. This file is used by the vendor to reconcile each inm ate's current
DOCS facility location.
1.3.3
Hourly Batch Files During Normal Operation
1.3.3.1
Locator Change File
During each hour of norm al operations DOCS will write all inm ate location ch anges since
the last hourly update to a file and transfer it to the vendor. Upon the fi rst update of the day,
all location changes since the previous night's Inmate Undercustody Location file transfer are
written. This tern porary file is in the same format as the nightly location file, with a Header
andTrailer record. The vendor must process these updates so that inmates can call from their
new location within an hour of entry of the DOCS Locator transaction recording the arrival.
1.3.4 Exchange
Requirements
Each of the three nigh t1y files has a Header record as the first record 0 fthe 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 m any Detail records in each file. If the f He transfer is unsuccessful for
either the In mate Information Change file 0 r the ANI Change file, the ne xt day's data will be
appended to the end ofthe file. In this way, each day' s transactions will be accum ulated until a
successful file transfer has been completed. It should be noted
that if either of these fi les
contains more than one day's worth of transactions, there will be a Header and Trailer record for
each day. No attem pt is made to consolidate multiple days' transactions within one Header and
Trailer. The vendor' s program on the receiving e nd must be prepared to process a file with
multiple Header-Details-Trailer sequences of data.
The Inm ate Undercustody Location file does not ge t appended to the next night, if the f He
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.
Attachment D
- . -..-
-..
..•. ~-~... ~-~--------------
---~
3
Data Exchange Speeifications
Attachment D
Data
1.3.5 Sequence
Requirements
The Inm ate Infonn ation Change file is the first file transferred each nig ht. The tra nsactions 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 thir d
file to be transferred is the lnm ate Undercustody Location file. This f i1e is to be u sed by th e
vendor to reconcile the facility 10 cation for each PIN. This file should b e the last file processed
each night by the vendor.
1.4 Vendor to DOCS Data Exchange
Each night the vendor will transm it to the DOCS a file of call detail information for all attempted
and completed calls for the day just ended. The call detail file will be used to provide online inquiry
and reports on the call details. The inquiries and re ports will be used prim arily to answer two basic
questions: what phone num bers did a particular inm ate call and wh ich inmates called a particular
number or n umbers. The call detail file will be posted to a DB2 table on the DOCS com puter by a
nightly batch program. Auth codes (PINS) will be translated to DINs before the posting process.
The Call Detail file received from the vendor shall begin with a Header record and end with a Trailer
record. The accom panying record layout provides the necessary infonn ation required. A listin g of
incomplete call reason codes follows the record layout.
If the transfer of the Call Detail file is unsuccessful, attempts will be made to receive it during the
day. Only one day's worth of call details should be on a file. If call details from a previous day are
not transmitted, no attempts should be made to accumulate two days' worth into one file. The vendor
should keep the past seven days' worth of Call Detail files as hi story, and available to DOCS to
ed and call details must be recovered from a
receive in the event nightly processing is disrupt
previous day.
Attachment D
4
Data Exchange Specifications
Attachment D
1.5
Data Exchange Specifications
Inmate Information Transmission File Layout
Header Record Format
r"".." .......,--"
i REC POSITION PICTURE
,""'"
·m~m··'Wm.~··~ ..
··.,,,,~
Field description
• x (03)
01 -
Record type
rC.O:B. [jate(yym~ddY
Filler
17 -
9 (03)
Company
20 - 29
X (10)
Company name - 'usan
:)(i08)
Filler spaces
: x (06)
File name -'inmate
Detai I Record Format
REcposfnoN . . . :" PicTURE " !~FIELD·DEsCRIPTioN:::-v ALUE~~·~·m~._.~_.~...~-.~~--.....~-" ........ _......_._-".. .
,
)
iREcoIiliTYPE~;[jTC' .
TRANSACTION
13 - 13
A=ADD
D DELETE
R = REPLACE (ALL TRANS TYPE)
DETAIL INFO"(DEPE,NDENfoNTRANS'l~YPE)
IF TYPE=I - ZERO FILLED
IF TYPE=P • PHONE # (NPANXXYYYYBBBB)
NPA AREA CODE
NXX = EXCHANGE
YYYY = EXTENSION
BBBB = SPACES
IF TYPE=R - EXPIRATION DATE (CCYYMMDDOOOOOO)
14 - 27
x (01)
28 - 28
r~x·(oi)
HEARING IMPAIRED INDICATOR (FOR TYPE I ONLY)
IF TYPE=I I=HEARING IMPAIRED PIN
2=TTY ENABLED PIN
BLANK=NEITHER \ OR 2
NOTE: FIELD IS BLANK FOR TYPE P & R
ITTY/TRSTNDICAToR (FOR·TYPEri' ONty)_._.___~_ ..___ m' .._~_~._. ___• _ _ _~..
i
30 - 48
X (19)
Attachment 0
- - -..-
.....- ...- . -....
(FILLER"SPACES
5
---
..........
.. ~
IF TYPE=P \=TTY PHONE #
2=TRS PHONE #
BLANK=NON TTYfTRS PHONE #
NOTE: FIELD IS BLANK FOR TYPE I & R
Data Exchange Specifications
Attachment D
Data Exchange Specifications
Inmate Information Transmission File Layout
Trailer Record Layout
!RECPOsriioN~~ rpIcTfT.RE~~~
[
C.O.B. DATE (VV'MMDD)
..
!c6MPANY·NUM[iER:lo0-(FOlf!.TsA~~W~"""~" ~_.m......
.
COMPANY NAME 'USAN
RECOR6~c6uNT (INCLU6INGHEADER&wTRAIIER}"-·~~wmm
38
. 44 - 48
FILE NAME -'INMATE'
FILLER SPACES
Attachment D
--'~-.---
..-
...
-- . - - - - - - - - - - - - - - -
6
Data Exchange Specifications
Attachment D
Data Exchange Specifications
1.6 ANI Transmission File Layout
Header Record Format
REC POSITION; PICTURE
-VALUE
X (03)
-'HDR'
r FiLLER -sPAcEs
9 (03)
; COMPANY NUMBER - 100 (FOR USAN)
COMPANY NAME - 'USAN
iFILLER
~~
.
~-~
38
44 - 80
FILLER
SPACES
Detail Record Format
REC POSITION
PICTURE
X (03)
9 (10)
-VALUE
RECORD TYPE - 'DTL'
. ANI PHONE NUMBER (AAASSSNNNN)
AAA = AREA CODE
SSS = SITE CODE
NNNN = TRUNK NUMBER
. IRECEPTIONINDlcATOR:':SPACE
AUDIO LINE
............. .........
.......... . . ...-..................
~-~"
"dmm""""" _ _ '~~"
, CLASS OF SERVICE
'I' THROUGH '5'
52·52
TTY INDICA TOR (Y OR
53 - 53
Attachment D
""_ _ _~·~W'
,",~""
TRANSACTION TYPE
A ADD
D DELETE
51 - 51
54 - 80
..... .
.-~
X (27)
7
Data Elchange Specifications
Attachment D
Data Exchange Specifications
ANI Transmission File Layout
Trailer Record Layout
1
REC posl;rio~N ~. rPlcl;iJii'E
FIELD DESCRIPTION -
Ix (03)
I
TX'(06)
RECORD TYPE - 'TRL'
C.O,B. DATE (YYMMDD)
x (07)
. FILLER - SPACES
!X (0.3)
COMPANY NDMBER - 100 (FOR USAN)
20~29
'x do)
COMPANY NAME - ;lfsAN'
30 - 37
9 (08)
RECORD~coDNT· (iNcmDIN(THEAi5ER&TRAICER)~'~m
I X(06)
.. ~"~
NAME- 'ANI
Record Layouts
ANI Phone Registration - Class of Service Levels
DEFINITION
r'piN
I (Default)
R~q~ired
Calling List Required
Disciplinary Hold Applies
PIN Required
C~iling
Req~ire(f
nn",
,~u,,'
~
Diseiplinary Hold NOT Applied
PIN Required
3
rpiNRequir~d
4
rc'~JTi~g'List NOTR~q~ired-
Disciplinary Hold NOT Applied
PIN NOT Required
5
rC~lli~g
list NOT R~q~j~ed
."',,
"""~,
~
Disciplinary Hold NOT Applied
Attachment D
8
Data Exchange Specifications
Attachment D
1.7
Data Exchange Specifications
Undercustody Location File Layout
Header Record Format
f'RECPOSlfioN~-
niciuRE
RECORD
".~,
"""_._w_~~,~,
"m",_~"v_d_""M
e.O.B DATE (YYMMDD)
FILLER SPACES
['COMPANY NUMBER·
; x(iO)"
i 20·
x (os)
COMPANY NAME -'USAN
• FILLER SPACES
FILENAME - 'LOCATOR'
X (06)
44 - 48
X (05)
. FILLER SPACES
Detail Record Format
IREC PO~HTION
i()j~()3
.
04 - II
HELD DESCRIPTION
PICTURE
!x(()))
(08)
VALUE
: RECORJ:)TYPE~'DTL; .
rPIN NUMBER'
I
[)«02)
. x(01)
- 48
. POSSIBLE FUTURE USE (SUBDIVISION CODE)
: x (34)
1 Fli:CERSPACE
Trailer Record Layout
FIELD DESCRIPTION - VALUE
RECORD TYPE
.•.._".........
~
e.OR DATE (YYMMDD)
...
........."'...... .....•..
~"
~
......
~.~
.............................
"'
~-
..........
1 FILLER SPACES
fCOMPANY NUMBER-]()()(FORlTsAN)'
x (10)
COMPANY NAME - 'USAN
9 (08)
r2()~29
RECORD COUNT (INCLUDING HEADER & TRAILER)
~'"
ww,
••
•. . . . . . . . . . . . . . . . . . . . . . . . . . .
'_"""=~n~_~"''''''_''_'W''_~~_
~."'
. . . . . . . . . . . ._ _. . . . . . .
••••• _
~_."
• • • • • _ _. . . . . . . . .
~....
. .. . . . . . . . . ._
. . ._ .
m • • •" ' . . .
~
•••
, FILLER_SPACES
........... ................
!
Attachment 0
9
Data Exchange Specifications
Attachment D
1.8
Data Exchange Specifications
Locator Change File Layout
Header Record Format
: REC posiTloN~~ IPICTURE
m
i
r~C~O.B-DA:fE
;
I~X(07)
.
I
["FILLER SPACES
COMPANY NlJ rvfSER ~j OO(FOR USANy······ .....~...-.~.~.........
. X(loj
X (08)
; 38 - 43
X (06)
COMPANY NAME -'USAN
FILLER-SPACE'S'
I FILENAME - 'LOCCHG'
FILLER SPACES
44 - 48
Detail Record Format
! REC POSITION
PICTlJRE
FIELD DESCRIPTlON - VALUE
I RECORD TYPE - ;[jiL' . . .
01 - 03
I
, 04 - II
PIN NUMBER
FAClLriycODE~··~·--·
.
POSSIBLE FUTURE USE (SUBDIVISION CODE)
Trailer Record Layout
REC POSITION" i PICTURE
i
'X(03)
. FIELD-DESCRIPTION
RECORD TYPE - 'TRL'
e.O.B. DATE (YYMMDD)
COMPANY NUMBER - 100 (FOR USAN)
COMPANY NAME - 'USAN
, RECORD COUNT
FILENAME· 'LOCCHG'
FI LLER'SPACES
Attachment 0
to
Data Exchange Specifications
Attachment D
1.9
Data Exchange Specifications
Call Detail Transmission File Layout
Header Record Format
; REC POSITION
lpicl'liRE
, 0(:-63
I
FIELD~DESCRIPTION:"
v
AIuir-~~'-~'~'----~-"-
"- ____
.~,.~
___
.~~~.,_._·b".~
.•
x (03)
~c.b:iiDA iE
04·09
FiLLER~SPACES~'
COMPANY NUMBE'R :-iOO~(F6RJjSANT~'~'-
! x(io)
!
X (51)
Detail Record Format
.
"".~"'""
[RECPOSITION
'PICTURE
01·03
x (03)
04 -II
1~9'(08)
""""'"-,
~"'"""
,
FIELD DESCRIPTION - VALUE
RECORD TYPE - 'DTL
~~N
,
w
,_~......
'~_«uu_'_.~.~m
u
~u"""m_,~_,~.~_"."m
•• ~
CALLING DATE (CCYYMMDD)
ANI PHONE NUMBER (AAASSSNNNN)
AAA = AREA CODE
SSS SITE CODE (FACILITY CODE)
NNNN TRUNK NUMBER
·21
PHONE
NPA = AREA CODE
NXX EXCHANGE
YYYY EXTENSION
BBBB SPACES
BILLING NUMBER (NPANXXYYYYBBBB)
PIN-{soiGIIPIN)
LOCAL (L OR N)
INCOMPLE1'ECODE (BLANK FORCOMPLITEo'cALLs)
?''''''.. _ ,,'
..
•• _~~,
"'_~tinm_._.W
M.
, THIRD PARTY
78 - 78
x (01)
79 -79
(01)
80 - 80
; X (01)
Attachment D
THIRD PARTY CALLOETECTACi~i6N
RECORDING INDICATOR (A, B OR BLANKf~"
TTY/TRS INDlCATOR(I;;'TTY~-i;;;TR-S',-6R-BLANK)
II
Data Exchange Specifications
Attachment 0
Data Exchange Specifications
Call Detail Transmission File Layout
Trailer Record Layout
REC POSITION
01 -03
PICTliRE
FIELD DESCRIPTION - VALUE
RECORD TYPE - 'TRL'
. X(03)
0;r:099(06)
10 - 16
!
V'V~""'""
.",,,
~,"
e.O.B. DATE (YYMMDD)
~'FILLER SPACES
x (07)
COMPANY NUMBER - 100 (FOR USAN)
COMPANY NAME - 'USAN
20 -
30 - 37
9 (08)~
38 - 80
x (43)
'~REC6RDc6uNT(INCCLJJ:WNG HEADER & TRAILER)
CALL DETAIL FILE - INCOMPLETE CALL REASONS
CODE-' I'DEFiNlrioN'
01
i DEFINITION
........ !biobal Block ~
person caJ1ed~~d ask~d~otiog et
I collect calls from Inmates.
02
iDayWi~do~for seif~iea;.;;ingl1as~~pfred.
r2r"-~riistFuiCNot ailo~ed. Inmate~lled new number~'
while on self-learning.
I
Call not made during operating hours.
0 3 N \ ' Telephone or some other t~l~phone company
I
'22~'-'~
usually du e to
has a block on the Number nonpayment.
ri;;;~T;TpfN= inm;t~punched
l could not be validated.
in a PIN #
Unable to valid ate. Could not
server.
that
124 DOCS
,_."
,~~"
[ Limit of 6;;on-accepted-"Zitisto a number wa
access validatio n
Security Block.
Number dialed was not on the inm
Personal Calling List.
06
Customer requested
Inmate denied phone privileges b y DOCS for
disciplinary reasons.
i Inmate hung up
the initial hold period.
29~"~·lv~idatiOn-;e~~;~eSpO;;ded~he~~~.
........:.......
Public Pay Phone.
.." .......
~
to
MCI/Support Operations Issue.
15
1-
132 Techn . r"
or
r~Inmate hung up
message.
ical issue.
,_................................
I Inmate dialed O.
party caIIed~~sl~i~ni;;gt;;
!
36In~~Hd·r
.............
i
Party called declined the collect call.
~
'j 8 Histori~:&J:
number dialed.
nIN~~~rch~fajled~·..~··
i
Attachment D
12
s
I exceeded.
Data Exchange Specifications
STA1EOFNEWYORK
DEPARTMENT OF CORRECTIONAL SERVICES
THE I-Li.RRHvL-\N ST+i.TE C-\MPUS ~ BUILDING TWO
1220 W"-\SHINGTON AVENUE
ALBANY, N.Y. 12226-2050
RICHARD D. ROY
DEPUTY COMMISSIONER
BRIAN FISCHER
COMMISSIONER
December 12, 2007
To All Potential Bidders:
Please note the following modifications to the November 5, 2007 Request For Proposals For An Inmate
Telephone System issued by the New York State Department of Correctional Services.
Modification 1
Section 2.7 Prime Contractor Responsibility
The requirem ent for subcontractor st aff qualifications has been delete d; it is not required to subm it
Appendix G Vendor Reference Form, or Appendix H St affQualification form for subcontractors All
other requirements for sub contract ors including Vendor Responsibilit y and com pany finances rem ain
intact.. The section has been modified to read:
Bidders m ay subm it a proposal utilizing the servi
ces of subcontractors for any aspects of this
procurement; however, the prim e contractor must assu me com plete 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 prim e contractor and must
provide the sam e information including Vendor Res ponsibility and com pany finances. The roles and
responsibilities of each proposed subcontractor must be clearly delineated.
Modification 2
Section 3.2.5 Calls to Restricted Devices
This is a non evaluated item. There will not be any points awarded as previously indicated on page four
of Appendix L.
Modification 3
Section 6.4 ~endor Responsibility
The entire section 6.4 w ill be evalua ted on a pass/fail basis. There will not be any points awarded as
previously indicated on page ten of Appendix L.
Modification 4
Section 7.2 Rate Structure
The following sections have been modified to read:
Section 7.2.1
Domestic
The vendor shall propose and charge a single blended rate for pre-paid and collect calls to points
within the United Sta tes, its ter ritories (as defined by the United States Depa rtment of State) and
ST"'iTE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
Canada. The rate shall in elude all connect charges and any other mandatory fees or surcharges that
the vendor imposes upon the custom er and shall exel ude any taxes, charges or surcharges im posed
by any Federal, State, Local or Municipal Govern ment regulatory authority, and any optional value
added services offered by the vendor to the customer.
Examples:
1.
The vendor prov ides a value added service by a Howing the custom er to pay their bill or
replenish their pre-paid balan ce through an alternative convenient third party. Because the
service is optional the vendor may recover costs th rough means of a surcharge for the
transaction but only to the custom er(s) who avai I themselves to the serv ice. The single per
minute rate would be unaffected:
2.
The vendor wishes to char ge a pre-paid account setup fee or other maintenance or use fee to
pre-paid customers. Ifthe fee is mandatory to provide pre-paid calling opportunities then it
must be factored into the per-minute rate.
3.
The vendor desires to recover costs for bill rendering and collections by establishing a billing
surcharge to collect on ly custom ers. Becau se the DOCS requires a blended rate for both
collect and pre-paid calling, the costs for this se rvice would have to be factored into the per
minute cost offered by the vendor.
Section 7.2.2
International
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 inelusiv e of all connect charges
and any other mandatory fees or surcharges that the vendor im poses upon the custom er and sha II
exclude any taxes, charges or su rcharges im posed by any Unite Stat es Federal, State, Lo calor
Municipal Government regulatory authority, and any optional value added services offered by the
vendor to the customer.
The DOCS reserves the right to implement any alternative international calling services and does not
guarantee minimum international calling volum e. Any location n ot within th e area def ined as
covered by the dom estic rate a s detailed above shall be trea ted as in ternational. The rate f or each
country shall be a single blended rate for pre-paid and collect calls.
Section 7.2.3
Rate Requirements
The Vendor shall provide rates based on three deci mal places (e.g. $0.000). Rates shall apply only
from called party acceptance of a call unt i1 the call is term inated 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 rounde d up.) There shall be
no charge for the time for prompts, rate information or other functions.
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL
SERVICES
Questions and Answers in Response to Vendor Inquiries
Regarding The Request For Proposals For An Inmate
Telephone System Issued November 5,2007
Updated December 20, 2007
Issued by: NYS Department of Correctional Services
Management Information Services
1220 Washington Avenue Building #2
Albany, NY 12226
December 20, 2007
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
12/20/2007: This docum ent has been updated to refl ect all questions received up to and including
12118/2007. Vendors should take pa rticular note of the respons e to question number 120 which
extends the bid submission date to January 4, 2008.
Question #1:
Received: 1118/07
From: City Information Services, Inc.
Question: "What page are the number of Video Units on? Did you want Tandberg? Also, did
you need audio visual rooms to be set up as well?"
Response #1:
The RFP makes no requests for video services.
,
Question #2:
Received: 11/8/07
From: EMBARQ Corporation
Question: "Who do we contact for arranging site visits to the DOCS sites for New York?"
Response #2: .
Site visits will b e conducted by the vendor after the con tract award. Eq uipment room s vary in
size and en vironmental characteristics from site to site. It would be impractical to arrange for
visits to all of the DOCS facilities within the time constraints dictated by the RFP. However, the
bidder should take note of Section 3.5.8. "The DOCS will provide spa ce, electricity and HVAC
to support two (2) nineteen inch racks for premis e based equipment. T he vendor is responsibl e
for any additional requirements beyond ambient temperature and standard power. "
Question #3·:
Received: 11121107
From: BestWeb Corporation
Question: "Our company has the capability of delivering the features and functions required by
DOCS and is experienced delivering telephone service with flexible features, but lacks both the
stated experience with ITS and a ITS system with the stated prior usage. Will DOCS consider
proposals which meet the other requirements of the RFP but not the specific experience stated in
the RFP?"
Response #3:
No, company experience as stated in Section 6.1 of the RFP is a mandatory requirement. "The
bidder shall submit satisfactory ev idence that, in the sole judgmen t ofthe DOCS, it has at least
three (3) years current experience in prov iding ITS production syst ems and services for
must be a commercially available
commercial or government clients. The proposed system
system and have been in full production for at leas tone (1) year for at least three (3) customers
and serve at least a total of500 inmate telephones. "
Question #4:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 1.3 Introduction ~ It is very helpful to have th e rates currently being charged
to called parties under the current contract. While we understand that the focus is on the lowest
December 20, 2007
Page: 10f32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
rates PQSS ible. we'd lik e to confirm the curre nt rates as a starting point. Please provid e th e
following information regarding collect call rates."
Intra LATA
Inter LATA
InterState
Question #5:
Received: 11126/07
From: Inmate Calling Solutions, LLC
Question: "Please provide the following information regarding debit or debit account calling
rates. (Note debit accounts are inmate owned accounts)"
Local
Intra
Inter LAtA
InterState
Question #6:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Please provide the following information regarding prepaid collect or advance pay
account calling rates. (Note prepaid accounts are owned by the called party."
Local
Intra LATA
Inter LATA
InterState
Response #4, #5, #6:
The NYS DOCS does not receive co mmissions and only allows pre- paid and collect calls. All
domestic calls are currently billed at the blended rate of$I.28 connect fee and $0.068 per
minute.
I
December 20, 2007
Page: 20f32
NYS Department of Correetional Services
Inmate Telephone System RFP Questions/Responses
Question #7:
Received: ] 1126/07
From: Inmate Calling Solutions, LLC
Question: "Section 1.3 Introduction - This section mentions that the successful vendor wil1 have
90 days from the contract expiration March 31,2008 to complete transition of service. Section
3.8 indicates that the selected vendor will have full responsibility for service beginning on April
1,2008. Please clarifY."
I
Response #7: :
The full text of section 3.8 reads "The vendor shall assume responsibility for all inmate
telepho~e services effective April J, 2008 and act as the DOCS' agent to assure uninterrupted
ITS operations as ofthat date. The vendor shall be responsiblefor establishing agreements with
the existing provider as required to maintain all existing services andfunctions." The DOCS
requires that the winning vendor be the single point of contact to ensure existing services and
functions are maintained wh Be transitioning to the new vendor environment within the ninety
day transition period.
Question #8:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.1 - Does DOCs have a preferred system architectural configuration in
mind? lfnot, will the DOCs allow proposals to include multiple system architectural options?
There are several types of system architecture currently being deployed in the industry, for
example, designs based on centralized and de-centralized-based systems, each with its own
advantages and disadvantages. Since the DOCs has not indicated any architectural preference,
will it allow vendors to present more than one system design option in their proposals? Ifso, this
may also require vendors to also present different rate options for each configuration."
Response #8:
Refer to Section 3.1 of the RFP which states: "It is not the intent ofthe DOCS to merely replicate
the current deployment model, any architecture that meets the general business needs ofthe
DOCS will be considered and evaluated for its relative merit. "
The bidder may offer only one architectural design per proposal. The bidder may submit
multiple proposals as long as they are complete and meet all mandatory requirements including
those stated in Section 6.1. "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 and serve at
least a total of500 inmate telephones. "
Question #9:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.1.7.2 - This section requests a separate price for additional optional
recording storage above 6 months. Please clarify how. much storage is desired for this option?
year, 3 years, 5 years?"
Response #9: .
Refer to section 3.1.7.2 "The vendor shall provide a proposed separate monthly charge to the
DOCSfor storing recorded calls for more than six (6) months." It is a mandatory requirement
December 20, 2007
Page: 30f32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
that the bidder provide six m 'onths of storage and that the bidde r offer a monthly rate that the
DOCS may optionally utilize to increase the overall length of storage time for recordings. That
length of storage time would be added in monthly increments. The additional storage rate should
not be considered when determining the domestic call rate, refer to Appendix L, page 3.
Question #10:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.1.7.2 - Will the DOCs permit vendors to store voice recordings off site
within the state, and/or off site outside the state? e.g., some system designs will provide
centralized storage at the vendor's central headquarters in another state while still permitting the
DOCs to have instant access to these recordings over a secured network. Most vendor's
headquarters are secured facilities and restrict internal access to customer data to avoid any
possible breach in data security."
Response #10:
Yes, as'long as the jurisdictional requirements specified in section 3.11.2 are met.
Question #11:.
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.1.7.2 - This section requests a price for additional optional recording
storage beyond 6 months. How does this price figure into the evaluation? For example if
Vendor A offers the lowest price on the inmate call rates, but charges $20,000 per month for the
additional recording storage and Vendor B offers higher inmate call rates, but only charges
$7,000 per month for the additional storage - which vendor will score higher overall?"
Response #11:
See official response #9
Question #12:
Received: 11126/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.2.5 Calls to Restricted Devices - Since 2005, there have been more
wireless/cellular phones in service than wireline/land-line telephones. A growing number of
households opt for wireless phones and eliminate their traditional phones altogether. Prohibition
of calls to these telephones significantly reduces the amount of contact possible between inmates
and family members. In the past calls to these numbers created a problem because they were a)
unbillable for collect calls and b) difficult to identify. While they are still unbillable as a
traditional collect call, prepaid collect and debit calling can be used to contact these numbers and
keep the lines of communication open. These prepaid call options are controlled in the same
manner as traditional collect calls and called party information is gathered at the time the account
is established, eliminating any mystery associated with calls to wireless phones. Will DOCS
consider eliminating this prohibition?"
Question #13:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
December 20, 2007
Page: 40f32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question: "Section 3.2.5 - Calls to Restricted Devices - Even with a prohibition against calls to
wireless phones, the use of call forwarding makes it easy for inmate families to bypass this
restriction. No reliable technology exists (for any vendor) to consistently detect call forwarding
for all call types. As such, it would be better to allow calls to wireless phones and know more
about who the inmate is really calling than to prohibit calls to known wireless devices knowing
that called parties can easily bypass this restriction. Will DOCS consider eliminating this
proh ibition?"
Response #12, #13:
The DOCS recognizes the difficulty in restricting calls to mobile devices and was probing the
vendor community for a solution to this vexing problem fac ing Law Enforcem ent. The DOCS
reviews its Directives and policies on a annual
basis and will determ ine if modifications are
warranted at that tim e. Refer to Appendix L, page 4, Calls to Restricted Devices is a non
mandatory and non-evaluated item.
Question #14:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.4.15 - TOO Devices - Please provide detailed information about how the
TOO solution in place today is configured for DOCS. Please note anything about the current
functionality that DOCS would Iike to see changed, if any."
Response #14:,
NY DOCS currently escorts the inmate to an Ultratec TDD device with a printer that can be
connected to one of two wall jacks that are connected to an extension on the administrative
telephone system. Jack # I is set up to auto dial the NY State relay center, jack #2 connects the
user to TOO operator assistance to setup a collect TDD-to-TDD call. The officer initiates the
call and then turns the TOO over to the inmate. The only recording that takes place is the hard
copy output that comes from the attached printer. The inmate is later billed for any charges
incurred from the call.
NY DOCS would like to provide a secure TDD service via the Inmate Telephone Platform. The
DOCS estimate 42 TDD currently in service.
Question #15:,
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.4.16 - Pattern Matching - Please give examples of pattern matching
functions desired by DOCS and/or those in use today."
Response #15:,
Some example pattern matching capabilities are:
• Call alerts consisting of an email to all technical staff informing them of any specific
(incomplete code),
•
failed call attempts,
:. blocked calls over 30% within a two hour period,
• low call attempt (comparing a specific day and time of the week with the previous
week's average call attempts),
December 20, 2007
Page: 50f32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question #16:1
Received: ] 1126/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.4.17 - Where is the specified NY DOCS central office located?"
Response #16~
Section 1.5 includes the address of the DOCS
Central Office; however the intent of the
Emergency Shut Down feature in Section 3.4.17 is to provide software shutdown control that
would only be allowed by a specialized login, th
e purpose was not to
restrict the feature
geographically.
Question #17:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.5 - Will there be any charge to the successful vendor to reuse existing
inmate phone instruments, pedestals and enclosures?"
Response #17:
No.
Question #18:,
Received: 11/26107
From: Inmate Calling Solutions, LLC
Question: "Section 3.5 - Does DOCS' have any plans to add additional phones in the immediate
future? If so, where and how many?"
Response #18:'
There are no plans to increase the nu mber of phones in the immediate futu re, however the intent
of the RFP is to decrease rates which m ay in-turn have an impact on the num ber of phones
required to meet demand.
Question #19:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.5 - In order to ensure a level playing field for all bidders; please confirm
that the successful vendor must provide new call processing equipment. Also, please verify that
this applies to both new potential bidders and the incumbent provider. (Note, ICSolutions
recognizes that vendors have the option to re-use telephone station equipment, enclosures and
pedestals.)"
Response #19:
Confirmed. See Section 3.5.10 whic h applies to all bidders.
"The contractor shall replace all
existing premise based equipment between the main distribution frame and the network point of
presence with new equip ment. All call processo rs, routers, multiplexers, channel banks, gateways,
vendor must provide full
switches or any required system
component sha II be new. The
specifications and product literature/brochures for all proposed new components. "
Question #20:.
Received: 1] 126107
December 20, 2007
Page: 6 of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
From: Inmate Calling Solutions, LLC
Question: "Section 3.8.2 - Please provide information regarding the recording file format used
by the current vendor and the projected size of the files which contain 120 days of recordings.
Please confirm that the current vendor will not charge any fee to work with the selected vendor
to accommodate this data migration."
Response #20::
Recordings are currently stored in a proprietary for mat requiring 2.8 megabytes of storage for a
15 minute
At the time of site cut-over the current vendor wi II recover 120 days of recordings and transcode
them to mp3 format and store them along with CDR on a DOCS server located at the DOCS data
center. Tota I stor age re quired for a II sites shou Id be approxim ately 4 TB. The costs will be
incurred by the DOCS, there should be no fees or charges to the winning vendor.
Question #21:
Received: 11126/07
From: Inmate Calling Solutions, LLC
Question: "Rates Sections 7.2.1 and 7.2.2 both refer to a blended rate inclusive of all fees and
taxes. Taxes and Universal Service Fund Collections are based on rates imposed by authorized
taxing and regulatory authorities. These fees change often and are simply passed through by
ICSolutions and other vendors. Will the DOCS agree that taxes and universal service fund fees
are in addition to the rates to be proposed?"
Response #21:
Refer to the ITS-RFP-Modifications doc urn ent of December 12, 2007. Modification 4 of the
. RFP should clarify this issue. Agreed, taxes and universal service fees shall be in addition to the
rates proposed.
Question #22:.
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "Rates - Sections 7.2 - Will the DOCs consider proposals with multiple calling rate
options? In the interest of providing qual ity calling service at the lowest possible rates, there are
various call rating options that could be available to both inmates and families. One example
would be the inclusion of postalized rates based on per minute or per call rates. Ifmultiple
options were permitted, it would give DOCs a more options to pick the best suited for the state.
Ifmultiple rate offerings are permitted, we suggest that the DOCs standardize the rate categories
so that accurate comparisons can be made during proposal evaluation. Some rate options
include: Postalized rates (same rates regardless of call destination), Additional discounts on
Prepaid and Debit Calls, Flat rate per minute with no per call surcharge, Flat rate per call with no
per minute charge."
Response #22:
No.
Question #23:.
Received: 11/26/07
From: Inmate Calling Solutions, LLC
December 20, 2007
Page: 7of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question: "Section 7.3.1 - DOCS mentions prepaid calling as an option. ICSolutions offers both
inmate purchased prepaid debit calling and prepaid collect calling which is an account funded by
the called party. Both calling options have unique benefits and allow calls to numbers that
would ordinarily be blocked due to billing limitations (Le. cellular phones, work phones,
numbers served by local carriers that do not provide 3rd party bi~ling. etc.)"
Response #23:
Section 7.3.1 is a mandatory requirement, not an option. DOCS has no desire to explore inm ate
purchased debit cards at this time.
Question #24:
Received: 11126/07
From: Inmate Calling Solutions, LLC
Question: "Section 7.3.1 - Is the DOCS interested in offering international calling capability? If
so, this calling option can be provided through the use of international collect calling services or
through system-controlled debit calling. Debit calling offers a distinct low cost advantage. Will
international rates be a factor in proposal call rate evaluation?"
Response #24:
It is a requ irement that the successful bidder of fer a plan for Inte rnational Calling. Refer to
Appendix L, page II.
Question #25:
Received: 11/26/07
From: Inmate Calling Solutions, LLC
Question: "General - ICSolutions highly recommends that the DOCS allow each vendor to make
a system presentation prior to reaching a decision. Will the DOCS include presentations as part
of the evaluation process? If so, how will the presentation impact the vendor scoring?"
Response #25:
Time constraints do not allow the DOCS to participate in presentations.
Question #26:
Received: 11126/07
From: Inmate Calling Solutions, LLC
Question: "General - Given the complexity of this bid and the timing of the due date (between
two hol·idays that impact mail and package delivery) we ask DOCS to consider an extension of
the due· date by at least two weeks."
Response #26:
No.
Question #27:.
Received: 11126/07
From: Securus Technologies, Inc.
Question: "In order to provide the "best value" proposal to the DOCS all bidders need to
understand the impact that your recent dramatic rate decreases have had on inmate telephone
usage and to be sure every bidder has as much information as the incumbent bidder, would you
provide monthly billing information for each ofthe last 12 consecutive months? Billing
December 20. 2007
Page: 80f32
NYS Department qfCorrectional Services
Inmate Telephone System RFP Questions/Responses
infonnation should include monthly number of calls, number of minutes and the applied rates for
each type of calling."
Response #27:.
Please see the Official Response to questions 4, 5, and 6 for the curre nt rate structure. Refer to
the RFP Section 7.2.4. "Bidders will be provided with media containing call detail recordsfor
the six (6) month period prior to release ofthe RFP at the mandatory pre-bid conference: It will
be the sole responsibilit y ofthe bidder to analyze the ca II patterns and data contained on the
for establishing or guar anteeing any minimum
media. The DOCS shall not be responsible
number ofcalls, minutes used, or revenue generated. "
Question #28:
Received: 11/26107
From: Securus Technologies, Inc.
Question: "To better understand the effect of calling rates to the call volume, would you please
provide the rates and the exact dates the rate changes have been made over the last 12 months
including the new and the old rate at the time of each change?"
Response #28:
Prior to March 31, 2007 the connect fee was $3.00 and the per minute rate was $0.16. On April
1, 2007 the rate was reduced to $1.50 connect fe e and $0;08 per minute, on 10/5/07 the rate was
further reduced to $1.28 connect fee and $0.068 per minute.
Question #29:.
Received: 11/26/07
From: Securus Technologies, Inc.
Question: "Paragraph 3.1.5.1 Backup - Please provide the DOCS security policies as it relates to
the system and database backups storage beyond the requirement for off site backup?"
Response #29:
DOCS security policies will be provided to the winning vendor upon the signing of the non
disclosure agreement in Appendix J.
Question #30:
Received: 11/26/07
From: Securus Technologies, Inc.
Question: "Paragraph 4.2.4 Call Blocking - Would you please confirm the DOCS' request that
"The vendor must notify customers prior to initiating a block on colJect calls", is limited to only
those customers that have an established billing relationship with the vendor?"
Response #30:
Confinned.
Question #31:
Received: 11126107
From: Securus Technologies, Inc.
QuestiQn: "Could you please confinn the ADP and the number of inmate phones in Marcy
Correctional Facility?"
Response #31:
December 20, 2007
.-~.--'-~.~---
.. -~--------
,Page: 9 of 32
NYS Department ofCorrectionaJ Services
Inmate Telephone System RFP Questions/Responses
Correction, the Marcy facility's average daily population as of 11127/2007 was 1,105, the
number of inmate telephones is 82.
Question #32:,
Received: 11/26/07
From: Securus Technologies, Inc.
Question: "Paragraph 3.2.5 Calls to Restricted Devices - The DOCS Directive 4423 prohibits
inmates from placing calls to wireless communications devices (e.g. cell phones, pagers.) The
introdu9tion of number portability to the wireless telecommunications industry and the
preponderance of cellular phones have made the directive difficult to enforce. Describe how your
solution can be used to block calls to portable devices.
Item 3.2.5 describes number portability and calls to cellular phones are prohibited under
Directive 4423. With a very significant number of inmate families converting home land line
telephone numbers to cellular as their only form of telecommunications, is the DOC considering
a change to this Directive?"
Response #32:
See official response # 12 and # 13.
Question #33:
Received: 11/26/07
From: Securus Technologies, Inc.
Question: '''Paragraph 3.5.1 Telephones - All devices provided must be hearing aid compatible,
include volume controls on the housing, a 24 inch hand set cable and be appropriate for a prison
environment. The devices provided must be equivalent to or better than the currently installed
devices. which are Quadrum Communications Model 7Q. The vendor may propose to reuse
currently installed telephones.
Item 3.5.1 allows a new vendor use of currently installed Quadrum telephone sets. Do these
telephones currently have 24 inch handsets and are they hearing aid compatible as per this
requirement?"
Response #33:
Not all of the existing inmate telephones conform to the requirements of section 3.5.1. It is
anticipated that the vendor will reuse existing equipment, any new devices required or repair
replacements must meet the requirements stated.
Question #34:
Received: 11/26/07
From: Securus Technologies, Inc.
Question: "Paragraph 3.8.2 Call Recording Migration - Item 3.8.2 requires transfer of recordings
from the current vendor system. Could you please provide type of database currently used (ie
MS SQL, Oracle, etc.) and format of recorded conversations? If these items exist in a
proprietary database and format, it will be necessary for the current vendor to convert them to a
non proprietary. Will the current vendor assist with conversion of data, if necessary, and in
what data format can we expect the conversion?"
Response #34:
Refer to official response #20 in this document.
December 20, 20Q7
Page: 10 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question #35:
Received: 11/26/07
From: Securus Technologies, Inc.
Question: "Will the DOCS consider the integrity of "chain of custody" breached ifthe current
databas~ of existing recordings is converted from proprietary to a non proprietary format during
the transition from the current vendor to the new vendor provided that the new vendor will store
recordings in a proprietary format?"
Response #35:,
The DOCS will accept the reformatting of recordings for the calls affected by the transition from
the current vendor to the new vendor.
Question #36:
Received: 11126/07
From: BestWeb Corporation
Question: "With regard to the price of calls, section 7.2.1 defines 'domestic'
as Continental U.S., plus Canada, and U.S. territories/possessions. That leaves out Hawaii and by
many interpretations, Alaska. I would like to propose that the domestic rate be for the 48
contiguous States, and that other States, territories/possessions, and Canada be considered
'international' with individual rates for each location. The reason for this proposal is that the costs
incurred by our company are lowest for Continental U.S. compared to anywhere else; also in
Canada there is a large difference in costs between lower Canada and remote locations to the
north. By reducing the scope of 'domestic' in this way, the domestic bid will be lower, fairer and
more competitive."
Response #36:'
Domestic rates shall include Alaska and Hawaii. Refer to the ITS-RFP-Modifications document
of December 12,2007. Modification 4 ofthe RFP should clarify this issue.
Question #37:
Received: 11/26/07
From: BestWeb Corporation
Question: "With regard to billing options, section 7.3.1 says that billing options are restricted to
collect and called-party-prepaid; however, this restriction is burdensome for- calls outside the
United States. Our company offers very attractive international rates but is not prepared to offer
collect calls or called-party-prepaid calls to international numbers. Would DOCS permit calls
outside the U.S. to use caller-prepaid billing instead?"
Response #37:
No. See official response #24.
Question #38:
Received: 11/26/07
From: BestWeb Corporation
Question: "Mandatory requirements may have alternate, creative solutions that adequately or
better address the underlying requirement. Is it possible for proposals to be considered when
mandatory requirements are not met in a literal way but are addressed by other means?"
Response #38:
December 20, 2007
Page: 11 of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Refer to section 9.3.1 of the RFP. "The proposals will be reviewed to determine that the bidder has
met all mandatory requirements. Failure to meet any mandatory requirement will disqualify the
vendor from further consideration." All mandatory requirements are identified by the terms defined
in section 2.10 and again in Appendix L.
Question #39:
Received: 11/26/07
From: Public Communication Services, Inc.
Questiqn: "Will the DOCS extend the due date for 2 weeks?"
Response #39:
No.
Question #40:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 3.5.1 and 3.5.2. Does the DOCS own the current inmate telephones and
portable telephones? Would the DOCS please provide numbers, by facility, of the inmate
telephones and the portable telephones?"
Response #40:
DOCS owns all current inmate telephones and portable telephones. Refer to Attachment B for a
count of telephones by facility. Portable phones are limited to Hospitallsoiation rooms and are
estimated to number less than 100 statewide.
Question #41:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 3.5.3. Does the DOCS own the current enclosures and pedestals? Could the
DOCS provide a count for the enclosures and pedestals by facility?"
Response #41:
DOCS owns all enclosures and pedestals and does not have an accurate inventory at this time
however, placement ofthese devices is limited and used for outside telephones only.
Question #42:
Received: 11/26107
From: Public Communication Services, Inc.
Question: "Does the DOCS own and support the current workstations?"
Response #42:
DOCS owns all workstations and the vendor provides full support.
Question #43:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 2.7 states that subcontractors "must provide the same information including
Vendor Responsibility, company finances and staff qualifications." Is the State referring here to
Section 6.3, Staff Qualifications, and Section 6.4, Vendor Responsibility, which includes the
December 20, 2007
Page: 12 of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Vendor Responsibility Form (Appendix F) and financial information? Do subcontractors also
have to respond to Sections 6.1? Section 6.2 is not relevant to the subcontractors.
Response #43:
Refer to the ITS-RFP-Modifications docum ent of December 12,2007. Modification 1 of the
RFP should clarifY this issue. The staff qualifi cations requirement in section 6.3 does not apply
to subcontractors. Requirem ents of section 6.4 do apply to subcontractors. The requirem ents of
sections 6.1 and 6.2 do not apply for subcontractors.
Question #44:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 6.3, StaffQuaJifications, asks for information on the individuals who will
serve as the primary points of contact for the Vendor to the State. Since the Prime Vendor will
serve as the point of contact for the State, is this information required of subcontractors?"
Response #44:
Refer to official response #43 in this document.
Question #45:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 3. I. I, System Trunking, seems to imply that the State is asking for a I: 1
ratio of telephone lines (or inmate telephones) to trunks. While this can be provided, it raises the
cost of the system, and a vendor can provide very satisfactory service at a lower cost without
this. For example, if the vendor provides P.O I grade of service, that means that in the busiest
hour of the week, an inmate will have only a 1 in 100 probability of encountering a busy signal
when picking up the phone. Would the State please clarifY what they are looking for here?"
Response #45:
System trunking requirements are specified in section 3.1.3 and are mandatory.
Question #46:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 3.1.5.1, Backup. Does the State require off-site backup of the call recordings
as well as the call data?"
Response #46:
Yes
Question #47:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 3.1.5.2, Un interruptible Power. This section requires three hours of power
backup in the case that commercial power is lost. In most cases, 15 minutes of power backup is
sufficient for most power outages, as well as providing ample time for the facility's own
generator to power up. Additional time is very, very rarely required and represents a considerable
December 20, 2007
Page: 13 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
expense that will raise the call costs. Would the State consider a 15 minute Uninterruptible
Power backup?"
Response #47:
No.
Question #48:
Received: 11/26107
From: Public Communication Services, Inc.
Question: "Section 3.4.4, Personal Allowed Numbers (PAN). How often is the inmate allowed
to update hislher PAN list?"
Response #48:
Except for immediate family members, revisions to the telephone Jist (PAN) will only be made
when the inmate is due a quarterly review. Regardless of the inmates update capability, the daily
PAN list is an automated nightly function, refer to Attachment D.
Question #49:
Received: 1 1126/07
From: Public Communication Services, Inc.
Question: "Section 3.4.6, Personal Identification Number (PIN), states "The proposed solution
must validate the PIN number and inmate location prior to allowing each call." Is the State
referring here to voice pattern recognition? What functionality is the State looking for here?"
Response #49:
No. The PIN identifies the inmate to the system; (see Attachment 0 section 1.3.1 for further
description of the PIN.) The DOCS requires that the PIN entered is vaHd and originates from the
facility where the actual inmate is located.
Question #50:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 3.4.15, Telecommications Devices for the Deaf. How many TDDs must be
provided? Will they be used on a facility phone line or must they dial through the inmate phone
system?"
Response #50:
See official response # 14.
Question #51:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 3.5.8, Environmental. Would the DOCS please confirm that the DOCS will
provide space for two nineteen-inch racks per facility?"
Response #51:
Confirmed.
Question #52:,
Received: 11/26/07
December 20, 2007
Page: 14 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
From: Public Communication Services, Inc.
Question: "Section 3.5.9 states "The vendor shall provide full specifications and product
Iiteraturelbrochures for all proposed call processors, servers, storage devices, workstations and
related components." Likewise, Section 3.5.10 states "The vendor must provide full
specifications and product literature/brochures for all proposed new components." What is the
DOCS looking for here? Would the DOCS like to see a list of on-site equipment to be provided,
with product literature on the major components as well?"
Response #52:
Yes. The DOCS requires brief product literature on the main components and on all on-site
equipment.
Question #53:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 3.7.3, Maintenance Window, requires that all scheduled maintenance be
performed outside of the normal operating hours. Many routine maintenance functions can be
performed while the system is operating, without the need to, take the system down. Would the
DOCS be willing to consider scheduled maintenance during normal working hours, provided that
the maintenance does not require the take down of the system?"
Response #53:
Yes.
Question #54:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 3.8, Transition/Migration. Normally, during the transition period to a new
vendor, the incumbent vendor maintains and operates their existing equipment as well as
handling all billing until the cutover to the new system. Would the DOCS please confirm that
this is their expectation, and that they are asking for the new vendor to take the lead in
coordinating the transition of services, and not expecting the new vendor to provide inmate
telephone services using the incumbent vendor's equipment during the transitional period?"
Response #54:
The DOCS is requesting that the bidder provide a solution to the issues related to transition.
Bidder responses will be evaluated.
Question #55:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 3.8.2, Call Recording Migration. Normally, the departing provider leaves
behind one or more servers to provide access to the call data from their tenure. Hence it is not
necessary to migrate the data to the new system, as it continues to be fully accessible to the
agency. Would the DOCS consider an arrangement of this type?"
Response #55:
The DOCS is requesting that the bidder provide a solution to the issues related to cali recording
migration. Bidder responses will be evaluated.
December 20,2007
Page: 15 of 32
NYS Department of Correctional Services
Inmate TeJephone System RFP Questions/Responses
Question #56:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 4.1.6, DOCS Access to Customer Information. Would the DOCS please
clarify what they are asking for here? There are privacy issues involved in providing access to
.end-user's accounts. Is the DOCS asking to see balances and activity for debit transactions?
Block status for billed-to numbers? Due to privacy constraints, vendors may not be able to
provide additional information to the DOCS."
Response #56:
The DOCS is requesting that the bidder identify which elements of the customer record will be
visible to the DOCS ITS staff. Bidder responses will be evaluated.
Question #57:
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 5.3, Performance Objectives, in the first item on the table states that the
"Time from vendor receipt of order to working installed equipment" is 20 calendar days. Yet in
Section 1.3 the RFP clearly states: "The goal is to smoothly migrate from the existing ITS to a
new system within ninety (90) days of the expiration ofthe existing contract and with no
disruption of service." Would the DOCS please confirm that 90 days is the desired transition
period?"
Response #57:
The performance objective in question is a post transition requirement. Ninety (90) days is ~he
mandatory transition period.
Question #58:
Received: 11126/07
From: Public Communication Services, Inc.
Question: "Section 7.2.3, Rate Requirements, states that "There shall be no additional charges or
fees added to the cost of a call." The incumbent vendor currently charges a bill statement fee of
$1.95 and a "USF admin fee" of $0.99 that is added to the cost of collect calls on the end-users'
bills, increasing the cost of collect calls by $2.94 per user per month. Are these fees allowed?"
Response #58:
Refer to the ITS-RFP-Modifications docum ent of December 12,2007. Modification 4 of the
RFP sh~)Uld clarify this issue. The fees identified in Question 58 would not be allowed.
Question #59:'
Received: 11/26/07
From: Public Communication Services, Inc.
Question: "Section 8.5, Termination, states "The DOCS shall own all elements required to
continue the operation of a fully functional production system." What is the DOCS looking for
here? A fully functional inmate telephone service includes considerable back-office
functionalities, which are proprietary to the vendor's business. Is the DOCS looking for the
equipment to provide full access to call data and call recordings after the conclusion of the
contract?"
December 20, 2007
Page: 16 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Response #59:.
All onsite equipment shall become the property ofthe DOCS and call data and call recordings
will be transferred to the DOCS or the DOCS' agent in a format specified by DOCS.
Question #60:
Received: ] 1127/07
From: EMBARQ
Question: "Section 1.2, Since they are not described in Attachment B, would the DOCS provide
the site name, physical address, phone number, and a contact name for each of the 15 central
office or reg ional sites?"
Response #60:
The central office and regional sites equipped with any ITS equipment are identified in
Attachment C.
Question #61:
Received: 11/27/07
From: EMBARQ
Question: "Section 1.2, Would the DOCS provide the number of inmate phones or workstations
required at the 15 central office or regional sites?"
Response #61:
Inmate phones are not required at the central office or regional sites, workstation locations are
identified in Attachment C.
Question #62:
Received: 11127/07
From: EMBARQ
QuestiQn: "Section 1.6, Would the DOCS allow a second round of questions after the Official
Response to Bidder's Questions is received and after the site surveys are completed?"
Response #62:
See official response #2 relating to site surveys. Any questions will be initiated solely by the
DOCS after the Official Response to Bidders' Questions date has passed. See response to
question 102.
Question #63:
Received: 11/27/07
From: EMBARQ
Question: "Section 3.1.1, Would the DOCS define "yearly availability?"
Response #63:
Availability Up_Time 1(Up_Time + Down_Time)
operational hours.
* 100.
365 days per year during
Question #64:,
Received: 11/27/07
From: EMBARQ
Question: "Section 3.1.1, Does this refer to total system outages or partial system outages?"
December 20, 2007
Page: 17 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP QuestionsiResponses
Response #64:
Refer to performance objectives n Section 5.1, this refers to priority levels I and 2.
Question #65:
Received: 11/27/07
From: EMBARQ
Question: "Section 3.1.3, Would the DOCS provide call concurrency reports for all sites?"
Response #65:
No.
Question #66:
Received: 11/27/07
From: EMBARQ
Question: "Section 3.5.3, Does the verbiage " ...pedestals as specified by the DOCS ..." mean
that the DOC~ will specify manufacturers and models, or does this simply mean that the DOCS
will specify physicallocations~ with the determination of manufacturer and model to be left to
the discretion ofthe vendor, with DOCS approval?"
Response #66:
The DOCS will specify physical locations, with the determination of manufacturer and model to
be left to the discretion of the vendor, with DOCS approval.
Question #67:
Received: 11127/07
From: EMBARQ
Question: "Section 3.5.3, Would the DOCS provide an inventory of indoor and-outdoor
pedestals and enclosures at the 15 central office or regional sites?"
Response #67:
See official response #61. There are no requirement for pedestals or enclosures at the central or
regional sites.
Question #68:
Received: 11/27/07
From:EMBARQ
Question: "Section 3.7.3, Our preventative maintenance program entails regularly scheduled site
visits to test phones and other on-site equipment on a monthly basis.
This maintenance typically occurs during regular business hours since)t does not impact system
availability when it occurs; however, read literally this provision would not allow it during
regular business hours. To accommodate these important activities, would the DOCS modify
3.7.3 to read: "All scheduled maintenance that impacts system availability must be performed
outside of the normal ITS operating hours which is currently 7:00 am to 11 :00 pm.""
Response #68:
No, the, DOCS will not modify the language, see official response #53 which would appear to
apply in this case as well.
Question #69:'
December 20, 2007
Page: 18 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Received: 11/27/07
From: EMBARQ
Question: "Section 3.8.1.3, Would the DOCS extend the Closing Date for Receipt of Bids
(12/27/07) for two months to allow vendors to complete site surveys? Vendors need to complete
site surveys prior to developing their bid in order to accurately determine complete costs to
provide the services. Allowing adequate time for sites surveys prior to bidding will allow a level
playing field as the incumbent vendor has information unknown to the other bidders."
Response #69:
No.
Question #10:
Received: 11/27/07
From: EMBARQ
Question: "Section 3.8.2, In what format are the current recordings stored? Any change in
format due to transferring recordings to another system could potentially break the chain of
custody."
Response #10:
Refer to offi cial response #20 in this docum ent and official response #35 in the previous Q&A
document
Question #11:
Received: 11127/07
From: EMBARQ
Question: "Section 3.11.2, We read this provision to prohibit any vendor customer service
center from being located outside the United States. Would the DOCS allow a customer service
center to reside outside the borders of the United States if all end-customer data resided on
equipment located within the United States?"
Response #11:
Yes.
Question #72:
Received: 11/27/07
From: EMBARQ
Question: "Section 4.1.6, Would the DOCS define "account status and history"? It is our policy
not to disclose non-public, customer proprietary information such as account payment history."
Response #72:
See official response #56.
Question #73:·
Received: 11/27/07
From: EMBARQ
Question: "Section 4.2.4, Would the DOCS clarifY the required method of notification and what
would be considered reasonable efforts to notifY?"
Response #13:
December 20, 2007
Page: 19 of 32
NYS Department of Correctional Services
Inmate TeJephone System RFP Questions/Responses
Two call attempts: one during normal business hours and one outside of normal business hours
would be deemed to be reasonable.
Question #74:
Received: 11127/07
From: EMBARQ
Question: "Section 7.2, The DOCS is requesting " ...a single per minute rate inclusive of all
fees, taxes, connect charges or other costs ..."
While we agree this pricing structure is desirable, two issues make it unfeasible.
(I) We interpret State law as prohibiting this type of pricing structure. New York State Tax
Law, Section 1132 states:
"(a)(J) Every person required to collect the tax shall collect the tax from the customer when collecting the
pria;. amusement charge or rent to which it applies. If the customer is given any sales slip. invoice, receipt or
other statement or memorandum ofthe price, amusement charge or rent paid or payable, the tax shall be stated,
charged and shown separately on the first ofsuch documents given to him. The tax shall be paid to the person
required to collect it as trustee for and on account ofthe Slate. "
(2) Even if an exception to this statute can be achieved, current billing and collections
agreements for collect calling present an obstacle. LEC-billed calls have taxes applied after
receiving billing 'feeds' from inmate providers and without any visibility to us. Without access
to every LEC's tax tables to 'gross down' calling rates prior to sending to the LEC for billing
andlor the ability to change LECs' billing processes, this pricing structure is essentially
impossible to accurately manage.
Would the DOCS please consider amending the RFP to exclude taxes as part of a single per
minute rate?"
Response #74:
Refer to the ITS-RFP-Modifications docum ent of December 12, 2007. Modification 4 of the
RFP should clarify this issue.
Question #75:
Received: 11127/07
From: EMBARQ
Question: "Section 7.2.4, Would the DOCS please provide existing calling rates by call type
(local, interLATA, etc.) including a breakout of surcharges and per-minute rates, in addition to
any changes in rates that have occurred during the past six (6) months? This information is
critical to understanding the calling patterns thatthe DOCS will be providing."
Response #75:
See official response #4, #5, #6, #27, #28
Question #76:'
Received: 11127/07
From: EMBARQ
Question: "Appendix G, Would the DOCS clarify if they want three references for the Prime
Contractor and three references for each Subcontractor? Can these be the same reference if the
Prime was partnering with the same Subcontractor on all three references?"
December 20, 2007
Page: 20 of 32
NYS Department of Correctional Serviees
Inmate Telephone System RFP Questions/Responses
Response #76:
Yes
Question #77:
Received: 11/27/07
From: GTL
Question: "With respect to requirement 6.4.2, Financial Stability, Standard and Poor's or
Moody's current report is a more up to date financial reporting medium along with a current
lOQ. Iflast year's audited financials are used, which are 11 months old, they would not properly
identify a vendors current financial well being. Would submission of an S&P or Moody's report
in lieu of a Dun and Bradstreet report in conjunction with a current 1OQ or quarterly financial
statements for the periods ending 2nd quarter and 3rd quarter 2007 provide sufficient material to
demonstrate financial soundness?"
Response #77:
The requirement of sect ion 6.4.2 is to provide "the most recent Dun and Bradstreet report and
such other materials necessary to demonstrate its financial soundness." The vendor may submit
other docum entation supporting its claim to fi nancial soundness along with the D&B. All
documentation will b e fairly evaluated us ing a pass ffail method. Refer to th e ITS-RFP
Modifications document of December 12, 2007 Modification 3.
Question #78:
Received: 11127/07
From: GTL
Question: "Can a prime bidder on the RFP response also be the provider of equipment and
service (Subcontractor/Supplier) on another company's prime bidder's response?"
Response #78:
Yes.
Question #79:'
Received: 11127/07
From: GTL
Question: "How many TOO units are required by NY DOCS?"
Response #79:
See official response #14
Question #80:
Received: 11/27/07
From: GTL
Question: "Rates and Fees, page 27 of the RFP, Section 7, all ofspecification(s) of7.2 Rate
Structure; The State request a "Single per minute rate inclusive of all fees, taxes, connect charges
or other cost of all call ..." Does this include cost normally consider "billing" or cost recovery
fees not associated directly with an individual call? For example Single bill fee, a fee added to
the called parties home telephone bill, fees charged for setting up direct deposits, using credit
cards or other method of payment?"
Response #80:
December 20, 20Q7
Page: 21 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Refer to the ITS-RFP-Modifications docum ent of Dece mber 12, 2007. Modification 40fthe
RFP should clarify this issue.
Question #81:
Received: 11127/07
From: GTL
Question: "Rates and Fees, 27 ofthe RFP, Section 7, all of specification(s) of7.2 Rate
Structure; The State request a "Single per minute rate inclusive of all fees, taxes, connect charges
or other cost of all call ... is it the State's intention that there wil1 be NO Fees or surcharges
associated with services outside of providing a tarritTed telephone service such as billing and
collecting?"
Response #81:
Refer to the ITS-RFP-Modifications docum ent of December 12,2007. Modification 4 of the
RFP should clarify this issue.
Question #82:
Received: 11127/07
From: GTL
Question: "Rates and Fees, page 27 ofthe RFP, Section 7: Are vendors permitted to charge a
onetime surcharge upon call acceptance and a rate per minute, for example $1.28 surcharge and
$0.068 per minute or does NYDOC desire no surcharge and a rate per minute only?"
Response #82:
The DOCS requires a single per minute rate without connection fees.
Question #83:
Received: 11/27/07
From: GTL
QuestiQn: "Scoring, page 32 Section 9.3.4 the State had dictated "the lowest bidder will receive
the full.70 point value; higher bids will receive a proportional point value ..." will the State
please publish the exact formula with an example of how this will be done?"
Response #83:'
No. The formula wi II be shared with all vendors after a winning vendor has been selected.
Question #84::
Received: 11/27/07
From: GTL
Question: "Regarding Section 8.3 Escrow ofSofiware, how does the State define "unable or
unwi lIing"
Response #84:
The wording is self explanatory, likely synonyms would be can't or won't.
Question #85:
Received: 11/27/07
From: GTL
December 20,
Page: 22 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question: "Regarding Section 8.3 Escrow of Software: How will the State safeguard the
proprietary property of the Vendor?"
Response #85:
It is the responsibility of the escrow agent chosen by the bidder.
Question #86:
Received: 11/27/07
From: GTL
.
Question: "Rates and Fees, page 27 of the RFP, Section 7, all of the specification(s) of7.2 Rate
Structure; The State requests a "single per minute rate inclusive of all fees, taxes, connect
charges or other costs of a call.. .". Does this include costs or fees solely related to billing and
payment methods ego Cost recovery fees for Bill Rendering (Single Bill Fee), for the
establishment and maintenance of customer deposit accou,nts, credit card fees or fees paid to 3rd '
party vendors (Western Union) all of which are not directly incurred on a per call basis or
associated with the provision of a call?"
Response #86:
No.
Question #87:
Received: 12/05/07
From: Public Communications Services, Inc.
Question: "Section 2.1, Term of Agreement. Will the DOCS agree to a contract provision
whereby both parties must agree to renewal after the expiration of the initial three year term?"
Response #87:
No. The term and the conditions of the agreement as specified in section 2.1 will not be altered.
Question #88:
Received: 12105/07
From: public Communications Services, Inc.
Question: "Section 3.8 and 3.8.2, Transition/Migration. GTL has a proprietary software system.
Will the DOCS please confirm that GTL will leave appropriate formatting information for the
new vendor to access and migrate the data and call recordings from GTL's tenure?"
Response #88:
Refer to official response #20 in this document.
Question #89:
Received: 12/05/07
From: Public Communications Services, Inc.
Question: "Section 3.8 and 3.8.2, Transition/Migration. Please clarify that the new vendor will
be ableito use all ofGTL's equipment currently installed at the facilities, as well as the
LazerPhone software installed on it, during the term ofthe transition to the new platform."
Response #89:
Subject to the terms of the previous contract, all equipment becomes property of the DOCS upon
termination. The DOCS will assist the new vendor during transition. The DOCS is requesting
December 20, 2007
Page: 23 of 32
NYS Department ofCorrectionaJ Services
Inmate Telephone System RFP Questions/Responses
that the bidder provide a solution to the issues related to transition and migration. Bidder
responses will be evaluated.
Question #90:
Received: 12/05/07
From: Public Communications Services, Inc.
Question: "Section 3.15, Reporting, requests reports showing "actual duration" and "billed
duration." What is the DOCS asking for here? 00 you mean billable seconds ("actual duration")
and billable minutes ("billed duration") for the purpose of verifying the conversion to billable
minutes? Or are you looking for the total time of the call from off-hook to hangup for "actual
duration"?"
Response #90:
For the purpose of the reports specified in section 3.15, actual duration refers to the total time of
billable. seconds. Billed duration shall include the total billed time in minutes as required by
section 7.2.3.
Question #91:
Received: t 2105/07
From: Securus Technologies Inc.
Question: "Will the Bid Opening will be a public event? Ifit is, what time and where?"
Response #91:
The bid opening is not a public event. All bids are due by 2 PM EDT 12/27/07. Financial bids
will not be opened until the technical evaluation has been completed. In the event the Bidder is
disqualified during the techn ical evaluation phase, the Cost Proposals will be returned unopened.
Refer to section 9 Administrative Procedures.
Question #92:'
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "Section 3.4.15 - The answer to Question 14 on this subject references the NY Relay
center and TOO operator services. Is there a pre-existing contract for these services or will the
successful vendors need to enter into a contract with the providers?"
Response #92:
There is no contractual agreement between the DOCS and the NY relay center and TOO operator
services. The DOCS is requesting that the bidder provide a solution to the issues related to TOO.
Bidder responses will be evaluated.
Question #93:
Received: 12/05/07
From: .Inmate Calling Solutions, LLC
Question: "Question 58 from the previous Q & A - We understand that the issue of additional
fees is still being evaluated and that a decision is forthcoming. ICSolutions believes that these
charges, while common in the industry may have a significant impact on the overall cost to the
paying party. As such, we request that either a) such charges should be prohibited for any
vendor :participating in this bid, or b) that such charges must be. clearly stated in the bid response
December 20, 2007
Page: 24 of 32
NYS Department of Correctional Services
Inmate TeJephone System RFP Questions/Responses
as to the equivalent per minute rate impact of these charges. (For example, if a vendor Charges a
Billing Cost Recovery Fee of$I.95 per called party per month and the average called party
receives 4 calls per month, then this fee has an estimated impact of $0.49 per call or $0.025 per
minute for a typical 20 minute call.)
If such charges are to be allowed, we request that the rate table be expanded to require vendors to
disclose these charges separately.
E ..............
~--
I Domestic Calls
Rate per Minute
Monthly/Bill Cycle
Fees
$1.95
$0.08
Effective Rate per Minute Calculation:
+
Monthly Fees
$0.104375
Base Rate
(4 Calls x 20 minutes per call)"
Response #93:
Refer to the ITS-RFP-Modifications docum ent of December 12,2007. Modification 4 ofthe
RFP should clarify this issue.
Question #94:
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "Section 7.2.1 and 7.2.2 - We understand that the issue of taxes and regulated
universal service fund fees is still being considered by DOCS and that a clarification is
forthcoming. It is also worthwhile to note that many regulatory agencies specifY the manner of
passing through Universal Service Fund charges and often require that these fees appear as a
separate line item on the end-user bill. Creating an all-inclusive rate that never has taxes or USF
added to it may present a bi II ing challenge for collect calls."
Response #94:
Refer to the ITS-RFP-Modifications doc urn ent of December 12,2007. Modification 4 of the
RFP should clarify this issue.
Question #95:
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "The successful vendor will likely need to establish a service location within the State
to properly manage this accoul)t. Does the current vendor have a location in New York? Ifso, is
this office co-located with NY State offices in Albany and would such an arrangement be made
available to other vendors?"
Response #95:
It is the so Ie respon sibility of the wining vend or to com ply with the requirements specified in
section 3.7.4. "Within 30 days ofcontract award th e vendor shall detail the location and
number ofmaintenance staff, staffexperience and procedures to provide on-site maintenance
service 'at all the DOCS' locations with ve
ndor provided equipment to meet the DOCS
performance requirements. It is a mandatory requi rement ofthis RFP that the vendor agrees to
have maintenance personnel within a three (3) hour drive from ea ch ofthe DOCS~ locations
December 20, 2007
Page: 25 of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
throughout New York St ate. Failure to do so will re suft in a breach ofcontract. A map ofthe
DOCS' facility locations is provided in Attachment A. "
Question #96:
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "Section 6.4.2 - Please confinn that the requirement for financial reports is primarily
focused on the Prime Contractor. Subcontractors may play various roles, many of which are
Iimited:in scope and the provision of sensitive financial data is not warranted."
Response #96:
Refer to official response #43 in this document.
Question #97:
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "General - Please confirm that no bid bond is required for this procurement."
Response #97:
Confirmed.
Question #98:
Received: 12/05107
From: Inmate Calling Solutions, LLC
Question: "General - The RFP clearly focuses on the end user rates and technology that is
compliant with the specifications stated. Will the DOCS consider any additional/advanced
technology? If so, where should vendors include such infonnation and how will such options be
evaluated/scored ?"
Response #98:'
The RPP focuses specifically on the business requirements for an Inmate Telephone System
only. The DOCS cannot consider any services other than those stated in the RFP, refer to section
9.2, "The rules establishedfor proposal content andformat will be rigidly enforced. Var~ations
from the rules prescribed herein may subject the bidder to outright disqualification. "
The DOCS is always open to vendor solicitation for other products and services through normal
channels.
Question #99:.
Received: 12/05/07
From: Inmate Calling Solutions, LLC
Question: "General - Please confirm that responding vendors should use Appendix L as the only
guideline for proposal response submission. In other words that additional documentation
should only be included where noted in Appendix L."
Response #99:
Confinned. If there is any disparity between Appendix L and the RFP, the RFP language will
take precedence.
Question #100:
December 20,
Page: 26 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Receiv¢d: 12/05107
From: GTL
Question: "Page 25, Vendor Qualifications, specification 6.1. Second paragraph "The ~idder
shall submit three (3) client references. Is it the intent of NY DOC that vendors will utilize only
their references where they are the Prime contractor and NOT the references of their
subcontractors?"
Response #100:
Refer to official response #43 in this document.
Question #101:
Received: 12/05/07
From: GTL
Question: "If taxes are removed from the per minute rate as requested in the questions
submitted, will NY DOC provide what state & federal taxes, regulatory charges such as FUSF,
State USF, etc are allowed to establish a "level playing field" with what is allowed to be
charged?"
Response #101:
Refer to the lTS-RFP-Modifications docum ent of December 12,2007. Modification 4 of the
RFP should clarify this issue.
Question #102:
Received: ·12/05/07
From: OTL
Question: "May bidders ask additional questions beyond December 5 based on NYDOC
responses to the outstanding questions previously submitted andlor asked at the bidder meeting
but not answered by NYDOC yet?"
Response #102:
Yes, The DOCS has received 27 additional questions since the pre-bid conference, to allow the
vendor community enough time to seek clarification on the modifications to the RFP and the
new questions and responses contained herein, an extension will be granted. Bidders have until
2 PM December 18, 2007 to ask additional questions. The DOCS will answer all questions by
December 21,2007.
Question #103:
Received: 12/05107
From: GTL
QuestiQn: "Spec 6.4.2 Page 27 Complaint History: How will NY DOCS evaluate this
requirement and how will NYDOC validate self reported responses?"
Response #103:
Bidder responses will be evaluated in a fair and equitable manner.
Question #104:
Receiv<yd: 12105/07
From: GTL
December 20, 2007
Page: 27 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question: "Spec 3.2.5, Page 10: Greater than 10% of all households have no land lines
whatsoever and communicate only via cell phone. Would the NYDOC entertain allowing end
users to set up prepaid accounts with their cell phone permitted to receive inmate calls?"
Response #104:
The NYS DOCS Directive 4423 prohibits calls to wireless communications devices; until the
directive is modified the DOCS will attempt every means to enforce it.
Question #105:
Received: 12/05/07
From: GTL
Question: "Spec 3.2.5, Page 10 and Answer to Questions # 12 and #] 3 from November 29, 2007
Question and Answers. The response to questions # 12 and # 13 states this requirement is a non
mandatory and non evaluated item however Appendix L, Page 4 indicates points are awarded for
this requirement. .Please clarify whether evaluation points are awarded for this requirement."
Response #105:
Section 3.2.5 shall not be evaluated and no po
ints will be awarded. Appendix L has been
modified to reflect the correction. Refer to the ITS-RFP-Modifications docum ent of Decem ber
12,2007.
Question #106:
Receivyd: 12/05/07
From: VNISYS Corporation
QuestiQn: "RFP Section 7.2- Rate Structure - As discussed at the bidders' conference, Unisys.
believes that the current instructions for the price proposal creates ambiguity and will prevent the
DOCS from evaluating each vendor on a level playing field.
Can you confirm whether or not the DOCS will permit a per call surcharge for collect or pre-paid
calls?
Can you confirm whether or not the DOCS will allow a bill rendering fee or the like for collect
calls?
Can you confirm whether or not the DOCS will allow for pre-paid account set up fees, pre-paid
account recharge fees, or the like?
. Can you please describe how the state intends to evaluate the total cost of each vendors system if
it does allow any of these fees?
Can you please remove the requirement to include all taxes, jurisdictional taxes and any other
government mandated fees?"
Response #106:
Refer to the ITS-RFP-Modifications docum ent of December 12,2007. Modification 4 of the
RFP should clarifY these issues.
Question #107:
Received: 12/05/07
From: UNlSYS Corporation
December 20, 2007
Page: 28 of32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Question: "RFP Section 3.4.15 - TOO Devices - Will the State aJlow re-use of existing TOO
devices?"
Response #107:
Yes.
Question #108:
Received: 12/05/07
From: ~ISYS Corporation
Question: "RFP Section 3.7.2 Damage,;. This provision imposes upon the vendor unlimited
liability for damages that cannot be reasonably anticipated or controlled by the vendor. For
equipment related damages not caused by a natural disaster, we ask that the DOCS establish a
reasonable limit for all replacement and repair liability for the vendor. In addition, consistent
with the requirements of section 61 Savings/Force Majeure of the General Specifications, we
request:that the vendor not be held liable for damages resulting from natural disasters."
Response #108:
The expectation of the DOCS is that all bidders will comply with the terms and conditions of
NYS contracts.
Question #109:
Received: 12/05/07
From: UNISYS Corporation
Question: "RFP Section 8.4 Breach of Services - This provision only provides ten (10) days for
the vendor to correct a breach to the DOCS satisfaction. In some cases 10 days may not be
sufficient time to correct a breach. We ask that the DOC revise this provision to allow the vendor
thirty (30) days to correct any breach."
Response #109:
The current language will not be modified. Given the nature of the requested services where
health and safety is at stake, ten days is more than sufficient.
Question #110:
Received: 12/05/07
From: UNISYS Corporation
Question: "RFP Section 8.5 Termination - Would the DOC please confirm that the requirement
that all installed equipment, wiring, servers, communications components and related elements
become the property of the DOCS without further cost to the DOCS, does not apply to contracts
terminated for convenience or default? We believe that if the contract is terminated for
convenience or default it is unreasonable for the vendor to be required to turnover to the DOC all
equipment, wiring, servers, communications components and related elements, if the cost of
these items has not been recouped by the vendor during the course of the contract. As such, we
ask that this provision be modified to allow vendors to submit a settlement claim if the contract
is terminated for convenience of default."
Response #110:
The requirements as stated in section 8.5 are confirmed. No such provision will be considered.
Question #111:
December 20, 2007
Page: 29 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Received: 12/05/07
From: UNISYS Corporation
Question: "General Question - Is it the intent of the DOCS to negotiate with the successful
bidder a final contract that is mutually acceptable to both parties?"
Response #111:
Yes.
Question #112:
Received: 12/05/07
From: GTL
Question: "Is it the intent of NY DOC to migrate the existing non-inmate related services,
(Video, Frame Relay, Admin Voice & 800) presently provided by GTL to a service provider of
NY DOCS choice on April 1,2008? Please confirm that the Inmate Phone RFP will not cover
these services?"
Response #112:
Confirmed.
Question #113:
Received: 12/05/07
From: Securus Technologies Inc.
Question: "According to the paragraph 1.6 Schedule of Events ofthe NYS DOCS ITS RFP:
Event: Bid Opening Date (Technical Only); Day: Fri; Date: 12/28/07 There will be Bid
Opening for the Technical Only section of the RFP.
Question 1. Can vendors be present during the Technical Bid Opening on Friday December 28,
2007? If the answer is Yes, then:
Question 2, What time and where will there be Technical Bid Opening on December 28, 2007?"
Response #113:
Refer t<? official response #91.
Question #114:
Received: 12/17/07
From: Public Communications Services
Question: "Does the DOCS want bidders to return the RFP, the Answers to Questions, and the
Modifications to the RFP with our proposal?"
Response #114:
No. Please follow the instructions contained in section 9.2 Proposal Format. The RFP, Q&A
and any modifications will become part ofthe final contract.
Question #115:
Received: 12/17/07
From: Public Communications Services
Question: "On the Closing Date for Receipt for Bids, December 27 at 2 pm, will there be a
public reading of the names of bidders and any additional information?"
Response #115:
December 20,2007
Page: 30 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
No. Bidders were provided with a list of all companies that submitted a Notice of Intent to Bid
(Appendix K) at the pre-bid conference.
Question #116:
Received: 12118107
From: GTL
Question: "Pursuant to Section 8.2, the winning vendor will provide to DOCS a perpetual non
exclusive license for all software used in the delivery of services under the contract and that such
license shall continue after the term of the contract.
Under Section 8.3, DOCS "shall be deemed to have full ownership rights to the software and
materials" if the vendor is unable or unwilling to meet its obligations under the contract.
Does DOCS intend that the above referenced language in 8.3 as a complete grant of intellectual
property, i.e. the vendor loses all ownership interests in its source code if it is unable or unwilling
to meet its obligations under the contract or does DOCS intend that the language in 8.3 will
secure DOCS a perpetual non-exclusive license to the software and materials utilized in the
delivery of services under the contract in the event that the vendor is unable or unwilling to
meets its obligations under the contract?"
Response #116:
Sections 8.2 and 8.3 are exclusive. The intent of section 8.2 is to secure a perpetual license for
software required to maintain a fully functioning ITS and compliments section 3.12. Section 8.3
is inteniled to secure the vendors intellectual property through an escrow agent, should the
vendor be unwilling or unable to perform the services contracted for.
Question #117:
Received: 12/18/07
From: aTL
Question: "Per requirement 3.2.3 Accounting Management - Does the NYS DOC seek
documentation on the processes involved in the vendors billing reconciliation? Or is the DOC
seeking the ability to reconcile call records within its systems?"
Response #117:
The requirements in section 3.2.3 are meant to compliment section 3.9.2 Data Reconciliation, the
DOCS intent is for the vendor to provide both.
Question #11~:
Received: 12118107
From: GTL
Question: "Per requirement 3.3.3 Announcements- .....The event shall be identified and
recorded in call detail records. - What event is the NYS DOC referring to? Is the DOC asking
for positive confirmation of rate quoting to the customer or just acceptance or denial ofthe call?"
Response #118:
The event referred to is meant to capture the acceptance or denial of the call.
Question #119:
Received: 12/18/07
From:GTL
December 20,2007
Page: 31 of 32
NYS Department of Correctional Services
Inmate Telephone System RFP Questions/Responses
Questidn: "For the purpose of providing clarity and certainty with respect to the operation of
Section 8.3 Escrow of Software, would the State agree that the scope of "unable or unwilling" is
intended to be defined similarly to the following? " ...The escrow agreement shall specify that
the software source code and production code and all related material shall be provided to the
DOCS at no cost in the event of the occurrence of the following: (i) the institution by or against
vendor pfinsolvency, receivership or bankruptcy proceedings; (ii) vendor's making an
assignment for the benefit of creditors; or, (iii) vendor's dissolution or the cessation of its
ongoing business. In such event, the DOCS shall be deemed to have full ownership rights to the
software and materials .... "
Response #119:
The DOCS agrees that the suggested definition provided accurately depicts fragments of the
"unable" clause.
Question #120:
Received: 12118/07
From: GTL
Question: "Pursuant to NYZ DOCZ response to Question 102: GTL is concerned that a
response date by NY to additional question on December 21 st will create a delivery problem on
the RFP response for all bidders. Shipping anything this time of year can be problematic. Will
the State considering moving up the deadline for answers to December 20th or push the RFP due
date back one day to December 28th?"
Response #120:
After discussion with New York State control agencies and in consideration of the Holidays and
the delivery difficulti'es that could be encountered, and to ensure that all vendors have sufficient
time to .review all Questions and Answers and prepare their bids, the DOCS will extend the Bid
Submission date to January 4,2008 at 2:00 PM EDT.
The extension will have the following impact upon the project schedule:
Event.
Release of RFP
Day
Registration for Pre-Bid Conference Due
Mandatory Pre-Bid Conference
~,,~~<~<,«,
12118/07
Final Written Questions Due from Bidders
Official Response to Bidders' Questions
Closing Date for Receipt of Bids
Bid Opening Date (Technical Only)
Selection of Contractor
<
Thu
12/20/07
Mon
Wed
117/08
1130108
Contract Signed by the DOCS and Contractor
Wed
2/6108
Contract Award (Office of the State Comptroller Approval)
Project Initiation Meeting
Fri
3128/08
Mon
3/31/08
Implementation Complete
Mon
6/30/08
December 20,2007
Page: 32 of32
UnlSis
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______
15 January 2009
Mr. Michaer Mulrooney, Integrated Communications Manager
State of New York, Department of Correctional Services
Management Information Services
1220 Washington Avenue
Albany, New York 12226
Subject:
Unisys NYS DOCS Inmate Telephone System Proposal
Dear Mr Mulrooney:
Enclosed are copies of two technical documents from our proposal in- response to the
New York State Department of Correctional Services Request for Proposal for An Inmate
Telephone System. These documents have been redacted' in accordance with the
disclosure exemptions provided in NY State Public Officers Law, Article 6, §87, Sections
2 (c) and 2 (d) . We submit that the redacted material, if disclosed "would impair present
or imminent contract awards or collective bargaining negotiations; and are trade secrets
or are submitted to an agency by a commercial enterprise or derived from information
obtained from a commercial enterprise and which if disclosed would cause substantial
injury to the competitive position of the subject enterprise.
In particular, Unisys considers the redacted technical information regarding our ITS
architecture as proprietary and as such is kept secret by Unisys. Access to this
information would harm Unisys by providing our competitors with detailed information
about our system components and therefore costs. Our approach detailed in this
information has enabled Unisys to provide the State with the lowest inmate telephone
system rates and best value.. Releasing this information would not only harm Unisys but
harm future procurements by NY State because of the damage to the integrity of the
competitive procurement process created by our competitors having access our
proprietary information and pricing development strategy.
If you would like to discuss this further, please do not hesitate to call me at 703-439
6282..
.
Sincerely yours,
IJ
.
/,rJ-</ft~
IPaul Nicandri
Unisys NYS DOCS ITS Program Manager
cc:
Catherine Solibakke, William Wotherspoon
1
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__...
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...._._.
New York State
_:peR~_:rtm~nt . 9f C9rr~~tiQnal . . Seryice_t.J___.. _._.__.
Inmate Telephone System
I)
UNISYS
Imagine it. Done.
Part I: Technical Proposal
RFP Number: DOCS RFP MIS ITS 07-001
January 4, 2008
Unisys Corporation
11720 Plaza America Drive
Tower III
Reston, VA 20190
I
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UNISYS
New YOlk State DOCS ITS Technical Proposal
TABLE OF CONTENTS
Executive S~aty ....... ..... ..... ..... .... . . ....
............ ..... . . .... ... ...... .... '" 1
._-...._-- - -.. RFJ.>-:App-errdix- L::=:::::=:".::::==:==';~:-;-;::-:-'-'-:::'~:~~.:::-:-::-::-;:':~~:~";:-.12.--..--.-..
.. ..... ...... ..... 1
.17
....... 24
3.. 0 Mandatory Features and Functionality [RFP Sections 3 J and 3.4] ..
4.0
Section
.44
...... .47
....... 57
70 Phase-Out Plan [RFP Section 3.12] ..........., ..
.
.......... 58
8.0 TIaining [RFP Section 3.13] ...
.. 60
.63
9 0 Reporting [RFP Section 3 . 15] ..
..70
10.0 Customer Selvice [RFP Section 4.0] ....
11.0 Pelformance Requirements [RFP Section 5.0] ..
79
12.0 Vendor Qualifications [RFP Section 60] ........ .
84
... 110
13.0 Billing [RFP Section 73].....
... 114
ATTACHMENTS ..
PIOgram Management Plan.
.. ... 114
System SecUlity Plan ............ " ..
.... 115
ConfigUlation Management Plan .
116
.................... 117
Implementation and Migration Plan . ..
.118
Focus Hatdware Product BrochUles . .
Colle'ct Call Billing Process ..
119
. .120
Focus System RepOIts ........................ .
.......... .....
. ...... 121
Unisys Financial Stability Documentation ..........
I
1
e
UNISYS
New York State DOCS ITS Technical Pmposfll
LIST OF EXHIBITS
Table 0-1- The Unisys Team. Unisys blings a team with exception background and
. 3
capabilities in providing ITS solutions across the US
"-Tabl\;fO;.2·:-TIre-tJnisysTeati:fI::;eade-1'ship-:-;:·:.-~~==:::....
... , ..::":.. : . .-. -.... ;:;:-:~-::-- ....---'1--------..-.. ----+
-.
I able 3-1 - Levels of Class of Restrictions,...... . . . . ....... ...
26
TabI~ 5-1: Unisys Team Planning PlOcess
. ,.... 49
Table 5-2 - Benefits of the Unisys Team's Product Acquisition Approach and
..... ... ......... ...., ,. ..
.. ..... .... .... ..... .... ......
... .50
Capabilities
I able 5-3: Features and Benefits of Our Risk Management APPIoach . . . . ....... ,. .... 52
I able 5-4 - Unisys Team Leadership ...
..... ......
..,:..... ................ ,. 54
I able 7-1 : Phase-Out I ral1sition Schedule.. .
...... "..... .....
. ..... 59
Table 8-1 : Sample I raining Outline. .. ...
... ,...... .....
.......... ,....... 61
I able 9-1 Listing ofInvestigative Reports
.... 65
I able 9-2 Listing ofMaintenance RepOlts . .
..... 66
Table 9-3 Listing of Financial RepOIts
..... , .. ,
.... 66
Table II-I Ticket PriOlity Handling. . ... ... ....,..
. 82
I able 13-1: NYS LEeS with Billing Agreements in Place..
........ 110
Exhibit 1. - Featur es and Benefits of the U nisys AppIoach. . .
....... ,.. 6
Exhibit 2- The Unisys Approach .....................,. . . . .... ,.. ,.... .
. . ..... 11
Exhibit 3 - High Level Unisys NYS DOCS lIS Architecture
.... ,........., .. 1
Exhibit 4 - Unisys HistOlY of Outsourcing ......................................................................... 2
Exhibit 6 ~ NYS DOCS ITS Voice Architecture ....
Exhibit 7 - NYS DOCS lIS Data Backup Process:
Exhibit 8 - RecOlding Lock and Unlock Feature .....
Exhlbit 9 - CDR Browser Data Screen ...... .
Exhibit 10 - SpyPlayel Screen ........... , ...
. .. " .....
Exhibit 11 - System Level Acce~s Secmity..
Exhibit 12 - Usel Level Access Secmity ......
Exhibit 13 - Fault Management Capabilities .... ..... ,..........
Exhibit 14 - System Hourly Usage ,., ..... ,..... .
Exhibit 15 - Phone Hourly Usage Report.
Exhibit 16 - Suspended Inmate Reference ......
Exhibit 17 - Access Control ..... .
Exhibit 18 - Call Block Status
Exhibit 19 - Cut-off Call Feature.
Exhibit 20 - Call Monitor... .
Exhibit 21 - Number Control. , ..
Exhlbit 22 - Allow List Detail Specifications ....
Exhibit 23 - Access Control ...
Exhibit 24 - Configurable Feature Access ........
Exhib.it 25 - HOUlS of Operation Access Control ............... .
,
Exhibit 26 - Call Duration Access Control ......
Exhibit 27 - Call Duration....
Exhibit 28 - Phone Station ActivationlDeactivation ......
11
,..... 8
...... 10
...... 12
.... 14
14
.16
16
.17
.... 21
. ..... ".22
.27
.... " .... 28
., .. 29
.... ,... 30
.•. 31
... 32
33
... 34
..... 35
......... 37
.38
.....,.. ",39
..... " ....... 40
o
_
UNISYS
New YOlk State DOCS ITS Teclmic:al Pn)posal
Exhibit 29 Called Numbel Language Selection _..
Exhibit 30 - U1tratec Supercomm 4440 _
Exhibit 31 - Emergency Shut Down __
------Exhibit12-:-APC-tJPS-Configunttion
Exhibit 33 : Focus Help Screen
Exhib'it 34: Report GUI-
Exhibit 35: Customized Report GUI. ... _ _
Exhibit 36: V-CONNECT Home Page _
Exhibit 37: IieI-2 Trouble Escalation and Resolution Process ..
Exhibit 38 - Tier.3 Resolution Process ________. _. ._
Exhibit .39: Pre-Paid Calling Procedure ._._.
Exhibit 40: Payment Screen for V-CONNECT ____... _
=T..H_ __
III
----_.
.41
_.41
... 43
_ 62
.
.67
68
... 76
80
... 83
_111
112
o
UMSYS
New YOlk State DOCS ITS Tee/mlcftl Ptoposal
Executive Summary
Unlsyj;s pl0udtojoin VaiueAdded CoiittntlniclItions, Inc~{VAC)a.ndShaj.,nTecitCQmmunications in
mhfttilting (m' response to the Smteo] .ft{ew Yo,k Ininate fe1ephone$ysti!1tt (ITS) Reqllestfo l Pl'Oposal
(REP)" TheUnisys ream hfings apowe,!ul c()mhination'()]peop/i!y expetience,.tecltnica!sqlution,<(lnd
deliv~ly ap[Jl:ouclt·that makes us theopt(lttllll,rd,oic;e to implement/hi State oj !Vew :rOT k; s.next'·
genel'Otion
.
.... . ..
. ......
....
.
ITS~
Expelience and Ability
As a global leadel in providing professional consuJting and staffmg selvices to clients worldwide, Unisys
offers the New York State (NYS) DepaItment ofConectional Services (DOCS) depth and breadth of
experience in service delivery and project administr ation, Unisys has had a strong presence suppOIting
NYS agency initiatives for over 30 years We have developed a cOle competency, backed by a proven
track recold in pIOviding technical support personnel, through decades of experience partnering with NYS
Agencies Unisys has an in-place combination ofa local account management team, our ContIact
Manager, refined processes and exceptional resource capacity, along with ow candidate qualification
methodology that have been fully developed and proven at the State, Our references at the Department of
Taxation and Finance, Office of Temporary and Disability Assistance and our histOly with the Office for
Technology are a testament to our experience, ability and commitment to successfully deliver IT projects
OUT collective inmate telephony experience is unparalleled in its breadth which covers federal, state, and
local institutions
The Unisys solution provides significant and unique features that give NYS DOCS the best combination
of low rates, secwe and reliable systems, staff qualifications, and experience., Unisys and our teaming
partners Value Added Communications, Inc (VAC) and ShawnTech Communications understand your
business, goals, and requirements Unisys strongly believes that oUI proposal exceeds the requirements
specified in RFP and will provide the "best value" to the State,. We look forward to continuing to wot k
closely and cooperatively with NYS DOCS in providing technical support personnel and the quality of
, work and selvices specified in the RFP,
We offet next generation TIS hardware and software to provide the optimum solution fOI the next
generation TI S, Our team has extensive experience designing and providing ITS solutions fOl Federal,
state and local prison popUlations; installing and maintaining large-scale nationwide and state systems;
and working in partnership with ow customer s to develop enhanced solutions . Our proposed staff has
successfully managed large-scale telecommunication system programs; possess knowledge of State of
New YOlk policies, procedures, and culture; and have hands-on expeIience with the full range of
conectional systems, The team has more than 100 years of combined experience deliveIing solutions in
the corrections and law enforcement ar-ena. We offet a proven solution with a user learning curve that is
lowel and shorter than any otber approach. Our delivery and transition approach is optimized to mitigate
critical risks to the NYS DOCS ITS program. We have significant expeIience transitioning local, state,
and FedelalITS systems, and our customers are highly satisfied with our delivery results
Unisys is proposing the VAC Focus system to meet the requirements of the State of New York TIS In
addition to providing a smaller, high-density hardwar'e footprint and technological refr'esh capabilities, the
Focus system can be quickly installed, requires low maintenance, and provides the user choices in
advanced r-emote or local monitoring and configuration capabilities, Our ITS solution is highly reliable
and resilient For example, in November 2007, we averaged less than OJ 7 trouble tickets per site for our
Federal Bureau of Prisons (FBOP) customer with no down time fOl any ofthe 94 systems in production
that support near ly 6500 phones and 180,000 inmates
EXECUTIVE SUMMARY
ES-l
--.----
o
UNISVS
Nell' York State DOCS ITS Tee/mical Proposal
We are highly qualified and experienced in migrating customers from legacy to next-genetation systems
as evidenced by our most recent transition of over 100 FBOP sites while meeting every milestone. Our
IT S solution is designed to be easy to install, and we will have Shawn I ech field support staff located
--_. within-t/u~holll-s.dJ.iving distance of all State-ofNew.-Yotk cOrt'ectional-facilities·~Based on these-facts-·· .-.---.-.. --+
and considerations, the Unisys I eam is confident we offer the State of New Y OIk the lowest cost and
lowest risk solution fot the I IS
Our team is the rightteam to deploy and maintain the NYS DOCS ITS at the lowest per minute tate. Ihe
full intellectual property and research and development capabilities ofUnisys and V AC will be brought to
bear on the State ofNew York's needs Ihe Unisys Ieam represents the best choice to achieve the next
gener at ion of inmate telephone capabilities We understand that, in addition to the State of New York's
need to meet basic ITS operational requirements, the State also faces challenges such as the need to detect
and prevent criminal 01 other inappropriate inmate conduct. Our solution incorporates outstanding three
way call detection capabilities In addition, we offer optional security and investigative services such as
automatic verification of inmate callers through voice recognition plus key word and phrase scarming of
recorded calls. We are developing enhancements to the required capabilities - putting us in an advanced
position and making us the only I1S provider that can reliably help the State Iyalize full potential of the
lIS With the Unisys Ieam solution, the State ofNew YOlk will have a system with more functionality
and greater dependability than any alternative offering, and one that takes full advantage of latest
advancements in technology to assist the State in satisfYing future needs.
The Right Team
The Uni~Y5teai1t i5collimifted to,tltes"Ccessfuj4i!livery (lnd opela/ion oj.rlieSia1eofNewYol'k }T$~
Welliu{eritaitd Stlltepolidesan,djiiocedulesjani{wehavesl!ccessli11lydevrdoped,.. delivel'~d, a~r!
ma[nta1ne,tf,tlytlTS/ollhe/iBQPand ihestates oj(;t!llhudoiMi5soUJi,· Washing/Oil, and l'enllsylvall,itl.
Th~tflli.sYsTeajn'sproiJ()·sedpiogtaminanage1tlillt s/afJ'ltn(!e~tillld5 thecimectio.nsellviltHlme11ct and
a
lias 'del1foIl5ttate(fabiUty /o;exceedcwfomer
expeCtiltions~··
.
....
.
.
Ihe Unisys I earn is focused on bIinging the most qualified and skilled staff~ with the highest level of
expertise and best-in-class capabilities to this engagement Iogether, the Unisys Ieam represents this
optimum mix of attributes We have created a truly integrated working partnership fOf the delivery and
operation of the ns. Ihis partnership is built on:
./ A shared commitment to the success ofthe IT S
./ Meaningful and open communications
./ Accountability fbI results
./ I lust
./ Flexibility
./ Risk sharing
As the prime contractor, Unisys will be responsible fOI the overall effort and will provide leadership to
achieve Sl1ccess.
Table 0-1 provides a summary of the qualifications the Unisys I earn brings to the program.
EXECUTIVE SUMMARY
ES-2
iii
UNISYS
Company
•
UNISYS
New Yotk State DOCS ITS Technical Pt'Oposul
Capabilities
Headquartered in Blue Bell. Pennsylvania. Unisys is apublicly held Fortune 500 company with nearly $6
billion in annual revenue. We have aproud 118-year history of creatively helping businesses and
governments apply. information technology (IT) to achieve new levels of competitiveness and success· QUf
36,000 employees serve more than 500aO clients. including more than 1.500 government
agencies worldwide, as well as over 900 local governments. Unisys is one of the largest IT solutions
providers and manufactures of some of the most reliable, high-performance servers in the world As a major
systems integrator, Unisys has successfully met some of the most complex commercial and federal IT
implementation challenges. Unisys is also one of the world's largest telecommunications system integrators
and a global leader in biometric research, development, and application. Our expertise in both areas will
provide the State of New York with an unparalleled source of industry expertise and capabilities. Unisys has
more than 100 telecommunications service provider customers in 40 countries Our speech recognition
solutions group has been awarded four patents and currently has six patents pending Over the last 3 years.
have spent more than $1 billion on research and development (R&D) to maintain our competitive edge in
the IT market
Table 0-1 - The Unisys Team Unisys brings a team with exception background and capabilities in
providing ITS solutions across the U,:S
One ofthe strengths of the Unisys Team is OUI R&D investment in Unisys produced hardware used to
satisfY current industry and government requirements. Unisys is the only ITS ptime that manufactures
hardware The Unisys I eam offers the State an unmatched ability to ensure high ITS reliability and
system performance We provide some ofthe most reliable and scalable servers in the wotld, For
example, our hardware is used by global financial service institutions and telecommunications providers
to process trillions of dollars oftransactions and millions of voice communications per day, Iespectively
Io ensure we are always able to provide the levels of performance OUI clients expect, Unisys maintains
strategic and col1abOIative relationships with the leading IT vendors. We share, fm example, enterprise
class competency center~ with MicIOsOft and Intel, which are chartered to provide highly qualified
expeItise and deploy highly reliable solutions in a Windows operating envimnment.
VAC has a proven record of supporting correctional customer s over the past decade . In 2004, pr jol' to the
FBOP conttact, Unisys conducted an extensive evaluation onTS vendors and products (e.g., Securus,
ICS, and Radical) and determined that VAC offered the mix of solution functionality, quality-driven
services, and familiarity of the environment that is essential to ensuring ITS program success VAC's
inmate calling solution-Focus-meets or exceeds all of the technical requirements of the RF P. Unisys
considers V AC a best-in·cIass inmate telephony solution providel. While OUI' teaming arrangement with
VAC is typically non-exclusive, V AC is our only choice for partnering in the inmate telephone market.
Over the past two years, Unisys and VAC have built a solid working relationship, and we are confident of
our ability' to partner with the State of New York for the successful IOllout of the next-generation lIS .
EXECUTIVE SUMMARY
ES-3
17·83
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uNisrs
New Yotk State DOCS ITS Tecllllic(li Proposal
,
Progra~
Management and Key/Critical Personnel Highlights
The best ~rvice companies are a reflection ofthe quality and commitment oftheir employees. We have
selected a proven and well-experienced staff of senior managers and engineers for the NYS DOCS
engageme~t who have made substantial contributions to each partners' corporate success. Each proposed
staff member has the breath and depth of relevant experience and qualifications required to effectively
support a ~igh-visibility DOCS ITS and telecommunications progIam.
The Unisyt I eam's NYS DOCS ITS program organization is structured to leverage the core capabilities
of each company and to ensure the implementation and management of the effort in the most efficient and
cost-effective manner There is no duplication of effort between prime and subcontractors on our team .
Unisys has a strong history offosteling integrated and "badge Jess" program organizations comprised of
well-motivated and client·focused staff The processes and tools outlined in our proposed Program
Management Plan (including the use of a web portal), have proven successful in Unisys' management of
Jruge IT prQjects and have demonstrated effectiveness in enhancing team communications. The following
Table 0-2 provides a high-level profile of the Unisys Ieam seniOl leadership pelsonnel.
EXECUTIVE SUMMARY
CI
UNISYS
New York State DOCS ITS Tee/llIiwl Proposal
Key Responsibilities
Unisys Team Sr.
. Leadership
Mr. Robert Bratt,
Unisys Justice
Practice and
Managing Partner
Executive Sponsor
for State of New
York ITS
-
Mr, Naren Patel
Customer
Relationship
Executive
Paul Nicandri,
Unrsys Program
Manager
Steve Hodge, VAC
Chief Architect
-
-
1
_
-
1Keith Eismann,
VAC Programl
Manager
-
-
Tillman Mosely,
ShawnTech
Program Manager
-
Lead for all Unisys' Department of Justice and Inmate Telephone projects
28 years of extensive experience overseeing, managing, and implementing complex multi-million
dollar programs
Over 22 years with the DOJ, where he demonstrated the ability to navigate and resolve difficult
budget, development, implementation, schedule, and delivery issues associated with IT projects and
US, Federal policy programs
Served as the PM on an $800-million program for Telcordia Tethnologies. a CMM Level 5-rated
telecommunications software company
30 years experience with Unisys
Focused on State of New York govemment clients for the past 22 years
Albany Chamber of Commerce and the NYS Business Council
Member of the NY Public Welfare Association (NYPWAj,
Member to the Best of New York Board of Directors for Digital Government
Member of the Advisory Council for the Government Technology Conference (GTe)
Responsible for the entire scope of the engagement and the delivery of the ITS solution and for the
overall solution deployment to the correctional facilities
14 years of experience managing projects
More than 12 years supporting telecommunications projects including the FBOP ITS-3
Chief Architect of the Focus system and proposed State of New York ITS solullon
Responsible for the overall solution architecture and will manage the development and architecture
teams
Co-founder of VAC; Executive Vice President of Product Development
Over 20 years of experience in the telecommunications industry with KTI Corporation and VAC
Worked in the telecommunications industry for over 23 years and is one of the pioneers of the Inmate
Telephone Services Industry
Spent 20 years with MCI Communications/Verizon where he was instrumental in the development
and management of MCl's Inmate Telephone Services division
Directly responsible for the sales. contract negotiation, financial development and on-going executive
level management of each of MCI's Inmate Telephone System Customers to include the States of
Florida, New York, Louisiana, Ohio, Virginia and Colorado as well as many large County customers
to include Dallas County Texas, St. Louis County Missouri and Hillsborough County Florida,
Over twenty (20) years of project management experience. nine (9) of which have been supporting
ShawnTech's inmate telephone maintenance contracts
.
Senior Project Installation Manager
For the NYS DOCS contract Mr. Mosley will be responsible for managing the on-site installation
process (inmate phones, call control systems) for the inmate teleplhone contract.
Table 0-2 : The Unisys Team Leadership
Software Development
The Unisys Team's Software Development Plan (SDP) establishes the controls and framework for all
software development activities, enswing all requirements are completed on schedule and per high
quality stand~ds The Unisys I earn's SDP includes use of the most current methodologies and templates
for meeting the State's expectations and requirements Although a repeatable process of sequential order,
the plan enables mUltiple development efforts to be executed simultaneously All software will be
EXECUTIVE SUMMARY
ES-7
•
UNISYS
New YOlk Stflte DOCS ITS Teclmical PfI)pos(t/
developed in Plano, Texas, by VAC employees, with quality assurance and testing oversight pmvided by
Unisys
Installation and-Transition. Highlights
Unisys, VAC, and Shawn Tech personnel will share lIS installation responsibilities, The combined
resources of OUt personnel will facilitate a highly effective implementation ofthe lIS" The use ofa
standardized lIS architecture, combined with a well-documented installation plan and our team's
installation experience, will substantially reduce associated leaming curves, reduce risks, and help ensme
on-time installation
Ow Implementation and Migration Plan provided as an Attachment to this proposal is comprehensive and
designed to meet the 90-day transition period established by the DOCS In developing the plan, the
Unisys I eam took advantage of its extensive NYS DOCS experience and inputs provided by current
Unisys, VAC, and ShawnTech personnel to provide a plan that can be used from day one,
Call Billing, Collection, and Validation
A growing 'number ofIecipients of inmate telephone calls subscIibe to and receive telephone service flom
less-expensive Competitive Local Exchange Carrier (CLECs) setvices" The disadvantage of these CLECs
to inmates is that most do not have billing an angements with other telephone companies~ making the
receipt of cbllect caUs impossible, This directly limits the ability of inmates to place collect caUs to
desired parties that use such CLECs, VAC developed a solution that allows anyone to receive calls fiom
inmates, regardless ofthek Local Exchange Carrier (LECs), Our solution comprises three components,
which provide the following calling benefits:
./ Performance of multiple calculations fiom various data sowces to determine if a caU can be
billed,
EXECUIIVE SUMMARY
ES-8
"
.
UNISYS
Nelli YOlk Stute DOCS ITS Tee/mical Proposal
./ Compilation of call information that is not available in the Line rnformation Database (LIDB)
from multiple sowces to assist in perf(nming billing calculations
./ PIQvide household customers with a quick, secure, and reliable method of accepting and paying
---------- for:prepaidcans:--· --------- ---- - - - --- --------- ---------------------------------------- -------- - ------------
VAC also provides services and capabilities that include credit validation, predetermined spending limits,
a knowledgeable/cowteous/multilingual Customer Selvice Department, and a host of payment options to
fit the called party's needs._ Ihe process encompasses proprietary systems and services, which offer a safe
and viable alternative to collect calls
Performance Management Highlights
Ihe VAC I echnical Assistance Center (IAC) uses the Advanced Host Monitor network management
suite for real-time network/systems status and for trouble notification. The Focus system sends critical
alarms and alerts in real-time to Host Monitor and "remote agents" which are constantly checking the
system health are polled every 10 minutes Some of the tasks performed by Host Monitor are:
-
Hardware diagnostics
Log file monitoring
Call activity monitoring
Critical selvice and application status
Scheduled maintenance tasks status
Disk space checks
Minimum available RAM check
Excessive processOi utilization check
Disabled inmate phones check
-!
-
LIDB failwes check
Event log warnings and alatms
-
Network events
AT & T will also provide Unisys with online access to traffic summaty reports which track access line use
as a percentage of the available bandwidth_ Ihis comprehensive view of usage data will provide the team
with a valuable tool to effectively monitor and manage OUI WAN bandwidth use and plan fOI future
upgrades _Network Usage Repolts are available 24 hours a day, seven days a week exceptdwing
maintenanc_e Graphical reports are available on a daily, weekly and monthly basis Ihe daily graphical
reports display the 15-minute inbound and outbound traffic profile (except for usage-based circuits where
5-minute traffic data is used) as well as the peak and average traffic statistics ofthe day The weekly and
monthly graphical repOits display the inbound and outbound traffic profile as well as the peak and
average traffic statistics for the corresponding time-frame.
Operations and Maintenance Highlights
The integration of the Shawnlech field operations staffand the resources of the lAC will ensure
streamlined operations, maintenance, and professional solution team support fOJ the State._ V AC' s
extensive experience providing telephonic support for FBOP and several state prison systems will benefit
NYS DOCS by minimizing maintenance ramp-up and orientation periods normally required on this type
ofengagement Once the NYS DOCS II S is operational, the lAC will be the single point-of-contact for
EXECUTIVE SUMMARY
ES-9
o
UNlSYS
NeIll York State DOCS Irs reclmiCtll Plopo!wi
maintenance and operational issues Technical experts will use the latest available diagnostic tools and
knowledge bases to perform first-level technical triage on all maintenance calls received trom DOCS staff
or Shawnlech. Should on-site support be required, Unisys or ShawnTech field staffwil1 be ready to
---- respond.-VAG's-1-9-plus-yeats of expel ience in- the- inmate telephony business combined-with Unisys.'.--
more than 30 years offield support expertise and Shavmlech's 9 years supporting the NYS DOCS will
ensure high-quality, comprehensive NYS DOCS ITS operations and maintenance support
Capability Enhancement
The Unisys I earn also offers proven system integr ati on expertise that can help ensure development of
solutions t6 enhance the State's contribution to the fight against fiaud and other criminal conduct by
integrating functionality such as word spotting, voice veIification, and cell phone detection into its'ITS
We have worked with companies such as Nuance, ScanS oft, VoiceGenie, Diaphonics, Voce nt, Trade
Harb01, and Nexidia, which provide speech technology to the telecommunications, financial services
industry and US Federal Government We also have extensive relationships with AhPab'Ol and
Comcucat Research, manufacturers of best-in-class cell phone detection technology. VAC Focus systems
can also be easily integrated with VAC's VSCAN word search application, which is currently being used
by MaJicopa County, Arizona,
Summary
As an indusby leadeI in providing world-class inmate telephone systems, the Unisys I earn is committed
to working in partnership with the State of New YOlk to meet yom ITS goals and objectives We will do
so by implementing best-in-class hardware and sofiwru'e, leveIaging existing capabilities and knowledge,
and driving increased productivity to lower operating costs and rates We offel the State of New YOlk an
ITS solution built fOJ and proven in multiple corrections environments The ITS solution offered by the
Unisys team is reliable and scalable. Our solution will efficiently accommodate system enhancements
and additional future functionality, sectJrity and fault/tolerance redundancy, We are also confident that
we are the team best suited to work with the State to identify new system capabilities and services that
will increase YOUI ability to detect and eliminate criminal activities conducted over the ITS,
As summarized in Exhibit 2- The Unisys Approach, the Unisys Team is confident that we OffeI the State
the best value ITS solution and associated services Our approach assures proven best practices in
management oflarge-scale systems Our well developed plans and approaches for quick start up and low
risk bansition from legacy to next generation systems facilitate tast, low-risk installations and our field
force will offer reliable and responsive on-going SllPP01t. We are excited about the opportunity to work
with you to deploy and maintain a highly reliable and robust ITS solution
EXECUTIVE SUMMARY
ES-IO
UNisys
Nell' YOlk State DOCS ITS Tedmic(tl Proposal
Exhibit 2- The Unisys Approach
EXECUTIVE
ES-ll
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UNISYS
New York State DOCS ITS Tee/mtcft/ Ptol?.0sa/
Our distinguished role and long histOlY in outsourcing and managed hosting seIvices
demonsb ates our capability to support NYS DOCS For more than 25 yeats, Unisys has provided
OUI customers with seeUl ity, integrity, and managed services on a global sca1e, as illustrated in
Exhibit 4 - Unisys History of Outsourcing
_,,_,. _ _ , _ _ _ _ _ ._._""_. _ _._._ _ _ _ ~
_ _ _ _ . _ . _ _ _ ._~_ ••_ _ _ _. _ ._ _ _ _ _ ~ _ _ _ _ _ _ _ _ _ K . . _ _ _ _ • _ _ _ h
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, HSSCB.rlI; P~C {iP$L)
CallfoJTl:ia State University
Integres
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. COmcss.t
Hong Kong JUdieiary
. instituto Federal Electrol .
: CaXi~ Economiea" Fott.eraJ·
, Piper Jalfrey
Exhibit 4 - Unisys History of Outsourcing
Unisys 25 Years of Outsourcing Services" Our years of experience including both commercial
and Government customers is a measure of assurance to the NYS DOCS that Unisys has the
expertise to ensure a highly reliable and available support seNices environment for the mission
critical ITS system
1.1.1 VAC Focus Inmate Calling Platform
Tile (JnisY$solutiqH; meetsoli!xceedsallthe l'equirementSfJetfoit/. in theRFPandil pl'ovell in
tl.~-coFtei:tiolfaii/nviioliJnent.Tliell"kiy~ Team sQlutiim uses/he hig/ieliquality COTS
.• .
hii':dwa"e.prodllct,~-·pto.duct~ thajal'e highly uliable and, s~tilable..
!hesolut!on will provide· .
ma4riiu.m systeniavaitabilifj,e!fic!entlyacconUnodate ~jsjeme"hancementsand additional
jtiitire/unctionality,and resllitinthe besivalue OV¢l the' Ii/eoftlie ITS conttact.
...
The engineering of the VAC FOcus system began approximately 17 years ago, when V Ac began
evaluating the possibilities of creating a system to meet the growing challenges of the inmate
calling industry (eg" size of equipment, growth of the user population, rate oftechnological
advan~ements, and systems costs) The result of this evaluation and engineering plOcess was a
2
"
UNISYS
Nell! York State DOCS ITS Teclmical Plo/!.osal
system designed specifically to meet the anticipated needs of the statewide or nationwide
correctional systems
Meeting the NYS DOCS robust requirements will require that these systems combine multiple,
---lOw-aen:sity"'switclimg units The-F6cussystefif is-easilY configui"iiOliftoc6mply witntlie- -
.. _.--_., ,-,
requirements of mUltiple institutions, high-population facilities, and various voice and data
transm:ission platforms, as well as accommodate new trends in technology, Focus SeIvers use a
Microsoft SQL SelveI database that contains the call processing data, call type, log files, and
voice ~odes with cOllesponding descriptions and IUDS on a single or mUltiple (campus sites)
Windows 2003 Servel using Microsoft SQL Server 2003 to access/store the persistent
infotlrtation. The system will utilize a Redundant AlTay of Independent Disk (RAID) 5,
providing a double layer of system redundancy The systems will be equipped with Dialogic®
Host Media Processing Software Release 3,0 for Windows providing security-enhanced media-
processing to support the initiation and termination of SIP-based conbol for TDM to IP voice and
data integration.
VAC's research and development group has been responsible fOf developing products used at
hundreds of call processing installations.. The company also has a wide arr ay of software and
hardware products that SUppOIt premise and centralized call processing systems and well as the
billing, collection, and fraud control systems necessary to SUppOJt ITS clients
Each individual involved in VAC research and development activities level age development
processes that enable complete product life cycle management based on the needs oftaIget
maIkets and end users.
As demonstrated above, Unisys and V AC have made a substantial invesbnent in R&D teSOUIces
and facilities focused on meeting our customers' current and future the information technology
and communications systems needs These initiatives also demonstrate OUI dedication to building
strong business alliances that enable us to effectively integlate our business partners' products to
meet OUI customers' needs . They ate available to the NYS DOCS and can be used to help
deteImine how to best apply advances in technology to the DOCS II environment and
organizational mission and objectives .
3
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New York State DOCS ITS Tee/mimI PlOp.osal
1.1 . 3 NYS DOCS ITS Environment
Unisys will provide NYS DOCS with secme and reliable IT S infIastructure and services.. Ihe
_____~S QOCS U~ ~!lviTOnm~l1tjvi1l incl!lJte or belJ.~titJtQ.!l1 th~JollowinK: ...___.____...______.....____-
• Secure cages within buildings secured to comply with all Federal NISI 800IFISMA
standaIds; pTOtection of all govemment data as "Sensitive But Unclassified" infOlmation,
with stJict physical access control
• Secure cages for rack mounted servers, labeled consistent with the Unisys naming standards,
and documented accordingly
• Dedicated, secure areas allocated for stOlage of equipment upon receipt until needed for
operations, including an automated system fOI inventOlying equipment
• A secure, state-of~the-art environment capable of sustaining continuous operations (e .g.,
laised floOl, electrical, fire control, backup power source and/or geneIator, temperature
control, humidity control, physical security)
• 24x7 Operations to monitOl Production and Backup Systems and applications
• Escorted access into the data center fOl staff and appTOved contractors at all times (with fOUl
hours advance notice)
• A secure off-site storage facility provided by Iron Mountain for database backup tapes;
transportation required to store and retl ieve the tapes to/fiom Iron Mountain
• A secure, controlled access work area for use by staffand approved contractors to meet
and/or work on an as-needed basis, equipped with a speaker phone and meeting room
furniture, and available connectivity to the equipment housed in the data center
• VAC I AC monitoring and administr ation support fOI Production, Development, I est, and
Integtation
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New York State DOCS ITS Technical Pr0l!.o.~al
ExhibH 7 - NYS DOCS ITS Data Backup Process: ITS data is backed up at multiple levels to
ensure data availability and integrity
.
'1.!:;.2
1.6Single Clock Source [RFP Section 3.1.6]
Ihe p(oposed Focus IIS System will utilize a single clock source for aU inmate call processing
equipment and general system function All Focus equipment utilizing time source is traceable
back t1> the Naval Observatory Atomic Clock, ensuring that all call processing equipment, call
detail,! and recorded conversations will be synchronized to a single time source
1.7Recolding and Monitoring [RFP Section 3.1.7]
The proposed Focus System includes "Shadow" an integrated recording and monitoring platform
Shadow wilt allow fOl real-time monitoting of live convelsations on inmate phones, plus store
and replay ofhistOIical conversations with the option to store conversations to portable media.
Shadow is a full featured recording solution and offers a multitude ofoptions fOl Authorized
System Users. It wil1 meet and/or exceed each of the DOCS recording and monitoring
requirements
10
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11 ____________________________________________________
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Nelli YOlk State DOCS ITS Tee/mical Prol!..osal
until the same AuthOIized User un-locks the call,
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Exhibit 8 • Recording Lock and Unlock Feature
1.7.3 Chain of Evidence [RFP Section 3.1.7.3]
All recOIdings of completed calls contain the entire announcement to the called party and the
acceptance digit being dialed This enhances the value of the recordings as evidence in a criminal
proce6ding. RecOIding continues until either party hangs up,
For COUlt proceedings and evidence pwposes, the ad-hoc query function enables authOlized
administrative users to generate a virtually unlimited array of inmate caH recOId queries and
reports, The user may customize their search of recorded calls by housing unit, individual station,
by inmate, called number, date, start time, stop time, type of call (collect or debit), duration of
call and a variety ofother criteJia From this report, the authotized user can select any or all of the
calls to listen to, add notes to and/or export to a CD for evidentiary use,
When ,copying the recordings to CD the nser has the ability to choose between 3 options Data
CD, Audio CD, and CD Lite. The filst option, Data CD, stores the recordings with all pertinent
call d~ta including time, date, inmate, station, called number, canier, etc . The Data CD can be
played from any Windows® 98 OS or later PC/Laptop using the VAC provided selector
applic~tion (for sorting and searching recordings on the CD) and VAC Media Player The VAC
MediaiPlayer provides many desirable features over competing players such as strong editing,
looping, magnifying, step function, speed up, lilow down, book marking, etc . Additionally, the
CD can be encrypted using stlOng 3DES encryption, The intention is for the Data CD to provide
a "chain of custody" that guarantees that the recording was made on the System and has not been
altered Any deliberate or accidental alteration to the recording would disturb the security
12
.
UNISY§
New YOlk State DOCS ITS Teclmical PWI!.OSfII
envelope and be immediately detectable . This could be very valuable in those cases where the
or igin; and handling of the prosecution evidence is being contested.
The s~cond option - Audio CD records the inmate caBs to CD as standard audio files. The Audio
.._-. D can De-played- iifimy CD-player inCliidingautomobiles, l506ml5oxes-;-PCs~·etc- Thdiles; ca-rl---
C
be cOJjlied fiom the CD for distribution if desired These files, as with any of the "standald"
WA V. or MP3 files, can be edited with standard audio editing software and therefore would not
be cOllsidered appropriate for court evidence.
CD Lite is for the non-discIiminating user that wants to copy the data quickly to CD and does not
require the feature dch VAC Media Player or encryption of the Data CD option. The CD Lite
option allows the user to play the recordings without the CD loading any Active-X controls or
files an the playing computer
1.7.4 Retrieval [RFP Section 3.1.7.4]
The Focus System integrated recording platform "Shadow" files all recordings within each CalJ
Detail Record (CDR) Authorized staff will have access to all CDR files and associated recording
from any System workstation Users may review CDR files and associated recording through
the Focus System's "Search Feature" - CDR Browser Ad-Hoc Query Ihis ad-hoc query function
enables authorized users oftlle system to generate a viItuaUy unlimited arJaY of inmate call
record queries and reports
A CDR is indexed by date, time, ANI, PIN, terminating numbel and textual notes Once the
desired CDR file is located the user simply clicks on the desired CDR to review the associated
recorded conversation I he process is quick, simple, and Unisys has engineered the WAN with
enough bandwidth to support the required twenty (20) second download.
Once 1m authorized user has accessed an individual recording the data screen allows the usel to
view call records within a facility, select parameters, view call details, play recordings, select or
hide columns, and sort data
13
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UNISYS
New York State DOCS ITS Techllical PIOl!..oslll
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Exhibit 9 - CDR Browser Data Screen
Exhibit 10 - SpyPlayer Screen
14
'0
UNiSYS
New YOlk State DOCS ITS Teelmlcal PI'0I!.05al
While listening, the investigator may add notes to the call recording file. The investigato} may
even select a specific portion of the recorded conversation to save as a separate file and add notes
related to hislher findings .
. The WeoSl:ladow mvestigative roolkifaUowsaiitl1onzedUSeIs!o:--
-------.-~-
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Create user-defmed Ad Hoc QueIies to isolate suspect call records & recordings
Customize results display to include most c, itical data
Select various recordings for expOIt to CD (with OI without enclyption)
Save time with quick recording download and CD creation
-
Mark selected recordings as protected for long-term on-Hne storage
Create and store investigator notes with each Iecording file
Define multiple user-specific query "profiles" for on-going investigations or tasks
-
View full call detail for each recording with a single click
Control recording playback speed
Create uset-defined target excerpts from a i'ecording and loop playback
1.7,,5 Access to Recordings [RFP Section 3.1.7.6]
The Focus System provides user-specific, multi-level access control of all system functions to
include access to the Systems Live Monitoring Functions, Call Detail Records (CDR) and
associated recorded convetsations
The SecUlity Level Access screens, shown below in Exhibit 11 and Exhibit 12, are used to
determine which of eight security access levels to assign each Authorized System user . For each
security level, the access capabilities can be set fOJ each feature, as indicated by the radio button.
This access ranges from 'None' to ;Full' access Full access allows the user to 'View, Add,
Change, Delete' recOids or settings within the featW'e. Individual password protection levels exist
for the databases plus report levels and are fully customizable so NYS DOCS could have an
Authorized User with the clearance to only listen to live conveIsations or the ability to listen to
conversations with the added capability to store records to a removable media - such as a CD, The
User SecUllty Access GUr is integrated into the Active Directory access controls so the Focus
User Access levels can be managed from the system User Access Controls feature 01 Active
Directory"
When an inmate call is monitored or when a calliecording is accessed the Usetid and the
date/time of the access are permanently stored and can be viewed with the call recording Also,
reports can be run that will show the user accesses by the Usetid, date/time of the recording,
and/ot date/time of the user access.
15
•
UNlSYS
New Yurk State DOCS ITS Technica/ PlOl!.0sa/
Exhibit 11· System Level Access Security
<I1h AvsJLB ) Central Q:mlroi
Exhibit 12 • User
Access Security
16
"
UNISYS
New York State DOCS ITS Techllical Plul!.osai
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Exhibit 13· Fault Management Capabilities
17
-
-
~~.-.~-
.....~ ... ~~~~-----~---~-
til
UNISYS
New York State DOCS ITS TeclllliclIl PIOJ!.osal
2.2.1 Provisioning and Active Directory [RFP Section 3.2.2.1]
Ihe FGCUS system SUppOIts Microsoft's Active Directory groups for the integrated security access
of computers on the DOCS network Up to eight user security glOups can be configured per
installation and labeled per the DOCS request (e.g. ADMlN, MONITOR, INVES TIGA nON,
etc.). Feature assignment and user privileges for each group are made using a built-in GUI that
allows: the group either none, view, view/add, view, add, change, or view, add, change, delete
contr'ol of each usel system option. The Focus system comes configured with a defimlt set of
security group settings Ihe assignment of the users to the appropriate security group can be
performed eitber from the C sel Manager GUI screen on the system or via Active Directory.
2.3Accounting Management [RFP Section 3.2.3]
Once a called party has established a Pre-Paid account, all infOImation regarding the account is
stored ,in the V AC Revenue Management System eRMS) database Ihis database is co-located
with fi1e V AC Customer Service Center in Plano Texas, All data is stored within a secure
redund.ant data center that meets Federal Deprutment of Justice standards, Ihe RMS database
stores tbe following account information:
Account I elephone numbel
End user address
Histmy of account status
Cunent account balance
-
History ofaccount blocks Or restrictions
History of alI payments and payment details
-
All calls made agajnst the account balance, including all Federal, State and local
taxes,
-
All credit or aqjustments,
All notes regarding customer contacts
18
e
UNISYS
New YOlk State DOCS ITS Technical Pl'ol!.osal
Information is also made available to the called party tmough the VAC V-CONNECT website
www.MyVconnect.com Through this website the end usel can Ieview all payment, adjustment
and calltecord history The customer can also add funds to their account via credit card on the
.------------___ .. website
.__. ________._______________________.__ .. _. __._ ________... __ ._._.._______
End users without intemet access may obtain current account balance, date oflast payment and
add funds to their account via credit card thlOugh VAC's automated OpetatOI at 1-800-913-6091'
To plovide DOCS access to the end user accounts, Unisys will install a desktop application called
"RMS Access" on the Unisys provided workstations, Because the application will be installed on
the Unisys plOvided workstation, authorized users will have real-time access to the entire above
listed calJed party account 01 collect call account information Tlaining in the use of&\1S Access
will be provided by V AC and Unisys training personnel during system installation as described
within the tt aining teview section of this proposal.
2.4Performance Management [RFP Section 3.2.4]
2.4.1 VAC Focul? System Performance Management
19
O~
______________
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IV~odold IVJ/url:Ja.1 S.11 s'JO(J alvlS !If/OJ. /H;W
SA.SINil
•
•
UNISYS
Nelli YOlk State DOC'S ITS Tecilnictl/ P1ol!.osal
The "Phone Hourly Usage Report" example below sh'OWS the results f'Ot all inmate ph'Ones from
'One site for 24-h'Our period The report peJiQd and desired inmate phones can be selected,
..." SENSnnE-lIlUIfED OFFICI.U 'U'SE ...•
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Exhibit 15 - Phone Hourly Usage Report
22
--"-"~----"'-"'''-~'
~~-------
----
•
UNISYS
New York State DOCS ITS Teclmiclll PI()p'olol
2.5Calls to Restricted Devices [RFP Section 3.2.5]
Io ensure that calls are not teIminated to cell phones the Focus systems use the SNE T LIDB
service, Ihe UDB query response received fOJ each call attempt contains the billing entity
responsible for the called number. Ihis data is highly accurate for determining if the called
number is assigned to a cruder that sells nonwwire 1ine Teleo services and those ca1ls will be
denied
Unisys undeIstands the State-mandated requirement to prohibiting inmates fiom placing calls to
wireless communication devises such as cell phones, and we wi1l assist V AC in the continued
detection of these devices, including adding additional subscriptions to databases as they become
availaple,
,
23
•
UNISYS
Nell! York State DOCS ITS Teclmlcal PI'OI!.OS(I{
3.0 Mandatory Features and Functionality [RFP Sections 3.3 and
3.4]
3.1 Mandatory Functions [RFP Section RFP Section 3.3J
3.1.1 Alert Groups [RFP Section 3.3.1]
The proposed focus System will allow authOIized users ofdifferent access levels to establish alert
call settings by inmate Personal Identification Number (PIN), inmate phone, or called number The
Focus'system refers to these numbers as "Hot Numbers" The system will place calls to these
numbers in a sepatate system file that can be viewed by the authOIized user from any system work
station or through a separate monthly repOIt In addition, the system wiH allow investigators to be
remotely contacted when calls ate place flOm or to anyone specific Hot Numbel, This system
feature is referred to as "Snitch"
Snitch will allow each hot number to be associated with a primary and secondary notification
telephone numbeL These numbers can be any designated telephone (cell, residence, etc) or pagel
number When the hot numbel is called, the system then prompts a call to the primary number, In
the event that the initial call is not answered, the system will then attempt to contact the secondat y
numbel.
Ihe system announces to the authOIized user that an alert event has OCCUlred and requires himlheI to
enter aPIN as security to ensure the conect pelson has answered the phone, Once the PIN is
entered and verified, the system plOvides instll1ctions to the authorized user that will allow fOI
immediate monitOIing of the call in plOgless, If the investigator detelmines the conversation is
inappropriate he can terminate the call between the inm3:te and the called patty immediately via
touchtone keys, The system only attempts to deliveI notifications during specified time of day
ranges as defined for each individual. Ihe alert is logged on the CDR record for the call of interest
fOJ subsequent playback, appending of notes and copying to a CD, if desired
3.1.2 Pre-Recorded Names [RFP Section 3.3.21
Ihe Focus System wiUlequire that the inmate recOid hislher name upon the filst use ofhislhel
account PIN. Ihe system will provide easy to understand prompts that will walk the inmate through
the process Upon completion, the recording is locked into the system memory and attached to the
inmate,'s PIN and will be announced to the call patty on all subsequent calls made by the inmate as
described in Section 3 13 below.
3.1.3 Announcements [RFP Section 3.3.3] ,
The Focus System will be pIOgrammed with customized voice prompts for each ofthe calling
options. Call atmouncements fOI each call type will be reviewed and approved by the DOC but will
include disclosw'e that the call is from a NYS correctional facility, the facility name, and the
inmates pre-recOIded name . The system will allow for the call patty to optionally hear current rates
and actively accept or deny the call by pressing a key on the Dual Tone Multi-Frequency (DTMF)
dial pad The System will be pIOgrammed to record the entire call set-up process that can be used to
verify positive call acceptance in the event of a disputed call or investigation, Ihe Focus System is
unique in that it can be programmed to also maintain the recording of the call set-up progress of
calls that were not accepted,
In addition to announcing that the call is from a NYS facility, the facility name and the inmate
name, the announcement could also state that the call will be monitored and recorded and that the
use of 3-way calling is not allowed,
For Tladitional Collect Calls, the called party will hear an atmouncement similar to the following:
24
"
UNISYS
New YOlk State DOCS ITS Teclmicnl PI'O/!.osnl
"This is a Value AddedCommzmicatiom you have a Co//ectCallfiom "Inmate Name" an
inmate within an NYS correctional facility cwrently at the "Facility Name," This call will
be monitored and recorded Ihe use oj 3-way or call waiting is not allowed To hear the
-. cost o/this, call,. dial 8 now. . , To, refuse. this, call, hang up._ Jj YOU-Wish to accept anlJpay fo,-- ,,',.. ""'-'-'-
this call, dial 5 now, .,
FOf Pre-Paid Collect, the announcement will be very similat to the TIaditional Collect can
announcement with the exception that the call will be announced as a Pre-Paid Collect CalL
"This is a Value Added Communications you have a Pre-Paid Collect Call from "Inmate
Name" ari inmate within an NYS correctional facility ClIrrent at the "Facility Name " Ihis
call will be monitored and recorded The use oj 3-way or call waiting is not allowed To
hear the cost oj this call, dial 8 now To refuse this call. hang llf' Ifyou wish to accept and
pay for this call, dial 5 now "
In each case the called party must positively accept the call by pressing the number 5 on their
DTMF pad
Upon pressmg 8, the patty will be connected to an automated message that will provide the cost of
the call, Although NYS DOCS has requested and Unisys is providing a single blended late fOJ all
calling types, the Focus System has the capability to announce cal1 rates by call type ifso desired.
For example, if the called party is in a local calling area the focus System will know this based
upon the dialed numbeI and only provide the local tate. If the called party is in an InttaLata ar'ea
only the IntraLata late will be plOvided.
The Focus system can be progtammed to interject a voice announcement at landom intelvals
throughout each inmate phone calL Ihe announcement content will notifY the called party that they
are speaking to an inmate within a NYS correctional facility and that the call will be recorded, or
any other message as determined by the NYS. Ihe announcement volume will be reduced to aJevel
. that is not obtrusive, but still audible The volume and the fiequency of the announcement can be
detelmined by the NYS.
In addition to the random voice overlay announcement, the Focus system will provide an audible
cutoffwarning when the call has reach the NYS-mandated call length time (currently 30 minutes) or
if Pre-Paid funds have been depleted, The announcement will notify the parties that the call will
terminate in 60 seconds This warning can be adjusted to play at a shorter or longel peIiod e,g, at 1
minute, 30 seconds.
The Focus System can be plogtammed to eitheI allow t(n the inmate to listen to the call set-up
process o[ be placed on hold during the call set-up.. Under either option the inmate will not be
allowed to talk with the called party until positive acceptance from the catted party has been
received,
In the event that the call does not complete, the inmate will be provided one of the following
automated voice responses,
This number has been blocked at the customer's request.
YOUI
; -
call cannot be completed as dialed,. Please check the number and dial again
All lines are busy Please try your call again later (Not applicable with I-to-1 Phone
to Line Ratio)
This phone is disabled.
The phone number you have dialed is not allowed,
-
You have a call already active. (Used when a PIN is already in use)
25
o
UNISYS
-
New York Slate DOCS ITS Technical ProJ!..osal
You have exceeded the number of minutes allowed,
You have exceeded the number of caBs allowed .
. .-----.....,...
-~you-are
-
not authorized to place caUsfl'omthis phone-Iocation-.--.-----.
----_ .. -----
Your account has been restricted by the [Facility Name].
The system is not available for collect calling Please tty again later
Your call cannot be placed at this time
3.1.4 Automatic Number Identification [RFP Section 3.3.4]
The Automatic Number Identifier (ANI) for each ITS telephone win identify the NYS DOCS and
the facility name OIiginating the can to the called palty in the caller identification string.
fn addition, as stated above in Section J I 3, the Focus System will be programmed with customized
voice prompts that will announce that the call is from an inmate within a NYS Correctional Facility
and the cutrent facility name
Unisys also understands that ANIs are the phones within the DOCS facilities from which inmates
are allowed to make caUs These ANI phone numbers as listed within the Focus System will be
customized to meet the State's requirements to include the DOCS three digit facility code as the
exchange pOItion ofthe number as stated within Attachment 0, Item 1...3.2.2 ANI Change File of the
RFP
3.1.5 Billing Name and Address Lookup [RFP Section 3.3.5]
Unisys will provide each authorized DOCS user with the capability to perfOlm a Billing Name and
Address (BNA) lookup of the called party number from any system wOlkstation., The system will
prompt the user to enter the telephone number that the authOIized useI wishes to look-up . The
Focus System wil1 then quely all databases utilized by VAC to include the Line Information Data
Base ({JOB), Users wi11 be provided with the BNA associated with the number as weI1 as the
CUi rent LEC blocking status (e,g, blocked fo] non-payment, customer requested block etc)..
3.1.6 Class of Restrictions (COR) [RFP Section 3.3.6]
The Focus System wi1l sUppOJt s each of the three (3) levels of Class ofRestJictions (COR) as
defined by the State in Table 3-1 ~ Levels of Class ofResbictions below. Once these COR levels
have been established, access is automatically controned by the system. No administrative
intervention is requiJed
~~---------..
Action
Level 1
Required
-~---~- -~
CaHing List 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.
-.~.
Table 3-1 - Levels of Class of Restrictions
26
-
.... ~.~---
... ~~------------
GI
UNISYS
New YOlk St{lle DOCS ITS Technical Pr02.0sal
To furthet enhance the State established COR levels, the Focus System provides multiple levels of
restriction that can be added under each COR Action. FOI example, to support the disciplinary
holds; the system can be set for a specific pedod ofsuspension by individual PrN Dur ing the
. -------------- Suspension period, an. inmate is not allowed to make calls.. Suspensions are set for day increments ...-....... Suspensions in day increments begin immediately and expire at midnight Once a suspension has
expired, the inmate's account will automatically be accessible again . All accounts that are
suspended are listed on the Cunently Suspended Telephone Accounts report, illustrated in Exhibit
16 , fOI easy viewing
Exhibit 16 - Suspended Inmate Reference
The Inmate Class of Set vice within the Focus System defines the overall level of access given to an
inmate.oI given to a specific telephone As shown in Exhibit 17 below, Call Duration and velocity
may be set as requested. This includes the flexibility to set the total number ofcalls or minutes an'
inmate may make in any given day, week, OI month or the specific time an individual phone is
available for use Each of these features is flUther described within this proposal response section.
27
. q• • •
-
e
UNISYS
New YOlk Stllte DOCS ITS Tee/mica/ Prol!..osal
3.2Mandatoty Features [RFP Section 3.4}
3.2.1 Harassment Blocks [RFP Section 3.4.1]
The Focus System will not complete a call without positive acceptance from the cal1ed pruty. As is
fUlther described in response to Section 3 13 above, the system will announce to the called party
that the call is collect 01 pre-paid and is flom a specific inmate within a specific facility within a
New York Depaltment of Conections Facility.
The called party will be instructed to simply hang up ifthey do not wish to speak to the inmate .
The inmate will then be provided with an announcement stating that the called palty did not accept
the call The inmate will be allowed to call the caned patty six (6) times within the nOlmal daily
opelation ofhoUIs. Ifthe called party refuses each of the calls, following the sixth call the system
will automatically place a block on the call fm a fOIty-eight (48) houl period. The inmate will be
pIOvided with a recording stating that he/she has exceeded the allowed number of refused calls to
this numbel and as a result the number will be blocked for the following fOlty-eight (48) hours
Should the inmate call the numbel dUI ing the block pedod, they will be pIOvided a recording stating
that calls to this number have been tempmally blocked, try again later. Vv'hen the forty-eight hour
period has expired, the system will automatically release the block and the inmate witt again be
allowed to cal1 the number.
Autholized system usels will have the ability to detelmine ifa block has been placed on a ca1l fiom
any system work station. Users with a SupeI User AuthOIlzation would have the ability to un-block
the phone or contact the VAC help desk to perform the task. Exhibit 18 below is a screen print of
this system screen showing that the call is in a block status
28
•
UNISYS
New YOlk State DOCS ITS Technical PIOe.osai
3.2.2 Call Termination [RFP Section 3.4.2]
The Focus System will allow authoIized users to instantly terminate any call in progress
Investigators with the appropriate access level may silently monitor calls in progress using the Spy
function oithe Focus System integtated recording platform "Shadow". Monitoting can be specific
to an individual facility, or with the appropIiate secwity cleruance or access level, they can monitor
any facility within the DOC through the Unisys NYS DOCS ITS WAN.
The investigator can view calls in progress, select the one to monitol and begin listeningin a matter
of seconds At any point dming the conversation should the author ized user wish to ter minate the
call, the can simply click the mouse on the [CUT OFF} button as shown below in the example
plovided
29
•
UNISYS
New YOlk State DOCS ITS TeclmIca/ Prol!.OSll/
,
SlId,
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Exhibit 19 • Cut-off Call Feature
As show in the following screen print, a record of the disconnection will be maintained to include
the facility, date, time, PIN and the user-id of the individual authorized uset that terminated the calL
30
•
UNISYS
New YOlk State DOCS ITS Technical Pf{JI!.0~lll
Exhibit 20 • Call Monitor
The Focus Shadow tecording platform provides enhanced call monitoring function through its
unique feature "AutoS can"" AutoScan provide the ability for an Authorized User to automatically
scan all active conversations in a rotating sequence, with the option of stopping on any call that
requires flathel attention. AutoScan can be set at a desit able scanning intelval of 5 - 90 seconds via
the "Intel val:" button on the call monitor screen.. The investigatoI can have the system play the first
conversation listed on the screen below ovel the speakers for set time period (e.g 15 seconds).
After that period of time is over, the system wilJ automatically move to the next call listed and play
that conversation fot the same period oftime. This will continue until scanning is shut off The
advantage of this feature is that an investigator can perform other tasks while listening to pottions of
calls.. If during this scanning the investigator determines based on the conversation that they would
like to continue to listen to a specific call the scanning feature can be disabled with a mouse click.
3.2.3 Number Control [RFP Section 3.4.31
The Focus System will allow any number to be blocked globally. Telephone numbers as well as
groups of numbers such as 411,800,888 and specifically numbers that incm charges including 900,
972,976, and 550 will be placed in the system as globally blocked numbers This blocking will be
configured as part ofthe VAC manufacturing plOcess priol to installation Additional blocking can
be managed on-site using the administrative wOlkstation or via remote communications.
A listing ofblocked numbels can be genelated and viewed or pIinted at any time.. Entty ofa
Blocked number and lemoval ofa block are both accomplished using the same screen shown below
in Exhibit 21. To remove, the "Block" button is unselected.. All block maintenance entered in this
fashion using the site workstationis implemented within 15 minutes of entry In addition, the site
may phone or email block requests to the on-state System AdministratOI or the VAC customel
selvice centeI for processing .
31
•
UNISYS
New YOl'k Stilte DOC'S ITS Technical Proe.osal
Exhibit 21 - Number Control
3.2.4 Personal Allowed Numbers [RFP Section 3.4.4]
The Focus System will utilize a PIN to identify each inmate utilizing the inmate telephones Each
inmate account will have a defined list of allowed numbeIs ("calling list") which they are permitted
to calL The size of this list can accommodate the requested fifteen (15) numbers per inmate,
Unisys understands that the State will provide the initial listing of Personal Allowed Numbers
assigned by PIN and that Adds, Deletes or Changes to the allowed call listing will be provided via
the nightly data feed from the DOCS,
.
The Focus System wil1 update the inmates system profile with the Adds, Deletes 01 Changes to the
Personal Allowed Numbers, Authorized System Users can view the updates from any workstation
as the screen in Exhibit 22 demonstrates Each number listed on the inmate's peIsonal allowed
numbers list can have a variety of parameters associated. Each entry can have a description of the
numbeI, the preferred language of the called party, a Record/Do Not Record indicator, and a
restriction to all allow Debit and/or Collect calls, and the ability to Alert calls by that inmate to that
called number,
32
•
UNISYS
New YOlk State DOCS ITS Technical Prol!.o5fll
-..
--~,--.-~
Exhibit 22 - Allow List Detail Specifications
3.2,,5 Phone Scheduler [RFP Section 3.4.5]
I he Focus System wjll allow for the DOCS to make each phone. groups of phone or the entite
system active or inactive based upon an independent schedule, The System Timet feature is
controlled using the Workstation offedng complete flexibility by day-of:'week and hOUl as seen
below
A separate holiday schedule may also be established in order to offer alternate calling on these
defined days, Once these schedules are established, calling is automatically controlled by the
system, No administtative intervention is required
33
......,-.
•
UNISYS
New YOlk State DOCS ITS Technical ProE.osal
3.2.6 Personal Identification Number [RFP Section 3.4.6]
As required by the DOCS, every inmate will be assigned an eight digit numetic authorization code
PIN to input plioI' to entet ing the called phone number . Unisys understands that the PIN as
provided by the State will be derived born the inmate's DOCS DepaItment ID Number (DIN) and
will be eight (8) digits in length.
OJ
The inmate will not be allowed to place any calls without the use of a PIN. The focus System will
validate the PIN number and the inmate location pIlor to allowing each calL
All Inmate PIN data to include inmate location will be refreshed via the DOCS provided nightly
batch feed. Unisys has read the tequirements of this batch feed as described within Attachment D
of this RFP and submits that U nisys fully understands the requirements as listed and further submits
that the Focus System will accept all data fields defined and will appropriately update all inmate
data
3.2.7 Administration [RFP Section 3.4.7]
The Focus System will plOvide·the ability fOJ DOCS Authorized Users to administer system
functions and featmes including but not limited to inmate accounts, PIN's, phone schedules and
access through the System's Access Control
Access to the Focus System Access Control is security password protection and authentication is
required fOl each specific function
The Unisys provided Focus System Workstation plOvides user-specific, multi-level access control
of all system functions . Ihe Security Level Access screen shown in Exhibit XXX is used to
detetmine the access level for each DOCS Auth01ized System User. F or each seCUl ity level, the
access capabilities can be set fOl each featme, as indicated by the ladio button. This access ranges
from 'None' to 'Full' access. Full access allows the Authorized User to 'View, Add, Change,
34
•
UNISYS
New York State DOCS ITS l'ecll11ieaJ Pl'oppsaJ
Delete' records or settings within the featwe Individual passwOId protection levels exist for both
the databases and the report levels and are fully customizable. The following levels are standard:
-
CIPS OPR Facility OperatOIs
-~O~-~toIs
--~------------------~------------------
INIEL - Facility Intelligence Officers
CID - Investigators
CHIEF INV - Investigative Supelvisor
TECH - I echnical support, remote and on-site
SUPER - Facility HQ Supelvisors
FACILITY HQ - Facility HQ Operators
ADMIN VAC
35
e
UNISYS
New York Stllte DOCS ITS Technical Pr0l!.0:ml
Upon contIact award, Unisys will work with the DOCS to establish each DOCS Authorized UseI's
Seclllity Level Each Authorized User will be tIained on the administJative capabilities of hislheI
Seclll ity level.
····----In aauition roalIOWiniAiitlionzed'Vserslo-adiidriisfel system fiTri:Clionsanu-rearures witfim too"
Focus System, specific Authorized Users will be given access to VAC's Trouble Maintenance
System. Access to this System will allow the Authorized User to open tJouble tickets, view cunent
technician notes and receive e-mail notification updates and print monthly trouble ticket reports .
3.2.8 Third Party Call Detection [RFP Section 3.4.8]
The Focus System is designed to isolate any attempt by the called pruty to bIidge a call in-progress
to a thiId party commonly referred to as three-way caIling. Upon detection of a three-way call, the
System can either provide a prompt that a three-way call has been detected followed by
disconnection of the call or allow the call to continue for future investigation purposes. In either
case the call will be flagged within the call detail records and made available for review in a report
designed for this specific purpose .
VAC has a patented proprietary pIOcess fOI detection of three-way calling. This patented
technology allows VAC legal author ity to provide the sel vice under any resulting contJact with the
State of New York DepaItlnent of Corrections The plocess is active within the FBOP and several
State Departments of Conections, including the states of Pennsylvania, Colorado, Missouri and
Washington to name a few. The success rate of detection has been outstanding in each of these
existing customers
Although, the VAC three-way calling detection technology is the most accurate and reliable in the
industry, it is possible for other abenations dUIing a call to inadvertently result in call disconnection.
These include:
Extra digits dialed during the call
Dropping or tapping the handset
Use ofthe call waiting feature by the called party
Simulation ofa hook switch / flash
36
o
UNISYS
New YOlk Strite DOCS ITS TeclmiCa/ ProI!.OMI/
3.2.9 Hours of Operation [RFP Section 3.4.9]
Unisys understands the DOCS desire to set the System HOUIS of Opel ati on to allow services to be
___________ ~ ____ ~vailab~ fi"O!!U!1l phqt1~SJ;l9m_?;QQi!"lJlJQ11;09:P..m and will set the init.~at4~f(lJ:IJtsytting~lQ_m~~L_· _ __
this requirement
The Focus System will additionally allow fOI individual phones OI groups of phones to be further
restricted in their hours of opel at ion and will wOlk with the DOCS to establish and implement these
additional settings. Holiday schedules may also be established in order to offer alternate calling on
these defined days. Once these schedules are established, access to calling by the inmates is
automatically controlled by the system, with no administrative intelvention required,
Ihe Focus System limeI feature is controlled using the System Workstation and offers complete
flexibility by day-of~week and hour as seen in Exhibit 2S below. In addition to general opelating
hours contr'ot for the entire facility, VAC offers the option to control a single phone, groups of
phones 01 individual inmates calling hours.
The Inmate Class of Service within the Focus System defines the overall level of access given to an
inmate.. As shown in Exhibit 26 below, Call Dwation and velocity may be set as requested. Ihis
includes the flexibility to set the total number of calls 01 minutes an inmate may make in any given
day, week, or month. It also allows for specific call dUIations to be established by PIN This is
depicted in the red dotted line circle in the example below
37
•
UNISYS
New YOlk Stilte DOCS ITS Technical Prol!.osa/
3.2.. 10 Call Duration [RFP Section 3.4.10]
'Unisys understands that DOCS has established a thirty (30) minute can limit fOT aU system users
and win establish this call limit as the system defimlt In the event that the DOCS wants to allow for
longeI'D}' shOTter call dlllations for individual inmates, the System will allow for oven ide ofthe
system default via the Inmate Class of Service,
The Intnate Class of Service within the Focus System defines the ovelallievel of access given to an
inmate: As shown in Exhibit 27 below, Call Duration and velocity may be set as requested This
includes the flexibility to set the total number of calls 01' minutes an inmate may make in any given
day, week, or month.. It also allows for specific call durations to be established by PIN This is
depicted in the red dotted line circle in the example below.
38
o
UNISYS
New YOlk State DOCS ITS Tecbnical PI'oe.o.~al
Exhibit 27 - Call Duration
3.2.11 Telephone Testing [RFP Section 3.4.11]
Unisys undetstands the DOCS desire to test individual phones and will provide each DOCS on-site
staff member autholized to perform these test with a Test PIN There will be no charge for calls
made with this Test PIN.
3.2.12 Phone Disconnect [RFP Section 3.4.12]
The Focus System will allow authorized DOCS users the ability to selectively disconnect any phone
or group of phones locally or remotely
Authorized users would simply log into the system from any system workstation at any DOCS
location and go into the Enable I Disable Telephones tab as displayed in Exhibit 28 below From
this tab any combination of phones can be shut down by either highlighting the desired station and
clicking the 'Cut Off' button under the selection Of highlighting the desired living unit and clicking
the 'Cut OW button under the seJection
In the event that an autborized user is not near a system war kstation, the individual may call the
VAC help desk Any of the Technicians at the help desk can log into the NYS DOCS system and
perfOIm the task, Unisys can also make arrangements for specific authorized users to have the
ability to remote log into the system via the Web to perform the phone disable task
39
;.
UNISYS
New York State DOCS ITS l'ec/ll1icai PfOl!.0stt/
ON
OK
OK
IJOOU
1002:1:
100Z3
,00Z4
10025
10026
1002i
,oozs
11002::1
ON
ON
ON
01'1
ON'
ON
ON
ON
ON
Exhibit 28 - Phone Station Activation/Deactivation
3.2.13 Languages [RFP Section 3.4.13]
The Focus System will support both English and Spanish prompts and dialing instIUctions When a
call is placed, the inmate will be plovided with the option of either English or Spanish voice
plompts ".For English, press one (1), Pala Espanol, malque dos (2) Once the selection is made, all
voice prompts fOJ'the balance of the call in pI ogress. are given in the desired language
When PINs al'e in use, a language prefenmce may also be selected for each allowed number on their
call allow list, as detailed in Exhibit 29 below Calls placed to that number would utilize the
specified language automatically for the called party announcements ,The inmate is never allowed
to affect the language selection of the called party during the call.
With i'egal'd to additional language options, Unisys will support virtually additional language option
upon request Professional prompts will be established and downloaded into the Focus System.,
40
lit
UNISYS
fllIMteseOfm
tt lmIot. III
[
c: _
New YOlk State DOCS ITS Technical P1ol!.os(tl
Nome·
l
l~?:I§.I!L·· ___ --J[p]ill.LJl·
.2~1~~:~~"···"~-1
~fF..-l
:(!~'[:
r:·~~~~~I~·:.~~:~:~l:~'·····,~·,:·.~~~:::·~~:-~~~ 1
I
Not Allow Iteason - Cdlet:t :
r~"Ajb;'A~'~~'''!''
t>lJLill.
.)",)9') '
. ..•
rumer
'l'J9J
J
:~~:::. ~~~
50~.'t [CCIOCi it'tAAriiZ~d
·
• ",
.
9724443232
'13
' YES
; 1'5:.....
, YES
;. 'fES
"ili tailgo·lIO L. C~
IK>
: NO
' E/>lGUSH
; I'l')
; ru
; YES
~
i
}
!
::=__:_~-m:H: --;~--'~B~nT: .~+~f ~'_~~=~.:.:~' :':'=:*'!~V:~~-___ 'I
f
n77Tl1T71
t 66~6~".
YES
-
:
tu"
. ; YES _. •.. r~
.~ ti,~ -
fBjUSH
a.rusi-t -
: cc:c
~.~J
=<: .:~:_._._.___~:
'
Exhibit 29 - Called Number language Selection
3.2.14 ANI Verification [RFP Section 3.4.14]
Unisys: understands the DOCS ANI requirements and will inswe that the ANI for each inmate
telephone will be tested for location accUIacy at implementation and at a minimum of once a yeru .
3.2.15 Telecommunications Devices for the Deaf [RFP Section
3.4.15]
To assist -the hearing impaired inmates Unisys will SUppOit the existing DOCS owned
Telecommunications Devices for the Deaf(TDD) 01 as required install TDD phones in quantities as
required by the State . The TDD units provided by Unisys will be Ultratec's Supercomm 4400,
illustrated in Exhibit 30, or equivalent to the existing DOCS owned units . Unisys will ensure that
the phones are placed in ruea where they are convenient for access by hear impaired inmates .
Exhibit 30 - Ultratec Supercomm 4440
41
•
UNISYS
New YOI'k Stflte DOCS ITS Technical Prol!..osal
3.2.16 Call Pattern Alerting [RFP Section 3.4.16]
The Focus System offers several levels of Call Pattern reports and aleIts that can be established by
an individual AuthoIized System User Unisys will wOlk with the DOCS to establish custom alerts
--,----..,-~--- that can- be-implemented throughout the-contract term ,- Listed below Bl'e"some-standmdized-AJerts------
that can be implemented:
General Alert Notification-Provides calls made by inmates placed on alert status
and calls made to telephone numbers that have been placed on alert status during the
desired report period, MultipJe Calls to Individual
Calls with InvaJid PIN-Provides a report of all attempts to place calls with Invalid
PIN numbers
Fr'equently Dialed NumbeJ's.--PIovides a list ofteJephone numbers called more than
a specific number oHimes within a specified rates of dates
Multiple Calls to Single NumbeJ'--Provides a list of Inmate PIN with multiple calls
to single Telephone ~umbeI,
-
.3-Way CaJling-Provides a listing ofa1l3-Way Calling attempts
In addition to the above standatd reports, the Focus System can establish Alerts designed to track
and monitor call volumes by location. In the event that specific call volumes are not within nOimal
opelating volumes fOi a specific period of time, the System can be set to open a trouble ticket and
notify AuthoIized Users bye-mail.
42
•
UNISYS
New York State DOCS ITS Technical ProE.osal
3,,2.17 Emergency Shut Down [RFP Section 3.4.171
In the event that there is an emergency and all system phones must be shut down hom the DOCS
authorized user-simply logs into the System Enable-l-Disable-Telephones tab,
iJIushated in Exhibit 31 from any System Workstation From this tab all system phones can be
immediately shut down by clicking on the 'Cut Off' button under '<.Facility".. The System can be
programmed so that the shut down cannot be ovenidden by any other DOCS authotized user. [n
this case, the Central Office would be responsible to re-activation.
--.---~-------.CentraLOffice,an
#oozo
'OOll
,00Z2
ON
Oil
ON
ON
,00Z3
lOON
,00l5
ON.
'DOZ.
ON
'00Z1
ON
ON
,0028
ON
,OOH
ON
ON
Exhibit 31 - Emergency Shut Down
43
~-~---
..
---~~--.----.
i_I.
------.
vv ___________________________________________________
SXSINfl
•
•
UN!SYS
New YOlk State DOC'S ITS Technical PlOl!.osal
4.2.4
(I,
? Z;
It • .,'" ~~,.,.
!l. ~~S
7
4.3 NYS DOCS Premised·Based ITS Hardware
4.3.1 UPS
Pursuant to RFP section 3.15.2, NYS DOCS inmate facilities and administtative sites will be
supported by APC Smart-UPS XL, 600 Watts /750 VA, Input 120V I Output 120V, Intetface
POlt DB-9 RS-232, SmartSlot, USB, Extended IUntime model The UPS meets the 3 hour loss
of commercial power using the APC sizing fotmula as shown below:
'~,:::..~'~"~.~"i.~e_.~.-!~" ,~~.~ ~ Lt~':?!J._.·.
UPS S.laclor
~1.,);.~1Itj'1III3'·-'·-
pjlnt ioeI J6IJI' jllcf'r...:fl~, IMn eticJI: lilt 'S~k'Won' !»JltfllHc ..... 1M «ofto\ifoM.1! '1OU WIJ Jd lit IobIftmiU
ewRlI mr'jOVI PftFtl'Mltfldkl MI.~ G~:ko!j,~A~:i
l.:rJR"'I'.lil.,,,
a
ToI.tI.ll,III:
0""'...""....·
'hOI'
o
~ f':W&II1 (":VA (' INA
O~:d.l
a
,-
PUUlI.l'lIlkN
•
ell1ftPGrtlm"klfMU:U~
0.,1"11111. !I,:W{I:-'lq~.fn
•
00lO",·."n.R~.\JPSt ("·Vu.«tla
o
1);)'/OU!\l~".~~"Jfi'Wl.1
(Tn
lIul Silt Wup-
IHotII!.~'ric.1 -;.!"'~C;:c~."CC.I~-C,."'('''.
..
o
~
Ir3 @3l.,.
w,,"1)
"tit!
,,"""""I='@
2.03V"',
I ",,#"-:»Ut
I
Exhibit 32: APC UPS CC)nfiguration GUI
45
o
UNISYS
New YOlk State DOCS ITS Teclmical Pro/!.osal
~~·.3.2
4.3.3
:?'a3~,4
4..4 New Equipment [RFP Section 3.5.10}
All call processors; routers, gateways, switches, and other requi'red system components will be
new.. :Product brochures fot the items listed in this section are presented as an Attachment to this
proposaL
46
Lv __________________,....-______
IvrodolJ PJ'JIU1P(}.L S.LI SJO([ alVIS ,!IOA. MIJN
•
UNISYS
New York State DOCS ITS Teclmical PIOi!.0sal
5.1.1 Understanding the Work
'(eam's
of
TlltilJnis.ys:
41.iiftpmgmmplans f'ejlect our tltol:oughul1detstanding the ta!iks that
mu5ihepel:fonned to develop tlletequil'edITSinte1.fa(:e5andpn~cule, conjigme, ship, install, ..
test, atldmaintainhaid..yalellnd software at NYScol1ectioil$institutions statewide. ...
Unisys, VAC, and ShawnIech have been thlOUgh this process before in prior successful
engagements and have a clear understanding of what must be done to ensure that the Unisys
I eam.meets expectations in the most efficient manner and with the lowest fisk, OUI work
break90wn structure (WBS), provided in OUI dfaft PMP, represents a step-by~step blueprint to
accomplishing individual program tasks, integrating those tasks to reflect critical path and key
inteII~lationships essential to overall program success and providing significant value to the
progHim . Our WBS reflects our team's long~telm domain knowledge and encompasses a detailed
techni~1 solution and the use of common sense, streamlined management approaches . I he PMP
is a living document that will be updated as required throughout the lIS project life cycle to
reflect any changes necessary based on direction provided by the NYS DOCS, technology
evolution, and lessons learned applied to continuous process improvement
The value that the Unisys Team - its understanding of the nUatlces of the ITS program -- is
delineated in Table 5-1 I able 5~L Ihe Unisys Team's knowledge and insights will result in
tangible benefits fOi the NYS DOCS
I
48
•
UNISY§
Unisys Team
Planning Process
High level of-substantive detail
and program understanding,
driven by domain experience
and common-sense,
streamlined management
approaches
Ability to anticipate real-world
risks, issues, and constraints
New York State DOCS ITS TeelmiclIl Prol!.osal
Impact
Value
Provides a mature starting point at- e- Mitigated schedule; cost-,---
performance risk
contract award to "hit the ground
running," set collabOrative goals,
• Accelerated schedule
and accelerate the front-end
• Cost savings
schedule
Provides schedule and budget
• Mitigated schedule, cost,
realism, insight into required risk
performance risk
mitigation strategies and
• Proactive posture to predict, respond
contingency planning
to change with minimal impact
requirements
Ability to translate
Provides accurate models of
• Cost-effective staffing plan
understanding of activities into required staffing and supports
• Low staffing risk
staffing requirements
accomplishment pf the envisioned • Scalable organization with exact
staffing, skill mix to match phase-to
staffing model
phase project requirements
Provides ability to see program
impacts from changes to activities
or schedule
Experience-based guidance on Coupled with understanding of
• Optimum flexibility to adjust to
required timeframes for task
staffing needs, provides basis for
changes in scope,legislative
mandates, or operational tempo
accomplishment, including
development of a resource-loaded
defined interrelationshipsl
integrated master schedule and
• Mitigated schedule, cost.
interdependencies
performance risk
the ability to quickly devise
workarounds
Table 5-1: Unisys Team Planning Process .. The Unisys Team's planning activities reffect
lessons learned and knowledge of what it takes to successfully deploy and manage the NYS
DOCS ITS
The Vnisys Team wiIllevetage its understanding of the required wOIk and, in conjunction with
the NYS DOCS, develop a detailed master program schedule in Microsoft Project. At present. our
draft master program schedule file contains ovet 1,000 lines It will be further decomposed into
more detailed elements and to add more tasks. At this juncture, it includes the following
noteworthy activities:
PJ'e~award
activities (January-March 2008) that enable a fast start upou contract award
We will avoid project start-up risks and delays by refining key management and functional
plans after proposal submission and prior to contract award These documents will be
available for delivery to the NYS DOCS within the first 3 weeks after award. We will
complete the negotiation of all subcontracts and have them ready for execution immediately
following award .
• Rapid establishment ofJ'equiJ'ements and iuterface design baselines.. The plan and design
document development activities we will peIform prior to award will facilitate Oiu' ability to
meet the required data transfer requirements We recognize that inteIface requirements may
not be fully defined and that the NYS DOCS may wish to specify changes to the present
baseline. Establishing these requirements early in the planning phase provides the NYS
DOCS with a firm baseline against which to manage requirements and any address design
changes.
• Low r'isk software interface development to ensnre new functionality is achieved" Our
proposed staff includes individuals experienced in the data transfer between ITS and DOCS
systems, facilitating our ability to develop the required IT S functionality at low risk.
• ITS Initial Operating Capability (loq in April 2008.. The Focus system proposed for the
ITS currently supports all the collect and pre-paid call processing requirements defined in the
SOW,
•
49
UMSYS
New YOlk State DOCS ITS Techllical PI,()£.Os(11
• FuJI statewide mJlout by June 30, 2008.. The Unisys I eam will levelage the capabilities of
OUI lIS deployment team and meet or ex.ceed every installation milestone as we have done
for ex.isting customers
. --_._----_.- Responsive Opel'ations and Maintenance"The-Unisys-Team will take maximum.advantage.-
ofthe lessons learned by Unisys and VAC in implementing ITS operations and maintenance
support,. as teflected in our master schedule.
5.1.2 Minimizing Life Cycle Costs
Tlte UnisyS Teilltt)1JillliNeltlgeVAC'~ in11lale trdephlm,Ye.Xpel'lise and Unisys' succef5/ul
I'ecoi-d as J. supplie~'a1td' lttilinl(lilJer{jjkardwaf'e .10 ptovide Ihe lVYSDOCSwil!ijlt'e/Jes t vaiue ".
IT$sululionandenShi'ellte ,~pid anaproflciehtacqui~itionoj hardware and~j,ftwale
pfoduc,ts tltatmi!etlull Yyste,r, life:.cycle lequ~I'e"!enis, ()llr~MPp~ocessei il!si!e*ompass ,andi
add1ei!.pr(Jduc{requiremenis/hateXtend/tom systems ingineel'ing .10 on~S1te support. '.' .
The success of the IT S development process depends on the ability of Unisys to identifY, procure,
receive, and even reordet COIS products Unisys has a thorough knowledge of components
available from multiple vendors (and including an understanding of their opelational capabilities.
interoperability characteristics. and availability) and a proven acquisition process that will
optimize product selection and procw'ement. In addition to pIOviding for a cost-effective solution,
OUi acquisition process ensures rapid ploduct acquisition and implementation We have existing
agreements with vendors and the in~house reSOUices of experienced configuration specialists and
dedicated procurement staff that can facilitate the process and react quickly to changes in product
needs
The Unisys I eam has the expelience and resources and will provide a cost-effective, state-of-the
art, COTS ITS solution that:
Features new hardware and software that meet or exceed the NYS DOCS's needs
Supports dynamic, in-process development activities
Can be rapidly integrated and installed at multiple locations
Is easy to opel ate and maintain
We have a proven record ofintegIating products and providing solutions that support diverse user
platform and applications needs. As discussed in ow PMP, OUI acquisition approach is an integIal
part of the program/program management function and represents a consistent and reHable
method of ensuring that ITS components are procured at the lowest cost to the government
throughout the program life-cycle, Table 5-2 summarizes the benefits ofthe Unisys ream's
approach to ploduct evaluation and acquisition
Feature
Agreements in place with major infrastructure
suppliers prior to contract award.
Established agreements with multiple vendors for
each type of product.
Leverage existing agreements with product suppliers,
Ability to manage delivery times by using appropriate
forecast. inventory and just-in-time techniques.
I
Benefit
Product suites readily available, facilitating the quick
reengineering review and selection of a solution.
Permits the rapid performance of product
costltechnical trade-off analyses.
Ensures best volume priclng discounts,
Reduces normal delivery times from suppliers
Table 5-2 - Benefits of the Unisys Team's Product AcquiSition Approach and Capabilities.
Our acquisition approach is focused on minimizing costs and maximizing responsiveness by
leverBging Unisys' position as a world-class hardware provider and integrator.
50
•
UNISYS
Nell! YOlk Sillte DOCS ITS ledmical PJOppsal
5.1.3 Enhancing Communications
T!te Unisys Team uliderstands the needs and expectations oftIle diffel'ent ITS program
.
cOI1.~tituetldes"Oliic01nltlullications approach includes. tI,e use oftools alldprocedures tllat ..
"wlll]iiCilit{jii/1iitiiiiilyixcltanili7JjCleai and c:on.i:ittt liijoriiiiiitiii;:'~' . ' -..
--,.-.-.-.-----~-.'.......
Om communications strategy is designed to ensure that NYS DOCS constituencies are
continually informed about all project activities, OUI approach includes the use of tools and
procedures that will facilitate the timely exchange of clear and concise infOlmation. lhe Unisys
Tearn also undetstands the various audiences affected by I I S solution deployment and their
specific information needs. Because theil support is critical to mission success, associated
communications activities are considered a high plan priolity.
Our plan leverages all available forms of communication, including a welrbased pottal using
Microsoft SharePoint technology that will provide comprehensive, timely, and easily accessible
information to NYS DOCS authorized users We will adhere to agreed-upon procedures fOJ
interfacing with NYS DOCS entities and staff and ensure that key messages and required
information are accurately received.
OUI approach will also encompass holding "traditional" face-to-face meetings with NYS DOCS
stakeholders, documenting meeting minutes, conducting conference calls, submitting status
reports, and holding lessons-1eamed sessions It is also flexible enough to incorporate the use of
new prqject tools and procedures to disseminate infotmation and ensm'e that there are clear lines
of communication between the Unisys I eam, om subcontractors, and the NYS DOCS in order to
prevent any delays that could impact project schedule and performance
5.1.4 Managing Risk
ThelJ"lSysl't:ain'sP¥Pi~i~;jesaRiskMantlg~me;'iPlanlhat /ev~l;tlge-; o{.a:lJndel'!Jtantiing,·.···
ojthe,'Ny$pOCSenvironment, as wellM !biteom'siimltlk {eliphiinyexper ience, software: .
devel()J1lf1¢lJ:titli!{hod%gy,and techniClliexpei'lise,,' O~, appr~tich provide,s the:t(}()fs,' ..."
teclt1jfqu~r,a"dcQntivls.nece5salyloef.fecti}1(!lydefilleilnd.intple~ent"jjkmitigllttona.n(l.. .'.
#lfulaf/e11tenlstrilteg}er. Wewll(wo1k jJIQaclivel)' qnt!btpaltninhiptyiththe:NySDOCSai .".
plog,am oulsetto 'en~lileearly condde!tltion ofandvisibility into prognun rlsksandlhe rapid
iiitplem~ntation ojinoitagemenland mitigation stuitegies; .
. . . . . ..
.
Risk management is an iterative process that began during the development of the Unisys learn's
response to the RF P and will continue throughout the entire prqject life cycle In assessing
potential su.bcontractors, Unisys gave significant weight to theirexpelience with the NYS DOCS,
ability to support deployment and maintenance, and technical capabilities. From a variety of
perspectives - including risk management -- VAC was the only potential partner who "measured
up" and could bring to the team the years of expet ience and NYS DOCS lessons learned that
would l?est enable us to anticipate and Iesolve issues before they became problems, As a result,
the Unisys learn is confident that we are the lowest risk provider ofthe next generation ITS,
lhe Risk Management Plan will be updated in collaboration with and based on guidance provided
by the NYS DOCS to ensme it fully covers and addresses risk and problem areas and allows for
the development of strategies to avoid schedule, budget, and program risks . A characteristic (and
strength) ofUnisys' approach to risk management is that Iisk management is an integral part of
our program management approach In addition, our NYS DOCS program management team will
take advantage of its rpembers' collective experience on large systems integration and
implementation programs similar to NYS DOCS II S, allowing us to better identifY, judge, and
prioritize risks. I able 5-3 lists features and benefits of our risk management approach, which will
be applied to all phases of the ITS program life cycle
51
......-----
•
UNISYS
New YOlk State DOCS ITS Tee/III/cal Plop"osal
!
Feature
Experience-based understanding of risks
------ ---.
~---~--
.. ---,._.,----.
~--
- .. .
~
Regular, collaborative risk review by the NYS
DOCS and the Unisys Team
Provision of a formal plan for identifying and
mitigating program risks
Unisys program experience and approach
Benefit
Enhances risk planning, identification. and mitigation
activities Allows risk controV mitigation/contingency actions
to be undertaken in a timely manner to prevent impacts to the
program~------------~---·-
Provides added visibility so that risks are quickly identified
and addressed
Defines risk and problem areas and provides for the
development of contingency plans to control impacts on
schedule, budget, orprogram
Results in a risk identification and mitigation approach fully
integrated into the program management approach
Table 5·3: Features and Benefits of Our Risk Management Approach. The Unisys Team's
risk management approach reflects the team's NYS DOCS experience and experience with
system integration and implementation projects of similar scope.
5.1.5 Software Development
TheUnisysTeam's'tlpPtQitch to sojiwilredivelopnumt 11IapsdiTect~y to industry best practices
. .
.. .
.
aitdaligm; to tkeNYSD()CS'sprognitn objectives~· .
The Unisys Team Software Development Plan (SDP) reflects a structured methodology used for
all development activities. It maps directly to industry best practices and aligns with NYS DOCS
program objectives . OUI SDP identifies all the activities necessmy to develop any ITS inteIfaces
and any additional enhancements requested by the NYS DOCS
OUI SDP is tailored fill the cOllections environment and incorpmates the team's knowledge of
and ongoing experience in the justice and cOlrections communities . VAC has been implementing
inmate telephony systems in the FedeIal conections environment fot 10 years.. The company's
expeIience includes developing interfaces for commissary and inmate tracking systems. The
Unisys Team will leverage our experience to implement a SDP that provides the greatest value to
the NYS DOCS and instills the project planning and development processes necessruy to the
successful delivelY of the ITS solution.
5.1.6 Installation
Tae UnisysTeam'SajJNoilCh toil'st(lOationleflei:tiolJ.INY~DOCS knowledge and .
As a '·eswt,we havebeinable tQdrajian instaOation plan thm can be activated OIl,
"day one. "
... .....
. .... ..
. . .
.
expl!ri(!~ce.
Om draft Implementation Plan, plovided as an Attaclunent is compIehensive and designed to
meet the 90-day tlansition period established by the DOCS In developing the plan, the Unisys
I earn took advantage of its extensive NYS DOCS experience and inputs provided by cunent
Unisys and VAC personnel to plovide a plan that can be used hom day one.
Use of the combined resources of Sba,Vll Tech field engineeIing force and Unisys and VAC
pelsonnel represents a highly effective approach to installation ofthe ITS Tpe proposed system's
standrudized ru·chitecture and the use of well-documented procedures will minimize the time
required to install individual units, pelmitting more time to be focused on testing and ensuring
NYS DOCS satisfaction
52
I
o
UNISYS
Neill York State DOCS ITS l'eclrnic{ll PIOl!.osal
5.1.7 Maintenance and Escalation
TheUnisy5J Team's approach to ITS maintenance and escalation integrates Unisys'jield
,!,~[ld$.nance{!.!gani~ation staf1.~!!!L~!te!!:.sOHtCe~.oj §~a.JYn'[~c~,_.a.lltl.,V',~(:'~. [e,,£!tlllr;!l{
Assistance Cenie!. (TAC).
Our approach to meeting operational SUppOIt requirements revolves around integrating
Shawn Tech field maintenance organization with the resources ofVAC's Technical Assistance
Center (T AC) Unisys has more than 30 yeru:s of experience providing field seIvice support to
clients acIOSS the nation and around the world, [f necessary, we have the infrastructure and
experience necessary to recruit and manage a substantial pool of SUppOIt personnel and provide
coverage for NYS DOCS conectional facilities.
Om maintenance and escalation approach was developed in collaboration with Shawn Tech and
VAC and reflects our team's expel ience with the NYS DOCS and on projects of similru: or lru:ger
scope., It is designed to be executable fiom day one, will satisfy the NYS DOCS's needs, and
ensure that we meet or exceed service level agreements.
The Unisys Team is confident that our program plans are straightforward, effective, efficient, and
ready to execute They are designed to meet lIS program requirements, minimize costs, and
ensure responsiveness and quality in every program phase"
5.1.8 Project Manager [RFP Section 3.8.1.11
The IJitlsySITS lnanageme.n{$(af!hilss{gnfjican/i.?XP¢liencemanaglnl: sttccessfulitS
programs,imothetmed.Ut,eoj'liust lVYS DOCS can place in Unisys.
..
To demonstrate our commitment to the success of the NYS DOCS contract, Mr, Robert Bratt, the
Unisys Partnel responsible for Justice and Corrections programs, will provide Unisys corporate
sponsolship and ensure the provision of all resources needed by the Program MI Blatt has more
than 26 years of expeIience overseeing, managing, and implementing complex multi-million
dollar programs for commercial, U.s govelOment, and foreign government programs Mr Bratt
has more than 22 years of direct experience SUppOlting and managing Deprutment ofJustice
programs including serving as the Executive Officer for the Criminal and Civil Rights Divisions
Mr . Bratt is personally committed to ensure that the Unisys team meets or exceeds the
requirements for the NYS DOCS ITS contIact.
Mr Bratt hand selected Mr. Paul Nicandri as OUI Program Manager based on his stIong
management background Mr Nicandri is also responsible for the FBOP ITS contract and bIings
unique domain knowledge to this project During his three years with the FBOP program, he
gained a deep undelstanding ofthe IT challenges and requireInents facing correctional service
organizations The FBOP ITS project constantly leceives high customer satisfaction ratings
under Mr Nicandri's stewardship. Mr. Nicandri is committed to providing the same, high
customer satisfaction level for the NYS DOCS lIS contract.
53
•
UNISYS
New YOlk State DOCS ITS Teclmica/ Pl0l!.0sa/
OUI'Management Team listed in the table below is supported by a highly skilled, pIofessional
staff; supported by proven lIS Standard Operating Procedures that will be tailored to meet the
needs of the NYS DOCS Our PlOgram Management Plan fillther highlights the capabilities of
____________________ the_Unisys-Tearn _ . _ _ _ _ _ _ .___.. _. ________.
Unisys Team Sr.
Leadership
Mr. Robert Bratt,
Unisys Justice
Practice and
Managing Partner
Executive Sponsor
for State of New
York ITS
Key Responsibilities
1
2
Lead for all Unisys' Department of Justice and Inmate Telephone projects
28 years of extensive experience 6verseeing, managing, and implementing complex multi-million
dollar programs
3 Over 22 years with the DOJ, where he demonstrated the ability to navigate and resolve difficult
budge~ development. implementation, schedule, and delivery issues associated with IT projects and
U S Federal policy programs
4 Served as the PM on an $800-million program for Telcordia Technologies, a CMM Level5·rated
telecommunications software company
Mr. Naren Patel
5 30 years experience with Unisys
Customer
6 Focused on State of New York government clients for the past 22 years
Relationship
7 Albany Chamber of Commerce and the NYS Business Council.
Executive
8 Member of the NY Public Welfare Association (NYPWA),
9 Member to the Best of New York Board of Directors for Digital Government
10. Member of the AdviSOry Council for the Government Technology Conference (GTC)
Paul Nicandri,
11 Responsible for the entire scope of the engagement and the delivery of the ITS solution and for the
Unisys Program
overall solution deployment to the correctional facilities
Manager
12 14 years of experience managing projects
13. More than 12 years supporting telecommunications projects including the FBOP ITS·3
Steve Hodge, VAC
14 Chief Architect of the Focus system and proposed State of New York ITS solution
Chief Architect
15 Responsible for the overall solUDon architecture and will manage the development and architecture
teams
16 Co-founder of VAC; Executive Vice President of Product Development
17. Over 20 years of experience in the telecommunications industry with KTI Corporation and VAC
Keith Elsmann,
18 Worked in the telecommunications industry for over 23 years and is one of the pioneers of the Inmate
VAC Program
Telephone Services Industry
Manager
19 Spent 20 years wiih MCI CommunicationslVerizon where he was instrumental in the development
,
and management of MCl's Inmate Telephone Services division
20 Directry responsible for the sales, contract negotiation, financial development and on-going executive
level management of each of MCI's Inmate Telephone System Customers to include the States of
Florida, New York, Louisiana, Ohio, Virginia and Colorado as well as many large County customers
to include Dallas County Texas, SI. Louis County Missouri and Hillsborough County Ronda.
Tillman Mosely,
21 Over twenty (20) years of project management experience, nine (9) of which have been supporting
ShawnTech
ShawnTech's inmate telephone maintenance contracts
Program Manager 22 Senior Project Installation Manager
23 For the NYS DOCS contract Mr. Mosley will be responsible for managing the on-site installation
process (inmate phones, call control systems) for the inmate telephone contract.
Table 5-4 - Unisys Team Leadership
54
o
UNISYS
New YOlk State DOCS ITS Tedtftlt:lll P1ol!.osal
5.1.8.1 DOCS Resources [RFP Section 3.8.1.2}
Unisys does not require a significant amount of DOCS resources to implement, migrate, install,
or oper~t~~e proposed I_!_S__s()!~!_i_~~~NYS DOCS supp()~.t}~~n.ticipated to include:
Program management support in prioritizing sites and confirming planned
deployment
On-site support in receiving and secming any equipment that may be shipped to the
site
On-site support assuring timely access to facilities
Program management support in ensuring any other vendors or NYS DOCS MIS
organizations that are involved with data that transfers into or out of the Focus
system are responsive to Unisys request for information or work to ensure data
transfer processes are developed in a timely fashion
On-site support during testing and acceptance of systems
5.2 Call Recording Migration [RFP Section 3.8.2}
The existing ITS lecordings and associated call detail record information will be impOlted into
the VAC Focus system without loss of information, chain ofcustody, and playback ability The
imported recordings will be converted to the VAC native _wav true speech compression and the
call detail information will be impOlted into the appropriate Focus databases The imported call
records and recordings will then be managed and accessed by the Focus system in the same
manner as the native call records and recordings made from the Focus system are managed and
accessed
It is Unisys' understanding that the call recordings are stored and maintained at each facility
Since there will be large amounts ofcal] recording data at each site when the existing ITS
equipment is decommissioned the recordi~ds for that site will be saved to a
portable disk array and transpOlted to the _ _ _ _ When on~site at the _
center the call recordings will be converted n'om their current ADPCM format to the VAC format
to provide a seamless functionality fo), the users" Once the data has been imported from the
decommissioned site the existing II S equipment will be removed,
When all call recordings and call records have been imported into the Focus system the
investigators will be able to tUn searches on the can detail records of the impotted recordings,
play the impOl ted can recordings, and expOlt the impotted call recordings and data to CDs nom
their workstation,
- 5.. 3 Fallback Plan [RFP Section 3.8.3}
The Unisys Team is prepared to stay On site until the Unisys ITS system is fully operational In
addition to operations and support, the NYS DOC lIS Maintenance and Escalation Plan outlines
I ier 2 and Tiet 3 support that is available to ensure the Focus system is functioning propedy A
comple,te customer acceptance plan will be completed prior to decommissioning the existing
system" The legacy ITS wiJI remain in a parallel production throughout the instaHation of the
new hatdware and software components and migration will take place in a phased and staggered
process, A more complete view of the Unisys Fallback plan can be found in the attachment titled:
Implementation and Migmtion Plan.
55
,
o
UNISYS
New York State DOCS ITS Teclmiclll PlOl!psal
5.4Acceptance Testing [RFP Section 3.8.4]
The objective of the Unisys NYS DOCS ITS acceptance test plan is to validate the full
functionality of the installed [IS in accOJdance with the approved detail design. We will conduct
testing using-a-combination-ofmanual-procedures-The-acceptance-test will be- performed at each··
facility during each install. Unisys acceptance testing will be developed to fully cover.all
required system functionality, including the operational capabiI ity of the network management
softwate and trouble ticketing system.
Unisys will prepare and distribute a comprehensive schedule of events for acceptance by all
involved parties. The combined project team will be responsible for scheduling and determining
the fo\1owing tasks:
-
Assignment oftest team membels (representatives of users on specific areas of the
network will be part of the test team, in addition to Unisys and component pr()ject
staff)
Planning oftest events
DistJibution of the test plan and test schedule
Coordination of required test performance activities
Planning review oftest plans and schedules with involved parties prior to start
Recording and documenting of all test results
Generation of the official test acceptance report
The official test and acceptance report will include:
Test description with details of functionality validated and test parameter s
-
Fully documented test results
Identification of network components covered by the test
. -
Names of test participants and observers
All engineering and installation packages (ErPs) for the installed locations validated
during the test
Official signed acceptance letter.
In the event ofa test tailUle, the combined prQject tearns will conduct an in-depth review of the
test results to determine the cause The Unisys plOject team OJ the component, in the case of
infrastructure failures, will pelform the necessary remedial actions The combined project team
will then schedule a full or partial retest, as required.
56
L~
__________________________________________
~
____
SXSINil
•
•
UNISYS
7.0
New York Slate DOCS ITS Technical PlOl!.osal
Phase-Out Plan [RFP Section 3.12]
The Unisys Phase-Out approach is based on OUI Phase-In approach OUI pIOfessionaIism and
. ..-~--- dedication to.NYS.DOCS.goals wilL support a low~i isk phas&outapproach ... Unisys will ... --~. ..-.-~---..
coordinate its phase-out activities with the incoming Contractor to effect a smooth and ordelly
transition at the end of the contract period Unisys will provide on-the-job training fO( the
incoming contlactm pelsonnel, as needed by the in-coming Contractor
Unisys will deliver to the NYS OOCS a Phase-Out plan 80 calendar days before contract
completion or telmination. Unisys will maintain full contJact compliance during the period of
time leading up to the contmct expiration or termination During turnover of the ITS systems to
the successor contractor, Unisys will deliver an inventOJY of all Unisys-owned propeIty and any
out<rtanding requests/enhancements/issues Unisys will tum-over all Unisys-owned property on
the NYS DOCS facilities by close of business on the last day ofthe contract
Unisys will ensure subcontractor and Unisys staff remains on the contract dUJ ing the transition
period We develop employees and invest in theit future to make certain we can retain the staff
and ensure that they have skills necessruy to be leveraged on diffelent types of projects.. Unisys is
committed to NYS DOCS and the ITS project. IfNYS DOCS decides to tJansition the task,
Unisys will make sure that the necessary pelsonnel ale available
The proposed tJansition timeline is described in the table below and is based on the following
factors:
Kick off meeting will be scheduled within the first week of the transition month by
the new contractor
The new contractor's abiJity to rapidly assume responsibilities foIthe ITS system.
Execution of this plan is dependent upon contract award to a new contractor and approval to
begin wmk.
Stage
1- Plapning
Key Activities and Milcstoncs
•
Kick-on meeting; detine roles and responsibilities
•
Schedules and milestones; ctitical path issues
• Finalize contract phase-out plan
• Unisys will deliver to NYS DOCS an inventoIY of all outstanding
requests/enhancements/issues
•
2 Knowledge
. Transfer
Unisys to provide existing documentation to new contractor
•
Review inventory of all outstanding maintenance requests!
enhancements/issues
•
Unisys to pIOvide ovelview of ITS envhonment
•
10-30
Review documents, processes, and plOcedures
o Cunent development practices and methodologies
o ClUTent Change Management processes
o Change Management policies and procedures
o Issue resolution and change request management
o Instance management; patch and upgIade management
o Secwity
o Database back ups
58
"
UNISYS
Nelli YO/k State DOCS ITS Teclmical Propoj{11
• Support knowledge transfer of the following:
o Asset management responsibility
o .. CrnrefirsystemSecul'ityPlarrartd sysremdia-gramsand·
documents, software licenses and warranties
c Network configuration and IP addressing; security patches·
and configuration; back-up processes, back-up schedules,
and retention; configuration items; special operations
processes and pIOcedures
o Application operations and maintenance
3 - Transition
• Continue knowledge transfer
Support
•
Transition all O&M duties providing oversight
•
Transfer asset management responsibility
•
TI ansition and review updates to documentation, processes, and
procedures
; 30-80
• O&M tasks performed in an unassisted mode
•
4 Imnsition
'Complete
Transfer data as requested
• Transition period over; team opelating in a steady state
• Unisys monitors performance ofnew contractor
• r ransfer all Unisys-owoed property at NYS DOCS spaces or
facilities by the last day ofthe contract
• Provide NYS DOCS transition debrief
Table·7-1 : Phase-Out Transition Schedule~ Our Phase--Out Transition Plan will be conducted
in fuf/ coordination with the incoming contractor:
59
•
UNISYS
8.0
New YOlk State DOCS ITS Technical PlOl!.osal
Training [RFP Section 3.131
Unisys recognizes the need to provide system administration training to those DOCS personnel
----~~--~- responsiblef6i'Oay-fo-dayoperatiOnaiidlise of the lIS·· While-the IT Soperates -In an automated------------- .
fashion, and in-state maintenance personnel are always available to assist, it is extremely helpful
for DOCS personnel to understand system controls, trouble reporting ptocedures, and
investigative reporting options In our opinion, a successful installation is not complete until
those who use it are comfortable with day-to-day operations. Ihis is best accomplished through
hands-on training folJowing system activation
Prior to finalization oithe training plan and schedule, the Unisys and V AC training team will
meet with the appropriate DOCS personnel to customize the training class content and schedule.
Although all personnel will be given an overall review of the system, feature and functionality,
investigators and administrative personnel will be trained in system features designed specific for
their day-to-day duties.. Classes will be held on-site priot to and following activation of the
system. All personnel will be provided with an introduction ofthe system prior to activation
More detailed training of administrators and investigatOJs will be performed following activation
on the live system
The General System overview classes take approximately two (2) hoUts and the more detailed
classes take approximately another fOUl (4) hours Training of Headquarters personnel will take
approximately six (6) hours total All personnel attending the training secessions will be required
to take a proficiency exam..
All personnel will be provided with user manuals which provide detailed step-by-step
documentation and a Quick Reference Guides for easy reference of the most used applications
-within the system.
Additionally, the Focus System provides context-specific help screens to assist the user during
any process. By simply pressing the F 1 key, a help window will appear with contents targeted
toward the softwar'e function in use
Finally, at any time any user has difficulty performing a System task, they may call into V AC's
Technical Assistance Center which is staffed with live technical reps that can assist 24 hours a
day, 7 days a week, 365 days a year.
Refiesher training sessions will be held at least once per yeal and will be coordinated through the
DOCS.. Refresher training can be held at the individual sites or at any DOCS regional meetings.
New employee training can be provided by any in-state technician at any time or conducted
remotely through Web Ex. WebEx is the ability to train Iemotely and can be made available to a
large numbers of users A trainer can be located anywhere with connectivity via the Internet I he
trainer's PC is shared so that others can view what the trainer is performing on theiI Pc.. Ihis is
an effective tool that works well in this environment
In addition to providing DOCS personnel with training, Unisys will provide the DOCS with an
informational form that will be provided to the inmate upon entry to the DOCS, The form will
include dialing and initial voice recording instructions as well as rates and family billing options,
This fOlm will be provided to the DOCS during the pre-implementation process for review and
approval
Provided below is a table of the GeneIal Training Content that will be provided to ITS users. As
stated above, classes will be customized to individual usel needs
60
<I
UNISYS
New York State DOCS ITS Tec;/mlcal Pl0J!.0stll
The comprehensive training curriculum is designed to cover complete system administration and
all investigative tools described below
Training Course Outline
Topic
Introduction
Content
Overview of the Inmate calling System functions and
features
Workstation Access Control
Overview
User ID Management
Security Level Access Management
User Alerts
System Administration
Overview
Class of Service Maintenance
Uving Unit Maintenance
Telephone Location Maintenance
Facility Telephone Number Control
Block list Administration
Telephone Ust Update
Enable/Djsable Telephones
Account OVerview
Add aNew Inmate Account
Update Inmate Information
Update Inmate Phone list
Transfer Inmate Between Facilities
Reportingnnvestigative
View Calls in Progress
Functions
Spy - Monitoring
Spy - Snitch Investigator Notification
General Reporting Capabilities Defining Report
Parameters
Save & Reprint Reports
Financial Reports
Maintenance Reports
. Investigative Reports
Monthly Revenue Reports
Shadow Recording
Calling Process
i
. Placing a Call
Dialing Instructions
Direct Dialed Calfs
Collect Calls
Local Calls
International Calls
__ . ._
_. 9all Results Announcement_s_
Table 8·1 : Sample Training Outline
__ . ._
_
IofiutheI support familiarization and learning, the Focus sofiwrue provides context·specific help
screens to assist the user dUIing any process.. By simply pressing the F 1 key, a help window will
appeal with contents trugeted toward the software function in use .
61
- - - -..
-.---.~
------.
...
o
UNISYS
New York State DOCS ITS l'eclmicil/ PIV/!.OS(t/
The 'IN) System1 00 Inmate Telephona Sl'Stem (ITS) is
designed 10 provide a system Ihat allo\ilS Inmates 10
~Ia~e lelephone calls wtlile prowidlng the. slafltte tools
to conlmllhe inmals's. acc~ss record caUs, inleracl with
the Inmate"s 9anteen accou"nl, and blUforthe call
Value-Added Communication C>I~l designed the
System100 ITS system
.
Exhibit 33 : Focus Help Screen
62
•
UNISYS
9.0
New York State DOCS ITS Teclmic:al Prof.osa[
Reporting [RFP Section 3.15]
The proposed F~cus Inmate Telephone System has a wide variety ofreporting options available
- ___________ to_ the- New-YO! k DepartmentofCorrections.- Using any- Unisys. providedworkstation;
Authorized Users can generate, view, and print standard reports The Focus System will maintain
a record of all reports that ate downloaded, with the date and time of'the download, and the name
of the person who performed the download. All repOIts have the capability of being quer ied,
sOlted or filtered by any field contained in the report or by data parameters, as applicable, and
reports are readable on screen, printable and can be downloadable into an excel format
Additionally, custom reports can be created if required
There ale approximately forty standard reports that are available. These reports are indexed and
tabbed by the following categories: Investigative Reports, Maintenance Reports and Financial
Reports. A complete listing of sample repOits for each category has been provided in the
Attachment titled Focus System RepOlb.
L"'IVESTlGATIVE
REPORTS
DESCRIPTION
ACCOfJNJ TELEPHONE
NUMBERLlSJ
Provides a complete current list ofallowed numbers associated
with a specified inmate account.
ALERT NOTIFICATION
Provides calls made by inmates placed on alert and calls made to
telephone numbers that have been placed on alert status dlUing the
desired report period . The report can be obtained by entering the
desired report period
APPROVED TELEPHONE
NUMBERS SEARCH
Provides a list ofthe inmates that are allowed to caU specific
telephone numbers The report can be obtained by entering the
I telephone numbers and the desired repOIt period.
CALLDEJAIL
, PlOvides the completed calls by inmate (in the order that they
were placed) over a specified time.. The report can be obtained by
entering the inmate and a specified time frame
CALLS FROM PIN Nor
AI FAcn>IIY
Provides all inmates' attempts to place calls with Invalid PfN
numbers. The report can be obtained by ente~ing the desired
report period
CHRONOLOGICAL LISI
OF CALLS
Plovides a log ofthe calls attempts (successful and unsuccessful)
in the order that they were placed The report can be obtained by
entering the type of can (collect, debit, or both) and the desired
report pedod.
63
I
.,
UNISYS
New York State DOCS ITS Teclmiettl PI'O£.osal
INVESTIGATIVE
REPORTS CONTIN{lED •••
---CURRENILY SUSPENDED
TELEPHONE ACCOUN r
D':SCRII'TlON
~---
--_..."- .. - ...
.......
.
... --".-------- .
Provides a list of inmate telephone accounts where calling
privileges have been suspended during the desired period. The
report can be obtained by entering the desired ['epOit period.
-- .-"..
~
~-
"
,.-""----".-.---~
EXIRA DJALED DIGIIS
Provides a list of all calls where extra dialed digits were detected
during the desired period. The report can be obtained by entering
the desired repOit period.
FREQUENILY DIALED
NUMBERS
Provides a list ofthe telephone numbers called more than a
specified number oftimes within a specified range of dates. The
repOlt can be obtained by entering the minimum number of calls
to the telephone number and the desired report peliod
INMAIE DIRECIORY
Provides a log ofall inmates. The report can be obtained by
entering the desired repOlt period
INMAIEHrSIORY
Provides all tr ansactions associated with an inmate telephone
account over a specified time including commissary account debit
calls, collect calls, deposits, refunds, transfers, andlor changes to
inmate telephone list The report can be obtained by enteling the
inmate and a specified time frame.
lNMAIE TRANSfERS
I
Provides a list inmate telephone accounts that have been received
or transferred dU1ing a specified time . The report can be obtained
by entering the inmate and a specified time frame
I
! LOCALLY BLOCKED
Provides a list of all phone numbers blocked by the local facility.
TELEPHONE NUMBERS
NEW INMAIE(S)
:
PIOvides all inmate telephone accounts added during the specified
time period The report can be obtained by entering the desired
: report period.
QUANIIIY OF CALLS
PLACED
Provides a list ofall inmates that have placed calls in excess of the
user-defined number of calls in a specific time petiod . The report
can be obtained by entering the minimum calls threshold, type of
call (collect, debit, 01 both), and desired report period.,
QUANIIIY OF MINUTES
CALLED
This report provides a list of all inmates that have placed calls in
excess ofa user defined total amount ofminutes in a specific time
period. The report can be obtained by entering the minimum
amount of minutes threshold, type of can (collect, debit, 01 both),
and desired report period
64
•
UNISYS
New YOlk Siale DOCS ITS Tedmictli Pr()I!.()~al
Displays inmates released and removed from the inmate telephone system.
The repOIt can be obtained by entering the desired leport period.
SPEED DIAL
SEARCH
Displays inmates who have caned the same telephone number during a
The report can be obtained by enteJing 3-digit speed dial
codes.
I specified time.
.
Provides a list of all phone numbers globally blocked thlOUghout the prison
system
SYSlEM-WIDE
BLOCKED
TELEPHONE
NUMBERS
TELEPHONE
NUMBERS
CALLED BY
MORE IRAN
ONEINMAIE
!
PlOvides a list of telephone numbers that have been called by a user defined
number of inmates within a specific time per iod. The repOIt can be obtained
by entering the minimum numbel of inmates calling and the desired report
period.
TELEPHONE
NUMBERS
L1SIEDIN
MORE IHAN
ONE ACCOUNI
Provides the telephone numbers that are on mote that one inmate's list of
numbels allowed to be dialed. The report can be obtained by enteIing the
minimum number of inmates calling and the desired report period
TELEPHONE
NUMBER
USAGE
Plovides a list of all calls made to a user specified telephone number(s)..
The lepOIt can be obtained by enteIing the telephone number, type of call
(collect, debit, or both), completed, uncompleted, ot both calls, minimum
call dUlation, and a specific time peIiod .
THREE-WAY
CALLDEIECI
Provides a list of how many Three-Way Call attempts were detected The
report can be obtained by entering the desired report petiod
Table 9-1 Listing of Investigative Reports
65
•
UNISYS
New York State DOCS ITS l'eelmical Pr0e.0stil
NIAfNTENANCE
REPORTS
DESCRJPTION
CIIYl'"'PA-NXX
SEARCH
Provides the city and state fOl a particulat NPA-NXX
LOCAL EXCHANGES
Provides area codes and exchanges that are designated for the·
local caIling atea
NON-AREA
CODEIEXCHANGE
AnEMPTS
Provides record of call attempts to invalid area codes.
PERCENIAGE GRADE OF
BLOCKING
Provides hourly call traffic information showing the number of
calls attempted, the number blocked by traffic, and the percentage
blocked. The report can be obtained by enter ing the desired report
petiod.
S IAI E By NPA SEARCH
Provides the state for a pruticular NPA (atea code).
Table 9-2 Listing of Maintenance Reports
FINAt'l"CIAIJ Rl~:PORTS
-
I)ESCRIPTION
DAILY CALL CHARGES
Provides a list of collect and debit call activity for a day or date
range.
FINANCIAL
TRANSAC lIONS
Provides a record of the total numbeI offinancia1 transactions
for an individual irunate
INMAIE DEPOSII
Provides a record of individual inmate deposits
L"'\jM:'UE
RECONCILIAIION
I Offers a detailed reconciliation of an individual inmate's debit
I
account
Table 9-3 Listing of Financial Reports
The following screen captures iIlush ates the point and click function of pulling a report hom the
Focus System.
66
III
UNISYS
Neill YOlk State DOCS ITS Technical PIOJ!..OMt/
Exhibit 34: Report GUI
In addition to a pre-packaged CDR report, a flexible, user fiiendly CDR Browser ad hoc query
feature wiII be provided. 1he presentation format can be customized to;
Display or suppress any stored piece of information about a call record.
SOlt ascending 01 descending on any of the fields selected,
Select for one or more values in each selection field (e.g., multiple originating
stations, multiple called numbers)
,... Allow wild card search ctitetia
Select for a range of dates and times
Search calls of a specified length
Search calls ofa particular type
-
AnycalJ selected can be played by users with appropliate security authority as well
as exported to a CD for evidentiary use
-
Save fiequently used ad hoc queries for future use
The user will enter the GUI interface, select their search criteria for a specified report, click on
the preview/print button and view the report results. A screen shot of the system interface GUI
depicts how the user is allowed to define the parameters to be applied to produce the customized
report:
67
•
UNISYS
New YOlk State DOCS ITS Tee/miali Ploe.osai
Exhibit 35: Customized Repolt GUI
In addition above described DOCS accessible reports, Unisys will provide monthly reports that
pIovid¢ at a minimum call statistical data to include number of calls, minutes, actual dut ation,
billed duration and revenue broken down by local, IntraLata, interlata, inteIstate and international
destinations.. These monthly reports will be customized and formats will be reviewed with the
DOCSJor approval during the System Implementation Process
Additionally, Unisys will customize a monthly report that will provide the following data at a
minimum as outlined in Section 5 of the RF P document. DUling the implementation process,
Unisys~wiJl.provide report samples ofthis data fOI review and acceptance by the DOCS. Ibe data
will be;reviewed with the appropriate DOCS staff on a monthly basis. During the Quarterly
Revie~ Meetings, Unisys will plOvide the data in a summaIized Monthly, QUaIterly and Year-to
Date report to ensure compliance the DOCS expectations
-
Site Equipment:
o
Iotal Installation Completed
o
Maintenance Performed
-
Software:
o
-
Updates/New Releases InstaJled
End User' Customer Service:
o
Trouble Resolution Rate
o
Wait Times
68
--~.-~--
•..
--.--~
..
--.~
..- -..- - -..- -..
•
UNISYS
New YOfk Stale DOCS ITS Tee/mica/ PI'02.osai
o
Abandoned Calls
o
Iotai Complaints Files
.-----=-.-DOCS Customer: Service:
o
Trouble Tickets Opened
o
Resolution Rates
o
Access to I echnical Support
-
Focus System PeIfoImance:
o
System A vailab~lity Per Site
o Monthly availability within operation hoUl's
Data Tr ansfer'!
o
o
-
liming
Accuracy
Inmate Calls:
o
Drops and Disconnects
o
Voice Quality
o
Complaints
69
o
UNISYS
Nell! YOlk State DOCS ITS Technical Prol!.osal
10.0 Customer Service lRFP Section 4.0]
___ tQ~___§upp'orl S~lVices for the llQCS [4.11_______________.____ .
..
Unisys has selected Mruk Gibson and Brian Galke with Value A~ded Communications (VAC) to
act as the primary and secondruy DOC contacts, They will be the DOC principal liaison for both
I echnicaI and Customel Support and will be available 24 hours per day . Both are located at the
VAC headqurutels in Plano and ate intimately familial with the DOCS' operational and support
requirements and service levels
In addition to Mark and Brian, it is the intent of Unisys to hire an instate Operations Manager to
furthel oversee all Technical and Customer Support Ihis person will be hired following contract
award and will be knowledgeable in DOCS operation, Unisys will make every attempt to recruit
and hire an in-state operations manager that is familiar with the NYS DOCS operations to include
offering employment to incumbent employees
Unisys has completed the Staff Qualification Form as provided in RFP Appendix H below and
has provided resumes for both in the pages to follow,
10.. 1.1 Primary Contact:
Vendor Name:
Value Added Communications Inc"
Name of Proposed Staff;
Mark Gibson
Position and 'Title:
Manager Technical Assistance Center (lAC)
Name of Film:
Value Added Communications Inc.
Telephone Number:
972-5,35-3325
Role in This ContI act:
Primary TAC Centel Contact
Years ExpeIience - Total:
17 Years
Years Experience - With Current Firm: 5+ Years
Education (Degree(s) and Specialization):
Significant Credited Conr'ses:
• Problem solving with the computer
• Text processing applications
• PC Operating Systems and Utilities
• Database Applications
Tan 1997-1998
1992-93
1989 91
•
•
•
•
Data communications
Fundamentals ofNetworking
PC Hrudwru'e
User Documentation and Training
Richland College, Dallas, Texas
Associates Degree in PC Support
SFA University, Nacogdoches, Texas
Richland College, Richardson, Texas
70
•
UNISYS
New York State DOCS ITS lec1mical PI'ol!.o5al
10.1.2 Secondary Contact
Vendor Name:
Value Added Communications Inc
---------NarrreofPf'lJpO-s-ed-Staff:--BlianGalke
Position and Title:
Installation and TAC EngineeI Manager
Name of Firm:
Value Added Communications Inc.
Telephone Numbe1:
972-535-3333
Role in This Conti act:
Secondary TAC Center Contact
Years Experience - Total:
6 YealS
YealS Expetience - With Cunent Firm:6+ Yeals
Education (Deg1"ee(s) and Specialization):
Bachelor degree from Texas Tech University, 6 yealS technical work experience, MCSE
(MCP+lntelnet), I CP/IP, IIS 40 certifications.
71
o
UNISYS
New York SlnteDOeS ITS Technical ProI!.OS(t/
13.1.1 Collect and Prepa id [RF P Section 7.3.1]
The following is the calling procedures involved with the notification ofthe requirement to set up
_
...._____.
aX-:.c9l'mE<;T pr~-paid account
Drop Inmate from
Can
Exhibit 39: Pre-Paid Calling Procedure
The process includes notification of the inmate dUling a collect call attempt that in order fOl the
collect can to be completed, the called palty must set up a pre-paid account The called patty is
also notified that in order to receive a collect call from the inmate, they need to set up a pte-paid
account The called party is insttucted to "press 4" to immediately set up an account 01 to dial the
VAC 1·800 number to set up an account,
Sevelal different payment methods are available to pre-paid account holders for funding the
account including credit card, debit card, check, and money order, Once the account is funded the
caned patty can statt receiving calls from the institution immediately, Account owners can sign
111
G
UNISYS
New YOlk State DOCS ITS l'ec/mical Prol!..osal
up on-line, over the telephone, or send payment by mail to Value-Added Communications, lnc,
PO Box 678517, Dallas, TX 75267
As presented in Section 10.22, account owners can set up a pre..paid account securely on-line
. ·-----thfoiightlie-web~site http://CWww.-mYVcOiineclcoffirThe on-line accountset:i1jfpfocessartd
graphical user interface is very intuitive . Account owners are required to submit their fulI names,
addresses, phone number, e-mail, self-selected password, and credit card infolmation. The
account owner is also Iequired to select the institution or correctional system (e.g, Federal
institution, NYS DOCS facility) that a pIe..paid collect call will originate flOm.. The Exhibit
below is a screen shot of the V-CONNECT payment screen .
lI.1.4d .M.~Y, A~c~g'.jil~iOfl;~i r~j.r~(.
C"':~~'-L'"'" ~-- ~~;
..
f;.1'if~,(~H.ltti
..
\' M:tkaPOJifRQln
-I. ou.til1ip~«~rS ..tn!,fe~.I$Hi:oo mllb~re~nir-~;l
..
Credit Card Information.
Pl•••• pr""lile "'.·f~Il....I;lg IIIIonna1l0n rela'iilgtolheC...rilc.,d you •• Ieeton. make'"
dlepoyti,enl.
. .. .
......
......
..
..:.,... ..::--:~~,-:---.: ..;~.~:- ...,~'.-""-':"',;,-- .. ..,.;.;....:.":,,....:.,.~~-"r"-.-'-.
::~=~::~" ~r1i~i;;o.;"",.;,."'.;~,
!
L -___._
A."llount:
.. _ ....__ $:0.00. , , _ - _......_ _ _' -.......
.._ .
~
\Y!j
Exhibit 40: Payment Screen for V-CONNECT
The following polices are required to be accepted by a Pre-Paid account ownel
The account owner must acknowledge being the legal owner ofthe telephone
account listed and are authorized to make changes to service utilizing the credit card
and/or check payment
There is no minimum deposit required .
To signup for the V AC V -Connect program there is no setup fee
EvelY credit card transaction thereaftel will include a processing fee deducted from
the payment This fee is not assessed for any non-credit caId payments
Upon cancellation ofthe V-Connect account there ~ilI be a closing fee
Any money that remaining in the account at the time ofclosing will be returned
back aftel the closing fee has been applied.
112
~---
......
_-_ _-_.
..
•
UNISYS
New YOlk State DOCS ITS Tee/mical PWl!..osal
Credit Card or Debit Card payments are accepted
Should any bil1ing infOImation be provided to VAC by or through the V-CONNECT
website, to include, but not limited to: credit card numbers/information, or any other
--------------- meanS-for payment;ifie account owneiinusfigree thafthey are"responsible fo'ranY~--and all use of sllch information by any party fOI the purchase ofservices provided
byVAC.
.
The account owner must agree to hold harmless VAC, and its affiliates, officers,
shareholders, and agents, from all claims, losses, liens. expenses, suits, and
attorneys' fees for any damages of any kind, including, without limitation: any
special, consequential, incidental, punitive, or indirect damages to any person or
entity that may in any way arise out of or result flom OJ in connection with the
unauthorized use of such payment infOImation, and that the account owner's only
remedy, should there be one, is with the issuing financial institution upon its
contract terms with the account owner.
The account owner must acknowledge that detention facilities are run by
government authorities that impose restrictions on call times, call duration, and
other restrictions not within the control ofVAC Calls denied by these facilities are
not the responsibHity of VAC
The account owner must acknowledge that the NYS DOCS does not allow calls to
cell phones Ifan account is setup with a cell phone number it should be noted that
Value Added Communications will not be held responsible for reimbursing cell
phone calls that have been disconnected during the conversation, for whatever
reason.
The account owner must acknowledge that no 3-way conveJ·sations rue allowed
Any attempts to make a 3-way conversation will result in a call being terminated
and Value Added Communications will not be responsible for reimbwsing these
types of calls
The account owner must acknowledge that aU calls from the institutions may be
recorded and monitored and the actual calling times that are allowed are detelmined
by the individual institutions.
The account owner must acknowledge that the terms oiuse may change at any time,
and VAC expressly reserves the right to change or modifY the terms and conditions
for use Such changes, when made, become effective immediately upon posting to
the website, unless otherwise indicated It is the account owner's responsibility to
consult the Terms and Agreement section each and every time you direct YOUl web
browse! to this website.
The account owner must click "1 Agree" to constitute acknowledgement of; ,<eading
the requirement guidelines, acceptance of, and consent to the terms of the Terms and
agreements
113
vrr~
__________________________________________________
S.LN311\1 H!) V.L.LV
§llSINll
o
SII~
________
~
____________________________________
/vsodo/J l J:J!utpa1 SJJ sJoa i.lIVIS 'flOX tH;JN
'
SASINil
•
911_____________________________________________________
..... _--_._-- ....• ....
..
.._._---_.......... ._"-'.'-'-_._-'--'--
SASIMil
•
LII.____________________________________________________
jVfodolJ jV:J!UI[:J<JJ.. S.ll S:Joa i11VJS Jj.J0J! tH<JN
SXSINil
e
8II~
__________________________________________________
SASINll
o
611.__________________________________________________
}1JfOdo.lJ }1);')IWPt1.1
SJ.I s,JOO aJVJS 1jIOA
dlt1N
SXSlNfl
G
OlI______________________________
~
_________________
SXSINil
•
IZI.__________________________________________________
SASINil
o
New York State
~Departme·nt-~of-Correctional--~·Se·rv-ices
Inmate Telephone System (ITS)
•
UNISYS
Imagine it. Done.
System Security Plan
January 4, 2008
Unisys Corporation
11720 Plaza America Drive'
Tower III
Reston, VA 20190
-~
o
UNISYS
NYS DOCS ITS System Security Plan
TABLE OF CONTENTS
-.=... -.-.........,...'..
-~.--- PREFACE-.....=•••,·.•" .....-.......
.
1.. 0
-3---.
i. . . . . . .
-., ••. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .:••;;;;,•.•;;. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ;,-. . . .·.""..-....
SYSIEM IDENTIFICATION ................."............................"" . ._
...."..........".............".....................".....".....,,,.................,,.,,,, .......,,,,.."." .. 4
1.1
Background ....._
................................"", ...............,,,,,.,,.,,,.......................".....................................,.. ".. ".........................."............"......,................ 4
1.2
System Identification .........................................".........".................................................................................."......................"..........4·
1.3
System Information ...................................................................................................................."................................................,..........5
1.4
System Environment...............,............................"'.....................,....."'..................................................................,...........,."..................5
1.5
System Interconnecnon/lnformation Shal'ing.,...,.....,..,..."..................................,.........,...............................................8
1..6 Sensitivity of Infor'manon Handled ". . ,., .................................,.. ,.. ,................,...........................................,......."..........."....."................. 8
1.7
2.0
A pplicable Laws, Directives, and Regulations Affecting the System ..................................."""...,,.. 9
MANAGEMENT CONTROLS ......"......"".....,."'".... "."........................,,,...................... ~."".......,..........................,...................,...... ".. 10
2.1 Security Assessments .........",.......".. ".".". "........................,....,...........................,.......................""'..............................".......,, .........................10
2 ..2 Planning..."...."........"..,.....,........................................,............................................................"'................................................".................,....",."., ...,...."........10
2.,3 Risk Assessment ..... ,..............................,."................"...............................,... ,..........,....................,.....,.....,....................".........,....,...............................11
2.4 System and Services ............................................................................................................................,....,.. ",............................................11
3 OPERATIONAL. SECURITY CONfROLS ....,..........,.............................""............................................................ ,...........-,., ..... 12
3.1
Personnel Secur ity ................."......."............................"...........,.......,".....................................".."",........,..,,.....,...............................,.. 12
.3..2
Physical and Environmental Protection ............................................................................,..........,.......................,..............12
.3.3
Production Input/Output Controb ............................,.. ,....,................................,....................................,..................,,,.................,15
3.4
Hal'dwar'e and System Software Maintenance Controls"............,,,....................................................."...... 16
3.5
Integrity Conb·ols" ........................................"..........................,..................................,...........'.....,..,,,,,......"....................................17
3..6
Secul'ity Awareness and Training .................................,....".."".."....,...."".......................,.................................. "., ................17
3.7
In cident Response Pia D...............,,,........'.'... ,.l•. '••''''''... II ..'',I'••••••••••••• ,.....,''''.'''..'I'''.'''! .. ''''.''.~'''.I',.............•••••• ,."""" •• ,1""" •• """."'118
3.8
Ver'sio n Contr'ol ....."",." ..... ".,........,...,........................................,......", ............................."".,...,....."...........".......'..".....................".....,,,..,19
4,,0
IECHNICAL CONIROLS ......,..."...........................................,.......................,...........,...................................,...".. "."............................ 21
4.. 1
Identification and Authentication ..............................................."'"...........".............................................,......,..................... 21
4.1..2
Password Management..........."..............,"" ..........."......,..".... ,..............,. .,,,.. ,,'....,...,,.,,..............,................................,................,. ,,,,,22
4..2
Logical Access Conb·ols."".".,..".........."" .............;.....",...,.. ,,,...,, .....".,,,.,, . ,,,... , ...............,,.•.,, ......,,.,,',,.................,.,,..... ~ ......................22
4.. 2.. 1
Active Dire.ctory and Group Policy ....................."" ............"' ..........,............,.....................................,................."...........,...."".............. 22
4..2.. 2
~ystefll-b(Jsed Logical Access
4,2.,4
Auditing......""",,,..',,,,,,,,,,;,..,,,.',......,,,,,,;............. ,..........."...'''.HHlh''''.. '•.,'''.............IO''.fl'''.... '11'.. '~'t ... '•••I'j,.'f'I.'....'I'.."'...' ........,••
4.2..5
En Clyptio n .................'" ......"..,.. ,...,."..........,,,..,,,,, ., .............."..........".......... ".. ,...................,................ ,.........,.."............,..,.........,........".," .......... 25
Contlols . .", .................,..................,,,..... ,.............,,......,...........,.........................,""., ........"..""....... 23
I> ••, . . . . . . . " • •
""".,.24
APPENDIX A: ACRONYMSID EFINITIONS "" ... ,......................"..........".".....,..............."'.................................".. ,............".....26
SpoT
_._------_._-----------------------
January 4,2008
dI
UNISYS
NYS DOCS ITS System Seclltity Plan
APPENDIX B: GLOSSARY ..."...",..••....•.••..".,,,..,'"" ,... ,",.,,,........,,.,....,................... , ...,,"""",..,",.. ,.. ,'"." ..,"',.....,."." ........."..... "............. ".,,28
·---··...··.-·.·----.·APPENDIX· G:- REFERENCES·.................................,;;.i.,.,i.,."••,.;,;,.-..,;,••
·,.i.=32------· ..
i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .·" . . . . .'.........
APPENDIXD: NYS DOCS ITS RULES OF BEHAVIOR,...."...,.""'.,'' '"......."..".............""..,''''".."... , ,....,.... ,." . ".,.".,,,....,,.. ,,.34
APPENDIX E: SECURITY AWARENESS TRAINING PLAN .,.",...."................."... "'." .....,,,.,',.,,,",.......,,.,.,,',,.,,,,....38
SP-2
.-.----------.--~~
Januruy 4, 2008
•
UNISYS
NYS DOCS ITS Sy,Stem Seculity Plein
PREFACE
------- -- Tocauy-out its wide:-ranging responsibilities, th(;NewYork State Department of eOlrectional Services·"·· ---_..- - - -
(NYS DOCS) has access to diverse and complex automated information systems, which include system
selvelS, local and wide area networks running vatious platforms, and telecommunications systems to
include communication equipment. One such system is the Inmate Telephone System (ITS), which
enables inmates to regulady communicate with friends and family The bureaus and offices within the
NYS DOCS depend on the confidentiality, integrity. and availability of these systems and their data in
order to accomplish day-to-day activities.
Tn accordance with New YOlk State Office ofCybeI SecUlity and Critical Infrastructure Coordination,
Cybel Security Policy P03-002, Information SecUIity Policy, Revision Date: August 1, 2007, all NYS
systems have value and require some level ofpIotection
AccOldingly, Unisys prepared this document to meet the requirements set forth in the Cyber Secmity
Policy The tasking included a leview onTS application including:
A review of the lIS application's design to identify any weaknesses that may be exploited
by an internal and/Ol external threat and countermeasures to mitigate risk
A review ofthe TIS applications configmation to include any strengths and weaknesses
based on security safeguards enforced by Microsoft operating systems
A review of the lIS application security featllI'es to assess their compliance with applicable
State policies and industry best Practices
The following table is the record of change for the System Security Plan. It indicates versions of this
secwity plan Each time the security plan is updated, a new entry shall be added to the table, and an
appendix to this document will be added to reflect the previous version of the secmity plan so that all
changes are tt acked
Exhibit 0,0-1. SSP Record of Change..
SP·3
...
-~
..
-~
...
--~-------
January 4, 2008
•
UNISYS
1.0
NYS DOCS ITS System SecUlity Plan
SYSTEM IDENTIFICATrON
--------- I his- documenrprovides-guidance-and requirements-for security planning to-include controls
(management, technica~ and opeIational) fot the NYS DOCS I1S.
1.1
Background
This security plan is a requirement of the New York State Office of CybeJ Security and Critical
Infiastructure Coordination, Cybel Security Policy P03-002, Information SecUlity Policy, Revision Date:
August 1,2007, The NYS DOCS lIS is being created to provide telephone seIvice toinmates in order
that they may stay in touch with their friends and family while incarcerated
1.2 System Identification
Ihis document constitutes the System Security Plan (SSP) fOl the New York State Inmate Telephone
System.
'
1.2,,1
System NameITitle
The name of the system is the New York State (NYS) Department of Conectional Services (DOCS)
Inmate Telephone System (lIS).
1.2.2 Responsible O,.ganization
Pr ogram Office
The NYS DOCS Program Office is the office responsible and accountable fot coordinating the business
aspects of managing the system £i'om initial concept, through development, to implementation and system
closeout. The Program Office determines the sensitivity of the information in the system and the
appropriate protection to be taken.
1.2.3 Information Contacts
The following are the information contacts responsible for the system(s) coveted by this System Security
Plan
Program Manager
The Program Managet possesses overall responsibility for the success of the NYS DOCS lIS Program"
Accordingly, the Program Manager will work c]osely with the NYS DOCS lIS Program Office and the
System Security Manager to enSUle the successfu] implementation and maintenance ofthe system
secwity controls
The NYS DOCS ITS Program Manager is Mr Paul R. Nicandri
1.2.4 Assignment of Security Responsibility
System Security Manager
The System Security Managel (SSM) is the individual with the technical and management ability to
ensure the implementation of system secm ity configuration controls and security changes fOI the NYS
DOCS lIS, and to report security incidents. Ihe Systems Security Manager will work closely with the
system administrators and secmity engineets to ensure proper implementation and accurate incident
repolting.
The NYS DOCS ITS Systems SecUlity Manager is Ms . Tina C Williams .
Information Owner
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.UNISYS
NYS DOCS ITS System Seem ity Plan
The InfOlmation Owner determines the sensitivity ofiniormation in the system and the appropriate
protections to be afforded. The information owner also authorizes who has access to the system and what
'.-_."'-- functions they are pennitted top-erform-These tasks may be delegated to the Program-Manager A
.... -------
Program Manager may also act as an infOImation custodian if managing a system fot the information
owner..
The NYS DOCS ITS Information Owner will be a role shared by a representative of the NYS DOCS ITS
Program Office and the Unisys Tearn Program Manager, Mr . Nicandri
1.3 System Information
The DOCS Management Information Systems (MIS) stafland Unisys collectively manage the Inmate
Can Home program which aHows inmates to place collect and pre-paid collect telephone calls to family
and fiiends The [nmate Telephone System supporting the Inmate Call Home program is a network of
customized premise based communications equipment and is located in each ofthe DOCS conectional
facilities The system SUppOlts 3,438 inmate telephones ranging from installations with as few as four (4)
telephones to facilities with as many as one hundred twenty-four (124). The telephone instruments are
wired with standard category three cabI~s.,
.MIS maintains mainfiame applications that provide authOIized staff with administrative functions and
tools that allow the DOCS' Guidance staff the ability to maintain individual inmate caBing lists . Each
inmate is allowed to place collect-only calls between the hours of7:00 am and 11 :00 pm to any of the
fifteen telephone numbers appearing on their personal allowed list for a maximum duration ofthirty
minutes per call The ITS processed approximately 5A million calls for nearly 110 million minutes of
tr affic annually
1.4 System Environment
1.4.1 System Location
The NYS DOCS ITS selvers will reside at the Unisys
and will
be accessible byNYS DOCS ITS sites via the AT&T managed Wide Area Network (WAN). ITS
workstations will be located at all facilities to enable call monitoring and system access. The equipment
used for back office processing of the inmate calls, will be located at the Value Added Communications
(VAC) datacenter in Plano, Texas, In addition to the correctional facilities, NYS DOCS II S work
stations arelocated in the following facilities:
NY DOCS Bldg 2
1220 Washington Avenue
Albany, NY 12226
NYDOCSIG
150 Broadway
Menands, NY 12204
NYINJHIDTA
759THAVE
New York, NY 10011-7006
Upstate NY Regional Intelligence
630 COLUMBIA S TEXT
Latham, NY 12110-3063
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NYS DOCS ITS System Security PJ(tn
1.4.2.1 tfardVvare
The hardware associated with this system is detailed in the Unisys I echnical Proposal and will be
documented in a formal System Design Document after contract award.
1.4.2.2 Software
The software associated with this system is detailed in the Unisys Technical Proposal and will be
documented in a formal System Design Document after conti act award.
1.4.2.3 Firmware
The NYS DOCS ITS hmdware includes only standard manufacturer-provided COIS firmware
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UNISYS
NYS DOCS ITS System SecllIity Plan
1.5 System Interconnection/Information Sharing
-,,,,,
1.5.1
Voice/Data Flow (including Data Flow diagrams)
The NYS DOCS lIS incOIporates both data and voice call flows. These flows include: the
Inmate Call, Maintenance Access (for site wOIkstations and SLC datacenter servers),
InvestigatOI Call Record Access, and Nightly Inmate Record I ransfeI.. Included in this section
are the flow diagrams, flow desctiption and/OI flow steps applicable to each ofthe system use
and secUJe access requirements .
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UNISYS
NYS DOCS ITS System Security Plan
REDACTED
Exhibit 1.5.1-1. Inmate Call Flow
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UNISYS
NYS DOCS ITS System Sec1I1ity Plan
... .JI).".e~!ig~tor Can and Can~Re~()rJtAcf~~!3tI9_\I\r'_§!~I?S
REDACTED
Exhibit 1..5..1-2. Investigator' Call and Call Record Access Flow
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Tanuary 4,2008
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UNISYS
NYS DOCS ITS System Security Plan
Remote Maintenance Access Flow Steps - NYS DOCS ITS Site Workstations
----.--- ..."-, ...
VAC Technical Assistance CenteI (I AC) initiates the remote maintenance session from their
workstation
2 VAC Router willlOute the packet request via theillOuter to the A II data netwOIk
3, Site I'OuteI will anow the packet to go through
4 Site workstation will grant access to TAC user
-.~~--
REDACTED
Exhibit 1.5.1-3. Remote Maintenance Access Flow - NYS DOCS ITS Site Workstations
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JanuaIY 4, 2008
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UNISYS
NYS DOCS ITS SYitem Secllrity Plan
Nightly Data File Transfer Flow Description
---------------,
",'---""
,,-----------,
Ihe NYS DOCS ITS requires data tzansfel fiom several other DOCS infOlmation systems"
Efficient operation of the ITS requires the maintenance ofa file of phone numbers each inmate is
allowed to call and the authorization code (PIN) fOl each inmate, The DOCS "LocatOl" system
records information concerning each inmate's admission to and release fzom the DOCS.
Admission and release transactions is passed to Unisys each night as inmate are added or deleted.
In addition, the Phone NumbeI Registration subsystem recOIds the phone numbers each an
inmate is allowed to call Each inmate is allowed to register 15 phone numbels, all others are
blocked by the IT S.. Any changes to inmate allowed call lists are sent to Unisys each night via
FIP. Modifications to the call list are sent as add, delete or leplace tzansactions
The DOCS inmate "Disciplinary" system records, among othel penalties, the loss of the privilege
to use the ITS, A file of phone privilege restrictions is sent to Unisys nightly _ These tzansactions
will contain the date the resl1iction is to 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 are done on a nightly basis, following the file tzansfer of inmate change transactions"
A nightly file of all inmates under custody along with their cunent facility location is sent after
the inmate and ANI file tzansfer to reconcile each inmate's current location, Unisys receives
homly updates during the day of all changes to inmates location that have occurred since the last
hourly update or the'last nightly "Under-custody" file send was completed., In return, Unisys
provides a call detail file to the DOCS' computer each night Ihis 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 DOCS users to
determine calling pattems of an individual inmate or to a specified phone number.
Nightly Data File TransfeI Flow Steps:
Exhibit 1.6.1-5., Nightly Data File Transfer- Flow
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UNISYS
NYS DOCS ITS Sy<.tem SecllIity P/(m
1,,5.2 User Interface
Users access-the-Foeus-systems via·Intetnet- Explorer-Web-based· applications such-ago the-·-
Investigator WebBmwsel shown below.. User permissions and privileges are set via Active
Directory by the Unisys authorized system administrator
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NYS DOCS ITS System Security PI(1n
1.5.2.. 1 User Roles and Permissions
The-NY-S-DOCS-I-TS·SystemUserswiUbe-as-fo110ws;----
User/Service
Role Description
R,
t,
Remotely Ad
telv AdmInister
trat,
SvstemAd
System AdmlnlstIator
WOIkstations and user
accounts at NYS DOCS IT S
Sites and Servers at Vnisys
SLC Data Center
Inmate
Place phone ca1Is to approved
contacts
Investigator
Access NYS DOCS ITS GVI
perform functions per Exhibits
1.6.21-1 and 1.6.2 ..1-2 below
. Inmate Administratol
I
Perfotms Inmate account
management, blocks numbers,
enables/disables Inmate
phones
"Nightly Transfer" SeIvice
FTP access to the Focus HQ
server at SLC data center
c--.•.
Exhibit 1.5. 2.. 1-1. System Users
Within the NYS DOCS ITS GVI, the functions and typically associated roles are as folJows:
Function
Roles
Investig
ator
System
Admin
Inmate
Admin
X
View Call Records
X
X
Access Recordings
X
X
Live Monitor
X
X
Export Call Records to CD
X
X
Run Reports
X
X
Block Numbers
X
Assign User Privileges
X
I Enable/Disable Phones
X
I Help____.
X
X
X
X
X
..
X
Exhibit 1.5..2.1-2. Web Forms and Reports Functions by Role
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NYS DOCS ITS System Security Plan
1.. 6 Sensitivity of Information Handled
------·---·..·--1;6;1--- General Description-of/nformation Handled'- --.
The NYS DOCS lIS will contain plOcessing data, call type, can log files, call detail records, personal
inmate i!lfoTmation and other data as detailed in the data specifications provided by NYS DOCS
1.6.2
System Criticality
The NYS DOCS lIS application is considered mission important, but not mission ctiticaL Its
primary benefits are in the ability to enable inmates to regularly communicate with friends and
family while incarcerated If the system were not operational for an extended time, it would
impact the conformity of the institution, which has the potential to lead to disobedient behaviol
among inmates
The system also enables DOCS II S to have access to the most current data on targets and
investigations; and to suppolt analytical reports that enable NYS DOCS ITS management to
focus investigative IeSOUI'Ces on impoltant targets . Lack of system availability would likely
hinder/stall applicable investigations.
1.6.3
System USel'Descrlption and Access Levels
All persons who have access to, or are users of, the NYS DOCS ITS application undergo a
background check. The local users ar'e appIOved employees ofthe NYS DOCS ITS or apploved
support contIactor personnel. The workstations are administered and operated by Unisys Team
personnel, and support contractors .
The field users include employees of the NYS DOCS, assigned to one of nine hubs. The field
users also receive background checks and are apPloved and trained for access to the NYS DOCS
II S information
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1.1
NYS DOCS ITS System Security Plan
Applicable Laws, Directives, and Regulations Affecting the System
•
State of New YOlk, 5299·C, Senate Bill
•
Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), 723 3
(dX2)-(4) Department of Correctional Services, Inmate I elephone Calls, COR-38-07-00004-P,
•
New Yotk State Office of Cyber Secwity and Critical Infrastructure Coordination, Cyber
Secmity Policy P03.002, Information Secutity Policy, Revision Date: August 1, 2007
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NYS DOCS ITS S'ystem Secllrity Plan
2.0 MANAGEMENT CONTROLS
""'-"-"""',,,
,,,,., .., ,
2.1 Security Assessments
----.------
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..
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.... , , . , , , - - - - - - - - - - '
2.1.1 Security Assessment
An initial security assessment will be been done to ensure the appropriate security contlols ate integtated
into the system as proposed, The assessment includes both manual and automated tasks, namely, but not
exhaustively, system configuration check to include installed software, virus scans, and user interviews
The Security Assessment will be completed in conjunction with the Quality Assurance (QA) audit that
takes place prior to the deployment and installation of the system.
2.1.2 Information System Connections
Unisys will ensure through OUI subcontlacts with VAC and A I & I that any systems (e g, VAC back
office system~ or AI &T NOC systems) that have connections with the NYS DOCS system meet the
security requirements of the NYS DOCS
2.1.3 Continuous Monitoring
Continuous monitoring will be done to ensure the secUlity posture ofthis system is maintained Ihe
monitoring includes both manual and automated tasks, namely, but not exhaustively, audit log reviews,
system (i e servers, firewalls, routers, etc) configuration checks to include installed softwat'e, virus scans,
and user interviews" Additionally, the firewalls (integrated with Intrusion Detection System [IDS]
capability) and routers ate configured to provide real-time feedback regarding the security state of the
system,
2.2 Planning
SecUlity pJanning has been incorporated within the Unisys Team NYS DOCS ITS solution and includes
details as captured within this subsection,
2.2.1 Security Planning Policy and P,'ocedures
Ihe impleD;lentation and maintenance ofthe security controls shat'ed across the Unisys team are guided by
internal security policies and procedures These policies and procedures will be appended/tailored to
accommodate the specific NYS DOCS security policy and procedure documents as exist per the NYS
Cybel Seculity Policy P03·001, InfOlmation Sec1JTity Po/icy,
2.2.2 Security Plan
Ihis document is the Security Plan for the NYS DOCS lIS Updates will be made to the Plan upon
contract aw;:ud and upon receipt of, and agreement on, the additional security configurations pel NYS
DOCS secu'lity policy and procedures,
2.2.3 Security Plan Update
The post-contract baselined SecUIity Plan will be updated peIiodically as secmity and/or relevant system
changes are perfOImed on the NYS DOCS ITS, In addition, the Plan will be reviewed periodically to
ensure cuuent and accurate captur'e ofthe secmity controls contained in the system.
2.2.4 Rules ofBehavior
See Appendix D fOI the NYS DOCS ITS Rules of' Behavior Additionally, Unisys Tearn constituent
companies have internal system use policies specifying generally expected/required user behavior
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UNlSYS
NYS DOCS ITS System Security Plan
2.3 Risk Assessment
The RiskAssessment-oh system-provides- insight into the vulnerabilities-ofthesystern'and-pIiority-with--
which the vulneIabilities need to be remedied The ptocess of creating a security plan and peIiorming a
security assessment are essential to assessing the system secm ity risk associated with the NYS DOCS
lIS
2.3"1 Risk Assessment
The Risk Assessment activity will be incorporated in the ongoing assessment ofthe secudty posture of
the NYS DOCS ITS As system vulnerabilities are identified via scanning (see 23.2 Vulnerability
Scanning below) or manual assessment of security controls, the vulnerabilities will be documented and
discussed with the NYS DOCS ITS staffand corrected accordingly by the Unisys Ieam security and
engineering personneL
2.3.2 Vulnerability Scanning
Per iodic vulnerability scans will be performed on the NYS DOCS ITS in order to determine such items as
missing system Or application patches that need to be installed, any open ports that are not required, etc
2.4 System and Services
Ihis section describes engineeling related controls that support the secure posture of the 1\'YS DOCS lIS.
2.4.1 Information System Documentation
Documentation Ielated to the detailed configuration of the NYS DOCS ITS and related maintenance and
security policies and procedwes, will be made available to the NYS DOCS per contract requirement, and
exist as internal-only documents within the constituent Unisys I eam companies. The Information System
Documentation is important to maintaining the security posture of the NYS DOCS [IS as it provides
insight into the system settings such that potential vulnerabilities within the system can be identified
2.4.2 Software Usage Restrictions
Prior to software being introduced by the Unisys I eam into the NYS DOCS lIS, approval will be sought
by the NYS DOCS ITS engineering/security staff and Progtam Office In general, software usage will be
restricted according to the NYS DOCS ITS security policies and procedures.
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NYS DOCS ITS System Security Pfrm
3 OPERATIONAL SECURITY CONTROLS
. _.. -_ ..__._.. .- This-section descIibes-ilie-operational·conttols;in-place-Dr planned; that meettlre-prDtection- ....-.... -.
IequiIements ofthe NYS DOCS ITS OperatiDnal cDnttols refer to security mechanisms Dr
methods that are primatily implemented and executed by personnel rather than by systems .
OperatiDnai controls are implemented by personnel with technical or specialized expeItise, and
rely upon the suppDrt 'Ofmanagement activities and technical cDnttols to be effective.,
3,1
Personnel Security
Unisys I eam requires that all personnel seeking access to an NYS DOCS I IS netwDrk undergD a
background check. ContIactOI personnel peIfoIming hardware installatiDn or maintenance must
be similarly cleared Dr eSCOIted at all times by apptopriately cleared and knowledgeable NYS
DOCS employees" After Human Resources has completed a background investigatiDn Dr
apPIOved a waiver, a useI's immediate supervisDr may submit system access requests to the
system administratOI. Additionally, VAC employees are required tD undergo employee drug
tests and be subject to random dIUg screening as a cDnditiDn 'Of employment.
All users are requiIed to rea<i and acknDwledge understanding 'Of the Rules ofBehavioI before
using NYS DOCS ITS resources,
3.2
Physical and Environmental Protection
Ihis section describes the protection measures that Unisys and VAC will implement tD safeguard
the confidentiality, integrity, and availability ofNYS DOCS ITS system components and data
nom physical and envitomnental thIeats
3.2.1
Physical Security Measures
Physical measures protect the confidentiality, integrity, and availability ofNYS DOCS ITS
system cDmpDnents and data from physical threats such as destructiDn by fire, flood, Dr wind
damage, or through physical access and interception by unauthOIized persons,
Physical security is a CDnstant challenge, given the distributed nature 'Of the II architecture and
the DOCS numerous physicallocatiDns. Unisys assumes NYS DOCS will ensure that all hub
sites have mUltiple layers of physical security ranging from guards at entty pDints tD cameras
monitDIing key 10catiDns throughout the various bUildings.
NYS DOCS will hDuse all seIvelS and network equipment (e.g." switches, routers) at hub sites in
a locked facili~y that is accessible only by its staff NYS DOCS willlDck the server room Dr
cabinet so it is only accessible by designated persDnnel. A logbDDk will be maintained and used
by anyDne accessing the server IODm..
NYS DOCS will eSCDrt individuals WhD request temporary access tD cDmputeI IDDms Dfprimary
and secDndaty facilities. NYS DOCS will maintain a list 'Of individuals with permanent access
plivileges. The access list will be updated as required,.
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NYS DOCS ITS System Seculity Plan
I
______ ~___NYS DOCS wjUj~I}~m:et1tl:l.tJ(_t!Y~.QLcodes for server moms and cabinets &~ PIQt.eCle~tiitthe___________ _
same level as plOtected infotmation-underlock and key and contlOlled by the designated
representative" Whenever possible, keys will be marked and controlled to enable identification
of lecovered keys and to facilitate accountability and renieval of issued keys Keys will be
mruked so they present no indication of the identity and location of the lock(s) they open,
The VAC facility plOvides physical seculity features that include:
Connolled building access
Locks
Cipher locks
Access Connol Logs (fOl the building)
Powel Conditioning equipment
Fire and Smoke DetectOis
Sprinkler system
Heating, Ventilation, and Air Conditioning (HVAC)
Entrance to the VAC office is monitored dwing business hoUls by a receptionist All doors are
locked on a 24x7x365 basis, Entrance fot employees requires a VAC-issued identification
badge, electronically coded for access to areas required fOI the employee's official duties When
inside the building there are several limited access areas that are only to be accessed by
employees that have clearance fOI that ar'ea, "Ifaccess to a restIicted area is needed by a non
approved employee they must be escotted by an employee with approved access" VisitOiS are
required to weal' a Visitor badge, be escorted, and sign a Visitor log book
The NYS DOCS ITS serveI room at the VAC facility is a controlled area It requires an
electronically coded badge to gain entry to office spaces from the common hallway, EntIy to the
server 100m is plOtected ,by a lock controlled by a proximity card reader..
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NYS DOCS ITS System Seclttily Plan
3.2.2 Environmental PI'otection Measures
Enviton:rnental measures protect the integrity and availability ofNYS DOCS ITS components by
ensUIing that suppoIting envitonmental utilities such as electIical power, air temperatUIe,
humidity, and reduction of ailbome contaminants are maintained within operational
specifications.
The environmental contIol standards for computer rooms lequire adequate heating, ventilation,
and air conditioning (}IV AC) and clean, reliable poweI, grounding, smoke detection, and file
suppreSSIon
NYS DOCS HVAC systems operate 24 hours a day (where available). The INAC systems are
designed to provide swnmeI environmental conditions set at a constant 74-76 degrees Faluenheit
(F) or 213 to 24,.4 degrees Celsius (C), with a humidity level of45-55 percent The design
provides wintel environmental conditions set at a constant 70-74 degrees F 01 211 to 23 J
degrees C, with a hUIDidity level of25-35 percent All ITS systems are equipped with dedicated
unintenuptible powel sources with 3 hOUl battery life,
,
3.2.3
Extpmallntlusion
,
The tmeat Ofoutside intrusion into the NYS DOCS ITS is considered to be low due to the use of
background checks and criminal penalties fOl cooption ofauthOIized NYS DOCS with criminal
suspects Each of the system endpoints are equipped with appropriate physical and
environmental controls as detailed throughout this section.
3.2.4
athel Threats
The tm'eat ofteuolist attack on NYS DOCS facilities is rated as low, based upon the public
profile ofthe NYS DOCS facilities housing the ITS Because of the enviIOnment within which
the NYS DOCS reSOUIces operate, the threats posed by riot, civil distUI'bance and vandalism at
individual facilities are considered to be high. The following tmeats are largely mitigated by the
secUIity of the NYS DOCS facilities:
•
Damage by fil e and water
•
Natural disasteis (e g,., stOIms, floods, earthquakes)
•
Power failure
•
Hardware failure (including air conditioning)
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NYS DOCS ITS System SeclItity P/(l11
Communication system failure
3.2.5 Potential Points of Failure
There are three potential single points offailwe of the system capabilities The fitst is the lack
ofredlmdant hmdware. Ihe Focus system server has no soft failover capability to a wmni or hot
standby server.. This Iisk is substantially mitigated by the high reliability ofthe CO I S hardware
and the ready availability ofreplacement components fiom local sources, and the immediate
availability of qualified technical SUppOlt at the SLC data center but it remains a residual risk to
system availability
The second single point offailure involves the total loss ofpower to the NYS DOCS faculties
The commercial power system supply to these buildings is reliable enough for the required
availability" Ihe interconnected power grid ofNew YOlk State makes is highly unlikely that the
commercial power supply will to be disIUpted for an extensive peliod oftime except by a m~jor
natural disaster, such as an ice storm Ihe likelihood ofthe occurrence of any of these natural
disasters is considered to be veIY low to medium and the site equipment will be configured with
a 3 houl UPS .
The third potential single point offailur'e involves the destruction of all or substantially all of the
equipment located in the NYS DOCS facilities by fire, tetrodst attack, sabotage, 01 natural
disaster Because the fire resistance of the NYS DOCS facilities is rated as high, and the file
protection and suppression facilities available to the buildings meets fite code requirements, the
Iisk of substantial destruction as a result of fire of the equipment located in the NYS DOCS
facilities is considered low.. In the light ofthe strong physical access controls and the stringent
pelsonnel clearance procedures governing building access, the risk ofdestruction ofthis
equipment through terrotist attack 01 sabotage is rated low Based on the commercial grade
construction of the NYS DOCS facilities and the low likelihood of the occuuence of direct
impact ofa hurricane or tornado or of an earthquake of significant magnitude in the local mea,
destruction ofthis equipment as a result of natural disaster is rated velY low
3.3
Production I"put/Output Controls
This section desclibes the controls NYS DOCS I IS will implement to govern marking, handling,
processing, storing, and disposing of input and output information and media., Ihis section also
sets forth procedures for labeling and distdbuting information and media., Input and output
controls ensure that unauthorized individuals cannot read, copy, alter, or steal printed 01
electronic information.
3.3.1
User Support and Guidance
Unisys assumes that NYS DOCS will provide their lIS end useI with multiple sources of
guidance and support on the use and handling of data produced by the I IS .
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3.3.. 2
NYS DOCS ITS System Secu'i~v Plan
/IIIanagement of Removable Storage Media
Unisys- assumes·NYS·DOCS-polky.directives provide. users-with·procedures for- handling,--·..
marking, storing, and disposing ofremovable media., Unisys considers the following items
removable media:
•
Diskettes
•
Tape crutIidges
•
Zip cartridges
•
CD-ROMs (including rewIitable)
•
DVDs
•
USB flash drives
VAC is responsible fOI protecting the backup tapes ofNYS DOC Call Detail RecoIds from
access byunauthOIized individuals, The backup tapes and servers rue maintained in a restricted
area and are transpoIted in a locked tamper proof metal box to the Iron Mountain secure vault
3.4
Hardware and System Software Maintenance Controls
NYS DOCS lIS hardware and system software maintenance controls rue described in the Unisys
NYS DOCS n S Configuration Management Plan" The NYS DOCS ITS Configuration
Management Plan identifies the suppmt appIOach and methodology, specifies the escalation
process, and describes the scope and responsibilities of the multi-level support teams, The plan
pIOvides a IOadmap fOI establishing a configuration management process for the NYS DOCS
ITS II environment
The configmation management process perfOII!lS tv,'o primruy functions: (1) it establishes a
baseline that documents the system at a given point in time; and (2) it maintains the baseline to
accUIately reflect changes to the system, The plan defines the pIOcess flow, the groups involved
in the process, responsibilities fm managing changes, and the testing and documentation
requirements fol' tracking changes .
Softwrue is controlled using automated tools (Microsoft Visual SomceSafe) on a VAC CM
seIver at the somce code level. CM tools ensure only the CM Manager can change baselined
softwru'e, Commercial-Off- The-She1f(COIS) software is controlled at the veIsion level.
Software turned over for fmmal CM control after successful integxation testing by Software
Engineeril1g CM is responsible fOI promoting and releasing software products to produce the
segment softwrue to be presented fOI fmmal testing"
The VAC CM automated tools OIganize changes to the SOUlce code files into a series of versions
allowing access to the exact version that is Iequired as well as provide traceability back to
previous versions., These tools are a Iesource to enable CM to ensUIe the Iequired contIOl of
sofiwale changes
is
j
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NYS DOCS ITS System SecltliJy Plan
The CM tools provide facilities fm storing, updating, and retrieving any version of a file,
and backi;g.g J!-P- to earlier versi9~,Ims limitation_PJ·~y.~nts .."
multiple users from making conflicting changes to a file. Once a modification has been
completed, CM will enter the file back into controL The tools store revisions as a new version of
the file, along with comments as to why the modification was made.
~_~__ ~~.~_~l1owillg·!~<;;ovelyJj:.Qm.er!QJ~.
In addition to allowing CM to withdraw and resubmit files under its control, the tools include a
number dfutility functions to aid in file management. Using the tool utilities, CM can perform
the following;
Show the differ ences between two versions of source code,
Show the file version histOlY, listing all versions that preceded it; and
Remove the latest version of a file, reveIting back to the previous version to recover from majol
errors.
No one other than CM has access to the controlled software unless delegated by CM in the case
of absence. Lists of configuration items under CM control ar'e located on a VAC share drive.
3.5
Integrity Controls
This section describes both tool-based and manual approaches fOl ensuring that the integrity of
NYS DOCS ITS platfOlIDS, operating systems, applications, and data are not comprised.
The NYS DOCS ITS design includes two pIimary virus detection and prevention solutions:
1. AVG VirusScan-installed to protect all files on servers and workstati6ns.
VAC will update its antivirus signature databases on a regular basis, foHowing manual
verificatiQn of the integrity of the update.
2
Man~l analysis of suspicious behavior including
or use~s) and suspicious data captures .
POIt monitoring (for POlt scanning software
VAC will configure its antivirus solutions to report virus infections via e-mail to a centIaI virus
management mailbox. This mailbox will be monitored by IT security staff. Exceptional changes
in the frequency of detected infections will be reported to the Unisys SecUIity Manager..
3.6
Security Awareness and Training
User training is conducted at two levels. New Unisys Team employees willleceive NYS DOCS
ITS orientation training within one week of assignment to the program. They receive their useI
ID and tempOlary password from the network administrator at that time. The training also
includes how to change theiI passwords. Before they are given access to the NYS DOCS ITS,
they are required to read the Rules of Behavior and sign an acknowledgement of their
responsibilities Under the Rules of Behavior A copy of the acknowledgement is retained in their
personnel files.
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NYS DOCS ITS System Seculity Plan
User training specific to the functionality of the NYS DOCS ITS application is conducted by a
._________ trainingsp~cia.li~t at VAC. Tbe1:Iaim.p.g~p-ecialist alsQ.p-repm~s@d_:maintains the 1:I~ininL._....
mateIials.
3.7
Incident Response Plan
The Unisys Teamhas adopted the computer secUIity incident response procedUles that meet
NYS requirements. A computeI secUl'ity incident as defined as an unexpected, unplanned event
that could have a negative impact on ITS IeSOUI'ces, requires immediate action to prevent further
negative impacts, and violates secUIity policies or circumvents secUlity mechanisms.,
Ihe procedUl'es place the responsibility for coOIdinating the organization's response to computer
secUlity incidents on the progIam management office, Users \\-111 repOIt problems relevant to
computer secUlity to the Unisys SecUIity ManageI and Program Manager
Cootdination is accomplished in the following repOIting requirements:
•
A veIbal repOIt to the' NYS DOCS ITS PM within 4 hoUl's.
•
A written repoIt within two workdays.
•
A finall'eport within 10 days of resolution,
Compromise of NYS DOCS ITS data due to system misuse/failure to follow procedure
The Unisys,SecUlity Manager will notifY the Unisys Program Manager and NYS DOCS program
office on assessing the natUIe and scope ofthe ITS data compromised and to determine the
apptopliate action regarding the responsible party
Compromise of NYS DOCS ITS data due to system failure
Ihe Unisys SecUlity Manager will notify the Unisys Program Manager and the NYS DOCS
Program Office and work to assess the nature and scope of the ITS data compmmised System
users will be notified ofthe incident and data will be restOled using the system backups.
Compromise of NYS DOCS ITS data due to hostile penetration attempts
The Unisys SecUIity Manager will notifY the Unisys Program Manager and the NYS DOCS
Program Office and work to assess the nature and scope ofthe ITS data compromised, The logs
will be thotoughly reviewed to determine the source ofthe penetration attacks and adjust the
secUIity cOhtrols accOIdingly.,
Compromise of NYS DOCS ITS data due to system flaWs/VUlnerabilities (i.e. malicious
code)
The Unisys SecUIity Manager will notify the Unisys Program Manager and the NYS DOCS
Program Office and work to assess the natUI'e and scope of the ITS data compromised., A check
will be done to ensure the patching and anti-virus mechanisms were/are working properly. If not
already contained, steps will be taken to remove the flaw/vulnerability, The SOUIce ofthe
flaw/vulnembility will be sought and controls adjusted accordingly.
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NYS DOCS ITS Sy~tem Seclltity Pltm
Security Manager Notification during Suspicious Events
------ -- - -----··--The-Unisys'Secutity Manager will-ensure-the-pelfOImance the-l'outine-auditof the-10gS;'OIWill
leceive notification of suspicious events by the Unisys I eam andiOI NYS DOCS MIS
administratms and staff
Actions Taken by System during Suspicious Events
The Unisys Secutity Manager will notify the Unisys ProgIam Managel and the NYS DOCS
Program Office and work to assess the nature and scope of the suspicious event
3.8
Version Control
Software version control is achieved thtough the use of automated tools and procedures
identified in Section 35 Hardware and Softwrue Maintenance Controls Unisys is responsible
for the management of all PIOgram document deli vel abies and any documents located on the
Program I eam Site.. As changes are identified and agreed upon by the appIOpliate patties, the
Unisys Sycurity and Quality Assutance Manager will be responsible fOI ensUIing the documents
rue updated to Ieflect system changes. Ihe Program I eam Site will capture document version
histoty. Any team membeIs with the apptopriate access can add and update documents._ As
documents on the I eam Site require updating, the following process should be adhered to:
Check out the document flOm the Team Site
Choose to edit the document
Make the desired changes to the document
Update the Revision History table in the document (if applicable) per the changes
Update the Vetsion in other places it appears in the document, I.e the header, footer,
andlor title page
Save the document
Check in the document
Check out the Document List of RecOId
Choose to edit the document
Add the document listing
SaYe the document
Check in the document
When any telated V AC document is updated, the VAC QA team will coordinate with the
Unisys Program Manager to ensure the Program Team Site has the latest version. To
maintain consistent preparation ofVAC documents, the V AC Style Guide I emplate is .
located UIlder the internal VAC I eam Share, Guidelines.. Ihis style guide ensures UIlifolmity
in the pleparation of documents
When an internal VAC document (or ProgIam document deliverable) is complete, the authot
notifies the VAC CCB members wheIe the document is located onVAC Team Share for
review: A VAC CCB is convened for approval ofthe document VAC CCB comments are
recorded as Action Items by the V AC PM and the action items must be closed out pliol to
[mal'approval of the document Depending upon the extent of the comments received flom
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UNISYS
NYS DOCSITS System Security Plan
the first V AC CCB, it may be necessary for a second VAC CCB review, lfthe document is
anNYS DOCSJISf!9g!am documenLd.~liyeIa.pk--YAC will c90rdjn~t~.w.if;lLU:!lj;ry-~ an=d_ _ _,
the Program CCB (in the case of changes to a baselined document) before submission to the
client.
VAC Documentation control provides the means for identifying, reporting, and maintaining
data preparation and delivery upon completion of a document The authOl plints the
document, attaches a signoff page as identified in the "Document Initial Release/Change
Notice (DlCN) FOlm" procedure and obtains the necessary approval signatures, Not all
documents require signot! All internal and external documents are located on VAC Team
Share for Program members to access fOl "Read Only", When signoffs have been obtained,
the author delivers a hard copy of the signed off document and the signotI' page to the
Documentation Librarian A softcopy of the document is also sent to the Document Librarian
tor insertion into the documentation library, The library copy will be converted into a read
only file,
Controlled distribution of data is used to reduce unnecessary data flow and ensure applicable
documentation changes are distributed to holders of previously released documents, All hard
copy Oliginais and changed documentation is filed and retained by the Documentation
Librarian Obsolete documentation is labeled "Document Retained fOl Historical Purposes."
The VAC Documentation LibraIian (DL) will maintain a master list of VA C controlled
documentation that will list the document number, title, and latest revision status The list
will be available to all Program personnel in the controlled area ofVAC Tearn Share
The DL will maintain a list of VAC quality records turned over for DL retention that will list
the record, owner, location, and retention period fOI each record The list will be available to
all Program personnel in the DL area ofVAC Team Shar'e,
3.. 8.1
Operating System Patches
Patches issued for the NYS DOCS IIS serveIS and workstations will be issued by the VAC lAC on an as
needed basis and per identification by vulnerability scan OI other assessment that updated patches are
needed The patch cluster incOIporates all upgtades since the previous cluster and is first applied to a
limited number of production machines in lieu of a test environment, to ensure that the patches do 110t
cause unforeseen problems, After a period of observation, patches are applied to all relevant servers
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January 4, 2008
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4.0
NYS DOCS ITS System Secillity Plall
TECHNICAL CONTROLS
Ihis section describes the technical controls planned for the NYS DOCS lIS deployment that
affect the security of the information stored and transmitted by the system
4.1
Identification and Authentication
The infOlmation flow diagIams shown in section 1.6.1 above detail the various system enny
points Each entry point to the system requires identification and authentication pliOI to system
access.
4.1.. 1
UseI' Account Identification and Authentication
Identification and Authentication fOI inmate calls is provided by voice identification and a pin
authenticator These two items are required fOl a successful calL
With regard to the access to the data centrally stoled at the Unisys SLC facility, investigators
desiring to access such information must belong to the appropriate domain group. The NYS
DOCS IIS uses the standard identification and authentication mechanisms intrinsic to Microsoft
Windows 2003 operating system These mechanisms are configured and controlled through
Microsoft Active Directory, with adminisfiation policy enhanced through the use of Active
DirectOIy';integrated Group Policy OQjects (GPOs).
The NYS DOCS will include the generally accepted IIS system features and functionality to
manage and support the systems and networks. The NYS DOCS Investigators and
administratOIs will access the systems using the VAC WebBrowser and the WebITS features to
search, query inmate call records, export recOldings to CD, manage inmate accounts, and run
repOIts..
The I TS AS featwe allows the user to access the web based products via V AC developed
usemame/passwOId authentication (similar to Yahoo or Google web access). This authentication
method allows NYS DOCS to use their own workstations to access the Focus system (this
capability is optional per NYS DOCS discretion). The NYS DOCS ITS will be provided with
the lIS AS authentication enabled. The Focus security levels and gIoups integrate seamlessly
into the Microsoft secwity groups so users can be granted access and can be managed via active
directOlY
The NYS DOCS lIS Active Directory design and operations procedures implement the concept
of no shared accounts. The no shared accounts IUle stipUlates that each system user is assigned
one unique identity account with individually assigned and maintainable passwords (system
administrators are assigned two identity accounts) The user is required to protect his or her
password and is restricted fiom sharing it with anybody, including a system administrator
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UNISYS
NYS DOCS ITS System Seculi(y Plan
Exceptions to the no~shaI'ed accounts lUle include default administrator accounts and application
___ .___________sp~~ifi~Jlk~9unts reqlJ.ir~g .for sy!?l~m~Qp_elations. such as antiV!I.JJ.L<Yld. t~P{;!. ba~lc.)Jp _()P_el~!ions.,_ _ __
Remote access to the system for maintenance purposes also requires identification and
authentication. Remote Admin is used to provide VAC system administrative access to the
systems located at the Unisys SLC Data Center as well as access to the wOIkstations located at
the NYS DOCS lIS sites Remote Admin must be installed on each device (selveIs and
wOIkstations) and the V AC user must have an account on the device requiring remote
administration. Once remote access is established, the user is allowed administrative access pel
permissions reflected by hislher the Active DiIectOlY group membeIship .
4.1.. 2 Password Management
Passwords are an impOItant aspect of computer secwity. All Unisys I earn employees accessing
the NYS DOCS lIS system will be required to adhere to the password policy as detailed in the
VAC Password Policy; complexity includes mandated minimum length and combination of
characters. The selvers and wOIkstations have been configured to enforce this policy, to include
changing the names of default accounts and setting required passwords on these accounts . The
configmation settings for passwOlds are configurable per NYS DOCS policy.
4.2
Logical Access Controls
The NYS DOCS lIS design includes a combination of hardware and software access controls to
protect the information stored and disseminated The use of Commercial-off-the-Shelf (COTS)
microcomputer hardware and software maximizes interoperability and accessibility, but also
requires significant effOIt to properly configwe and administer fOl secure operations Unisys has
leveraged industry best practices to arrive at access control specifications that balance
infOlmation pIOtection with fUnctionality
The folloWing sections describe the use of Microsoft Active DirectOIY and GPOs in the design to
defme and enforce user-based, system-based, and role-based access contr'Ols and identify
additional system-based techniques and encryption methods for fuIther securing platforms Also
discussed is the 1 emote access design.
4,,2.1 Active Directory and Group Policy
WhereveI possible, the Focus 100 takes full advantage of Microsoft Active Directory and GPOs
to centIally manage and control access. Active DirectOlY provides a hierarchical X.500-style
database fOI defining and distributing infOImation regarding users, computers, and groups of
users and computers. The Active Directory database provides the core repositOIY of information
on which most access contlOl functions depend.. In order to consistently manage access control
policy across the numerous computer systems, NYS DOCS lIS domain administrators define
sets of policy statements (i..e .• GPOs)., In ordeI to access any network resource, the network
domain infrastructure req uires enforcement of the relevant GPOs by each computer accessing the
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January 4, 2008
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NYS DOCS ITS System Seculity Plan
netwOIk. TheIe will be standardized GPO settings defined by NYS DOCS ITS by default, with
_________ ..... ,modjjicatiOJlsJQ sett;iJ).g~for mdiviq AALp..~ers or gtQlJPl).~sed on QP~l<!ti()n~l~q!JirellJ,ents,". " .
The resultant. policy set for a given computer and user situation is inteIpIeted dynamically from
Active Directory and the applicable GPOs for each logon session These are based on the
computer's membership in groups of computers and the current user's membership in groups of
users.. Effectively, the NYS DOCS ITS Active DirectOIY maps the GPOs to the following five
general groups:
•
Three computer groups: workstations, serveIS, and domain controllers .
•
Two user groups: users and administrators (there are multiple administrative groups)
Membelship in the various administrative secmity groups is closely controlled and requires
approval of the NYS DOCS ITS Program Manager following the background check process.
The GPOs are used to set a variety of secmity. operational, and administrative policy options,
including access control, auditing, and authentication controls.. GPO settings for specific groups
of computers and useIS will be defined upon receipt ofthe NYS DOCS system hardening
standards.. Based on the computer and use!, GPOs will enfOlce customized policies on the
following types of controls:
•
Defining password management and complexity rules
•
ConlIolling access to system consoles, including idle timeouts.
•
Limiting installation and configuration of application software.
•
ConlI'oJling access to operating system files, configuration, and logs
•
Disabling unneeded functions, services, and input/output methods.
In geneIal terms, NYS DOCS ITS standard users are not able to modify wOlkstation software
configmations in a way that could radically compIOmise security. Users can only access servers
via the network through application7specific functions. The administrative group permissions
and access contIOls ar'e based on the concept of least pIivilege-granting rights to perform
functions only ifthe particular adminislIative employee requites those functions to perform his
or her job duties.
4.2.2 System-based Logical Access Controls
The FOCUS 100 design mandates that systems are installed and maintained to provide custom
(non-default) controls to secure the information contained on them. Active Directory and
contIols provide central. management of many functions, but there are a number of controls that
can only be implemented on a pel-system basis. These controls enhance the effectiveness of the
centrally managed contIOls and are configured dming the system build process
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UNISYS
NYS DOCSITS System Seculi(y Plan
4.2.4 Auditing
The Focus 100 design utilizes the built-in auditing features of Microsoft Windows 2003/Active
Directory opeIating system event logs. Unisys is confident that the b~i1t-in featUIes rue
sufficient tq meet the requirement for accountability of user actions . The following Group
Policies rue implemented on all Focus 100 systems and site wOIkstations (as applicable);
•
Audit account logon and logoff events, success and failure
•
Audit account management, success and failure
•
-f\udit Directory Selvices access, failure ...
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NYS DOCS ITS System SecUI'ity Plan
•
Audit logon events, success and failure.
•
Audit objects access, success
failure (on critical system and user resources
• . Audit policy change, success and failure .
The Group Policy settings listed above allow system administIators to monitor secwity-related
events (s1.lch as failed log-on attempts) to detect intIUders and attempts to compIomise system
data At a minimum, the secwity log audit entty contains the following information:
•
The action that was performed.
•
The user who perfOimed the action
•
The success or failure of the event and the time that the event occurred.
4.2.5 Encryption
Should the'need aIise for enclyption to be applied to the workstations at the NYS DOCS ns sites, Unisys
has experience in implementing such a solution. The encryption solution could include either file or
whole disk encryption.
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January 4, 2008
•
UNISYS
NYS DOCS ITS System SecUi ity Plan
APPENDIX A: ACRONYMS/DEFINITIONS
~-~.---.~--
..
~
.~-
.....-. -._,. __._--------
List of acronyms found within this System Secur ity Plan:
ACL
Access Control List
AS
Authentication Services
CERI
Computer Emergency Response I eam
COIS
Commercial·Off~ Ihe-Shelf
E-mail
Electronic Mail
GPO
Group Policy Object
HTIP
Hypertext I ransfer Protocol
ID
Identification (as in user ID)
II
Information I echnology
ITS
Inmate Telephone System
LAN
Local AleaNetwork
MIS
Management Information Services
NISI
National Institute of Standards and I echnology
NYSDOCS
New Yor k State Deprutment of COl rectional Services
ROB
Rules of Behavior
SLC
Salt Lake City
SSP
System Security Plan
lAC
TechnicaI Assistance Center
UPS
Unintenuptible Power Supply
VAC
Value Added Communications
WAN
Wide Area Network
WWW
Wmld Wide Web
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January 4, 2008
800!: '1' .{renuRi
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SA.SINJI
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NYS DOCS ITS System Secllrity Plait
UNlSYS
APPENDIX B: GLOSSARY
.....------- I he following-is- the-glossary-of terms- found within this-System Security Plan:------ ..
Access Control-The process oflimiting access to the resources of a system only to authorized
programs, processes, or other systems (in a network).. Synonymous with controlled access and
limited access .
Accreditation-A formal declaration that the information system is approved to operate in a
particular security mode using a prescribed set of safeguards Accreditation is the official
management authorization fOl operation of AIS and is based on the certification pIOcess as well
as other management considerations. The accreditation statement affixes security responsibility
with the Designated Approving Authority and shows that due care has been taken for security
Audit-The independent examination of records and activities to ensme compliance, establish
controls, policy, and opeIational procedures, and to 1ecommend indicated changes in controls,
policy, or procedures.
Audit Tl'ail--A chronological record of system activities that is sufficient to enable the
reconstruction, reviewing, and examination of the sequence ofenvironments and activities
sunounding or leading to an operation, a procedure, or an event in a transaction flom its
inception.
Authorization-The glanting ofaecess rights to a use!, program, Ot pIocess..
Availability-The concept that users will be able to access data when need~d.
Certification-The comprehensive evaluation ofthe technical and non-technical security
featuIes ofan information system and other safeguruds, made in support ofthe accreditation
process that establishes the extent to which a particular design and implementation meet a
specified set of seeur ity 1equirements
Confidentiality-The concept of holding sensitive data in confidence, limited to an appropliate
set of individuals or organizations.
Configuration Management-The management of security features and aSSUIances through
control of changes made to a system's hardwrue, software, firmwar'e, documentation, test, test
fixtures and test documentation throughout the development and operationalHfe of the system.
Countermeasure-Any action, device, procedure, technique, 01' other meaSUI'e that reduces the
vulnezability of 01 threat to a system.
Individual Accountability-The ability to associate positiVely the identity of a user with the
time, method, and degree ofaccess to a system
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NYS DOCS ITS System Security Plan
UNlSYS
Integrity-The concept that data, when viewed, will be in sound, unimpaired, or perfect
~9nditi.~m_._.~_ .. _
------...
......--.---
Password-A pIOtectedlpIivate characteI string used to authenticate an identity .
Penetration-The act of successfully bypassing the secm ity mechanisms ofa system
Physical Protection-The application ofphysical barriers and control procedures as preventive
measures or countermeasures against threats to resources and sensitive infOlmation..
Risk-The probability that a pruticillar threat will exploit a particular vulnerability ofthe system..
Risk Management-The total process of identifying, controlling, and eliminating or minimizing
uncertain events that may affect system resources. It includes risk analysis, cost benefit analysis,
selection, implementation and test, security evaluation of safeguards, and ovelaIl security review.
Security Evaluation-An evaluation done to assess the degree of trust that can be placed in
systems fm the secure handling of sensitive information, One type, a ploduct evaluation, is an
evaluation performed on the hardware and software features and assurances of a computeI
product from a perspective that excludes the system environment The other type, a system
evaluation, is done for the purpose of assessing a system's secuIity safeguards with Jespect to a
specific operational mission and is a major step in the celtification and accreditation process.
Security Featur·es-The security-relevant functions, mechanisms, and characteristics of system
hardware and software Secwity features ar·e a subset of system security safeguards.
Security Policy-The set of laws, rules, and practices that regulate how an organization
manages, plOtects, and distributes sensitive information .
Security Requirements-The types and levels ofplOtection necessary for equipment, data,
information, softwar'e applications, and facilities to meet security policy.
Security Safeguards-The protective measmes and controls that are prescribed to meet the
secmity requirements specified for a system Those safeguards may include but are not
necessarily limited to: hardware and software security featwes, opeIating procedures,
accountability procedmes, access and distribution controls, management constraints, personnel
security, and physical structures, areas, and devices . Also called safeguards.
Sensitive Information-Any information of which the loss, misuse, modification, 01
unauthoI ized access could affect the national inter est or the conduct of Feder·al progr ams,. or the
privacy to which individuals are entitled under Section 552a of Title 5, U.S. Code, but that bas
not been specifically authorized under criteria established by an Executive OIdeI or an act of
Congress to be kept classified in the interest of national defense or foreign policy.
.
Threat-Any circumstance or event with the potential to cause harm to a system in the form of
destruction, disclosur'e, modification of data, and/or denial ofservice
.
.
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January 4, 2008
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NYS DOCS ITS SYltem SeclIlity Pl£m
accessingJlp AIS ~i1b~Lby direct conne<;tions (~g,,..:yj~J~.rmimllskQ.I...-.------
indirect connections (e.g, prepare input data or receive output that is not Ieviewed fOI content 01
classification by a responsible individual)
~~_________. __l1$~L_ ~erso.I}J;lI_ pIocess
User Identification & Authentication (I&A}-A pIOcess by which authorized system users
positively identifY themselves by a unique user ID and password plioI to being granted system
access
SP-30
January 4,2008
o
UNISYS
NYS DOCS ITS System Secm ity Plan
APPENDIX C: REFERENCES
._-_ ....... __ .... _----.
1
New York State Office ofCybel Security and Critical Intiastructure Coordination, Cybel
Security Policy POJ-002, Information Security Policy, Revision Date: August 1,2007.
2.
VAC Security Requirements and Policies, Document ID 100-8013-001, Revision Date:
December 12,2007
SP-32
fanuary 4, 2008
gOOZ: 'p Anmtrnr
££-dS
SA.SIMfl
~
•
UNISYS
NYS DOCS ITS System SecuTity Plan
APPENDIX 0: NYS DOCS ITS RULES OF BEHAVIOR
.....
__ _._._-------_.
..
Purpose
The intent of the lIS Uset IT Security General ROB is to summarize laws and guidelines from various
Unisys Tearn policies and NYS documents, most specifically New York State Office of Cyber Security
and Critical Infrastructure Coordination, Cyber Security Policy P03-002, Information Security Policy,
Revision Date: August 1,2007 They are to be followed by all users (contractors and NYS DOCS
employees) who use any computing resources that support the mission and functions of the ITS
What ar'e "Rules ofBehaviol' (ROB)"?
The ROB are part of a comprehensive program to provide complete infOlmation security, ROB establish
standards of actions in recognition ofthe fact that knowledgeable users are the foundation of a successful
security ptogtarn, The ROB concern use of, secutity in, and the acceptable level of risk for, NYS DOCS
systems, and highlight the need for users to understand that taking personal responsibility for the security
of a computer and the data it contains is an essential part oftheirjob" People are the first line of defense
in suppott ofNYS DOCS infOimation and information systems, Users offel many eyes and eats to detect
and report threats to NYS DOCS infonnation systems.
Who is covered by these rules?
These lUles extend to all NYS DOCS personnel (employees and contractors) and any other persons using
NYS DOCS computing resources or accessing NYS DOCS systems under formally established
agreements, All users should be fully aware of; and abide by, NYS DOCS security policies" All users
will review and provide signature or electronic verification to these rules annually,
What are the penalties for Noncompliance?
Compliance with these rules wiH be enforced through sanctions commensurate with the level of
infraction. Actions may include a verbal or written warning, removal of system access for a specific
period oi'time, reassignment to other duties, 01 termination, depending on the severity ofthe violation
Responsibilities
Complying Users will:
Process, store, and/or transmit data only on systems andiol networks authorized for the highest
leve! of the data involved,
2. Protect and safeguard l\TYS DOCS information including media that contains information fiom
unauthorized access, unauthOIized or inadvertent modification, disclosure, destruction, denial of
service, or use in accordance with applicable State policy, practices, and procedwes
3
Protect all hard copy produced at the highest classification 01 sensitivity level ofthat system until
reviewed for propel classification or sensitivity and control
SP-34
~---.--~-.----~.~
..
~.--.~~.-~.-.-
Januruy 4, 2008
•
UNISYS
NYS DOCS ITS System Security Plan
4.. Destroy information or media, when required, in accordance with security requiIements based on
the level of classification 01 sensitivity_.,______
5
Provide access to sensitive information only after ensuring that the parties have the proper
authorization and need-to-know.
6 Operate the system only in those areas approved for the highest sensitivity level ofthe
information involved unless specific authorization has been received from the NYS DOCS
Program Office to Opel ate the computer in other areas,
7
Comply with terms of software licenses and only use NYS DOCS-licensed and authorized
software
8"
Use NYS DOCS systems for lawful, official use, and authorized purposes in accordance with
current guidelines
9
Choose and change passwords in accOldance with program standards
10 Not share account passwords with anyone
11 Protect passwords at the highest data sensitivity level of information on that system.
12, Know the system data and properly protect all data inputs and outputs according to their
sensitivity and value
13 Properly mark and label sensitive documents and media in accordance with the NYS DOCS
standards
14" Ensure that sensitive infOImation is removed f:i:om hard disks that are sent out fOI maintenance
IS" Screen·lock the computel 01 log off when leaving the work area, and power down the computer
when departing fOI the day.
16 Use authorized virus-scanning software on the workstation or PC Know the SOUrce before using
diskettes 01 downloading files
17 Not use shared drives to store, maintain, or relay Privacy Act data unless the data is password
protected and the folder within the shared drive has access set up only for those employees
authoIIzed to work with the data,
18. Sign all logs, forms, and receipts as required fOI accomplishment of duties relating to the
collection, use, transfer, or disposal ofNYS DOCS information
01
information systems.
19 Know who Unisys Security Manager and NYS DOCS security staff are , Consult the appropriate
NYS DOCS staff and obtain permission Of approval before doing any ofthe following:
• Changing any configW'ations andlol settings of the opelating system and securitY-Ielated
software on classified systems.,
.
SP-35
January 4, 2008
.
UNISYS
NYS DOCS ITS SYitem Seelll ity Plan
• Installing any softwrue
----;;-Adding~ modffY-bioI' 1 emoving haIdw;re accessOI ies 01 netwolks to a
compute!
cIasslfied - -
• Accessing the internal components of the computeI ,
• Testing the capabilities of the secUlity contlol sofiwrue
• Circumventing the secUIity mechani~ms used on and by the computeI ,
• Attempting to access any electronic audit trails that may exist on the computer unless
specifically authOIized to do so
20. Make the computer available at any time to the Unisys Security Manager and NYS DOCS
security staff for inspection and leview of audit logs
21 . Make the computer availabJe at any time to the System Administrator for the installation of
patches and other system administration activities .
2:2. Report known or suspected incidents immediately. Immediately repOlt to the Unisys Secutity
Managel, Unisys Program Managel, and NYS DOCS Program Office any evidence of tampering
with the computet 01 if the computer's tamper-evident seals are broken
21 NotifY the Unisys Security Manage! when access to the computer is no longer needed (e.g.•
transfer, teImination, leave of absence, or for any period of extended non-use)
24. Never pelform audit functions on a system for which the user is eitheI a usel or system
administr ator .
Managers will:
1. EnslUe that staff has access to, and are awale of, all existing NYS DOCS policies and
procedures Ielevant to the use ofNYS DOCS infoImation technology rcsowces,
2
EnslUe that staff follows system secwity policies, guidelines and pIOcedures
I acknowledge receipt of the General Rules of Behavior listing, understand my responsibilities, and will
comply with the rules of behavior for NYS DOCS fIS
Signature
Date
SP-36
January 4, 2008
BOOl '11 Al'anO~l
UlJlcl N!,IfI'Jas lila/sis SolI S;)O([ SAN
o
UNISYS
NYS DOCS ITS System SeclLrity Plan
APPENDIX E: SECURITY AWARENESS TRAINING PLAN
U set training is-conducted at tw(} levels-:-- New Unisys-Team-employees receive-lIS odentation training---- ..
within one week of assigrunent to the program.. They receive theiI user ID and tempoHlIY passwoJd from
the netwOIk administrator at that time. The ttaining also includes how to change their password Before
they are given access to the ns they are required to read the Rules of Behavior and sign an
acknowledgement oftheir lCsponsibilities under the Rules of Behavior. A copy ofthe acknowledgement
is retained in their peTsonnel files.
User ttaining specific to the functionality ofthe NYS DOCS application is conducted by attaining
specialist at VAC. The training specialist also prepares and maintains the ttaining materials, wOIking
with the system administrator and system developer
SP-38
JallUaly 4,
2008
Offerer Certification of Compliance
with State Finance Law §139-k(5)*
Offerer Certification:
~yv""~"V'""Oate: 2~ MA.,ec~1.00q
Name: C .A. SOLt (3 Akte
·Tltle: CbJJT'{4?C15 1> \ e2tro~! fBO.S'1 5. I (iVILtA.J
v...
.
COntractor Name:
WI S'IS (, uUtJ (!'.A11 o.J..i
COntractor Address: tl('W pv:t.A- AMeet (A Dti ut
R.ES~ JJ I V·'A LAI ~ i)
By:
~~--------------
Offerer's Certification of Compliance
with State Finance Law §139·k(5)
Background:
New York State Finance Law §139-k(S) requires that every Procurement Contract award
subject to the provisions of State Finance Law §§ 139·k or 139-j shall contain a
certification by the Offerer that all infonnation provided to the procuring Governmental
Entity with respect to State Finance Law §139-k is compl~te, true and accurate.
Instructions:
A Governmental Entity must obtain the required certification that the information is
complete, true and accurate regarding any prior findings ofnon-responsibility. such as
non-responsibility pursuanHO State Finance Law §139-j. The Offerer must agree to the
certification and provide it to the procuring Governmental Entity. .
i
Offerer's Affirmation of UnderstandiDg of and Agreement pursuaDt to State
Finance Law §139..j (3) aDd §139-j (6) (b)
Background:
State Finance Law §139-j(6)(b) provides that:
Every Govemmental Entity shall seek written affirmations from alJ
Offerers as to the Offerer's understanding of and agreement to comply
with the Governmental Entity's procedures relating to permissioJe contacts
during a Governmental Procurement pursuant to subdivision three ofthis
section.
Instructions:
A Governmental Entity must obtain the required a:£fmnation ofunderstaDding and
agreement to comply with procedures on procurement lobbying restrictions regarding
permissible Contacts in the restricted periodfor a procurement contract in accordance
with State Finance Law §§139-j and 139·k,
Offerer affinns that it Wlderstands and agrees ~ comply with the procedures gf the
Department ofCorrectional Services relative to pennissible Contacts as required by State
Finance Law §139-j (3) and §139-j (6) (b).
'h,,~
Title: OV)JfR:.MXS
Date:
2-1 MA RJA+:
7)JO¥
1,,-::. I~D. S"S. J(. IVI /..,IA)
~}JJ S,/S (.O{?Po R..A 11M'
Contractor Address: 11119 P
LAtp.,AJIlElIGA De t ve
rZeSruJJ\ VA ' 'LJ\'1u
Contractor Name:
"~.~
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OFFICE OF THJl; STATE COMPTROLLER ~ BUREAU OF CONTRACTS
VENDOR RESPONSmILITY PROFILE
Part I - Contract Information
(Complete/or all transactions)
1.. Agency Code:
2, Agency Name:
10160
NYS Dept. Qf COlTectional Services
4, Contract/Purchase Order No,:
3. Batch Number:
5. Vendor Name:
Unisys
[8l Prime Contractor
0
Subc~ntractor
7, Transaction Amount:
6, Vendor Federal ETN:
$
contra~t
9. Description of Contract:
Inmate Phone
10. Agency Contact Na:me,
Phone, and E~mail:
Bruce Johnson, Chief Finnance Officer
11. Responsibility
t8J Responsible 0
Determination
12, Issues Disclosed or Found:
(services and equipment)
(518) 457·3808 BAJohnson@DQCS,STATE,NY,US
o o
N
Non-Responsible
[gJ Yes (List and describe resolution in Question 13)
J3. Issue Detail: For each issue found by the agency or disclosed by the vendor, describe the issue and
its resolution.
Note: In the "Resolution"field, include the agency's assessment of the issue, its relevance to the
vel1dor's responsibiiity for tl1is procurement, and any corrective or mitigating actions taken by the
agency or vendor in response to the issues (attach additional pages if necessary).
Page 1
Revised 07/30/07
OFFICE OF THE STATE COMPTROLLER BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE,
M
4•.
5.
Part II - Vendor Disclosure and Agency Process
(Complete for new contracts valued at $100,000 or more, and amendments that bring
contract value to $100,000 or moreJor theflrst time.)
.
0·221 states "agencies must affirmatively require disclosure by the proposed contractor of all
information that the agency reasonably deems relevant to a determination of responsibility."
14. Vendor Disclosure
Please identify the items of disclosure prollided by the vendor. Check all that apply and al;tach all
pertinent information. (OSe reserves the right to requilst copies o/vendor disclosures the agency used
in making i~f responsibility determination) .
o Pnline VendRep Questionnaire
r.8J Hard Copy Questionnaire (must attach if used)
cgJ Solicitation Document Responses
I8J Financial Statements
I2Sl Vendor Correspondence
I:8J Vendor Website
o Other Vendor Disclosure
Describe:
)5. Agency Process
Describe the steps taken by tl,e agency to determine vendor responsibility including consideration of
. the vendor disclosures identified above, and the independent agency research such as Internet sources,
agency records and internal and external agency communication.
.
Page 2
Revised 07/30/07
------
.. ~-- ..-
..
OFFICE OF THE STATE COMPTROLLER - BUREAU OF CONTRACTS
VENDOR RESPONSIBILITY PROFILE
See attached binder. DOCS has undertaken a search of numerous Web sites and reviewed in
detail the vendor submitted documentation and has found no reason to believe the vendor will
not be able to meet the terms ofthis contract.
AGENCY RESPONSIBILITY CERTIFICATION
ContraotingAgency. (,NYS Department of COrrectional Services 1. has undertaken an affirmative
review of the proposed contractor's responsibility in accordance. with the standards outlined in
Comptroller:s Bulletin No. 0-221, and based upon such review. has reasonable assurance that the
proposed contractor as indicated below i,s:
'
[gJ Responsible
0
Non~Responsible
ContractIPurcbase
Order Number:
Vendor Name
Signed
. PriotName
Title
Date
Page 3
Unisys
~~
Bruce Johns ~
Chief Finnance Officer
3121/08
Revised 07/30/07
New York State Department of Correctional Services
CONTRACT MANAGER'S AFFIRMATION OF VENDOR RESPONSISIf:,.ITY
DETERMINATION WITH VENDOR RESPONSIBILITY PROFILE
.
-
Vendor Name: Unisys
Contract Number:, Contract Period; 04/01/08 - 03/31111 plus two 1 year renewals
CONTRACT MANAGER'S RESPONSIBILITY AFFIRMATION
I, Thomas Herzog, have undertaken an affirmative review of the proposed contractor's
responsibility in accordance with the standards outlined in Comptroller's Bulletin No, G-221 , and
based upon such review, have reasonable assurance that the proposed contractor is responsible
as Indicated in question 9 above.
'
I have review the following data sources and found the following concerns that apply to Vendor
responsibility .
Google ,com Security breach including
release of data
(Homeland security and Veterans
Administration) Ven Rep Question 7
Unisys has provided a statement of the event and is
working with faderallaw enforcement (FBI) on
resolution. Unisys has changed intemal poliCies to
prevent a reoccurrence, The agency finds the changes
sufficient for the security of the data likely to result from
this contract. Unisys has in ,addition submitted a
security plan specific to the Data from DOCS that has
been review by our staff and found acceptable.
The agency finds the issue will not impact on Unisys'
abmty to carry out the' terms of this contract.
OSHA.gov - 1 serious violation Van
Rep question 7.2
The agency finds the issue will not Impact on Unisys'
ability to cany out the terms of this contract
Ven Rep Question 5
The agency finds no issues that will impact on Unlsys'
Various other sites included in the
attached binder
ability to carry out the terms of this contract
~
-
~~.
---~/~~-..
I
s:rgned
Thomas Herzog
Title: Chief Information Officer
Direct Phone Number: (518)457-2540 dtelliott@docs.state.ny.us
-~
.. ~.---
--
....
~~~-
New YOlk State
StandaId Vendor Responsibility Questionnaire For Profit Busines:s Entity
Name:
Catherine
TItle
Conttacts Duector, fedetal Systems, Civilian Group
List any otber DBA, T'nlde Name, Other laenmv.
filed, aDd tlJe sjatu~ (active or inactive):
Type
ued In the last five (5) yeal'S, the state
EIN
Name
State ot' County where tiled
Status
"" ....,it'?fr~·~I·~"., r~ fI;~?l~'" ,:.. ':I;"t.~)i1'-~,",-<"
'IT:r"~ r.:: ~~INf.·''""'''''''''''J
;I?'~~~~'c;:,';'IT,~,t":ffi." ,t;--;,;'tr<';~{#';':'7i;.;;cW.. '1~ht.~-:?'~;f~:~L2. '''!'G}'':r'~~~!f4J~,;
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1.0 'BlLIiness Elltity l'ype- fleue check appropriate box and pJ'ovlde additioDal informatIon:
\\
A}f81COtporation (including
Date of
PC)
InCOrpollltion
b} 0 J.,imited UabiUty Co.
(LLC or PLLC)
Date Organized
e) 0 Limited Liability
Date of Regjstra tion
d) 0 Limitecl Partne~hip
Date Esb! bUshed
e) 0 General Partnership
Date Established
f)
0
Sor~ Proprietor
1986
County (U formed in
NYS)
How many years in business?
g) 0 Other
i
Date Established
nOther, explain:
IDyes
1..1 Was the :Busi~ess Entity formed irI New York State?
181 No
,
U'No'lndlcatejur!sdlction wher-e Business Entity was formed:
r8l United Sm tes
State
o Other-
Country
Delaware
1.2 Is the Business EntIty currently ng!ster1ld to do business In New· YOlk Stllte with the
Department ofState1 Note: Seled 'Not Reqilired' Iftire Bltsint$s Entity i.s a Soli! Proprletol 07
General ParlnmlJ.1p
181 Yes
If 'No' explain why the Business Entity is not required to be regIstered In New YOlK State.
ONe
o Not required
----.-
Page I
...... ~---- ........
New Yotk State
Standard Vendol Responsibility Questionnaire FOI Profit Business Entity
i"
f~::...,;.>
1.7 Js the Business Elltity's PM'"';''''' Place of BlISil1cssllbeclftive Ornee In New York State?
It 'N'o', does the
siumm an office in New York State?
Provide the address
Unisys
,lOB Madison Ave. Ext
Albap.y NY 12203
(518)452-6100
1.8 Is the Business Entity a Nfrn' York
Women Owned Business Eaterprise
MinOE fty Owned Busfneh Enterplise (MBE).
YoTlc State Small Business or a Il'edelally
CertifIed nisadvantal!:ed Business :Enternrl.te
If 'Yes'. check all that apply:
(
New York State Certified Minority Owned BuslDess Enterprise (MBE)
New York. Statet Certified Women Owned Business Enterprise (WBE) ,
New York State Small Business
Federallv Certifled Disad'lll'
'<;:,.
J.9
VWllCn:.
For each penon, inc,ude name, title and percentage of
(>Iease SeI; attached
Name
(Enter
Title
Explain relationship ,vith the Affitiafe and indicate percent ownership, if applicable (enter N/A, If Dot applicable):
An the.re any Business Entity Officials or Printipal Owners that the Business Entity has In
No
common with thiS Affiliate?
Individual's Name
:U Has th'e Businass
Attach atItlltlonal
Positiqnffitle with Affiliate
It)etpatea in aDY Joint Ventures within the PlISt three (3) yeers?
Page 2
No
New York State
Stand81d Vendor Responsibility Questionnaire Fot' Plofit Business EJltity
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3.0 Has the Business Entity heJd any ~ontt'a(:ts with New YOlk State govenlment entities in the
last thrlle (3) yeats? If"Yes" attach slist hu:ludilJgthe Contract Number. Agency Name,
Contract AmQunt, Contract Stal t Date, Contract End Date, and the Contract Description.:
IZJYes DNo
(See attached sheet)
'",0....-'"
4.5 Initiated It request to withdraw a bid snbmitted
an err'O}' on a bid submitted to a 20nl nment
For each "Yes" answer a.bove provide an explanation of the Issue(s), the Bnslness Entity involved, tbe relationship to
the submitting Bu:siness Elltit)', relev811t dates, tbe government entity involved, and any J'emedial or corrective
aetion{s) takeR and the c:urnmtstatus of the issue(s).. Provide answer below or' attach additIonal sheets with numbered
"
monitoring agr'eCment as a condition oca tontraet award from' a
For each "Yes" answer provide an explanation ofthe issue(s). the Business Entity involved,. the relatIonsbip to the
submitting Business Entity, relevant date1, the govemment entity involved, and any remedial Of con'eCtlve actlon(s)
takeD and the i:unent status otthe issue(s). Provide luswer beJow or attach additional sheets with numbercd
:responSes..
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-"
DYes t81No
6.1 had'a denial, decertification l revocatIon Of' forfeiture of New York State certification of
Minority Owned Business Enterprise, Women Owned Business Enterprise or-fedent!
cCI'ilficRtJon of pisadY8ntaged Business Eotel'pl ise status, far otber tban II change of
DYes C8J No
.owner~hlp?
Pagel
New York State
Standaid Vendor Responsibility Questionnaire For Profit Business Entity
(
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~;'J.\<t;.;~r .. ~~*f '''~~~.~<.• ",,7;"-;..... .,"';.% 1':i!'i~~::~N';;:;.~~''f ~ ·~~k·:,r:;;:..:\ ",:r; ;:I~+h..,)"'i; ';.f:'!-.!-'~;~~
For each "Yes" answer provide In explanation of the !ssue(s), the Business Entity involved. the relatfoushfp to the
submitting Business Entity, relevant dates,tbe govern ment entity Involved, and any remedial or coIY-ective action(s)
taken allIS tile eur'rent statm oCthe issu~lI). Provide aruwer below or' attach additionar sheets with numbered
responses,
/0.
, I,
· " , - " .• t
.
Involved, the relationship to the
submItting Buslnen Entity,l-elevant dates, the 20vernmellt entity In:volved, and any remedial or corrective action(lI)
taken and ~e curr1lOt status of the wue(s). Provide answer below or attach addltlollai saeets with nnmber1!d
responses '
allY government entlty
8.1
a civil or criminal
8.,2 3n indictment, gtilot of intm un ity, judgment, or' convlc,tJ.on 01 any business ~"elated
CODduct
tonstltuqng II cr[me including. but Dct limited to, fraud, extortion, bribory, t'acketeering, plite
coUusion 01' any crime rvlated to truthfulnas?
8.3 a misderpeanoror felony charge, indictment orco.!lvictio.ll for:
(i) aDY bi.tsin8SN'elated activity including bat not limited to fraud, coercion. extortion, bribe ot'
brfbe.'recehinl, giving or' accepting unlaWful gratuities, lmmignltlQD or tax fraud,
ra<:ke,te.ering, mall !laud, wire ft'aud, price fixing or collus!ve bidding; OJ'
(ii) any crime, whether Olllot business related, the underlying tondud ofwhicb r'elated to
truthfulness, including but notUmited to the filing of false documents or' false sWOr'JI
'a.'I-.a,"'l.t'>
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New YOlk State
Standard VendOI Responsibility Questio:onaue For Profit Business Entity
'.:.-
8.4 a debalment from A"Y gov!cnment contracting process?
11'01' each "YIS" answer provide all eIplanatiolJ of the Issue(s), the Individual Involved, the government entity InvoJVed,
the relatio~p to the submitting Blisiness Entity, n:levant dates, any remedial or confttive acUoD(s) takea and the
current status of'the Issue(s). ProvIde answer below or attacb additional sbeets wltll numbered responses.
tes received a formal
on lillY cODuact?
U"Yes"' provide an es:planation oUhe issue(s), the Business Entity involved, the relatJollship to the Jubmlttlllg
Busiuess Entity, relevant dates, the government elltlty Involved, and soy remedial or corrective 8ction(s) taken and
the current status orebe issue(s). Provide answer below or attach addltJonal sheets with lIumbered responses.
9.1 Withi. the past
nVI (S) years., has
the 'Business Entity or'any AffiUates had any liquidated
I U Yes IXI No
aSSeS$cd
If"Yes" prOvide an explanation of the Issue(s), the Business Entity Involved, the relationship to tile submItting
BusmeSl Entity, relevant dates, contracting party involved, tbe amouDt assessed and the CUrTent status ofthe Issue(S)
Provide ans;wer' below or attach additional sheets wIth II umbered respoBJeB.
9.2 Wltlllll the past five (5) years, has the Bosiness Entity 01 any AU"dlates had any liens, claIms or
bicludlng UCC rtItugs) over 515,000 liJod against the Boslness Entity which
01' wer'c unsatisfied for more than 90 , ,
,
If "Yes" provide an explanation of the 1ssue(s), tbe'Business Entity Involfed, the relationship to the submitting
Bu$lness Entity, the liell holder 01' c:lalmant's nallle, tbe amount oftbe Uen(I} and the current status of tbe issue(s),
Provide answer below or attacb additional sheets with Ilumber'ed Te$ponses.
SlJ (II the laSt sevell (7) yean, has the Bllslness Entity orauy Afrjliates mltill~ed or been thuubject
of any b.nkt1Jptcy proceedings, whether or not closed, t'egardJess of the date ofjiling. or b any
No
the Business Entity and any Afmiates railed to file 01' pay
state or local tax laws?
provide the Business Entity Involved, the reJatlonsnlp
jnrlsdiction (federal, state or other), the type ofmx, tbe
failed to tile/pay and the cummt status of the tax liability.
numbered nspollses_
No
the Bllsiness Entity and any Affiliates failed to tile or pay
insu.rance retlll11S1
No
9·,S During the past three (3)
New YOJkState
.-..:.....
PageS
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i
I
,1
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New York State
Standard Vendor Responsibility Questi~it~ For Profit Business E.utity
.~--'
II"Yes" provide the Bulness Entity involved. the relationship to the submitting Business Entity, the yean the
Business ~nUty failed to fUelpay the Insurance, explain the situatJon and any remedial or cornetiYe IIction{s) taken
and the c1U"I"ent status !lethe Issue(s). Provide answer below or attach additional Ibeets with numbered f'espollles:
9..6 Dul'iJ'l,ll' the past tbree (3) yean, has the Business EntUy 'or any Aftiliates had any govemmen t
audits?
H"yes" did 8D)' audit reveal material weaknesses In the Business EutJty's s)'Item ol'internal
controls?
II "Yes", did any audit r-eveal non-compliance with contractual agreements 01' any material
disallowance (ir not previously disclosed In 51 ,6)1
!8IYes DNo
Dyes I8JNo
o Ytl$
f23No
For each "Vest' aDSwer provide an explana&n or the issue(s), the Business Entity Involved, the relaHonsbip to the
submittinll Business Entity. relevant dates, the government entity involved, and any remedial or corrective aetlon(s)
taken and the cur Tellt status ofthe lJsue(s).. Provide answer ,belOW 0[' atb1cb additional sheets with numbered
responses. '
.. ~:" ~~.lj~7',¥!;'::"~:r--&::..:~~,;;J:P~~'~~~ 'R". ;: C::-~ci-r~,>-,l. _ > ~rl '~:':"~;'
h-;f ~~~~~"'~~~': L:-::I.;[ ,,,, /"",,\-;-~, 'r::w~~" ~,-~(];~::'~~_';r .;:.::"
'..I:,.t ,-l,1~~r-.,.;\t'~;~'~:;~~lj~r;~;~':1~~~~~~~.~.t~&;T~~.~~~~~!?.2,:;%,j ~";;?~~~.it~:; ,::"I~" ~;~..-=--.,,,.,..;~t?Cii
]l7':.:;~t.~p.±C:~";,'.:!;::.!t!;-~::~L~~~~:l-!L~~~~~ .. tf~~!t:£':'~~'=:"·I-.!-:q.~31
t;:t....J.£;;;.:)t:;::i!A,iH~llel.!IJJ·:t'!} '; 'jifJ~~".;::f.~l [nf'th·fdJ~,~Y;:.!~rl.:~lrtt~ ~;1;tt..~.."-Q, ~:~~~-c>ts:::-,~. :::r
~~;1¥~~~~~~"~':7.'~I~I[]:·%~
T;:
1O() Indicate whether; any inrormation supplied herein Is beDeved to be exempt fi-olXl disclosure
..
under the Fr-.edom oflllfoT'matlon Law (FOIL)" Note: A dctermlna1hm orwhetherliueh
Information Is ell:el!1pt from FOIL will be made at the time oran), request COl' disclosure
nndel' FOIL_
'
123 Yes 0
No
Indicate the questiaD number(s) and expla.ln the basis ror the clalm.
,
Non-public inCormation Dot subject fo disclosure undeI' l'{Y State Public Officel'S Law, Article 6, S,ctfOQ 8'7(FOU.)
CeltificatlOn
The imdelsigned: recogoizes that this questionnaire is submitted for the express purpose of assisting
State of New York or its agencies OJ' political subdivisions in making a detellnination regarding an
award of contract OI approval of a subcontract; acknowledges that the State 01 its agencies or political
subdivisions may in its discretion, by means which it may choose, Vellly the truth and accuracy of all
statements made herein; and acknowledges that intentional submission of false 01 misleading
infoImation may constitute a felony under Penal Law Section 210,40 or a misdemeanol unde.r Penal
Law SectipD 210.35 or Section 210.45, and may also be punishable by a fine and/or implisonment of up
to five years undeI 18 USC Section 1001 and may result in contract telmination.
.
.
the
The undersigned certifies that he/she:
• is knowledg~ble about the submitting Business Entity's business and operations;
\
• has read and undexstands all ofthe questions contained in the questionnaire;
• has not altered the content of the question set in any manneJ;
• bas reviewed and/or supplied full and complete responses to each question;
• to the best of their knowledge. information ,and belief. confilIDS that the Business Entity's
responses are true. accurate and complete, including all attachments; ifapplicable;
PageG
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New YotkState
Standard Vendor Responsibility Questionnaire FOI Profit Business Entity
~
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'.,
• understands that New York State will rely on information disclosed in this questionnaire when
entering intO a contract with the Business Entity; and
,
• is under obligation to update the information provided herein to include any material changes to
the Business Entity's responses at the time ofbldlplOPOSal submission through the contract award
• notification" 81.Id may be. required ·to update the infolmation at the request of the state's
conn acting entity or the Office of the State Comptrol1eI pIio! to the aWIIl d and/or approval ofa
contract, or duxing the telm oftbe contract.
L
Signature of
Owner/Officer
~
...
PIlnted 1':Iame of Signatory _Wi.,;:-::l1:::li':;:am::::.. W:.;. :;o.::th:;:eI'S;::::.t:p:;;oo:;,:n=--_ _ _ _ _ _ _ _ _ _ _ _ _ _...:-..
Iitle
&~; ft.f &.wrc 1lr'Sj
Name of Busines.s
_U.:;..Dl=·::::.syt.:S::...,:C::::;o:::,:[:.r;P.::;:oIa=o;::on:::...:..._-,-_ _ _ _ _ _ _ _ _ _ _ _ _ _-'--_
Adch-ess
City. State, Zip
..............
I •.
'
11720 Plaza America Olive
Reston! VA 20190
~.. '.~
Swom~efore me this fJtJ
{T(~ {?~
day of
~
Nowy Public
..._,.....,..
Pase 7
.-,~--.~,-~,-.-,---------
,20t!:1.;
AJ;l.U3 SSQtl'fsng l!:JOld lOd Q.I!1JlIUO!lg~nb 4lrN1SlIO~)J IOPUQA pmpmqs
~UlS :lJJ0.x ~N
.
.;.
Attachment to Vendor Responsibility
•
'
• I ",
.
dated 12f27/07 of
Unisys Corporation
"--',
IntroductionlBaekground. Unisys is a large US corporation, (over $5 billion in revenue in
2006), that conducts business on a worldwide scale through many other related foreign and
domestic business entities. Unisys is a publicly held company (trading symbol ,iUIS") and is
listed on the,New York Stock Exchange, the SWX Swiss Exchange and on exchanges in
Amsterdam, Brussels, and London. The scope of Unisys inquiry and the response to the
questionnaire is limited to Unisys Corporation, the parent entity that does business in the
United States and New York. P1ease note that Unisys has identified part of its response
(Response to Question 7.0) as not subject to disclosure under New York State Public Officers
Law. Article 6, Section 87; Freedom of Information Law (FOIL). The Questionnaire has
been answered to the respondents' best knowledge, information and belief. Unisys
encourages you to visit the Umsys Website, http;Uwww.unisys.com and click on investors to
review publicly available infonnation about our Company. including annua1 reports,
'quarterly reports, SEC filings, and biographies ofUnisys Officers..
Please note the following:
• Question 1.9
Unisys is a publicly held company. Attached is a list of Corporate Officers of Unisys .
Corporation. Please see the attached (Schedule ~).
\,( ......
~~
• Question 2.0
Please see the attache,d (Schedule B).
• Question 3.0
Please see the attached (Schedule C).
• Question 5.0
In March 2006., Unisys Corporation received a purported ''Notice of Default" from
the Chicago Public Schools (CPS) in relation to an outsourcing agreement. Unisys
disputed this action believing this notice was without merit and Wrongful. Work
under the agreement ended and CPS paid Unisys under the agreement for work
through March of2006. Unisys remains a responsible contractor for'the City of
. Chicago and continues to perform other agreements with the City.
• ,Question 7.0- To best of our infonnation, the following is a listing of United
States investigation-type matters involving Unisys in th~ past 5 ·years.
)
i
':~ "
______________
~
____
<-"
;,(
'-'...,
• Question 10 - Please note that in accordance with New York State Public
Officers Law, Article 6. Section 87; Freedom ofInformation Law (FOIL) Unisys
has identified the response to question 7.0 above as information not subject to
disclosure under FOIL.
.
"~"'-'{
~
__
_____
~.~'M~.'
~
('"
Attachment to Vendor Responsibility Questionnaire
ScbeduleA
No individual named below benefi'Cially owns more than one percent of the
outstanding shares of Umsys common stOck. All directors and officers as a group .
beneficially own 1.7% of the shares of Unisys common stock deemed outstanding.
DIRECTORS
Edwin A. Huston
Clayton M. Jones
Leslie F. Kenna
Theodore E. Martin
Joseph W. McGrath
J. P.Bolduc
James J. Duderstadt
Henry C. Duques
Matthew J. Espe
Denise K. Fletcher
OFFICERS
I
"
"
Joseph W. McGrathlPresident and Chief Executive Officer
Greg J. Baroni/Senior Vice PreSident and President, . Federal Systems
Patricia A. Bradfotd!Senior Vice President, Worldwide Human Resources
Randy J. Hendricks/Senior Vice President and President,
Global Outsourcing and Infrastructure Services
Janet Brutschsa Haugen/Senior Vice President and Chief Financial Officer
Brian T. Maloney/Senior Vice President and President, Global Industries
Nancy Straus Sundheim/ Senior Vice President, General Counsel and .
Secretary ,
Scott A. Ba~rsbyl Vice President and Treasurer
Leo C. Daiutol Vice President
Jack F. McHale/Vice President, Investor Relations
Joseph M. Munnell.yNice President and Corporate Controller
.
Blake H. EisenhartlQhief Audit Executive
Mary Kay Gould/Assistant Secretary
Susan T. Keene/Assistant Secretary
Nancy L. Miller/Assistant Treasurer
Gary E. Purvey/Assistant Treasurer
Edward A. Sarkisian/Assistant Treasurer
The business address for all Directors and Officers is:
Township Line and Union Meeting Roads
Blue Bell, P A 19424
"~.:-:..~.;,
Attachment to Vendor Responsibility Questionnaire
Schedule B
SUBSIDIARIES OF THE REGISTRANT
Unisys C~rporation, the registrant, a Delaware c6mpany, has no parent. The registrant has
the following subsidiaries:
.
State
.(
••"'.#
Name or Company .
Unisys Deutschland G.Ili.b.H.
Unisys Brasil Ltda.
Unisys France
Unisys Limited
Urusys Nederland N.V.
. Unisys Furiding Corporation I
Intelligent Processing So1utions Limited
Unisys Insurance Services Ltd.
Urusys Belgium
or Other
Jurisdiction
Under the
Laws of Which
O!J!nized
Gennany
Brazil'
France
United Kingdom
Netherlands
.Delaware
United Kingdom
United Kingdom
BeJgium
The names of certain subsidiaries are ~itted from the above list; such subsidiaries,
considered in the aggr.egateas a single subsidiary, would not constitute a significant subsidiary.
"
~.~
......"
~ .•._If• ..
\::.,;..
Attachment to Vendor Responsibility Questionnaire
ScheduleC
Current Contraets
Agency Name:
New York State Tax and Finance
Contract Number:
C400623
Contract Name:
Information Technology Services
. Contrad Period:
12106/06 to 12/05109
Status of Contract:
Contract Value:'
(
'·~~Ioo"
On-going
Consulting Services estimated value year to date $6.5 Million
Brief Description: A multi-year strategic project, c.ode-named e-MPIRE (e-Managed
Processes for an Integrated Revenue Enterprise), was ini~ed to develop an architecture
designed to leverage the substantial assets hosted on IBM platforms while taking
advantage of newer technologies to deliver data and functionality to internal business
users, external agency partners and the citizens ofNew York State. The infrastructure
and core applications had to be developed and delivered without disrupting the
Department operations and the $67 billion revenue stream supported by those operations.
This is a department-wide, complex project using a multi~tiered service oriented
architecture (SOA) and requires expertise at many levels. Since :2003, the Department
has relied on Unisys for systems integration, application development arid consulting
services to assist in fulfilling the visio+t ofthe eMPIRE project.
.
Agency Name:
New York State Office For Technology
Contract Number:
'Contract Name:
Datacenter hardware, software. maintenance and services
Contract Period:
5125/05 to 03131112
Status of Contract:
On-going
Contract Value:.
.
COOOI05
estimated value over $50 Million
BriefDes~ription:
Datacenter hardware. software. maintenance and services to support
~.<
.~-'-"
.'!, ,
Multiple NYS Agencies.
.
\'~....:....,...--'
Agency Name:
New York State Office For TechnololD:
Contract Number:
C000190
Contract Name:
Operations Management Support Services
Contract Period:
6127/07 to 6126/09
Status of Contract:
On~going
Contract Value:
estimated value $30 Million
Brief Description: ' Services of a single vendor to provide technical support personnel,
on an as needed basis, for the benefit of OFf. Consultants will be utilized for a variety of
pwposes, including, but not limited to: 1) supporting on-going projects as supervised and
controlled by OFT staff; 2) supplementing OFT IT staffworldng on existi,ng projectS ,and
system enhancements; and 3) providing operational support, responses to ad hoc requests,
.
and routine maintenance fOr existing and new systems.
;(
':~'.;..
Agency Name:
New York State Office For Techno)ogy
Contract Number:
COOO121
Contract Name: '
Microsoft Technical Support Specialist Services
Contract Period:
10/20/05 to 9119/08
Status of Contract:
On·going
Contract Value:
estimated value $1.5 Million
Brief Description: The contract purpose is to obtain the services of several vendors·to
provide Microsoft experienped technical support persoIUlel, on an as needed basis for
'
engagements ranging from 2 to 36 months in iength.
Agency Name:
New York State Office of General Services
Contract NUIpber:
CMS! 050/ PS61986
C,ontract Name:
Consulting Services and Maintenance Support Services
·_ .-1'.
\
,
"---'"
Conu-act Period:
11/0112005 -10/31/2010
.Status of Contract:
On-going
Contract Value:
i
estimated value $25 Million
Brief Description: This award includes a dual contract with Unisys Corporation to
provide comprehensive 'service and maintenance for their installed and new customer
base. It includes maintenance, consulting and other services for Unisys Corporation
customers. This contract is for use by Unisys customers in State Agencies, Local
Governments, authorities and all others authorized by law.
Agency Name:
New York State Tax and Finance
Contract Number:
Contract Name:
12/01/07 to 413012010
Status of Contract:
('"
Mainframe 1 Services I Support Contract
Contract Period:
l~.
C400418
Being renewed for Services only
Contract Value:
Consulting Services estimated annual value $2.5 Million
Brief Description: Unisys'Consulting Services to support the Department throughout
the conversion from the Unisys platform to the Departments initiative named e-MPIRE
(e-Managed' Processes for an Integrated Revenue Enterprise). "
A multi-year strategic project, e·MPIRE was initiated to develop an architecture des~gned
to leverage the SUbstantial assets hosted on IBM platforms while taking advantage of
newer technologies to deliver data and functionality to internal business users. external
agency partners and the citizens ofNew York State. The infrastructure and core .
applications had to be developed and delivered without disrupting the Department
operations and the $67 b~llion revenue stre~ supported: by those operations.
This is a department-wide. complex project using a multi-tiered serVice oriented
architecture (SOA) and requires expertise at many levels. Since 2003, the Department
has relied Unisys for systems integration, appli~tion development and consulting
serviaes to assist in fulfilling the vision of the eMPIRE pr<>ject.
on
Agency Name:
New York State Office of General Services
Contract Number:
. "'...-".
PT62896
Contract Name:
Unisys Printer Contract
,.
J
Contract Period:
3/16/2007 - 12191201 I
Status of Contract:
On-going
Contract Value:
\\,.~
Estimated annual value of: $4M
Brief Description: A negotiated contract for Unisys printer products including Printers,
Multi~function~ Products, Peripherals, Supplies, Accessories and Related Services.
Agency Name:
New York State Office of General Services
Contract Number:
PT00147
Contract Name:
Commodity Contract
Contract Period:
01/01/1996 - 1213112007
Status of Contract:
On-going
_
Contract Value:
/
~~;;
_ Estimated annual value of: $50 Million
Brief' Description: This award includes a single contract with the Unisys Corporation to
provide their full computer product line, including large systems and software, printers,
storage products, and other accessopes. This contract is for use by Unisys customers in
State Agencies, Local Govenim.ents, authorities and all otQ.ers authorized by law.
Agency Name:
New York State Office of General Services
Contract Number:
CMS664A
Contract Name:
Backdrop IT Services
Contract Period:
0210211998 - 12/31/2010
Status of Contract:
On-going
Contract Value:
Estimated annual value of: $17 Ivfillion
. Brief Description: This award includes a single contract with Unisys Corporation to
provide various IT Services including Consulting, Systems Integration, Training, On
Going Services, Maintenance and Support. This contract is for ~e by Unisys customers
in State Agencies, Local Governments, authorities and all others-authorized by law.
(
"
\
..............
Agency Name:
New York State Office For Technology
('-".
':::.:...;>'
Contract Number:
C000156
Contract Name:
Software Development and Administration Consultant Support
Contract Period:
' 112612007 to 112512010
Status ofContract:
Onwgoing
Contract Value:
estimated value $2 Million
Brief Description: The contract purpose is to obtain the services of several vendors to
provide experienced technical support personnel. on an as needed basis for engagements
ranging from 2 to 36 months in length.
Agency Name:
New York State Insurance Fund
Contract Number:
Contract Name:
Mainframe Computer Equipment, Software and Services
Contract Period:
..
C000364
1110112003 to 10/31108
Status of Contract:
Onwgoing
Contract Value:
estimated value $12 Million
Brief Description:
Acquisition ofNew Hardware. Software. and Support .
Services.
{
~
Agency Name:
New York State Office For Technology
Contract Number:
Contract Name:
Status of Contract:
estimated value $14 Million
Brief Description:
01/1612002 to 01/16/08 (projected end date after one year extension
Is 01116109)
On-going
Contract Value:
.....
Enterprise Help Desk Services
Contract Period:
\
CM00664
Help Desk Support Services to ]\'YS Agencies.
,
;-
'
D&C DJA
Offerer Disclosure of Prior Non-Responsibility Determinations
See instructions on next page before completing this form.
.
Name of Individual or Entity Seeking to Enter into the Procurement Contract:
Address:
LA. LJ /'sys (Q/?POR-A110N.
1\1 tel PLfo 7;jJ.. A.}II£~I <A ~ ~I
ue
It.e51\J JJ l VA '1OIQO
Name and Title of Person Submitting this Fonn:
C. A. SOL-} f.JA k ~~J eOJJfRA,a5
j)'1 eecro~
1
R:\),
~\rs. J LI Ii I L
f
A# .
Contract Procurement Number:
Date: _ _ _ _ _ _ _ _ __
1. Has any Governmental Entity made a finding of non-responsibility regarding the individual or
entity seeking to enter into the Procurement Contract in the previous four years? (Please circle):
&
Yes
. .Jfyes,. please answer the next questions:
2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law
§ I39-j (Please circle):
Yes
No
3. Was the basis for the finding of non-responsibility due to the intentional provision offalse or
incomplete infonnation to a Governmental Entity? (Please circle):
No
Yes
4. Ifyou answered yes to any of the above questions, please provide details regarding the finding
of non-responsibility below and attach additional pages as nece~sary.
Governmental Entity: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Date of Finding of Non-responsibility; _ _ _ _ _ _ _ _ _ _ _ _ _ _ _--'-_ _ __
Basis of Finding ofNon-:Responsibility: -,-_----'-_ _ _ _ _ _ _ _ _ _ _ _ _ _ __
5. Has any Governmental Entity or other governmental agency tenninated or withheld a
Procurement Contract with the above-named individual or entity dqe to the intentional provision
of false or incomplete infonnati~Jease circle):
. l.!:!.V
RECENEO
Yes
MIS UNIT
6. Ifyes. please provide details below and attach additiona1 pages as necessary.
MAR S1 2008
Governmental Entity:
Date ofTennination or Withholding of Contract:
.
•.
....
NYS DEPT. OF
·."ORRECTlONAL SERVICES
.
BasiS of TermmatlOn or Withholding: _ _ _~_ _---,-_ _ _ _.!__ _ _ _ __
f
Offerer certifies that all information provided to the Governmental Entity with respect to State .
Finance Lal¥.!.§ 139-k is complete, true and accurateJ.D {.4( bu.J. III m~ 1tf7.;l\/I,,tJ"!-~ 6dt It.
-"i-1t1~
~
Date:
Signature
DCA~3
~ !J4&II WuJ>
•
I
,
~#.
,
•
D&C DJA
Instructions for CompJeting the DCA-3
Offerer Disclosure of Prior Non-Responsibility Determinations
Background:
New York'State Finance Law §139-k(2) obligates a Governmental Entity to obtain
specific infonnation regarding prior non-responsibility detenninations with respect to
State Finance· Law § 139-j. This information must be collected in addition to the
infonnation that is separately obtained pursuant to State Finance Law §163(9). In
accordance with State Finance Law § 139-k, an Offerer must be asked to disclose whether
there has been a finding of non-responsibility made within the previous four (4) years by
any Governmental Entity due to: (a) a violation of State Finance Law §139-j or (b) the
intentional provision of false or incomplete infonnation to a Governmental Entity: The
terms "Offerer" and "Governmental Entity" are defined in State Finance Law § 139-k(1).
State Finance Law § 139-j sets forth detailed requirements about the restrictioI)s on
Contacts during ,the procurement process. A violation of State Finance Law § 139-j
. includes, but is not limited to, an impermissible Contact during the restricted period (for
example, contacting a person or entity other than. the designated contact person, when
such contact does not fall within one of the exemptions).
As part of its responsibility determination, State, Finance Law §139;...k(3) mandates
consideration of whether an Offerer fails to, timely disclose accurate or complete·
information regarding the above non-responsibility detennination. In accordance with
law, no Procurement Contract shall be awarded to any Offerer that fails to timely disclose
accurate or complete infonnation under this section, unless a finding is made that the
award of the Procurement Contract to the Offerer is necessary to protect public property
or public health safety, and that the Offerer is the only source capable of supplying the
required Article of Procurement within the necessary timeframe. See State Finance Law .
§§139-j (1 0) (b) and 139-k(3).
Instructions:
OGS Design and Construction includes this disclosure request regarding prior non
responsibility determinations in accordance with State Finance Law §139-k in its'
solicitation of proposals or bid documents or specifications. or contract documents, as
applicable, for procurement contracts, The attached fonn is to be completed and
submitted by the individual or entity seeking to enter into a Procurement Contract,
Supplement or Change Order. It shall be submitted to the OGS Design and Construction
unit conducting the Governmental Procurement.
This document must accompany each Bid Fonn, Letter of Interest, or Proposal subIl)itted
by an offerer and will be required for ~y contract amendments over $15,000. This
document must also accompany each Emergency Contract Bid Fonn.
02/06
DCA-3
•
l1NISYS
Unisys Corporation
11720 Plaza America Drive
Reston, VA 20190
January 4, 2008
Ms. SaHy Sherman
ITS Coordinator
NYS DcpartIDt"11l of Corr':l.'tional Services
Muni.lgcmenllnformation Services '
1220 Washington Avenue Building #2
Alhany. NY 12226
Subject: .,Request for Proposal Number DOCS RFP MIS ITS 07 -00 I
Dear M... Sherman:
The Unisys Team is pleased to have the 0ppo!1unity 10 present our proposal for the New York
Slate Department of CorrecLional Services Inmatl! Telephone System. NYS DOCS MIS shl1uld
bl..' a!-isured your organizations wilJ have the full and complete I..·ommitment from Unisys
Corporation ror a successful implemcntntion and oil-going support of Ih0 inmate telephone
system projl'Ct.
Unisys h,IS sue~essfully been parmering with New York Stilte for over 30 years. Unisys has
implemented and sUppU!1S many of New York State's lUost critil.·al and complex syslemssuch as
Office ufTemporary and Disability Ass]<;tance puhlic assis\anct~ applicl1tions. Division of
CriminaIJusticc and New York SUite Police public safety applications. Unisys is c(lmmiUed to
providing the same Icvd of excellence to the NYS D(X'S ITS
Our solution offering is developed using Olle of Unisys Corporation's mOl'it strate~ic progmms
Omsollfl.'ing. Installing and maintaining: highly available 1T infmstrucfurc is one of the 'icrvices
we do nest. For NYS DOCS. we have leveraged the most. advarlced inmate telephony solution
from Value Added Communications in combination with our world-class systems integration
(;upahililies and ShawnTech Communications field support servicc!oo.
Our IOllg"term partnership with New York State, in conjunction with our proven approach and
record of performance. demonstrates our ability and willingness to tlchicvc results. Unisys is
fully (;ommitled to working closely and cooperatively with NYS DOCS for the timely and
sllccessful implemcnl4Hioll of the inmate telephone system project.
additinmtl ussistance to you. plem,e contaCI
or Mr. William Dixon
Sinc~y
(').-.
yours.
'*~
•
/
I
/-::L,/Z;:""'
~A. Solibakk~
untrnCls Director. Ft>deral Sy!>tems, CivilhlO Group
or
•
UNISYS
Financial Proposal Cost Proposal Form
Prime Contractor Name: Unisys Corporation
--~----~---------------------------------
Suhcontractor Namc(s):
(if IIJlfllimble j
Value Added Communications, ShawnTcch
:;0 ...
Authorized Signature:
l-Mtl~
ontracts Director, Federal Systent", Civilian Group
Instructions:
Complete the Fimmcial Propo!'al Cost form showing the costs for the Contract Services
requested. The costs shall be l:onsidered to he inclusive of all travel, overhead, profit, and
administr.llivc expenses. The cost proposal form shall be suhmitted in a separate self-addressed
stamped envelope in the event the Bidder is disquaHflcd and the Cost Proposal is unopened and
returned.
Vendor shall provide rates based on three decimal places (e.g. $O.()()(}). Rates fihaJl apply only
from called purty acceptance of a call untiT lhe call is terminated rounded to the nearest whole
minute (calls lasting lip (0 and including 29 seconds over a whole minute shaH be rounded down,
calls greater than or equal to 30 ~econds over a whole minule shall be rounded up.) There shall
I:>e no charge for the time for prompts. rate information or other functions. TIlerc shall hL' no
additional charges or feL's added to the cost a call.
or
Domestic Rate:
The rate proposed and charged hy the vcndor shall be a single per minute rate inclusive of all
fees. tuxes, connect charges or othcr costs for all calls within the continental United Stales, its
lerritories and protectomtcs. and Canada. The nile shall bl~ a single blended rate for pre-paid and
collecl calls.
Domestic
Total Cost per Minute
$0.048
I ntcrnationaJ Rates:
The vendor shall propose u rale structure for international calls detailing ratcs by country. Thl.'
rales for international calls shall be H single per mlllUie ratc hy country inclusive ofall fees, taxes,
connect charges or other costs. The DCX:'S reserves the right to implement any alll.:malive
international calling services and docs not guarantee minimum international calling volume. Any
location \lot within the area deJined as covered by the domestic rale as detailed abo've shall he
treated a~ international. The rate for each country shull he a single blended rate for pre-paid nnd
colk'ct calls.
Storage Rate:
The vendor shall provide a proposed se.parate monthly charge 10 the DOCS for storing recorded
calls ror more than six (6) months. The rate shaH be inclusive of all fees. tuxes and charges.
I
Stord~e Rate
1<'' ' PO' M,..1h
$0.00
2
•
UNISYS
Financial Proposal Cost Proposal Form
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Proposed International.Rates
:3
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONALSERVICES
THE HARRIMAN STA TE CAMPUS
1220 WASHINGTON AVENUE
ALBANY, NY 1222<i-2050
BRIAN S. FISCHER
RICHARD D. ROY
ACTIN(; C:OMMlSSlONER
ASSOCIATE COMMISSIONi;II.
September 22, 2009
Mr. Benjamin C. Locke, CPCM
Senior Contracts Manager
Federal Systems
UNISYS Corporation
11720 Plaza America Drive
Reston, Virginia 201904757
RE:
Contract #C160988
Inm~te Phone Horne Program
Dear Mr. Locke:
Attached for your files is a signed copy of the Nondisclosure Agreement entered into by the
New York State Department of Correctional Services and Unisys.Corporation.
Please contact me at (518) 457~2540 with any questions.regarding this attachment.
Sincerely.
~/~--....
Thomas J. Herzog
Assistant Commissioner
Management Information Services Unit
TJHJCAM/cm
Attachment
'Disclosure of New York State
Department of Correctional Services Infonnation
THIS NONDISCLOSURE AGREEMENT is entered into as of September 17, 2009 by
the New York State Department of Correctional Services ('\DOCS") which is the· party
disclosing confidential inionnation, and Unisys Corporation, which is the party receiving
confidential information ("Recipient'), in order to protect the confidential infonnation which is
disclosed to the Recipient by DOCS.
NOW THERFORE, in consideration of the mutual covenants contained herein, the
.
parties hereto agree as follows:
1. The Recipient's representatives for recelVlDg confidential information are: Paul
Nicandri, Fadi Zara, Roy Davis, Catherine Solibakke, Benjamin C. Locke, Seth Boyar,
Torrey Wallace, David Kardis, Tina Williams, Kathy Tiernan, and AIlen Coleman,
Recipient shall not disclose the confidential information to any of its employees other than those
who have a need to review it and which employees are legally obligated to honor the
confidentiality provisions herein ..
2. The confidential infonnation disclosed by DOCS under this Agreement is described as:
Information relating to the operation and maintenance of the NYS DOCS inmate telephone
system.
3. The Recipient shall keep the information confidential and shall use the confidential
information' only for the purpose of planning, designing, installing, and maintaining an inmate
telephone system for the NYS DOCS.
The Recipient shall not make any copies of the confidential infonnation except as necessary for
its employees who are entitled to view it under Section 1 above. Any copies made shall be
identified as belonging to DOCS ~d marked "confidential" or with a similar legend.
4. The Recipient shaH, where applicable, protect the confidential information in a manner
consistent with the Health Insurance Portability and Accountability Act e'HIPAA") of 1996
Privacy and Security provisi?ns and all other applicable regulations.
5. The Recipient shall comply with all Federal and State regulations intended to protect
criminal history records as they apply to the confidential information.
6. The Recipient shall comply with all DOCS directives, policies, practices and
procedures as they apply to the protection of the confidential information.
7. The Recipient shall, in the event of unauthorized disclosure of the confidential
information, immediately notify DOCS, in writing, and fully comply with the requirements of
the New York State Breach Notification Act.
8. To the extent permitted by law, the Recipient shall protect the disclosed confidential
information by using the same degree of care, but no less than a reasonable degree of care, to
prevent the unauthorized use, dissemination or publication of the confidential information as the
Recipient uses to protect its own confidential information of a like miture.
9. The Recipient shall have a duty to protect all confidential information which is
disclosed to it, whether disclosed in writing, orally or in any other manner and which is identified
as confidential at the time of disclosure. If the disclosure is in writing, it shall be marked
"confidential." If a disclosure is not in writing, DOCS shall provide Recipient with a written
memorandum summarizing and designating such information as confidential within thirty (30)
days of the disclosure.
10. This agreement controls information that is disclosed to Recipient between the
effective date (the date oflast signature) and October 1,2014.
11. The Recipient's duties under paragraph 3,4,5,6 & 7 of this Agreement shall expire six
(6) years after the information is received.
12. This Agreement imposes no obligation upon the Recipient with respect to
confidential information which (a) was in the Recipient's possession before receipt by DOCS;
(b) is or becomes a matter of public knowledge through no fault of the Recipient; (c) is received
by the Recipient from a third party without a duty of confidentiality; (d) is disclosed by DOCS to
a third party without a duty 'of confidentiality on the third party; (e) is independently disclosed by
the Recipient with DOCS' prior written approval; (f) is developed by the Recipient without
reference to information disclosed hereunder.
13. DOCS warrants that it has the right to make the disclosure under this Agreement.
14. Neither party acquires any intellectual property under this Agreement.
15. Neither party has an obligation under this Agreement to purchase, sell or license any
service or item from the other party.
16. The Recipient shall adhere to U.S. Export Administration laws and Regulations and
shall not export or re-export technical data, information or products received from DOCS or the
direct product of such technical data or information to any proscribed country listed in the U.S.
Export Administration Regulations, unless properly authorized by the U.S. Government.
16. The parties do not intend that any agency or partnership be created between them by
this Agreement.
17. All additions or modifications to this Agreement must be in 'Writing and signed by
both parties.
States.
18. This Agreement is made under and shall be governed by the laws of the United
.
19. This Agreement may be tenninated immediately by either party upon delivery of
wiitten notice of termination to the other party. Such tennination shall not affect Recipient's duty
with respect to confidential infonnation disclosed prior to tennination.
IN WITNESS WHEROF, the parties hereto have executed this Agreement as of the date
first above written.
Unisys Corporation
NYS Department of €orrectional Services
BY:~~t?~
Print Name:~' :r rVd.4
BY:~C~
i!. co "
Title:/'?J'f,.IJ7i?......-jDate:
C,NrM
.·J.r·~-tr"l
(Please Specify Company)
Print Name: Benjamin C. Locke
-c~<?
V/ 7/0 r
,
Title:
Senior Contracts Manager
Date:
September 17,2009
Forward all executed copies ofnondisclosure agreements to:
NYS Department of Correctional Services
Information Security Officer
Building 2
1220 Washington Ave
Albany, NewYork 12226-2050
New York State Department of Correctional Services· Management Infonnation Services
NOTICE OF INTENT TO BID
REQUEST FOR PROPOSALS NUMBER:
RFP TITLE: "'YS DOCS Inmate Telephone System
roes RFP MIS ITS 07-001
IF YOU INTEND TO SUBMIT A PROPOSAL, you should:
a. Complete Section 2 and Section 3 of this form.
b. Return this form to the DOCS via email atPocsCaIlHome@docs.state.ny.us
IF YOU ARE NOT SUB~G A PROPOSAL, you should:
a. Complete Secdon 1and Section 3 of this form.
b. Return this form to the DOCS via email atDocsCaIlHome@docs.state.ny.us
c. It is also requested that you indicate your reason for not submitting.
Section I:
I" We do not provide the requested service/technology/commodity. Please remove our firm from your mailing list.
,
,
l: We'are unable to bid at this time because:________________________
r
Please retain our firm on this list.
Section 2:
~~
We intend to submit a response to this Request for Proposals.
Pre-registration is required for attendance at the mandatory pre-bid conrerence.
List the individuaIs. (4 maximum) who will attend the mandatory bidder's conference.
Name
Paull'jlcandrl
Keith Eismann
Tillman Mosely
ShawnTecll
Ron Sauner
Unlsys
Section 3: Designated c:ontact Person
Tide: PrOgram Manager
Contact Name: Paul Nicandri
FED ro. NO.:~
Name of Finn: Unisys
Address: 11720 Plaza America Drive, Tower m
.,""", ..nvu
Date: November 20, 2007
State:
NYS Department of Correctional Services
Management Infonnation Services
1220 Washington Avenue Building 112
Albany, NY 12226
·'
4
New '\'Qrk Slal8 Departm.nl of"Tallsllon and F"1II11nC11
ST-220
Contractor Certification
(9105)
(Pursuant to Section 5-a of the Tax law)
For more Information, see Publication 222, Question and Answers Concerning Tax Law Section 5-8.
For covered agency use only
VI t V -
IV
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_
P.IIII
RI"t..
711" I'M"
r Contract number or description
$
I,
C\ A. SDLI,8A KK~
. hereby affirm, under penalty of perjury, that I am
Ce~reecroei
(name)
(title)
~. J
eeD
Cf V ItJIAI
of the above-named contraotor, that I am authorized to make this certifICation on behalf of such contractor, and that to the best
of my knowledge:
Part I.
Contract not covered by section 5-a of the Tax Law
(Mark an X In the box H this statement Is appHcab/e. Ifyou mark this box, you do not have to complete Parts I! through V.)
o
The requirements of section 5-a of the Tax Law do not apply to this contract (provide a sepamte explanation and attach to /hIs form).
(If you aid not mark the bel( neKf to the statement in Part I, mark an X next to the applicable statement In Paf1sfl through IV and, If applicable,
Part V.)
Part D.
Contractor registration status
.~ The contractor has made sales delivered by any means to locations withIn New York State of tangible personal property or taxable
services having a cumulative value In excess of $300,000 durIng the four quarterly periods endIng on the last day of February, May,
August, and November whIch Immediately precede the quarterly perIod In which this certification is made and for which Information is
avaIlable, and, Is regrst~red for New'r'brk State and tocal sales and compensatfng Use tc!x purposes with the Commissioner of Taxation
and Finance pursuant to sections 1134 and 1253 01 the Tax Law. The contractor Is listed on Schedule A of thIs certification•
. 0 As of the date of thIscertification, the contractor has not made sales delivered by any rileans to locations withIn New York State of
tangible personal property or taxable services ~avlng a currurat/ve value In excess or $300,000 durIng the four quarterly periods endIng
on the last day of February. May, August. and November which Immediately'precede the quarterly period in whIch thIs certification Is
made and for which Inrorm~tion Is available,
Part III. Affiliate regIstration sfatus
o
As or the date of this certification, the contractor does not have any affiliates.
O. The contractor hasona or more affiliates havlnf,! made sales delivered by any means to locations within New York State of tangible
personal property or taxable services having a cumulative value In excess or $300,000 during the four quarterly periods ending on the
last day of February, May. August, and November which Immediately precede the quarterly period In which this certification Is made and
for which Information Is avaHable, and each affiliate exceeding !he $300,000 cumulative sales threshold during such periods Is registered
for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to
sections 1134 and 1253 of the Tax Law. The contractor has listed each affiliate exceeding the $300,000 cumulative sales threshold durIng
such periods on Schedule A of this certification.
'ft£
The contractor has one or more affiflate~ and, as of the dale of this certification, each affiliate has not made sales delivered by any
means. to locations within New York State of tangible personal property or taxable services having a cumulative value In excess of
$300,000 during the four quarterly pe riods ending on the last day of February, May, August. and November Which immediately precede
the quarterly period in which this certification is made and for which information is available.
RECEIVED
MIS UNrr
b!.'.1< is 1 {OOB
).1\.1t" -'_n~'"
Page 2 of 8 ST-220 (9105)
Part IV. Subcontractor reglstratlon'status
o As of the dale of this certil'ication, the contractor does not have any subcontractors.
)sA The contractor has one or more subcontractors. and each subcontractor has Informed the contractor of whether or nol, as of the date of
f' this certification, It has made sales delivered by any means to locations within New York Slate of tangible personal property or taxable
services having a c~mulative value in excess of $300,000 during the four quarterly periods ending on the last day of February. May,
August. and November which Immediately precede the quarterly period In which thIs certification Is made and for which inrormatlon
Is available. Each subcontractor informing the contractor thet it has made sales In excess of the $300,000 cumulative sales threshold
'during such periods has further Informed the contraclor that It Is registered for New Yorl'; State and local sales and compensating use tax
pUlposes with the CommIssioner or Taxation and FInance pursuant 10 sections 1134 and 1258 of the Tax Law. The contractor has listed
each subcontractor exceeding the $300.000 cumulatIve sales threshold during such periods on Schedule A of this CElIflfica!lon.
o The contractor has one or more subcontractors, and each subcontractor has informed the contractor that. 8S of the date of this
certificatlon, It has not made sales delivered by any means to locations within New York State of tangible personal property or taxable
services having a cumulatlve value In excess of $300,000 during the four quarterly periods ending on the last day of February, May.
August, and November which immediately precede the quarterly period in which this certification Is made and for which Information is
avaiiable.
Part V,
Subcontraptor affiliate registration status
)<f The contractor has one or more subcontractors, and each subcontractor has infonmed the contractor that, as of the date of this
certification, it does not have any affiliates.
'
.
o The contractor has one or more subcontractors, and each subcontractor has Informed the contractor of whether or not, as 01 the date of
this certification, it has any affmates having made sales delivered by any means to locations within New York State of tangible personal
property or taxable services having a cumulative value in excess of $800,000 during the rour quarterly periods ending on the last day of
February, May, August, and November which Immediately precede the quarterly period In which this certIfication Is made and ,for whIch
information Is aval/ablt. Each subcontractor InfOrming the contractor that it has one or more affiliates having made sales In excess of
the $800,000 cumulative sales threshold during such periods has further informed the contractor that each such affiliate Is registered for
New York State and local sales and compensatIng use tax purposes with the Commissioner of Taxation and Finance pursuant to sections
'1134 and 1253 of the 'Tax Law. The contractor has listed each subcontractor affBiate exceeding the $300,000 cumulative sales threshold
during such periods on Schedule A. 01 this certification.
o The contractor has one or more subcontractors, and each subcontractor has Informed the contractor that, as of the date of this
certificatIon. It has no affiliate having made sales delivered by any means to locations within New 'ltlrk State of tangible personal properly
or taxable services having a cumulative value In excess of $300.000 during the'four quarterly periods endIng on the last day of February,
May. AU9!-'sl. and November which Immediately precede Ihe quarterly period In which 1hls certification Is made and for which Information
Is available,
Sworn to this
~~day of /!lard~~(p-
(slgnatuf6)
,2o
t/i
U Jl'rTl..4tC1f'
i) J~. (fED '5 V'S.
(ti/Ie)
/_1 V
{4-t A;J
-,
ST·220 (9/05)
STATE OF
~\f~ }
Individual, Corporation, Partnership, or LLC Acknowledgment
SS.:
COUNTYO~~
On the
Page 3 of 6
day~ of '\'\\IU ak.
in the year
2&1> , before me personally appeared
C.w,tU\
~ dl ,tA ~
known to me to be the person who execu1ed the foregoing Instrument, who, being duly sworn by me did depose and say that
_he resi:~~=
Town of
~
County 0',
State of
=-
-
U
.
'J U.S J!u.A.. '
;and further that:
[Mark an Xln the appropriate box and complete the accompanyIng statement.]
o
(If an IndivIdual): _he executed the foregoing Instrument In his/her name and on hlslher own behalf.
p( (If a corporation): _he is the
c.o.JJ~05
R....,'
of lNJ,·"J'{S t.o~fo
11
, the corporation described In said Instrument; thaI, by authority of tlie 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.
IT] (If a partnership): ~e Is the _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
of
• the partnership described In said Instrument; that, by the terms of said
partnership, _he Is authorized to execute the foregoing InstrUl:nent 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,
o
(If a limIted lIabllity company): _he Is a duly authorIzed member of, _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _~_
LLC, the limited liability company described In said Instrument; that ~e Is authorized to execute the foregoIng Instrument
on behalf of the limited liability company for purposes s~t forth therein; and that, pursuant to that au1hority, _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
/labl/i company.
~.
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PagB 4 of 6 5T·220 {9/0S)
Schedule A - Listing of persons exceeding $300,000 cumulative sales threshold'
Surrt /uz"
/)/fL. A/~f1J~
Column A - Enter C In column A If the contractor; do not completa columns C, D, and E. Enter A If an affiliate of the contractor; S If a
subcontractor, or SA if an afflllate of a subcontractor, and complete columns B through F.
.
Column B - Name· It person Is a corpomtion or limited /lability company, enter the exact legal name as registered with the NY Department of
State. If person Is a partnership or sole proprietor, erner the name of the partnership and each partner's gIven name, or the given
name(s) of the owner(s), as applicable. If person has a different DBA (dOing b\.!Sfness 8S) name, enter that name as well.
Column C - Address· Enter the street address of person's prIncipal place of business. Do not enter a PO box.
Column.D - /0 number· Enter the federal employer Identification number (ErN) assigned to the person or person's business, as applicable. If
the person Is an individual, enter the social security number of that person.
Column E - Sales tax 10 number - Enter only If different from federfll EIN In column D.
Column F - Enter CA If a paper copy of the certificate of authority Is attached; or RClf person Is registered with the Tax Department (olF)
and has confirmed this status with 0lF.
.
PrIvacy notifIcation
The Commissioner d Taxation and Finance may collecl and maintain parsonal Information pursuant to the New York Slate Tax Law. including but not limned to.
sections 5-a, 171, 171-a, 287, 308,429,475.505,697.1096,1142, and 1415 01 that Law: and may require disclosure ofsoclalsecurity numbanlpursuanllo
42 USC 405(c)(2XC){Q.
This Information will be used to determine and admlnisler lax Ifabftrtles and. when authorized by law. lor certain tax offset ana exchange of 1aJ( Information
programs as well as for any other lawful pU!pos&.
information concerning quarterly wages paid to employees Is provided 10 certain state agencies lor purposes of fraud preventiOn. support enlorcement.
evaluation of the effectIvenesS of caltair! employment aIJ:S training programs and other purposes aufflorized by law.
Failure 10 provide Ihe required Information may subject you to elvil or criminal penalties. or bolh. under Ihe Tax Law.
This Informallon Is maintained by the DlreclOl' 01 Records Management ana Data Entry, NYS Tax Department. W A Harriman Campus. Albany NY 12227:
telephone 1 800225-5829. Frorn.areas oulsrd~ the United States and OIJlslde Canada, call (518) 465-6600.
ST·220 (9105) 'Page 5 of
Instructions
General information
Section 5-a of !he Tax Law requires contractors awarded contracts
valued at more than $15,000 by stale agencies, public authorities
or publIc benefit corporations to certify that they, theIr affiliates,
tllelr subcontractors, and the aRmates of their subcontractors
are registered 10 collect New York State and locru sales and
compensating use taxes. Contractors, affiliates, subcontractors
and subcontractor affiliates must be registered if they made
sales delivered by any means to locations within New York
State of tangible personal property or taxable services having a
cumulative value in excess of $300,000 during the four quarterly
periods ending on 1he last day of February, May. August, and
November which Immediately precede the quarlerly period in
which cerlificatlon of registration Is made and for which Information
Is available. Certification of registration must be made before the
contrac1 can be approved by the ORice of the Stale Comptroller;
or other responsible party If OSC Is not requIred to approve !he
contract. In addition, certification of registration must be made at
speci,fied intervals during the contract term.
For more detailed Infotmatlon regarding section 5-a of the Tax Law,
see Publication 222, OuestIons and AnswelS Concerning Tax Law
Section 5-a.
MeanIng of terms used In section 5·a of the Tax law
Contractor means a person awarded a contract.
Person Includes an indiVidual, pannershlp, limited liability company,
society. association, joint-stOCk company, corporation, estate,
receiver, Irustee~ assignee, referee and any other person acting In a
fiduciary or representative capacity, whether appointed by a coon or
otherwise. and any combination of the foregoing.
Contract means an agreement between a contractor and a covered
agency for the sale of commodities or services having a value in
excess of $15,000. ,
Covered agency means New York State, any department, board,
bureau, commission, division, office, council or agency 01 New York
State, and a public authority or public benefit corporation.
of
Sale means any transfer title or possession or both, ,exchange
or barter, rental, Jease or license to use or consume. For computer
software, the term sate alsO Includes the right to reproduce the
software.
Commodities include either commodUies as defined for New York
prOcurement law purposes, or tangible personEli propeny as defined
lor New York State and local sales and compensating use tax law
purposes. Forprocuremenllaw purposes, the term commodities
means (other than with respect to contracts tor State printing)
. material goods, supplies, products,. construction items, or other
standard articles ci commerce other than technology which are
the subject of any purchase: or other exchange. For New York
State and local sales and compensating use tax law purposes,
the tenn tangible personal property means corporeal personal
property of any nature having a material existence and perceptible
to ttie human senses. Tangible personal property Includes without
limitation: 1) raw materil'11s, such as wood, metal, rubber and
minerals; (2~ manufactured items, such as gasoline, oil, diesel
motor fuel and kero-Jet fuel, chemicals, jewelry. furniture, machinery
and eqUipment, parts, tools, supplies, computers, clolhing, motor
vehicles, boats. yachts, appliances, lighting fixtures, building
materials; (3) pre-written, off-tha-shelf software; (4) artistic items,
such sketches, paintings, photographs, movIng picture films. and
(ecordings; (5) animals, trees, shrubs, plants, and seeds; (6) bollied
as
water, soda, beer; (7) candy and confections; (8) Cigarettes and.
tobacco products; (9) cosmetics and toiletrIes; (10) coins aM other
numismatic items, when purchase.d for purposes other than for Use
as a meoium of exchange; (11) postage stamps, when purchased
for purposes other than mailing; and (12) precious metals in the
form of bullion, Ingots, wafers and other forms. Tangible personal
property does not include real property or Intangible personal
property.
Servfces Include either services as defined for NawYork
procumment law purposes; or taxable servIces as defined for
New York State and local sales and compensating use tax law
purposes. For procurement law purposes, the term services
means (other than with respect to contracts for State printing) the
perlormance of a task ortasklii and may Include a material good or
a quantity of ~terlal goods, and Which Is the subject of a purchase
or other exchange. For procurement law purposes, technology
Is a service. The term services for procurement law purposes
does not apply to contracts for arChitectural, engineerIng or
surveying servlces, orto contracts with not-for-profit organizations
approved In accordance with Article 11-8 of the Slate FInance
Law. For New York State and local sales and compensating use
tax law purposes, the term taxable serv/cesincludes; 1) provIding
Information by printed, mimeographed or multlgraphed matter
or by duplicating written or printed matter in any other manner,
Including the services of collecting. compiling, or analyzing
Intormatlon of any kind or nature and furnishing reports theteof
to other persons; 2) processing, assembling. fabricating, printing,
or Imprinting tangible personal property furnished by a customer
who did not purchase the tangible personal property for resale; 3)
installing tangible personal property, or maIntaining. servicing, or
repairing tangible personal property Ihat Is not held for sale by ,the
purchaser of the service; 4) storing tangible personal property thaI
is not being held tor sale, and the rental of safe deposit boxes or
, sImilar space; 5) maintainIng. serviCing or repairing real property,
whether Inside or outside buHdlngs; 6) providing parking, garaging
or storing for motor vehicles; 7) Interior decorating and designing
services; 8) protective and detective services; and 9) furnishing
entertainment or Informatlon'servlces by means of telephony or
telegraphy.
Affiliate means a person which, through stock ownership or any
other means, directly. Indirectly or constructlvaly controls another
pelllon, is controlled by another person, or Is. along with another
person, under the control of a common parent,
Subcontractor means a person providing commodities or
perlormfng servlcas for a contractor or another subcontractor in
fulfillment of a contract
Emergency means an urgent and unexpected requirement wllere
health and public safety or the conservation of pubUc resources is
at risk.
Completing Form ST-220
Identification Information
Contractor nama: Enter the exact lega/ name of ti'le person who Is
contracting to provide commodities or s,ervlces to a covered agency.
Conlractor's prIncipal place of business: Enter a street address,
not a PO box number.
Mailing address: Enter the address where the contractor receives
mall, If dltferent than the prinCipal place of business.
Covered agency: Enter the name of the covered agency awarding
the contract
;
a
Page ii of 6· S1-220 (9105)
Covered agency. use only
Contract number or description: If the contract has been
assigned a number by 'the covered agency, enler that number, If a
number has not been assigned, provi~e a brief deSCription of the
nature of the contract
estimated contract value: Enter the estimated contract value for
the fuU lerm of Ihe contract, but excluding any renewal terms.
Certification statement
If the contractor Is a corporation, the certification must be
completed by the president. vice president, lraasl,lrer, assistant
.treasurer, chief accounting officer, or other officer authorized by the
corporation. If the contractor Is a partnership, the statement must
be comp/eted by II partner or person authorIzed.by the partnership.
If the contraclor Is a limited liability company, the statement must be
completed by a member of the LLC and be authorized by the LLC.
The person sIgning this certification must also complete the
fndMduaJ, Corporation, Partnership, or LLC Acknowledgement (see
page 3) and have It notarized.
Part 1- Contract not covered by sectIon 5-a of the Tax
Law
If the contractls not covered by section 5-a of the Tax Law, mark
an X in the box and aUach a separate explanation as to why
the contract Is not covered. You do not have to complete Parts II
through V. You must sign and have. the certification acknowledged.
A contract would not be covered by section 5-a of the Tax Law if;
1) the covered agency began the procurement before January· 1.
2005; 2) the procuring entity Is not a covered agency wi1hln the
meaning of section 5-a; 3) l!:Ie contract does not have a value
In excess of $15.000; 4) the contract is not for commodities or
services as such terms are defined for purposes of section 5-a;
or 5) the contract Is sole source, and Is necessary to address an
emergenc~ ensure the provIsion of essential services, or ersure
the public health, safety and welfare.
Parts n through V
If the contract is covered under section 5-a of the Tax Law. you must
mark an Xin one box in Part n through Part IV and. If applicable,
Part V. You must also sign and have the certification acknowledged.
and complete Schedule A, If required.
For purposes of calculating if the contractor, contractor affiliate,
subcontractor or subcontractor affiliate must be reported, the
$300,000 cumulative sales threshold inclUdes all sales made by the
entity to tax-exempt purchasers.
Schedule A
List the contractor, or an affilfale, subcontractor or subcontractor
affiliate in Schedule A only if such person exceeded the more than
$300,000 cumuiative sales threshold during the specified periods.
In addition, for each person listed In the Schedule A, proof of
registration with the Tax Department for New York State and local
sales and compensating use tal( purposes Is required. Proof of
registration may be provided by furnishing a copy of lhe person's
Cribte 01 Authority (a document Issued by the 1axOepartment
authorlzlng a person to collect and pay over New York State and
local sales and compensating use taxes), or. if the Certificate of
Authority Is not available, registration may be verified by caKing the
Tax Department's Business Tax Information Center at 1 800 972
1233•.
Column A - Relationship to the contracfor
The contractor should enter a C In column A 'II is nol necessary
for the contractor to complete columns B through E since this
information has been provided on page 1.
If the person listed hcolumn B is an affiliate of the contractor, enter
an A; if a subcontractor, entsr an S; if an affllrate of a subcontractor.
enter SA.
Column B - Name
Enter the exact legal name as regIstered with the New York
Department of State of each corporation or limited liability company.
If the person Is a partnership or sole proprietor, enter each partner's
or the owner's given name. If the person uses a different name or
DBA (doing business as). enter that name as wel/.
Column C - Address
Enter the street address of the person's princIpal place of business.
Do not enler a PO box.
Column 0 - JD number
If the person listed In column B Is an Individual, enter the social
security number of that person. Otherwise enter the employer
Identification number (EIN) assigned to the person. .
ColumnE - Sales tax 10 number
Enter the sales tax identification number, If different from tht federal
employer Identification number.
Column F - Proof of registration
Enter CA and attach a copy of the Certificate ofAuthority for the
person.
If the Certificate ofAuthority Is not available and If the person /s
regIstered with the Department of Taxation and Finance and has
verified this status with the DTF. enter RC.
Return a signed and acknowledged orlglnaJ Form S1-220, and a
copy, to the procurIng covered agency.
'l"'
,
.
"
4
New)bell SillIe Department of Taxation and Flllance
Contractor Certification to Covered Agency ST-220-CA
(6106)
(Pursuant to Section 5-a of the Tax Law, as amended, effective April 26. 2006)
For Information, consult Publication 22~. Questions and Answers Concemlng Tsx Law Section 5-11 (see Need Help? on back).
C( B·
I,
.so LI e A It( Ke
(name)
,hereby affirm, under penalty
of perjury. that I am ( ()
AJTf?M!S 01 R"
(title)
f::eO
51/5, J {It.
of the above-named contractor, that I am authorized to make this certification on behalf of such contractor, and I further certify
that:
.
(Mark an X In only one box)
.
X
The contractor has filed Form ST·22(l..TO with the Department of Tcuatlon and Finance In connection with this contract and, to ,the best of
contractor's knowledge, the Information provided on the Form ST-220·TO, Is correct an..;! complete.
o The contractor has previously fHed Form ST-220-TD with the Tax Department In connection with _..,--_ _ _ _ _ _ _ _ _ __
.
(inSIiH1 contract number ordescription) . •
.
and, to the best of the contractor's knowledge, the Information provlcled on that previously filed Form ST·221}.TO, Is correct and complete
as of the current date, and thus the contract~r Is not requIred to file a new Form ST·220·TO at thls time.
Sworn to this2t/ day of
idtJrl2.c 1:/
,20 f2!L
l-tll:/t. e.-
C/J ).}Ii2.A
(sign b81o~ a nofllry public)
err
D I ,e '.
F£v
~tJtf9)
':jy 5". c:. I VI t-11'l".J
Instructions
General information
Tax LaW section 5-a was amended, effective April 26.2006. On or
after that date, In all Cases where a contract Is subject to Tax Law
section H. a contractor must fUe (1) Form ST-220-CA. Contractor
Certification ta CoveredAgency, with a covered agency, and
(2) Form ST-22(l..TO with the Tax Department before a contract
may lake effect. The circumstances when a conlraclls subject to
sect/on 5·8 are listed In Publication 223, Q&A 3. This publlcaUon Is
available on our Web site, by fax, or by mall. (See Need help? for
more information on how to obtain thIs PUblication.) In addition, a
comractor must file a new Form ST-220·CA with a covered agency
before an existing contract with such agency may be rene-wed.
If you have questions, please caY our Informallon cenler at
1 800 698-2931.
RECElVED
MlSUNlT
MAR 31 2008
N'fS DEPT. OF
CORRECTIONAL SERViceS
Note: Form ST-22()'CA must be signed by a person authorized 10 make
the certilication on behalf of the contractor, and the acknowledgement
on page 2 of this form must be completed before a notary public.
When to complete this form
As set forth in PUblication 223, a ~lract Is subject to section 6-a, and
you mus! make !he required cerliflcatlon(s), H:
I. The procuring entity Is a coversd agency within the meaning 01 the
statute (see Publication 223, alA 5);
II. The contractor Is e contractar within the meanlng of the statute (see
. publication 223, Q&A 6); and
Iii. The contract Is e contmctwlthln the meaning of the statute. this Is ..
the case when " (8) has a value In excess of $100,000 and (b) Is a
contract for commodities or services, as such lenns are defined for
purposes of the statute (see Publicallon 223, QaA Band 9).
Furthermore, the procuring enlily must have begun the SOlicItation to
purchase on or after January 1, 2005, and the resulting contract must
have been awarded, amended. ex1ended, renewed, or assigned on or
after AprIl2(J, 2006 (the effective date of the section 5-s amendments).
.~
.
,'
Page 2 of 2 ST-220.cA (6/06)
\l '
Individual, Corporation, Partnership, or LLC Acknowledgment
~TATE OF\JU.j:~
}
SS.:
COUNTYOF~
On tha:21 day ot
\'\fi (4eb-
In the year
2J2~, before me personally appeared ~ ,1
&1tktL.
y
,
known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that
reslde~.
_he
TOYIn of
County of
State of
~
V,\",lN1\. \
and further that:
[Mark an X In the appropriate box and complete the accompanying statement.)
o (It an Individual): ....:he executed the foregoing instrument in hls1her na~e and on hlslher own behalf.
Pi( (Ita corporation):_he is the CDJJI('tjI..C..TS' AAJJb~E:&.
'
e.-e
ot {,tv! s'" .s
R. PDP-k"'t1 J,,J , the corpo ration described in said instrument; that. by authoritY of the Board
·of Directors of said corporation, _he Is authorized to execute the tOl'egolng Instrument on behalf of the corporation tor
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.
o
(If a partnership): _he Is a _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
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.
o (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
10. v«A 9
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olary Public
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ThIs information will be used 10 determine and administer laX lI.bUllles 'al'ld, when
autllorked by law, for ctrlaln lu offlet and IIlCchange 01 laX inlolmation prograrms as
well M for an:y other lawful purPIlSB.
lnlormalJon concerning querteriy wages peld 10 emplCl)'llOS Is provided 10 cerlaln
stete ag.ncles for purposes 01 fraud pl'lMlnUon, support enforcement. eYaluaUon 01
lhe aIIacdVBII8S$ 01 certeln employment and lralnlng proglillll5 and o!her purposes
authorized by law.
Fallul'llio prnllide Ihu required Inform~«on may subjeat)'Olllo aMI or criminal penalties.
or bolli, Wldvr the Tax Law.
'
This information 15 malnlaill8d' by I/Ie DffecIDr 01 Records Management end Oala
Entry. NVS Tax Departmen" W Po Harriman Cempu!. Albany NY 12227; lelll'l'honiI
1 800225·5829, From areas outside the United Siaies end outside Canada, call
(518) 485-6800.'
.
: .')...,.,.......
," I
• , •
The Com/lll5sloner of TlIlClUon .1Id F\J1I111CI may conee:! III1d maintain pef50nal
Inlormallon PUI'$UIIIltto!he NewVgrk Slate 1U Law.lI1cludfng ilIA no! Hmlled 10,
sections H. 171; 171-a, 287. 308. 429, 475. 50S. 697, 109a, 1142, and 1415
of thaI Lew; and may fDqwe dJscIosure of social 88CUIIIy numbelS pUI5uanllo
, 42 USC 4D5(cl(2}(C)[I),
.~),.
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Need help?
InterneI8cce&8:
Privacy notification
2: co".
~.;.~.t, .. Cl ""
www.nystax,gov
~',
,,""-.rl-
•
.,~.~
•
!:,,~.;"-~:if'.l;.(i~~.,'"(i"\'
(for information. forma, and publications)
~ Fax-on-demand forma:
1 800748-3576
. . . Telephone asslllanca Is available from
8:00 A.M. to 5:00 P.M. ,(eastem time),
Monday through FrIday.
To order lonns and publlcaUons:
From areas oul$fde the U.S. and outsIde Canada:
HearIng and speech
1 800 698-2931
1 BOO 462·8100
(5t8) 465-6800
Impaired (telecommunlcaUons
device for the deaf (TOO) callers only):
1 800 634-2110
Persons with disabilities: In compliance with the
I'~ Americans with Disabilities Act, we will ensure that our robbles,
\"J offices, meeting rooms, and other facilities are accesslb/e to
. persons with dlsabllk. If you have questlOl1$ about special .
accorrmodalions for pe¥1IOIlS with d'1Ab/lilles, please call 1 BOO!f/2- ~ 233.
•
11720 Plull America Driv~
Tower III
R~ston.
VA 20100
•
UNISYS
febluary 28, 2M8
Ms- Sally Sherman, lIS Coordinatol
Department of Com:ctional SCI vices
Management Information Services
1220 Washington Avenue Building #2
Albany, NY 12226
.
Subject: New YOlk Slate DcpaJtment ofCol1~tions. RfP Tnmate Telephune SClvice
Dear Ms. Sherman:
In response to your recent questions, pr~vided below, Unitys offers tho following information.
Should you have any additional questions, we would be pleased to meet and discuss these and
any otner topics at your convenience.
Question 1: Please lu'ovide additional detail and resolution Oil all ~omplallltJ.
investigations. or pUDUin adious take.n by Federal. state, 0" local goverllDlcntaJ entities
within the last 5 yean. (FCC, SEC, DOL. DOD, BOP, OSHA. Justice, State 01' Federal
OAG, etc.)
Answe.' 1: As previously noted, tlUs infOlmation is nol compiled not. tracked at any cent.taJ
pOinlwithin theCOJpOflltioll Any such incidents arc dealt with on a case b)' case basis by the
respeCtive business segment.
Please note, since ow' otiginal proposal submission, we've conducted anothcr internal review
and a broad internet sowch ofthe available Bette! Business Bureau sites in order to be
responsive regaJdiog state and 10081 govemmentol entities. No material complaints were
found. FUlthelmore, witb regard to the Federal business segment,we can assuredly state that
00 such action cUlTentl)' exists, nOI has previously existed, that precludes our ability to satisfy
tho pe1forrnance requirements as set fOlth in OUI response to the NYS RFP MIS IT S 07"()O].
Inmate I elephone System
Question 2: Specifically, please address FBI aud uther fedcr'al agencies investigations,
relariag to tbe Data B''eac:h In 2007 dealiugwlth Homeland Security Data. Wbat steps
havebeeD taken to prevent ('eoccurrence? What aetioDs bas the company fakeD In the'
long term to increase sccurity on data sauren of the type in wbicb our data might
reside?
11720 PiaU! A.merlca Drive
Towel'm
Reston, VA 20190
ADSWeJ'l: Rep. Bennie Ihompson (D-Miu.). chaiJman ofthe u.,S. House of
Representatives Committee on Homeland Security, lind Rep, 1ames Langevin (D-R.l ).
chaIrman of the Subcommittee on Emelgina: Ihleats, Cyberseculity. Science Wld
Technology, sent a letter Sept, 21 to the rnspectoJ' Gellelal ofthe DepaJtmcot of Homeland
Security requesting an investigation into celiain DHS security incidents,
Specifically. those incidents included the alleged hacking and ex.fiIbation ofiofolmation fr~m
deplUtment computers to a Web hosting service connected to a fOl'eign govemment The
letter also questioned the pel formance ofthe DRS conti actor pl'Oviding security monitoJing
selvices Both the Wa5hinglon Post and the Wall Streel JOIII nai used the lettCJ in 8Iticles
appearing,Sept 24 and Sept 25, lespeclively Unisys undelstands that DHS's inspector
generalis conducting a review ofthe mattel. To date Unlsys has not been contacted by any
investigative agen,,), in regard to itli conllact pelfo/mance. Unisys has assured ili.e depattment
thal it will fully support any review or investigation rn response to the Sept. 24 WI1!hington
Prul article, Unisys issued a response stating that is disputes allegations made in tho
Washington Post article Unisys (:()ntinue~ to provide securily monitoring services to DHS,
as well8~ timely response and mitigation support.
Additionally, as pad of ow proposal to NYS DOCS, Unisys submitted a NYS DOCS ITS
System Sec", it)' Plan (SSP) that descdbcs the secutity steps, including specific processes and
pl'Oi:edures that the Unfsys learn will take 10 ensure chat Unis}'3 staff' and subcontractors
assigned to this project wi!! maintain theconfidentiaIity of all information and data. The SSP
described the lIS system SecUI ity fOI all data stored focally or in a central database, The SSP
includes detailed information about how access to such sensitive information shall btl
governed by management, operational and technical seculity coollOls. We are conlident that
the SSP meets aU NYS DOCS seewlty policies, procedules, and requirements as well as NYS
seeulity policies including but not limited to the NYS Office oj Cyhel SecII,try and Critical
InfiaslrtJclll1'e Coordfnalion (<;:SC1C) lnfotmatifm Securiry Policy.
Question 3: Please pr'O"ide tbe same infolmation for all subcontractor! Or' Ilstell
partkipaot! iD our proposal.
Aaswer3: Unisys undClstands iliat this request is applicable to the filst qucstion presented
above. Othel than what was previously disclosed in Section 12 43 of OUt proposal. OU!
subcontractors Valuo Added Communications, Inc lind Shllwn Tceb Comrnuniclltions, Inc
have not had Ilny complaints from the listed agencie.~ or inquilies "'Om any federal, state, or
local investigative agency within the past five yean,
i
Tbank you in advance fOJ yom considelation of OUI reply, We look fOlWard to woddng with you
and your team in lupport ofthe NY S DOC's rnmate Telephone System
therine A. Solibakke
ContractS Director, Federal Systems, Civilian
STATE OF
NEWVORK
,
AQ4CC
CONTRACT ENCUMBRANCE REQUEST
Origill9ijng Aien~y Code
J\mendrNlnll
S~pp!emenl1I1
L!J
NelMlounl
JD/loP D
-t7
OrlQitI~ Ag&n¢y
.
DEPT OF CORRECTIONAL SERVICES
1"';;81.0. .
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loiso
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I
iAl:llon Code
C1609Sa'
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C<>C'lWCI No,
Mmi!1lsterlngAQ4II'IeY
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UNISYS CORP,ORATION
Payee IIddren (Umillo 31) 'PllCOs}
Payee Adelre" (UmW 10 30 .pacea)
11720 PLZ AMERICA DR
City (LImi\ 10 20 sp.CtIS)
IRESTON
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IlIleral Eliotiblt (YiN)
.~. ~
su,L Type
IRS Code
(l,lmil10 2Ipac••)
Slale VA
\Zip Codo
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(MIA)
(00)
('fY)
(MMI
{DO}
(W)
(NUl
(00)
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12
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01
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1.1
,INMATE XljONE HO~E P..B..Q9RAM .._ _._ _·____._.___
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CHANGE REASON:
AMEND EFFECTIVE OATES
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OSC COpy
AC 122{P.o. 4103)·',
APPROVED DOCUMENTTRANSMllTAL
Date:_ _ _ _--c--_ __
STATE OF NEW YORK
OFFICE OF THE STATE COMPTROLLER
Bureau of Contracts, Floor 11·1
11 0 Stale Street
Albany, New York 12236
Agency Code
I () lbo,
ContractNo.:
efta 9'(2
PurchaseOrder_ _ _ _ _ _ __
TO:
D
Enclosed is an approved contract. Refer to this contracl number and agency code In aI/ correspondence.
o Enclosed is an approved Amendment No.lChange Order No.
in the amount of
$,----
D
Extension is approved to
D
Enclosed. is an approved purchase order. Refer to this purchase order number and agency code in all corresPondence.
Amount if applicable $,_ _ _ _ _ _ _ _ _.
(b Enclosed is an approved purchase. order change notice in the amount of $
'J:z--.!J.o;:i1.I§:75.J.?
COr:"fR..1Jc:::1: ~fE%n
STATE OF
NEW YORK ,
AC::loIO
CONTRACT ENCUMBRANCE REQUEST
()rillinatlng Agency Cadit
Balch Number
1·0
/&41
It,; \ to
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Nu~ofDocumeMs
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AlMndmenli
Supplemental
NelAmount
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Con~~~0988
Originating Agency
IDEPT OF CORRECTIONAL SERVICES
10160
IZiP Code
ConInKlor Type
''oj
-jAclioncode
A
AgencV
20190
X
Payee Name (Umillo 30 spacel)
Payee Address (Umillo 30 spaces)
Pavett Address (Limit 1030 spaces)
11720 PLZ AMERICA DR'
r
City (Limit to 20 spaces)
(Linit to 2 spaces)
1
iRESTON
IRS Code
Interest Eligible (YIN)
SiaL Type
jlndicalOr -Sialewldo
IContracl
[Bid Dale
(MU)
(CO)
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20190
(DO)
(YY)
(MU)
(00)
(YY)
04
01
OS
03
31
11
(~O)
RenewaVAmer.dment B4!'IJlnning Date'(MU)
Oncription{Limit \0 50 spaces)
INMATE PHONE HOME
---~~
(VY)
I
I
•.
OescMpIlon (Umit 10 eo spaces)
INO
rilP Code
(MM)
Period
00
stale
Indicator - Department
y
Contract Amount
I VA
VALUE
Provision;(lliilto 63 ,pace,)
~Signllure
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rep'tllis-pt;On;-No,
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A+YJ~a~·IS~tur. ~
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rAUdit Status
')C'JICI9QIY iitethod of Award.
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REOUEST
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C160988
518-457-2127
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INITIALED BY
,AGENCY USE
OSCCOpy
CONTRACT AMENDMENT AGREEMENT
Cl60988'
NYS DEPARTMENT OF C0RllEC110NAL SERVICES
AND
UNlSYS CORPORATION
The DepartmcDt of Corredionlll.Se:rvlces Is .eekll\g 10 amend !be In~ Phooe Home Program Collll'acl, Cl6091!8.
• At th/; request of UnitY' CorporaUon. the Depmunent 01 Correcllonal SeMces (DOCS) agrees U) cll8llge the COIIU"lCt period
From:
April 1, 2008- Mardi 3]. lOll
Aprll1. 2.011- Mardi 31, :1Al12
Aprill. 2.01~ - MIrth 31. lOO
BlISeYf:8r:
OptiOll Year]:
Optloa Y..r 2:
To:
BIIS~ Year:
Jllllllllry 12, 2.016 - Ja.nuary 11. lO13
Janary 12, lO13-January 11, lOl4
January 1:!., lO14 - January 11, lOIS
,Option Y..r 1:
Optloa Year 2:
• All other IUlm aod conditions of !he arigioal ~t remllln the same.
IN Wl1Nl3SS THEROOf. the panl~ hW!;\I) bave eJteCU1ed or approved this AGREEMENT on th~ date> below !heir signatu.rel.
CONTRACTOR
STATE AGENCY
tiUI ~
€Q(tpa'QArIIN
OepattmQm of Corrt0Uon.' SaMCU
~('~
~
BlUCt A.
,;j C· L«:tCE..
Trtle:
Johnson
CIlIgl Flseal O"ICer
P_Nomo
Tille'
5E<N,;fL
011\8:
())"'7~"C't5 ~A(,.6it-,·
0&1.:_:..-_ _ _ _ _ _ _ _ __
3/.)/..••(..." WI (J
Conll'llc!or Certl!!ca!lon'
Stll' AsuQ;)' Oirtjfipllioo;
"In ItIdIIIon 10IhII aoceptance 01 thII ccnl(ast, I
olso cel'lily that ortglnal oopIea oIlhis slgnalure
pag. win be attachtod \0 all other _
copIn of
"In adCIftion 10 tho accep!ar1:a of this contracl
amondment. I also eel1lly thai aJllnformotlOn
provld.~ \0 \tie Slalo 80"!1Cf "'"" respect 10
ExoeLrti»e Order '\27 1$ compIelo, IruIt and
ace....t...
and that \III conInIcIor i. delermlMd 10 be
Rtsponelt>le . . that tam) Is UIiliIillCl in Execu1lve
0rdIIr No. 127, and as defined and ....Uz~ In
rna Sta,la Flnance lAw i183(3)(al(l~. (4)(d) and
(91(t),"
.
CORPORATI! ACKNOWI.EOGMENT
STATE 01' NEW YORK
OOUNTYOF
lSI.:
J
On ltl."]"'6ay of ~ 2010, belore mlJ p&I6OfIIIHy ilPP/illf9d, ~'J"?t-M INCA:,g;,r«. 10 me known, \<flO beInv by me duly SWQm, did
M4:tatzt.)" ClWUt't t VA- , !hat "alshols lho ?1~"6Q. l.df,/'jIt<+<lS AtrHI1IH4t of Ina
dopa" and say !hat ha/_ mld....t
i!IJMent and cel1WiCalion; and that lIa/she signed hilllhar _
(NoIalYl
;.'hY¥'rY" n'ft;:: I y V"
"
AlTOFlNEY GENERAL
Tnle: _ _ _ _ _ __
~~---------------
STATE COMPTROLlER
, -'"I ....... ~~ ....
n~
______________
~:---------------
Iherol<> by older 01 the
......
Unisys Corporation
Tower III
11720 Plaza America Dr
Reston VA 20190
7034395000
•
UNISYS
May 28,2010
Mr. ThomasJ. Herzog
Assistant Commissioner
Management Information Services Unit
State of New York
Department of Correctional Services
1220 Washington Avenue, Building 2
State Office Building Campus
Albany, NY 12226-2050
Dear Mr. Herzog:
I am writing to request a modification to the NYS DOC$ Inmate Telephone System (ITS) Contract with
Unisys Corporation. As you know, the extensive and continual protest of the award by Global Tel link
resulted In the delay of the deployment of our system from April 2008 to January 2010. Accordingly,
Unisys is requesting that the period of performance for the contract be amended to the following:
•
Base contact: January 12, ~010-January 11, 2013
• Option Year 1: January 12, 2013 - January 11, 2014
• Option Yea r 2: January 12, 2014 - Ja nuary 11, 2015
The start date ofthe proposed base contract re'fleets the first installation ,of the Unisys ITS at the Hudson
correctional faCility. In advance, thanks you very much for your consideration of this issue: Please let
me know if you have any questions. I can be reached at Benlamin.Locke@Unisys.com or at (703) 439
5270.
Sincerely yours,
~,c~
Benja'min C. Locke
Senior Contracts Manager
cc: Paul Nicandri
CONTRACI' AMENDMENT AGREEMENT
Cl60988
NYS DEPARTMENT OF CORRECI'lONAL SERVICES
AND
UNISYS CORPORATION
The Departmenl of Correctiooal. Services is seeking to 'amend the lIlmatl( Phone Home Progr.un Contract. Cl60983.
• AI the ~quest of Unl~ C<n:pooItion. the Departmenl of CoaectiolllLl Services (DOCS) agrees 10 c:han8e the contract period
From:
BaseYev:
April 1, 2llO3 - M..-dl 31,2011
April 1,'2011- Marclt 31, 2012
April 1. 2012 - Man:h 31, 2013
Optioll Year 1:
Option Year 2:
To:
Base YeaJ::
Option Year 1:
Option' Year 2:
Juuary 11, 2010 - January 11,2013
January 12, 2013 - January 11,2014
January 12, 2014 ..; January 11.2015
• All otbec tel:mS and conditions of the originalag;rumcnt remain the same.
IN WITNESS 1HBREOF. the patties hereto have CAeCufed or approved this AGREEMENT on Che dal.t$ below their signall.lreS.
CONTRACTOR
U
.Me so..( S
STATE AGENCY
Q)a.p()~
Dooa~
BY~C~
p-
~ruce A: ./Qhn$On
D~WC.~
Tile:
CIlia' Fi
TitI8S~ CoIt.I~5 ~
Oate:
?/f,fi.
icer
'
~--------~-------------Contractor CIlltlfIClIjOO'
Slate Aaeocv Ceni!'ica!ion:
-In addition 10 the acceplIIt'iQe 01 thill COIlIrIi¥:I. I
also car«y IhIII original copies 01 INs slgnllUl'e
page will be attacI1ed to au 011>81 exact cnpIe$ of
and IhIIIthe con\lllClOr i$ determined to be
R...ponslble as thai. t.rm Is uIlPzad In execUIMl
Order No;l27. and as dGfined and utiliZlud In
r1>8 Stale Finane. Law § 183(3)(a)(u,).(4)(d) and
(9)(1).·
'
·'n addi1lon to the acceptance or thiII: COIllf1ltCl
amendment, I 8.1so cerIIfy IhIII all In/oonation
prOVided 10 the Stale agency willi respect to
Execulive ORler 127 is complete. lIUe and
&CCU1III.."
CORPORATE ACKNOWU!OGMENT
STATEOf' NEW YORK
) SII.:
COUNTY OF
1
01) IheL~Y 01 ~ 2.010. before me ptIROC1i1l1iyapptllAKI,
d8pOH and say that heIshe. reside$
at
~ 1041 C.~
.fttrt!{!!1: CgrItf!'I J Y*
to me mown. who being by me duly SWO!'Il. did
. tIiIJ! hel$he is the ~ c./)fI1Itl!45 ~ of tile
corporation d~ herein wt"ich executed tl!e,,~ent and ellllilicallon; and 1hal. heIsIIe lligned hIl!Iher naIIlll 1hereto by ooler of tile
~,+,,*'t~~~
(Nolaryl
~
~
H ~·"I\V 1>i-:· ... ,
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12411522 ! !
" Q ~ COMMISSION ! ,.. f
l~\ .!!'::P.~$ !J$Ji
-
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVlCJj:S
THE HARRIMAN STATE CAMPUS - BUnDING 2
1220 WASHlNGroN AVENUE
AlBANY, N.Y. t2226-2050
BRIAN FISCHER
RICHARD D. ROY
COMMISSIONER
DEPUTY COMMISSIONER
June 30, 2010
Benjamin C. Locke
Senior Contracts Manager
Unisys Corporation
Tower 11]
.11720 Plaza America Drive
Reston, Virginia 20190 .
RE: Contract #C160988
Inmate Phone Home Program
Contract Period: 411108-3f31111
Dear Mr. Locke:"
Referencing your letter of May 28, 2010, attached for processing is a Contract Amendment
changing the tenns of the contract period by and between The New York State Department of
Correctional Services and Unisys Corporation for the; above noted Contract. The'justification to
amend the contract period, as statoo in your May 28, 2010, letter, will be attached and become part
.
ofthe required documentation submitted to the appropriate oversight agencies.
All other terms and conditions of the Original agreement remain in force, including Appendix A,
Standard Clauses for New York State Contracts.
If the tenns 'of this contr'act extension are acceptable to Unisys Corporation, indicate agreement by
an original notarized signature in the space provided on the corporate acknowledgement document
attached to this letter. Please return this signed letter and four (4) original Signed and notarized
corporate acknowledgement documents soon as possible.
.
Questions regarding the contract amendment should be directed to me at (518) 457-2540.
Sincerely,
~~
..
Thomas J. Herzog
Assistant Cbnunissioner
,Management Information Services
Attachments
TJH:MLK:db
cc: Bruce Johnson. Chief Fiscal Officer
