STATE OF NEW YORK

OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE

REQUEST FOR PROPOSALS

Common Benefit Identification Card

ISSUED: March 28, 2018

PROPOSALS DUE: June 21, 2018

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Contents

GLOSSARY / ACRONYMS ............................................................................................................................... 4 1.0 CALENDAR OF EVENTS ................................................................................................................ 10 2.0 EXECUTIVE OVERVIEW ................................................................................................................ 10

2.1 OVERVIEW ................................................................................................................................... 10 2.2 IMPORTANT INFORMATION ....................................................................................................... 12 2.3 TERM OF THE AGREEMENT ......................................................................................................... 13

3.0 STATEMENT OF WORK ................................................................................................................ 13 4.0 MANDATORY REQUIREMENTS ................................................................................................... 14 5.0 ADMINISTRATIVE INFORMATION ............................................................................................... 16

5.1 OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE PRIMARY POINT OF CONTACT: ............. 16 5.2 OFFEROR’S CONFERENCE ............................................................................................................ 18 5.3 QUESTIONS ................................................................................................................................. 18 5.4 SUBCONTRACTING ...................................................................................................................... 19 5.5 RIGHT TO MODIFY ....................................................................................................................... 20 5.6 MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISE (M/WBE) AND ................................. 20 5.7 SERVICE DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (SDVOB) IN STATE

CONTRACTING: ........................................................................................................................... 24 5.8 DIVERSITY PRACTICES.................................................................................................................. 24 5.9 VENDOR RESPONSIBILITY ............................................................................................................ 25 5.10 SALES AND COMPENSATING USE TAX CERTIFICATION (TAX LAW, §5-A) ................................... 26 5.11 INSURANCE REQUIREMENTS ...................................................................................................... 27 5.12 OTDA’S RIGHTS TO ALL PROPOSALS ........................................................................................... 27 5.13 FREEDOM OF INFORMATION LAW ............................................................................................. 29 5.14 PUBLIC OFFICER’S LAW ............................................................................................................... 30 5.15 STATE ETHICS LAW PROVISION ................................................................................................... 30 5.16 ANTI-KICKBACK ACT .................................................................................................................... 32 5.17 DRUG-FREE WORKPLACE .............................................................................................................. 33 5.18 STATE FINANCE LAW CONSULTING DISCLOSURE PROVISIONS .................................................. 33 5.19 DEBRIEFING ................................................................................................................................. 33 5.20 PROTESTS .................................................................................................................................... 34 5.21 BACKGROUND INVESTIGATIONS ................................................................................................. 36

6.0 PROPOSAL CONTENT .................................................................................................................. 37 6.1 ADMINISTRATIVE PROPOSAL ...................................................................................................... 38 6.2 TECHNICAL PROPOSAL ................................................................................................................ 41 6.3 COST PROPOSAL .......................................................................................................................... 49

7.0 PROPOSAL SUBMISSION ............................................................................................................. 49 SUBMISSION OF ADMINISTRATIVE, TECHNICAL, AND COST PROPOSALS .............................................. 50

8.0 EVALUATION CRITERIA ............................................................................................................... 51 8.1 GENERAL INFORMATION ............................................................................................................ 51 8.2 ORAL PRESENTATIONS ................................................................................................................ 51

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8.3 BENCHMARKS ............................................................................................................................. 52 8.4 SUBMISSION REVIEW .................................................................................................................. 52 8.5 TECHNICAL EVALUATION ............................................................................................................ 52 8.6 COST EVALUATION ...................................................................................................................... 55 8.7 PRELIMINARY COMPOSITE SCORE .............................................................................................. 55 8.8 REFERENCE CHECKS .................................................................................................................. 566 8.9 FINAL COMPOSITE SCORE ........................................................................................................... 56

9.0 AWARD RECOMMENDATION ..................................................................................................... 56 10.0 CONTRACT TERMS AND CONDITIONS ........................................................................................ 56 APPENDICES APPENDIX A STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS APPENDIX C OFFEROR’S CERTIFIED STATEMENTS APPENDIX D DIVERSITY PRACTICES QUESTIONNAIRE AND SCORING APPENDIX E REQUIRED FORMS APPENDIX F VAULT CARD HISTORIC QUANTITIES APPENDIX G DELIVERABLES APPENDIX I INSURANCE REQUIREMENTS APPENDIX J KEY PERSONNEL EXPERIENCE AND REFERENCE INFORMATION APPENDIX K LETTER OF INTENT TO ACCEPT EMPLOYMENT APPENDIX L PROJECT TEAM RESOURCE CHART APPENDIX N WINNING BIDDER REQUIRED FORMS APPENDIX P PRICING SCHEDULE APPENDIX R REFERENCES APPENDIX T DRAFT CONTRACT TERMS APPENDIX W SCOPE OF WORK APPENDIX Y SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (SDVOB) REQUIREMENTS APPENDIX Z MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISE (MWBE) EQUAL OPPORTUNITY

(EEO) PARTICIPATION AND WORKFORCE UTILIZATION REQUIREMENTS

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GLOSSARY / ACRONYMS ADA Americans With

Disabilities Act Prohibits discrimination against people with disabilities in employment, transportation, public accommodation, communication, and governmental activities.

AES Advanced Encryption Standard

A specification for the encryption of electronic data.

AFIS Automated Finger Imaging System

A system for capturing recipient finger images along with photographs and signature images at district offices in New York State.

AppReg Numbers

Application Registration Numbers

The identifier used by Upstate districts to register a client’s application (in WMS) for benefits.

ANSI American National Standards Institute

The administrator and coordinator of the United States private sector voluntary standardization system.

ATM Automated Teller Machine

A card driven device for dispensing cash. Used in the EBT

BGP Border Gateway Protocol

A standardized exterior gateway protocol that allows the exchange of routing and reachability information among Autonomous Systems (AS) on the Internet

BIN Bank Identification Number

The number assigned by ANSI used to identify the owning organization of Debit and Credit cards. The number is the first six digits of the PAN.

CAV Card Authentication Value

A 3 character, numeric, AES encrypted field on track 2 of CBICs.

CBIC Common Benefit Identification Card

The card used in the delivery of SNAP, TANF and MA/HBE benefits to the households of New York State.

CBIC System Common Benefit Identification Card System

The State system that generates card numbers and transmits pertinent card data to external sources, such as the card Contractor, EBT contractor and Medicaid. This system also maintains a history of card production.

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CIN Client Identification

Number An 8-character alphanumeric value assigned as a unique identifier to recipients of SNAP, TANF, and MA benefits in New York State.

DIN DOCCS

Department Identification Number

Incarcerated Individuals are issued a “DIN” that identifies them throughout the Department of Corrections facilities and system.

DOH Department of Health The New York State Department responsible for overseeing the MA program and its electronic systems.

EBT Electronic Benefits Transfer

The system and process for delivering SNAP and TANF benefits for those found eligible by the districts of New York State.

EEOC Equal Employment Opportunity Commission

Federal enforcement agency enacted to ensure that employers follow and abide by the rules set forth in the Civil Rights Act of 1964.

eMedNY Electronic Medicaid, New York

The Electronic Medicaid System used to verify recipient eligibility and make payments to medical providers in New York State.

HBE Health Benefit Exchange

The New York State designed and implemented system to address the Patient Protection and Affordable Care Act of March 2013.

HEAP Home Energy Assistance Program

A federal benefit program targeted at assisting households for heating and cooling needs.

HIPAA Health Insurance Portability and Accountability Act

Mandates the use of standards for the electronic exchange of health care data.

HRA Human Resources Administration

The New York City agency which is responsible for determining eligibility for SNAP, TANF and for some individuals, MA benefits.

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HSRP Hot Standby Router Protocol

Provides near 100% network redundancy for IP networks, ensuring that user traffic immediately and transparently recovers from first hop failures in network edge devices or access circuits.

HTTP Hypertext Transfer Protocol

An application level protocol for distributed, collaborative, hypermedia information systems.

HTTPS Hypertext Transfer Protocol Secure

A combination of the Hypertext Transfer Protocol with the SSL/TLS protocol to provide encryption and secure identification of the server.

IEDR Imaging Enterprise Documents Repository

An enterprise document repository and image capture system for SNAP, TANF, HEAP, and MA programs supported by the districts and administered by OTDA and DOH.

ITS Information Technology Services

The New York State entity charged with implementing and managing technology for New York State.

ISO International Organization for Standardization

An international standard setting body composed of representatives from various national standards organizations.

LRC Longitudinal Redundancy Check

One of the industry standard fields on a debit or credit cards magnetic stripe.

MA Medicaid A program that provides medical services for low income New Yorkers.

MAN Metropolitan Area Network

A computer network that connects users to resources in a specific geographic area or region larger than a LAN but smaller than a WAN

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MWBE Minority and Women-Owned Business Enterprises

Any business/enterprise that is at least 51 percent owned by, or in the case of a publicly owned business at least 51 percent of the stock is owned by, citizens or permanent resident aliens who are women or members of a minority, as defined by state law.

OSC New York Office of the State Comptroller

The New York State government office responsible for approving all vendor contracts.

OSS Onsite Scanning Electronic scanning of OTDA case documents as performed in district offices.

OTC Over The Counter The mechanism of delivery of plastic CBIC cards in a face to face environment in New York State.

OTDA Office of Temporary and Disability Assistance

The New York State Office responsible for overseeing the district’s delivery of SNAP and TANF programs, along with programs for the delivery of services to families. The OTDA also provides substantial computer support for the delivery of these benefits along with MA benefits.

PAN Primary Account Number

A 19-digit number which uniquely identifies an account in the EBT System, which is printed on the surface of CBICs and encoded on the magnetic stripe of the CBIC.

PIN Personal Identification Number

A system generated or client selected number used to verify identification of a client in order to access benefits or account information.

Printer Pooling Printing Technology The ability of the software application to send records to multiple peripheral devices (in this case printers) attached to the system.

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POS Point of Sale A process and device authorizing TANF and SNAP benefits in the commercial environment.

PVC/PET Polyvinylchloride/ Polyethylene Terephthalate (PET)

Two materials used in the creation of plastic card bodies

OTC Referral Scanning

Referral Document Scanning

The scanning of OTC Card Referral documents upon redemption for the CBIC card into an image capture database for archiving. This is part of the CBIC Card Vendors Admin System.

RFP Request for Proposal A document issued by a State agency or Office in order to obtain competitive bids for systems or services to be delivered on behalf of that agency.

SFTP Secure File Transfer Protocol

A network protocol that provides file access, file transfer, and file management functionality over any reliable data stream.

SNAP Supplemental Nutrition Assistance Program

A federal benefit program used by New York and other States for the delivery of federally mandated food benefits.

SOA Service Oriented Architecture

Service Oriented Architecture (SOA) is a business-centric IT architectural approach that supports integrating business as linked, repeatable business tasks, or services.

SOAP Simple Object Access Protocol

A protocol specification for exchanging structured information in the implementation of Web services in computer networks.

TANF Temporary Assistance to Needy Families

A category of assistance required by Federal and State laws and delivered by the districts of New York State.

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WAN Wide Area Network Any internet or network that covers an area larger than a single building or campus.

WMS Welfare Management System

The NY State computer system developed for the purpose of maintaining an eligibility file and benefit authorization system for services delivered by the districts of New York State.

WSDL Web Services Description Language

An XML based language for describing Web services and how to access them.

XML Extensible Markup Language

A markup language designed to carry data.

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1.0 CALENDAR OF EVENTS

Common Benefit Identification Card EVENT DATE

Issuance of Request for Proposals March 28, 2018 Mandatory Offeror’s Conference April 24, 2018 @ 1:00 pm ET Deadline for Submission of Questions May 4, 2018 @ 3:00 pm ET Responses to Written Questions Posted (on or about)

May 21, 2018

Deadline for Submission of Proposals June 21, 2018 @ 3.00 pm ET Interviews, if determined to be necessary (not earlier than the week of )

September 17, 2018

Anticipated Notification of Award January 3, 2019 Anticipated Approval of Contract May 3, 2019 Anticipated Commencement of Work June 1, 2019

2.0 EXECUTIVE OVERVIEW 2.1 OVERVIEW

Through this Request for Proposals (“RFP”), the Office of Temporary and Disability Assistance (“OTDA”) of the State of New York (“State”) is seeking competitive proposals from qualified vendors to provide Common Benefit Identification Card services described below, and further detailed in Section 3.0 (Statement of Work).

A. The Common Benefit Identification Card (CBIC) is the vehicle through which eligible clients access various governmental benefit programs, such as the Supplemental Nutrition Assistance Program (SNAP), Temporary Assistance to Needy Families (TANF), Medicaid (MA) and Health Benefit Exchange (HBE) programs. State Regulations (18 NYCRR Part 383) requires local Social Services Districts (Districts) to make a photo card available to all heads of Temporary Assistance households. Social Services Law Section 366-a(3)(b) requires the issuance of a photo card to certain adult members of MA households. To provide access to MA benefits, non-photo CBICs are issued to all MA individuals who do not receive a photo card.

OTDA is responsible for administering various state and federal benefit programs. SNAP delivers food benefits to eligible clients. TANF, Safety Net Assistance, and the Home Energy Assistance Program (HEAP) may also provide cash benefits to eligible clients, in addition to the food benefits provided by SNAP.

The New York State Department of Health (“DOH”) is responsible for the overall administration of the MA and HBE programs, and maintains the eMedNY/HBE System which is accessed by MA providers to confirm eligibility for services. The OTDA and the DOH provide oversight to all districts in New York State that operationally administer and implement the various above mentioned benefit programs.

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New York State Office of Information Technology (“ITS”) is responsible for the installation and maintenance of the data communications network between the State and the CBIC Contractor’s entrance to the State’s datacenter network(s); maintaining the data center in which the OTDA’s Welfare Management System (“WMS”) and CBIC Systems exist; defining the requirements and standards for data communication software and protocols and providing technical expertise and support to OTDA in technical matters associated with the CBIC project

DOH is currently responsible for defining the requirements of the structure, usage and issuance of the CBIC in the MA/HBE environment. DOH is entirely responsible for the maintenance of the eMedNY and eMedNY Contractor Systems which use the CBIC in eligibility verification transactions.

OTDA is the lead agency for providing a CBIC for the programs administered by the OTDA and the DOH, and is issuing this RFP on behalf of, and in cooperation with, DOH.

B. Background OTDA's WMS and CBIC System are at the core of current card issuance. WMS and/or DOH’s HBE systems determine which individuals need a card and feeds data to the CBIC System. The CBIC System determines whether the card will be mailed or picked up at the New York City Over-The-Counter (“OTC”) card issuance sites. The CBIC System generates the card numbers and transmits all pertinent data to the card Contractor. The CBIC System also generates the card activation records for transmission to the Electronic Benefits Transfer (EBT) Contractor and to DOH for Medicaid and Health Benefit Exchange cards. There is no system interface between the card’s Contractor and the EBT and eMedNY Contractors. The current card vendor’s system generates plastic, magnetic stripe-cards to clients based on data received from the OTDA’s CBIC System. Most cards are currently produced and inserted into a card mailer that is stuffed and stamped for pre-sorted First Class mailing to clients within two (2) calendar days of Contractor receipt of the data. Refer to Appendix W, Exhibit 14, for required card mailing schedule and parameters. To assure same day receipt of benefits in New York City, approximately 25% of the New York City requested cards are issued directly to the client at two OTC sites. For information on New York City card issuance volume see Appendix W, Exhibits 1 and 3. Upstate districts issue same day benefits using the State Vault Card System. For statistics on Upstate Vault Card Projections see Appendix F. In support of the EBT Program, the CBIC card and the temporary vault card conform to the financial industry standards for debit cards, and are compatible with ATMs and the commercial Point of Sale (POS) debit infrastructure nationwide. The CBIC card is also compatible with the DOH eMedNY network that provides MA providers access to the eMedNY database to confirm eligibility for services.

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Photo cards are issued to many recipients of MA, SNAP, and TANF benefits. The photos are derived from the Automated Finger Imaging System (AFIS) that has workstations located in districts. Individuals without a photo on file receive a non-photo CBIC. An electronic signature is also captured at AFIS workstations. These signature images are transmitted to the CBIC Contractor along with the photo and, when available, are used in card printings. The card is a "common card" in that it is used in the MA environment and in the EBT environment. The card follows a client’s eligibility from district to district and from program area to program area. It is automatically linked to benefits authorized within the Benefits Issuance Control System (BICS) component of the State’s WMS. Due to the requirements of the eMedNY System, cards are issued to individuals, not to cases and are used in the SNAP and TANF programs. Each individual’s MA eligibility is verified using the CBIC in the eMedNY system. In the EBT System, the individual’s card, if appropriate, is linked in the system to the case receiving SNAP and/or TANF benefits. That linkage is capable of supporting case changes as well as multiple cases for an individual. The Scope of Work, Appendix W, of this RFP provides more detailed information regarding the different card types utilized in the CBIC project.

2.2 IMPORTANT INFORMATION

This RFP outlines the terms and conditions, and all applicable information required for submission of a proposal. Offeror’s should pay strict attention to the Deadline for Submission of Proposals in Section 1.0 (Calendar of Events) to prevent disqualification. To ensure compliance with these requirements and to prevent possible disqualification, Offeror’s should follow the format and instructions contained in this document. The Procurement Integrity information contained in Section 5.1 (Office of Temporary and Disability Assistance Primary Point of Contact) impacts the entire procurement and potential Offeror’s are encouraged to read and understand these procedures as the first step in this RFP.

The Offeror is required to review Appendix A (Standard Clauses for NYS Contracts). Appendix A contains important information related to the contract to be entered into as a result of this RFP and will be incorporated, without change or amendment, into the Agreement between OTDA and the successful Offeror. By submitting a response to this RFP, the Offeror agrees to comply with all the provisions of Appendix A.

The Offeror is required to review, and is requested to have legal counsel review, Appendix T, (Draft Contract Terms) as the Offeror must be willing to enter an Agreement substantially in accordance with the terms of Appendix T should the Offeror be selected for contract award.

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2.3 TERM OF THE AGREEMENT

The Term of the Agreement shall commence upon the approval of the New York State Office of the State Comptroller (OSC) and shall continue for the transition period of up to 6 months (See Appendix G) plus five (5) years.

After the initial Contract Term expires, at the sole discretion of OTDA, the Agreement may be extended for up to two (2) additional, one (1) year terms by amendment signed by both parties with all required approvals.

3.0 STATEMENT OF WORK

The RFP NAME is "Common Benefit Identification Card (CBIC) Request for Proposal"

The purpose of this RFP titled "Common Benefit Identification Card (CBIC) Request for Proposal" is to secure the services of a qualified vendor to provide the services and functions described throughout this RFP and Statement of Work for the production of CBIC cards. These services will:

a. support the production and distribution of mailed CBIC cards statewide,

b. produce same day OTC cards at two sites in New York City, and

c. provide and distribute Vault Cards to Districts statewide, including New York City, for normal and disaster issuance purposes.

Vault Cards are temporary plastic cards issued for access to EBT benefits (SNAP and TANF access only) in district offices except for the five boroughs of New York City. Vault cards provide client access to EBT benefits until the mailed CBIC arrives. These cards are also used as a backup system for the New York City OTC sites. The CBIC Contractor provides these cards to the OTDA. Vault Cards are also used as the State’s Temporary Disaster Cards in case of the failure of the State’s entire communication system or in the case of a localized or statewide disaster (natural or man-made) which would render the normal card issuance processes ineffective.

In addition to providing the distribution systems described herein, the OTDA requires the Contractor to support the development of future enhancements or initiatives as required by law, regulation, technological advancements, or State or district operational changes as outlined in Article 23 Change Request and Release Management of the CBIC Contract.

It is OTDA’s intention to contract with a single prime vendor for the provision of services and functions outlined in this RFP. In the event the selected Offeror's proposal includes the provision of goods or services by another firm or manufacturer, it shall be mandatory for the selected Offeror to assume full responsibility for the delivery, installation, maintenance and support services for such items described in the proposal.

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OTDA will contract only with the selected Offeror, not the Offeror's financing institution or subcontractors. OTDA shall consider the selected Offeror to be the sole Contractor with regard to all provisions of the contract resulting from this RFP.

Offerors are not required to host an office in Albany, New York.

The Scope of Work, Appendix W, of this RFP provides more detailed information regarding the requirements and services to be provided for the CBIC project.

Offerors must be able to provide all the services included in this RFP and Appendix W (Scope of Work) throughout the Contract Term. Only one (1) contract will be awarded to a single Offeror for the provisions of all items described in this RFP.

Postage - OTDA will supply the postage on a Pitney Bowes account specifically established for the contractor to utilize for processing CBIC’s. OTDA will supply a minimum of four (4) Pitney Bowes Pro P 3000 Meter machines (or equivalent) with a minimum of two (2) to be placed in the Contractor’s main facility and a minimum of two (2) to be placed in the Contractors back-up disaster recovery site and to be used exclusively for processing OTDA CBIC’s. The use of OTDA’s postage meters is not optional, but a requirement of the Agreement. OTDA will also rent a minimum of four (4) removable Pitney Bowes DM Infinity Meters two (2) to be placed the Contractor’s main facility and two (2) to be placed in the Contractors back-up disaster recovery site. Note, the Contractor will be required to supply the Infinity Base for each of the Pitney Bowes DM Infinity Meters. OTDA will supply the postage to the meters through a Pitney Bowes account established specifically for CBIC’s.

The Contractor will ensure that the OTDA will receive a written “monthly postage report” by the 5th day of each month for the life of the Agreement resulting from this RFP. The report will be in a format agreed to by the OTDA, and will contain an accounting of that previous month’s postage usage and the OTDA Contract Manager will conduct a review and reconcile. Any discrepancies in this report will be the responsibility of the Contractor. OTDA will continually monitor postage and as necessary, add postage to metering equipment and meter head.

4.0 MANDATORY REQUIREMENTS

Offeror’s proposals must demonstrate that they meet or exceed the mandatory requirements to be considered for selection from this RFP. The first level of scoring is for mandatory requirements, which are scored on a pass/fail basis. For those proposals that pass all the mandatory requirements, a technical and financial evaluation will then be completed.

A. Proposals will be considered only from qualified Offerors with staffing and resources capable of delivering the services described in this RFP. The Offeror shall provide a certified statement, in Appendix C, that it has maintained an organization capable of performing the services, hereinafter described, for at least the past four (4) years, to include the projected volume and frequency. The Offeror shall certify that they:

1) have sufficient financial resources to deliver the goods or services described in the RFP (including fulfilling any guarantees or warranty claims);

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2) are not subject to any current or impending legal action (either formal proceedings or notification of legal action) which could impact on the financial viability of the offeror or the delivery of the goods or services; and

3) have (or will have in place) insurance coverage for the purposes of, and at the levels required in Appendix I, for the procurement.

B. The Offeror shall procure all required insurance(s) as indicated in Appendix I (New York State Insurance Requirements). Contractor must provide proof of current insurance, certifications, and licensing within forty-eight (48) hours of notification of selection of award.

C. The Offeror shall agree to meet the reporting requirements in Section 5.6 (Minority and Women-Owned Business Enterprise (M/WBE) and Equal Employment Opportunity (EEO) Participation Requirements).

D. The Offeror must certify, in Appendix C, Offerors Certified Statements, that it has read, understands, and accepts all provisions of “Appendix A-Standard Clauses for New York State Contracts,” dated January 2014, attached hereto. Appendix A contains important information related to the contract to be entered into as a result of this RFP and will be incorporated, without change or amendment, into the contract entered into between OTDA and the selected Offeror. By submitting a response to the RFP, the Offeror agrees to comply with all the provisions of Appendix A; documents in Appendix E (Required Forms); Appendix I (New York State Insurance Requirements); Appendix Y (Service-Disabled Veteran-Owned Business Enterprises (SDVOBs) Utilization; and Appendix Z (Minority and Women-Owned Business Enterprise (M/WBE) and Equal Employment Opportunity (EEO) Participation Requirements For All NYS Office of Temporary and Disability Assistance Contracts and Grants), all attached hereto, and hereby expressly made a part of this RFP as fully as if set forth at length herein and shall govern any situations not covered by this RFP or Appendix A.

E. References - Each Offeror must provide a minimum of three (3) references in the space provided in Appendix R (References). E-mail addresses and phone numbers are required. Offerors have the responsibility to contact references prior to bid submission to ensure references are available and willing to be a reference. If the contact information is not sufficient or the reference is not available after three (3) attempts to contact him/her or he/she is unwilling to be a reference, this requirement will not be met and the Offeror may be considered non-responsive.

1) References must be from corporations, institutions and/or government agencies, such as the General Services Administration (GSA) and Veterans Administration (VA), for which the Offeror provides/provided similar services, and with contracts that meet/met similar terms and conditions.

2) References shall confirm that the Offeror has the ability to perform jobs similar in scope and size, nature and complexity of this RFP.

3) References should supply satisfactory evidence that the Offeror has had previous experience, adequate financial resources, and the organizational capacity to perform the type, magnitude, and quality of work specified in this RFP.

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F. Offeror’s Conference: OTDA will convene a MANDATORY Offeror’s Conference at 40 North Pearl Street, Albany, New York 12243, at the time and date specified in Section 1 (Calendar of Events). See Section 5.2 for details. Parties interested in attending the Offerors’ Conference should submit their request to attend by email to procurements@otda.ny.gov no later than 5:00 pm ET at least three (3) calendar days prior to the date of the Offeror’s Conference as specified in Section 1 (Calendar of Events). The email should include the following information:

• Name of Organization, • Contact information of up to two (2) participating representatives (names, titles,

addresses, phone numbers, and email addresses)

Failure to meet any of the mandatory requirements in whole or in part WILL result in a bid being found non-responsive and therefor eliminated from consideration. An incomplete bid may result in a non-responsive bid determination and rejection.

Offeror is advised that the State's intent in having the requirements listed above is to ensure that only a qualified and responsible Offeror is awarded a Contract. OTDA retains the right to request additional information pertaining to the Offeror's ability, qualifications, and procedures used to accomplish all work under this Contract as it deems necessary to ensure safe and satisfactory work.

5.0 ADMINISTRATIVE INFORMATION

Procurement documents may, from time to time, be amended or have addenda(s) issued by OTDA. It is the Offeror’s responsibility to become aware of any such amendment(s) and/or addendum(s) prior to submission of a proposal. All amendment(s) and/or addendum(s) to the procurement documents will be posted to the OTDA website at www.OTDA.ny.gov/contracts/procurement-bid.asp. Only the OTDA website will contain all amendment(s) and/or addenda(s) to the procurement documents, including Responses to Written Questions. Offeror’s should review the OTDA website prior to submission of a proposal to ensure that they have all the information required to submit a complete and responsive proposal.

The following administrative information will apply to this RFP. Failure to comply fully with this information MAY result in disqualification of your proposal.

5.1 OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE PRIMARY POINT OF CONTACT:

New York State Finance Law (SFL) §139-j restricts contact by Offerors with any governmental entity regarding procurement contracts. Subject to certain exceptions set forth in SFL §139-j (3), contacts between Offerors and governmental entity personnel, other than the governmental entity’s designated contact person(s), are prohibited during the restricted period of the governmental procurement. Pursuant to State Finance Law §139-j and §139-k, this procurement includes and imposes certain restrictions on communications between OTDA and an Offeror

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during the procurement process. An Offeror is restricted from making contacts from the earliest notice of intent to solicit bids through final award and approval of the procurement contract by the OSC (“Restricted Period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j (3)(a). Designated staff, as of the date hereof, are identified below.

OTDA employees are required to obtain certain information when contacted during the Restricted Period and make a determination of the responsibility of the Offeror pursuant to these two (2) statutory provisions. Certain findings of non-responsibility can result in rejection for contract award. In the event of two (2) findings within a four (4)-year period, the Offeror is debarred from obtaining governmental procurement contracts. Further information about these requirements can be found on the Office of General Services (OGS) website:

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

The primary point of contact for this procurement is:

Cynthia McGrath NYS Office of Temporary and Disability Assistance Contract Management 40 North Pearl Street, Suite 12 D Albany, New York 12243 Email Address: procurements@otda.ny.gov

Other permissible points of contact for this procurement are:

John Binseel NYS Office of Temporary and Disability Assistance Contract Management 40 North Pearl Street, Suite 12D Albany, New York 12243 Email Address: procurements@otda.ny.gov Michael Barber NYS Office of Temporary and Disability Assistance Minority and Woman Owned Business Unit 40 North Pearl Street, Suite 12D Albany, New York 12243 Email Address: procurements@otda.ny.gov

The following activities are permissible contacts by an Offeror:

A. Submission of a written proposal in response to this RFP,

B. Submission of written questions prior to the deadline for submission of written questions,

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C. Complaints filed by an Offeror stating that the designated point of contact has failed to respond in a timely manner,

D. Negotiations following award,

E. Debriefings to Offeror(s) that were not award recipients,

F. Filing of an appeal or protest, or

G. Any contact initiated by OTDA employees.

State Finance Law requires that procurements over $15,000 include a certification by the Offeror that all information provided to the agency is complete, true, and accurate with regard to prior non-responsibility determinations within the past four (4) years based on:

A. Impermissible contacts or other violations of State Finance Law Section §139-j, or

B. The intentional provision of false or incomplete information to a governmental entity.

See Appendix E (Required Forms) for Offeror Disclosure of Prior Non-Responsibility Determinations Forms, which should be included with Offeror’s proposal.

5.2 OFFEROR’S CONFERENCE

Offeror’s Conference: OTDA will convene a MANDATORY Offeror’s Conference at 40 North Pearl Street, Albany, New York 12243, at the time and date specified in Section 1 (Calendar of Events). Teleconferencing will be allowed. Parties interested in attending the Offerors’ Conference should submit their request to attend by email to procurements@otda.ny.gov no later than 5:00 pm ET, at least three (3) calendar days prior to the date of the Offeror’s Conference as specified in Section 1 (Calendar of Events). The email should include the following Information:

• Name of Organization; and • Contact Information of up to two (2) participating representatives (names, titles,

addresses, phone numbers, and email addresses)

The agenda to the Offeror’s conference will be emailed to all Offerors known to OTDA confirming the date, time, and location prior to the Offeror’s Conference.

Samples of the current version of each type of card and the currently used sleeves will be made available at the Mandatory Offeror’s Conference.

5.3 QUESTIONS

There will be an opportunity available for submission of written questions and requests for clarification with regard to this RFP. All questions and requests for clarifications should cite the particular RFP section and paragraph identifier where applicable and must be submitted via email (preferred) or by hard copy mail to the primary Point of Contact as indicated in Section

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5.1, no later than the Deadline for Submission of Written Questions as specified in Section 1. Questions received after the deadline may not be answered.

OTDA encourages Offeror’s during this time to make suggestions that will lead to cost containment, productivity improvements, and/or operational efficiencies. OTDA expects that the Offeror’s expertise and experience will provide a source of innovative concepts for improving the efficiency, effectiveness, and productivity which could lead to program savings. Alternative security methods may be considered if offered. Suggestions made by Offerors may, at OTDA’s discretion, be incorporated into this RFP, in accordance with Section 5.1.

Requests for clarifications of contract language contained in Appendix T (Draft Contract Terms) must be addressed at this time.

It is the Offeror’s responsibility to ensure that hard copy mail or email containing written questions and/or requests for clarification is received at the above address no later than the Deadline for Submission of Questions as specified in Section 1.

The comprehensive list of questions and responses will be posted to the OTDA website and such notice of posting will be distributed by email to all Offerors known to OTDA on the date specified in Section 1. This listing will not include the identities of the Offeror’s submitting the questions; those Offeror’s will remain anonymous to the extent allowed by law.

5.4 SUBCONTRACTING

It is OTDA’s intention to contract with a single prime contractor for the provisions of services and functions outlined in this RFP. In the event that the Contractor utilizes subcontractors to perform any of required services pursuant to the Agreement resulting from this RFP, OTDA shall have the right to approve or disapprove, after appropriate review and/or interview(s), any and all subcontractors of the Contractor prior to their performance of services.

The Contractor shall require all proposed subcontractors to complete such Appendices included in this RFP as are deemed necessary by OTDA prior to any such proposed subcontractor’s performance required services under the Agreement and any extensions resulting from this RFP. The Contractor acknowledges that this requirement is ongoing for the Term of the Agreement, and the Contractor shall be required to disclose to OTDA its intention to enter into any subcontracts for the performance of any required services under the Agreement resulting from this RFP.

Failure to disclose the identity of any and all subcontractors used by the Contractor together with a detailed description of their responsibilities may, at the sole discretion of OTDA, result in disqualification of the subcontractor or termination of the Agreement resulting from this RFP. The Subcontractor/Supplier Identification form can be found in Appendix E (Required Forms).

The Contractor shall be fully responsible to OTDA for the acts and omissions of its subcontractors and of persons either directly or indirectly engaged by them in connection with the performance of the Agreement resulting from this RFP.

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OTDA reserves the right to remove any of the subcontractor’s staff if, in OTDA’s discretion, such subcontractor’s staff is/are not performing in accordance with the Agreement resulting from this RFP, or for any other reasonable work-related cause. OTDA reserves the right to approve or disapprove any proposed changes in Contractor’s/subcontractor’s key staff. OTDA in each instance will be provided with a summary of the experience of the proposed Contractor’s/subcontractor’s key staff member and an opportunity to interview that person, prior to giving its approval or disapproval.

In the event the selected Offeror’s proposal includes services provided by another firm, it shall be mandatory for the selected Offeror to assume full responsibility for the delivery for such items offered in the proposal. Should the selected Offeror seek external financing, the State reserves the right to approve the assignment of the contract for financing purposes. In any event, OTDA will contract only with an Offeror, not the Offeror’s financing institution or subcontractors. OTDA shall consider the selected Offeror to be the sole responsible contact with regard to all provisions of the Contract resulting from this RFP.

5.5 RIGHT TO MODIFY

OTDA reserves the right to modify this RFP, including but not limited to, the date and time by which proposals must be submitted and received by OTDA, at any time prior to the Deadline for the Submission of Proposals listed in Section 1. Modifications to this RFP shall be made by issuance of amendment(s) and/or addendum(s).

Prior to the Deadline for Submission of Proposals, any such clarifications or modifications as deemed necessary by OTDA will be posted to the OTDA website and subsequent email notification will be provided to all potential Offeror’s known to OTDA. OTDA reserves the right to cancel this RFP, in whole or in part, and to reject any and all proposals.

If the Offeror discovers any ambiguity, conflict, discrepancy, omission, or other error in this RFP, the Offeror shall immediately notify OTDA in accordance with Section 5.1 of such error in writing and request clarification or modification of the document.

If, prior to the Deadline for Submission of Proposals, an Offeror fails to notify OTDA of a known error or an error that reasonably should have been known, the Offeror shall assume the risk of proposing. If awarded the contract, the Offeror shall not be entitled to additional compensation by reason of the error or its correction.

5.6 MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISE (M/WBE) AND EQUAL EMPLOYMENT OPPORTUNITY (EEO) PARTICIPATION REQUIREMENTS

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE-CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITY FOR MINORITY GROUP MEMBERS AND

WOMEN AND WORKFORCE UTILIZATION REPORTING

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NEW YORK STATE LAW Pursuant to New York State Executive Law Article 15-A and Parts 140-145 of Title 5 of the New York Codes, Rules and Regulations, OTDA is required to promote opportunities for the maximum feasible participation of New York State-certified Minority and Women-owned Business Enterprises (“MWBEs”) and the employment of minority group members and women in the performance of OTDA contracts. Business Participation Opportunities for MWBEs For purposes of this solicitation, OTDA hereby establishes an overall goal of 30% for MWBE participation, 15% for New York State-certified Minority-owned Business Enterprise (“MBE”) participation and 15% for New York State-certified Women-owned Business Enterprise (“WBE”) participation (based on the current availability of MBEs and WBEs). A contractor (“Contractor”) on any contract resulting from this procurement (“Contract”) must document its good faith efforts to provide meaningful participation by MWBEs as subcontractors and suppliers in the performance of the Contract. To that end, by submitting a response to this RFP, the respondent agrees that OTDA may withhold payment pursuant to any Contract awarded as a result of this RFP pending receipt of the required MWBE documentation. The directory of MWBEs can be viewed at: https://ny.newnycontracts.com. For guidance on how OTDA will evaluate a Contractor’s “good faith efforts,” refer to 5 NYCRR § 142.8. The respondent understands that only sums paid to MWBEs for the performance of a commercially useful function, as that term is defined in 5 NYCRR § 140.1, may be applied towards the achievement of the applicable MWBE participation goal. [FOR CONSTRUCTION CONTRACTS – The portion of a contract with an MWBE serving as a supplier that shall be deemed to represent the commercially useful function performed by the MWBE shall be 60 percent of the total value of the contract. The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be the monetary value for fees, or the markup percentage, charged by the MWBE]. [FOR ALL OTHER CONTRACTS - The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25 percent of the total value of the contract] In accordance with 5 NYCRR § 142.13, the respondent further acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in a Contract resulting from this RFP, such finding constitutes a breach of contract and OTDA may withhold payment as liquidated damages. Such liquidated damages shall be calculated as an amount equaling the difference between: (1) all sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and (2) all sums actually paid to MWBEs for work performed or materials supplied under the Contract.

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By submitting a bid or proposal, a respondent agrees to demonstrate its good faith efforts to achieve the applicable MWBE participation goals by submitting evidence thereof through the New York State Contract System (“NYSCS”), which can be viewed at https://ny.newnycontracts.com, provided, however, that a respondent may arrange to provide such evidence via a non-electronic method by contacting the Contract’s program manager at OTDA. Additionally, a respondent will be required to submit the following documents and information as evidence of compliance with the foregoing: A. An MWBE Utilization Plan with their bid or proposal. Any modifications or changes to an

accepted MWBE Utilization Plan after the Contract award and during the term of the Contract must be reported on a revised MWBE Utilization Plan and submitted to OTDA for review and approval.

OTDA will review the submitted MWBE Utilization Plan and advise the respondent of OTDA acceptance or issue a notice of deficiency within 30 days of receipt.

B. If a notice of deficiency is issued, the respondent will be required to respond to the

notice of deficiency within seven (7) business days of receipt by submitting to the OTDA a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by OTDA to be inadequate, OTDA shall notify the respondent and direct the respondent to submit, within five (5) business days, a request for a partial or total waiver of MWBE participation goals. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal.

OTDA may disqualify a respondent as being non-responsive under the following circumstances: a) If a respondent fails to submit an MWBE Utilization Plan;

b) If a respondent fails to submit a written remedy to a notice of deficiency; c) If a respondent fails to submit a request for waiver; or

d) If OTDA determines that the respondent has failed to document good faith efforts. The successful respondent will be required to attempt to utilize, in good faith, any MBE or WBE identified within its MWBE Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract Award may be made at any time during the term of the Contract to OTDA, but must be made no later than prior to the submission of a request for final payment on the Contract. The successful respondent will be required to submit a quarterly MWBE Contractor Compliance & Payment Report to OTDA, by the 7th day following each end of quarter over the term of the Contract documenting the progress made toward achievement of the MWBE goals of the Contract.

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Equal Employment Opportunity and Workforce Utilization Reporting Requirements By submission of a bid or proposal in response to this solicitation, the respondent agrees with all of the terms and conditions of [Appendix A – Standard Clauses for All New York State Contracts including Clause 12 - Equal Employment Opportunities for Minorities and Women OR Authority equivalent to Appendix A]. The respondent is required to ensure that it and any subcontractors awarded a subcontract for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work"), except where the Work is for the beneficial use of the respondent, undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State. The respondent will be required to submit a Minority and Women-owned Business Enterprise and Equal Employment Opportunity Policy Statement, Form OTDA-4970, to OTDA with its bid or proposal. If awarded a Contract, respondent shall submit form OTDA-4971 Workforce Utilization Report and shall require each of its Subcontractors to submit a Workforce Utilization Report, in such format as shall be required by OTDA on a QUARTERLY basis during the term of the Contract. Pursuant to Executive Order #162, contractors and subcontractors will also be required to report the gross wages paid to each of their employees for the work performed by such employees on the contract utilizing the Workforce Utilization Report on a quarterly basis. Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor and sub-contractors will not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest. Please Note: Failure to comply with the foregoing requirements may result in a finding of non-responsiveness, non-responsibility and/or a breach of the Contract, leading to the withholding of funds, suspension or termination of the Contract or such other actions or enforcement proceedings as allowed by the Contract.

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5.7 SERVICE DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (SDVOB) IN STATE CONTRACTING:

A. OTDA is in full accord with the aims and efforts of the State of New York to promote Service-Disabled Veteran-Owned Businesses (SDVOBs), as enacted in 2014 by Article 17-B of the Executive Law. This Law acknowledges that Service-Disabled Veteran-Owned Businesses (SDVOBs) strongly contribute to the economies of the State and the nation. As defenders of our nation and in recognition of their economic activity in doing business in New York State, Offerors to this IFB are strongly encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the resulting contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting roles. SDVOBs can be readily identified on the directory of certified businesses at: http://ogs.ny.gov/Core/docs/CertifiedNYS_SDVOB.pdf

B. Offerors are strongly encouraged, to the maximum extent practical and consistent with legal requirements of the State Finance Law, the Executive Law and any implementing regulations, to use responsible and responsive NYS certified SDVOBs in purchasing and utilizing commodities, services and technology that are of equal quality and functionality to those that may be obtained from non-SDVOBs. Prospective awardees to this IFB are subject to the provisions of Executive Law Article 17-B and the regulations (9 NYCRR Part 252) issued thereunder. Offerors are reminded that they must continue to utilize small, and minority and women-owned businesses (M/WBEs), consistent with current State law (Executive Law Article 15-A).

C. Offerors will complete, Appendix Y, (Form OTDA-4200), Service-Disabled Veteran-Owned Businesses (SDVOBs) Utilization Plan, to demonstrate their proposed utilization of NYS certified SDVOBs as part of their bid/proposal. OTDA has set a goal for SDVOB utilization for this procurement 6%.

D. The successful Offeror/Contractor will report on the actual participation by each SDVOB during the Term of the contract to OTDA on a quarterly basis according to policies and procedures to be set by OTDA.

E. NOTE: Information about SDVOB certification and set asides for SDVOB participation in public procurement can be found at: http://www.ogs.ny.gov/Core/SDVOBA.asp, which provides certification information and guidance for State agencies in making determinations and administering set asides for procurements from SDVOBs.

5.8 DIVERSITY PRACTICES

Overview

Pursuant to Section 313-a of the Executive Law and Section 142.3 of Title 5 of the New York Codes, Rules, and Regulations, all agencies and authorities must evaluate the diversity practices of Offerors to best value procurements expected to exceed $250,000, whenever practical, feasible, and appropriate. Evaluating the diversity practices of Offerors as part of the procurement process provides contractors with an incentive to develop mutually beneficial relationships with NYS-certified M/WBEs outside of the context of state contracting. These relationships help to build the capacity of M/WBEs, and enhance their ability to perform ever increasing roles in state contracting.

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Diversity practices are the efforts of contractors to include New York State-certified Minority and Women-owned Business Enterprises (“M/WBEs”) in their business practices. Diversity practices may include past, present, or future actions and policies, and include activities of contractors on contracts with private entities and governmental units other than the State of New York. Assessing the diversity practices of contractors enables contractors to engage in meaningful, capacity-building collaborations with M/WBEs.

General Instructions

A. OTDA has determined, pursuant to New York State Executive Law Article 15-A, that the assessment of the diversity practices of Offerors to this RFP is practical, feasible, and appropriate. Accordingly, Offerors shall be required to complete and include as part of their Administrative Proposal, the OTDA Diversity Practices Questionnaire Appendix D.

B. Diversity Practices will be evaluated based upon the questionnaire developed by the

New York State Division of Minority and Women’s Business Development. This Questionnaire consists of eight (8) questions for Offerors to answer. Some questions request supporting documentation to support certain answers. Scoring Information for Diversity Practices can be found in Appendix D

5.9 VENDOR RESPONSIBILITY

Section 163 of the State Finance Law (purchasing services and commodities) requires that contracts be awarded, on the basis of “best value” or “lowest price”, to a responsive and responsible vendor. The State and courts have determined that responsibility includes integrity, previous performance, legal authority to do business in New York State, and the financial and organizational ability to perform the contract.

A. Vendor Responsibility requires that contractors complete and certify specific information on a Vendor Responsibility Questionnaire or in the event of an award or other changes, update information on an on-going basis. OTDA recommends that Offerors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. To enroll in and use the New York State VendRep System, see the VendRep System Instructions available at: https://www.osc.state.ny.us/vendrep/vendor_index.htm or go directly to the VendRep System online at https://portal.osc.state.ny.us.

B. Offerors must provide their New York State Vendor Identification Number when enrolling in the VendRep System and to participate in this RFP. To request assignment of a New York State Vendor Identification Number, Offerors must complete the Substitute Form W-9: Request for Taxpayer Identification Number & Certification, located at https://www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf. Offerors must e-mail the completed form to procurements@otda.ny.gov. Offeror’s NYS Vendor Identification Number will be provided via e-mail, along with further

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instructions. Offerors, who do not already have a New York State Vendor Identification Number, must submit the completed W-9 prior to submission of bids.

C. Offerors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website www.osc.state.ny.us/vendrep or by contacting OSC’s Help Desk for a copy of the paper form. Please call OSC’s Help Desk with any questions at 1-(518) 408-4672 or 1-(866) 370-4672.

D. The Contractor shall at all times during the Contract Term remain responsible. The Contractor agrees, if requested by the Commissioner of OTDA or his/her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.

Suspension of Work (for Non-Responsibility) The Commissioner of OTDA or his/her designee, in his/her sole discretion, reserves the right to immediately suspend any or all activities under the Contract resulting from this RFP, at any time, when he/she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of OTDA or his/her designee issues a written notice authorizing a resumption of performance under the Contract.

Termination (for Non-Responsibility) Upon written notice to the Contractor, and a reasonable opportunity for the Contractor to be heard with appropriate OTDA officials or staff, the Contract may be terminated if the Contractor is determined by OTDA to be non-responsible. If the Contractor is determined by OTDA to be non-responsible, OTDA shall inform the Contractor of such ruling in writing. The Contractor shall have thirty (30) calendar days from the postmark date or read receipt if sent by email, of OTDA’s notice to request a meeting with OTDA to explain the ruling and to demonstrate the finding to be incorrect or to correct/resolve any issue impacting Contractor’s responsibility. If OTDA’s finding remains unchanged after meeting with the Contractor, the Contractor shall be removed from consideration for this contract or the contract shall be terminated in accordance with the applicable contractual provisions.

5.10 SALES AND COMPENSATING USE TAX CERTIFICATION (TAX LAW, §5-A) The Tax Law § 5-a requires Contractors awarded State contracts for commodities and services valued at more than $100,000 over the full Term of the Contract to certify to the New York State Department of Taxation and Finance (“DTF”) that they are registered to collect New York State and 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 specific time period. The registration requirement applies if the contractor made a cumulative total of more than $300,000 in sales

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during the four (4) completed tax quarters which immediately precede the sales tax quarter in which the certification is made. Sales tax quarters are June - August, September – November, December - February, and March – May. In addition, contractors must certify to DTF that each affiliate and subcontractor of such contractor exceeding such sales threshold during a specified period is registered to collect New York State and local sales and compensating taxes. Contractors must certify to the procuring State entity that they filed the certification with the DTF and that it is correct and complete. The selected Offeror must file a properly completed form ST-220-CA (with OTDA the Contracting Agency within forty-eight (48) hours of notification of selection of award) and Form ST-220-TD (with the DTF). These requirements must be met before a contract may take effect. Further information can be found at the New York State Department of Taxation and Finance website, available through this link: www.tax.ny.gov/pdf/publications/sales/pub223.pdf. Forms are available through these links:

• ST-220-CA: http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf • DT-220-TD: http://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf

Please note that although form ST-220-CA is not required as part of the proposal, OTDA encourages Offerors to include them with the proposal to expedite contract execution if the Offeror is awarded the contract.

5.11 INSURANCE REQUIREMENTS

Within forty-eight (48) hours of notification of award the Contractor shall procure at its sole cost and expense, and shall maintain in force at all times during the Term of the Contract, policies of insurance as set forth in Appendix I (New York State Insurance Requirements), written by companies authorized by the New York State Insurance Department to issue insurance in the State of New York (“admitted” carriers) with an A.M. Best Company rating of “A-” or better or as acceptable to OTDA.

5.12 OTDA’S RIGHTS TO ALL PROPOSALS OTDA reserves the rights with respect to proposals, including but not limited to:

A. Cancel this RFP in whole or in part at its discretion. B. Reject any and all proposals received in response to this RFP or choose to make no

award. C. Reissue a modified version of this RFP.

OTDA’s right to issue modifications, etc., permits any addition or deletion of requirements as OTDA may deem appropriate. Any such modifications issued on or before the Deadline for Submission of Bids shall be posted on OTDA’s website at http://otda.ny.gov/contracts/procurement-bid.asp.

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D. Amend any part of this RFP, at any time prior to award, upon written notification to potential Offerors.

E. Utilize any/all ideas submitted in the Proposal received, unless those ideas are covered by legal patent or proprietary rights and the Offeror has notified OTDA in writing of such legal patent or proprietary rights.

F. Disqualify any Offeror whose conduct and/or proposal fails to conform to the requirements of this RFP.

G. Direct any Offeror to submit proposal modifications addressing subsequent RFP amendments.

H. Accept all or part of a selected Offeror’s proposal based on Federal and State requirements.

I. Eliminate any requirements that are not met by all Offerors upon notice to all parties submitting bids.

J. Waive any immaterial deviation or defect in a proposal. A waiver of immaterial deviation or defect shall in no way modify the RFP documents or excuse the Offeror from full compliance with the RFP requirements.

K. Change any of the scheduled dates, including start dates, stated herein upon notice

to all Offerors. L. Request best and final offers from each Offeror, whose proposal was deemed by

OTDA as responsive to the requirements of this RFP. M. Terminate review of proposals found nonresponsive or financially inappropriate. N. Require an Offeror to demonstrate, to the satisfaction of OTDA, its ability to perform

the services required by this RFP. O. Require any or each Offeror to provide an oral presentation of its proposal. P. Require an on-site visit. Q. Use Offeror’s information obtained through site visits, management interviews, and

the State’s investigation of Offeror’s qualifications, experience, ability or financial standing, and any material or information submitted by the Offeror in response to the agency’s request for clarifying information in the course of evaluation and/or selection under this RFP.

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R. Negotiate additional terms and conditions in the Contract resulting from this RFP which are in OTDA’s best interest and which do not substantially alter the requirements of this RFP.

S. Reject any proposal that contains false or misleading statements, or that provides

references that do not support an attribute, condition, or qualification claimed by the Offeror.

T. Rescind a contract award if a signed contract does not result from good faith

negotiations with OTDA within a reasonable period of time as determined by OTDA. U. Correct any arithmetical errors in any proposal and, in the event that the fees or

costs in two or more proposals are not comparable, to make appropriate adjustments to render the fees and costs comparable.

V. Require an Offeror to clarify its proposal to assure a full understanding of the

proposal and to request revisions to all proposals from Offerors susceptible of award of the contract. Any request for clarification or revision is solely at the discretion of OTDA.

W. Proceed to the next highest-scoring Offeror in the event that the Offeror who had

achieved best value prior to contract award cannot satisfy the requirements stated in this RFP.

X. OTDA shall have unlimited rights to disclose or duplicate, for any purpose

whatsoever, all information or other work product developed, derived, documented or furnished by the Offeror under any Contract resulting from this RFP.

Y. In the event of contract award, all documentation produced as part of the contract will become the exclusive property of OTDA. OTDA reserves a royalty-free, non-exclusive and irrevocable license to reproduce, publish or otherwise use such documentation and to authorize others to do so.

Z. Each Offeror’s Proposal must include a statement as to the period during which the provisions of the proposal will remain valid. A minimum of 365 calendar days from the Submission of Proposals Deadline in Section 1.

5.13 FREEDOM OF INFORMATION LAW All proposals shall become the property of OTDA and may be disclosed or used by OTDA to the extent permitted by law. OTDA may disclose a proposal to any person for the purpose of assisting in evaluating the proposal or for any other lawful purpose. All proposals and the information relating to Offeror price submissions, including commercial, book or list pricing, applicable discounts or final bid price and like information, shall not be entitled to confidentiality protection whether or not submitted or designated as proprietary to Offeror. All proposals will

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become State agency records, which will be available to the public in accordance with the Freedom on Information Law. Any portion of the proposal that an Offeror believes constitutes proprietary information entitled to confidential handling, as an exception to the Freedom of Information Law, must be clearly and specifically designated in the proposal. If OTDA agrees with the proprietary claim, the designated portion of the proposal will be withheld from public disclosure. Blanket assertions of proprietary material will not be accepted, and failure to specifically designate proprietary material will be deemed a waiver of any right to confidential handling of such material. OTDA’s determination of whether the Offeror’s claim of proprietary status of the designated information should be granted will be predicated in large measure upon the Offeror’s written statement of the necessity for the exemption. Therefore, while not required, Offerors are advised to submit their written statements of the necessity for the claimed proprietary information exceptions at the time of the submission of their proposals. 5.14 PUBLIC OFFICER’S LAW Contractors, consultants, vendors, and subcontractors may hire former State agency, OTDA or State authority employees. However, as a general rule and in accordance with New York Public Officers Law, former employees of OTDA may neither appear nor practice before OTDA, nor receive compensation for services rendered on a matter before OTDA, for a period of two (2) years following their separation from OTDA service. In addition, former State and OTDA employees are subject to a “lifetime bar” from appearing before OTDA or receiving compensation for services regarding any transaction in which they personally participated or which was under their active consideration during their tenure with the State or OTDA. The Offeror shall identify and provide OTDA with notice of any/all employees of the Offeror and its subcontractors who are former employees of the State, who will be assigned to perform services under an Agreement, resulting from this RFP, by completing the Offeror’s Disclosure of Former State Employees form included in Appendix E, as part of their bid proposal. 5.15 STATE ETHICS LAW PROVISION The Offeror and its Subcontractors shall not engage any person who is, or has been at any time, in the employ of the State to perform services in violation of the provisions of the New York State Public Officers Law, other laws applicable to the service of State employees, and the rules, regulations, opinions, guidelines or policies promulgated or issued by the New York State Joint Commission on Public Ethics, or its predecessors (collectively, the “Ethics Requirements”). The Offeror shall certify that all of its employees and those of its subcontractors who are former employees of the State, and who are assigned to perform services under this Agreement, shall be assigned in accordance with all Ethics Requirements. During the Term of the Agreement, resulting from this RFP, no person who is employed by the Offeror or its subcontractors, and who is disqualified from providing services under the Agreement, resulting from this RFP pursuant to any Ethics Requirements, may share in any net revenues of the Offeror or its subcontractors derived from the Agreement resulting from this RFP. The Offeror shall identify and provide OTDA with notice of those employees of the Offeror, and its subcontractors, who are former employees of the State that will be assigned to perform services under the

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Agreement, resulting from this RFP, and make sure that such employees comply with all applicable laws and prohibitions. OTDA may request that the Offeror provide it with whatever information OTDA deems appropriate about each such person’s engagement, work cooperatively with OTDA to solicit advice from the New York State Joint Commission on Public Ethics, and, if deemed appropriate by OTDA, instruct any such person to seek the opinion of the New York State Joint Commission on Public Ethics. OTDA shall have the right to withdraw or withhold approval of any subcontract if utilizing such subcontractor for any work performed hereunder would be in conflict with any of the Ethics Requirements. OTDA shall have the right to terminate the Agreement, resulting from this RFP at any time if any work performed hereunder is in conflict with any of the Ethics Requirements. By submitting a proposal to this RFP the person signing the proposal certifies, for and on behalf of the Offeror, that:

A. He/she has read and understands the provisions applicable to post-employment restrictions affecting former State officers and employees, available using the URL address 1below:

i. Public Officers Law § 73(8)(a)(i), (the two (2)-year bar); and ii. Public Officers Law § 73(8)(a)(ii), (the lifetime bar);

B. Submission of this proposal does not violate either provision; C. He/she is familiar with the Offeror’s employees, and its agents; D. No violation shall occur by entering into a contract or in performance of the

contractual services; E. This certification is material to the proposal; and F. He/she understands that OTDA intends to rely on this certification.

Offerors shall address any questions concerning these provisions to: The New York State Joint Commission of Public Ethics 540 Broadway Albany, New York 12207 Telephone (518) 408-3976 DISCLOSURE REQUIREMENTS Proposals shall include the following information, in the “Offeror’s Certification/Acknowledgements/Understanding” form, if applicable:

A. Disclosure of any existing or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more,

1 Type in your Internet Browsers URL http://public.leginfo.state.ny.us/navigate.cgi When page opens, click on “Laws” in the menu bar at the top of the page, then “Laws of New York.” On the next page, select “PBO Public Officers.” When this page opens, select “Article 4 – (60 – 79) POWERS AND DUTIES OF PUBLIC OFFICERS” and choose Sections (73 (8-a)(i) and 73(8-a)(ii).

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parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers of the Offeror or former officers and employees of the Agencies and their Affiliates, in connection with your rendering services enumerated in this solicitation. If a conflict does, or might, exist, please include a statement, with your Bid Proposal, along with the “Offeror’s Certification/Acknowledgements/Understanding” form, describing how your Staffing Firm would eliminate or prevent it. Indicate what procedures will be followed to detect, notify the Agencies of, and resolve any such conflicts.

B. The Offeror must disclose whether it, or any of its members, shareholders of 5% or

more, parents, affiliates, or subsidiaries, have been the subject of any investigation or disciplinary action by the New York State Joint Commission on Public Integrity (“JCOPE”), or its predecessor State entities (collectively, “Commission”), and if so, a brief description must be included indicating how any matter before the Commission was resolved or whether it remains unresolved.

All Offerors responding to this RFP must submit with its Bid Proposal, the “Offeror Assurance of No Conflict of Interest or Detrimental Effect” form found in RFP Appendix E – Required Forms. The form must be signed by an authorized representative, authorized to bind the Offeror contractually. The form provides an attestation from the Offeror that the types of conflicts described above did not occur as part of their receiving this business opportunity with OTDA. Offeror will also submit an attestation from all subcontracting and/or consultants to be used to provide services from the Agreement, resulting from this RFP. All Offerors responding to this RFP must submit with its Bid Proposal, the “Offeror Assurance of No Conflict of Interest or Detrimental Effect” form found in RFP Appendix E – Required Forms. The form must be signed by an authorized representative, authorized to bind the Offeror contractually. The form provides an attestation from the Offeror that the types of conflicts described above did not occur as part of their receiving this business opportunity with OTDA. Offeror will also submit an attestation from all subcontracting and/or consultants to be used to provide services from the Agreement, resulting from this RFP.

5.16 ANTI-KICKBACK ACT The Contractor understands that it must comply with federal Executive Order 11246, the Copeland “Anti-Kickback Act” (18 USC 874), Section 306 of the Federal Clean Air Act, Section 306 of the Federal Clean Water Act, and that it must certify that neither it nor its principals are debarred or suspended from federal financial assistance programs and activities and to complete and return in pursuit of such certification any appropriate form required by OTDA (see federal Executive Order 12549 and 7 CFR Part 3017).

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5.17 DRUG-FREE WORKPLACE

The Contractor agrees to comply with the provisions of Section 5151-5160 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701 et seq.), and further agrees to have their representative execute the certification attached to this Agreement.

5.18 STATE FINANCE LAW CONSULTING DISCLOSURE PROVISIONS Pursuant to New York State Finance Law § 163(4)(g), State agencies must require all contractors, including subcontractors, that provide consulting services for State purposes pursuant to a contract to submit an annual employment report for each such contract, such report shall include for each employment category within the contract: (i) the number of employees employed to provide services under the contract, (ii) the number of hours they work, and (iii) their total compensation under the contract. Consulting services are defined as analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal, or similar services. If an Offeror’s Proposal includes the use of any of the Consulting services defined above (These Employment Categories, are listed in the O*NET occupational classification system, with descriptions of employees services applicable to this provision www.Online.onetcenter.org), you are required to submit Form A prior to contract approval and Form B on an annual basis. Appendix C (Offerors Certified Statements) provides for your declaration of intent to use consulting services in the contract.

5.19 DEBRIEFING Consistent with New York State Finance Law §163(9)(c), a debriefing may be requested by the unsuccessful Offeror within fifteen (15) calendar days of release by the state agency of a notice in writing or electronically that the Offeror's offer is unsuccessful.

(i) Such notice shall be provided to all unsuccessful Offerors by OTDA for the specific procurement.

(ii) OTDA, upon a request made within fifteen (15) calendar days of

release of the written or electronic notice from the unsuccessful Offeror for a debriefing, shall schedule the debriefing to occur within a reasonable time of such request. Debriefings shall be conducted by OTDA with the unsuccessful Offeror in-person. The parties, however, may mutually agree to utilize other means such as, but not limited to, by telephone, video-conferencing or other types of electronic communications. OTDA’s personnel participating in the debriefing discussion shall have been involved with and knowledgeable about the procurement and the evaluation and selection of the successful Offeror.

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(iii) Such debriefing shall include, but need not be limited to: (A) the reasons that the proposal, bid or offer submitted

by the unsuccessful Offeror was not selected for award;

(B) the qualitative and quantitative analysis employed by

the agency in assessing the relative merits of the proposals, bids or offers;

(C) the application of the selection criteria to the

unsuccessful Offeror's proposal; and

When the debriefing is held after the final award, the debriefing shall include the reason(s) for the selection of the winning proposal bid or offer. The debriefing shall provide, to the extent practicable, general advice and guidance to the unsuccessful Offeror concerning potential ways that future proposals, bids, or offers could be more responsive. 5.20 PROTESTS

Procedure for Handling of Protests/Appeals of Bid Specifications and Proposed Awards.

A. Formal Written Protests

Final agency decisions or recommendations for award may be reconsidered only in the context of a formal written protest as described below. Any Offeror or prospective Offeror who believes that there are errors or omissions in the procurement process or who otherwise has been aggrieved in the drafting or issuance of a bid solicitation, proposal evaluation, bid award, or contract award phases of the procurement, may present a formal complaint to OTDA and request administrative relief concerning such action ("Formal Protest").

I. A Formal Protest must be submitted in writing to OTDA to the Director of OTDA Contract Management (CM), 40 North Pearl Street, Suite 12D, Albany, New York 12243.

II. A Formal Protest must include a statement of all legal and/or factual grounds for disagreement with an OTDA specification or purchasing decision; a description of all remedies or relief requested; and copies of all applicable supporting documentation.

B. Deadline for Submission of Formal Protests

I. OTDA must receive Formal Protests concerning errors, omissions or prejudice including patently obvious errors in the bid specifications or documents at least

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ten (10) calendar days before the Deadline for Solicitation for Bids, listed Section 1 (Calendar of Events).

II. OTDA must receive Formal Protests concerning a pending contract award within seven (7) calendar days after the protesting party ("Protester") knows or should have known of the facts which form the basis of the protest.

C. Review and Final Determination of Protests

I. Formal Protests will be resolved through written correspondence. However, the Protester may request a meeting to discuss a Formal Protest or OTDA may initiate a meeting on its own motion, at which time the participants may present their concerns. OTDA may elect to decline such a meeting.

II. Where further formal resolution is required, the Director of BCM shall designate an OTDA employee ("Designee") to determine and undertake the initial resolution or settlement of any protest.

III. The Designee will conduct a review of the records involved in the Formal Protest, and provide a memorandum to the Director of BCM summarizing the facts as determined by the Designee, an analysis of the substance of the Formal Protest, and a preliminary recommendation. The Director of BCM shall: (a) evaluate the Designee’s findings and recommendations, the procurement record, (b) review the materials presented by the Protestor and/or any materials required of or submitted by other Offerors, (c) if necessary, consult with agency counsel, and (d) prepare a response to the Formal Protest (“Protest Decision”).

D. A copy of the Protest Decision, stating the reason(s) upon which it is based and informing the Protester of the right to appeal an unfavorable decision to the OSC, shall be sent to the Protester or its agent within forty-five (45) calendar days of receipt of the Formal Protest, except that upon notice from OTDA to the Protester that such period may be extended. The Protest Decision will be recorded and included in the procurement record, or otherwise forwarded to OSC upon issue.

E. Appeals

Upon receipt of OTDA’s Protest Decision, a Protester has ten (10) business days to file an appeal of the determination with OSC. The appeal must be in writing, and be filed with OSC. The Protester’s appeal must contain an affirmation in writing that a copy of the appeal has been served on OTDA, the successful Offeror (except where the contracting agency upholds the protest and the successful Offeror is the appealing party) and any other party that participated in the protest. In its appeal, the interested party shall set forth the basis on which it challenges the contracting agency’s determination. OSC will conduct its determination of the appeal in accordance with its established policy.

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F. Reservation of Rights and Responsibilities of OTDA

OTDA reserves the right to waive or extend the time requirements for protest submissions, decisions and appeals herein prescribed when, in its sole judgment, circumstances so warrant to serve the best interests of the State and OTDA. If OTDA determines that there are compelling circumstances, including the need to proceed immediately with the contract award in the best interest of the State, then these protest procedures may be suspended and such decision shall be documented in the procurement record. OTDA will consider all information relevant to the protest, and may, at its discretion, suspend, modify, or cancel the protested procurement action including solicitation of bids or withdraw the recommendation of contract award prior to issuance of a formal protest decision.

G. Procurement Activity Prior to Final Protest Activity

Receipt of a Formal Protest shall not generate a stay action on the procurement unless otherwise determined by OTDA, in its sole discretion. If a Formal Protest or appeal is received by OTDA on a recommended award prior to the underlying contract being forwarded to OSC, notice of receipt of the protest and appeal will be included in the procurement record forwarded to OSC. If a final Protest Decision or final decision on appeal has been reached prior to transmittal to OSC, a copy of the final decision will be included in the procurement record and forwarded with the recommendation for award.

If a Protest Decision is made after the transmittal of a bid package to OSC, but prior to OSC approval under SFL § 112, a copy of the final OTDA Protest Decision shall be forwarded to OSC when issued, along with a letter either: a) confirming the original OTDA recommendation for award and supporting the request for final contract approval, b) modifying the proposed award recommendation in part and supporting a request for final contract approval as modified, or c) withdrawing the original award recommendation.

H. Record Retention of Bid Protests

All records related to Formal Protests and appeals shall be retained for at least one (1) year following resolution of the protest. All other records concerning the procurement shall be retained according to the statutory requirements for records retention.

5.21 BACKGROUND INVESTIGATIONS OTDA policy requires background investigations to be conducted on all Contractors staff who have access to OTDA’s IT systems, access to OTDA’s confidential information/data, or routine access to any OTDA’s facility. For purposes of this policy “routine access” is defined as access to OTDA facility for five (5) consecutive business days or ten (10) business days over the annual Term of the Agreement. Accordingly, the Contractor’s proposal contains a certified

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statement (Appendix C) that it has or will conduct a background investigation within twelve (12) months prior to any individual commencing Services under an Agreement, resulting from this RFP. At a minimum, background investigations shall include a review/evaluation of the following: Social Security Number search and verification of U.S. citizenship or legal immigration status (if appropriate); criminal history check/court records (Federal, State, and local for the past five (5) years); work experience/history (for the past five (5) years); and pertinent education/professional credentials. OTDA reserves the right to review the results of the successful Offeror’s background investigation(s) and its supporting documentation upon request. In addition, OTDA reserves the right to conduct its own background investigation of the successful Offeror’s staff. The Successful Offeror must undertake a background investigation of any new/replacement staff during the Term of the Agreement resulting from this RFP. The successful Offeror will need to certify that staff provided to perform Services possess the necessary integrity and professional capacity to meet OTDA’s reasonable expectations. Subsequent to the commencement of Services, whenever the successful Offeror becomes aware, or reasonably should have become aware, that any staff member(s) providing Services to OTDA no longer possesses the necessary integrity or professional capacity, the successful Offeror shall immediately discontinue the use of such staff and notify OTDA. OTDA has final approval of any staff furnished to provide Services and may refuse to approve any staff member(s) based on its review of the staff member’s responsibility to perform the required Services. OTDA reserves the right to bar anyone from access to OTDA’s premises and/or access to OTDA’s information resources. The successful Offeror will be required to maintain records related to the background investigations performed for the Term of the Agreement resulting from this RFP. For the purpose of this Section “staff” includes employees, owners, officers, directors, or agents of the Offeror and any of the Offeror’s subcontractors. 6.0 PROPOSAL CONTENT

The following includes the required format and information to be provided by the Offeror. Offeror’s responding to this RFP must satisfy all requirements stated in this RFP. All Offerors are required to submit complete Administrative, Technical, and Cost proposals. A proposal that is incomplete in any material respect will be rejected.

To expedite review of the proposals, Offerors are required to submit proposals in separate Administrative, Technical and Cost packages. This separation of information will facilitate the review of the material requested. No information beyond that specifically requested is required, and Offerors are requested to keep their submissions to the shortest length consistent with making a complete presentation of qualifications. Additional information, if submitted, should be

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in a separate package. Proposals must contain sufficient information to assure OTDA of their accuracy.

Evaluations of the Administrative, Technical, and Cost Proposals received in response to this RFP will be conducted separately. Offerors are therefore cautioned not to include Cost Proposal information in the Administrative or Technical Proposal documents.

OTDA will not be responsible for expenses incurred in preparing and submitting the Administrative, Technical, or Cost Proposals. Such costs should not be included in the Proposal.

6.1 ADMINISTRATIVE PROPOSAL

The Administrative Proposal should contain all requirements listed below. A proposal that is incomplete in any material respect may be eliminated from consideration. The information requested should be provided in the prescribed format. Responses that do not follow the prescribed format may be eliminated from consideration. All responses to the RFP will be subject to verification for accuracy. Please provide the forms requested in Appendix E (Required Forms), in the same order as requested.

A. Statement of Contractual Willingness

Provide a statement as to the willingness of your firm to enter into a contractual agreement containing, at a minimum, the State’s current Standard Appendix A – Standard Clauses for New York State Contracts, which has been provided.

Offeror must also provide a statement agreeing to comply fully with all NYS Cyber security policies and procedures. A copy of this policy may be obtained on the following website: https://its.ny.gov/document/information-security-policy. Offeror agrees that its officers, agents, employees and Subcontractors may be required to consent to undergo background security clearances, to include fingerprinting and background checks, as determined by OTDA, prior to being authorized to work pursuant to the Terms of this Agreement. If deemed necessary at the sole discretion of the State, OTDA shall arrange for the scheduling of fingerprinting and shall pay any processing fees, such as those prescribed by the New York State Division of Criminal Justice Services. Any fees otherwise related to conducting background checks will be paid by the Offeror.

B. Exceptions

Appendix A of this RFP provides the terms and conditions that will form the basis of the agreement to be executed by the OTDA and the selected Offeror.

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The Offeror must provide a written statement as to the willingness of the firm to enter into a contractual agreement containing the terms and conditions contained in Appendix A and the specifications and requirements set forth throughout this RFP.

Offerors are strongly encouraged to carefully review the OTDA Draft Contract terms (Appendix T) and Appendix A and to carefully review the specifications and requirements set forth throughout this RFP. Offerors MUST raise any potential assumptions, exceptions, caveats, etc. to the contract terms and conditions and/or to the RFP specifications, and requirements during the Question and Answer phase of the procurement.

The OTDA will not negotiate material changes to the terms, conditions, specifications, and requirements of this RFP and any subsequent amendments to this RFP.

Proposals that contain material changes to the terms and conditions, specifications, and requirement set forth throughout this RFP may be disqualified.

Offerors must provide a comprehensive listing of the Offeror’s exceptions to the terms and conditions and/or to the specifications and requirements set forth in this RFP. Any exceptions, caveats, expectations or additional information to terms and conditions, and/or the specifications and requirements expressed in this RFP must be listed, clearly explained, and cross-referenced to the response to which it applied. Exceptions to this RFP may only be made to the extent they are minor and do not materially alter the Terms and Conditions, specification and requirements stated herein, and will be subject to acceptance by the State or Offeror withdrawal prior to contract award. The State reserves the right, in its sole discretion, to determine the materiality of the Offeror’s stated exceptions. Offerors must raise issues and/or concerns relating to this procurement during the question and answer phase rather than taking exceptions within their proposals. Proposals that contain material changes to the terms and conditions, specifications, and requirement set forth throughout this RFP may be disqualified.

C. Statement of Competing Commitments

Each Offeror must list any competing commitments they have entered into for which the personnel identified as Project Manager or Project Personnel (Appendix J) will be working on the contract resulting from this RFP.

D. Required Bid Forms for All Bidders

The Offeror must complete all the forms in Appendix E Required Forms

E. Required Forms for Winning Bidder

Upon contract award, the following forms, found in Appendix N, will be required prior to work commencing:

1. Certification of Drug Free Workplace

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2. Contractor Non-Disclosure Form

All Contractor or Subcontractor staff performing under the Contract resulting from the RFP must commit to and sign a Non-Disclosure Form. Such signed agreements must be submitted to OTDA prior to staff commencing work on the project.

3. ST-220-CA - Contractor Certification to Covered Agency

Tax Law Section 5-a, which was added to the Tax Law under Part N of Chapter 60 of the Laws of 2004, imposes upon certain Contractors the obligation to certify whether or not the Contractor and its affiliates are required to register to collect State sales and compensating use tax. Where required to register, the Contractor must also certify that it is, in fact, registered with the State Department of Taxation and Finance (DTF). The law prohibits the State Comptroller, or another approving agency, from approving a contract awarded to an Offeror meeting the registration requirements but who is not so registered in accordance with the law.

4. ST-220-TD - Contractor Certification

Pursuant to Tax Law Section 5-a, the Contractor must complete, sign, and file a properly completed Form ST-220-CA (with OTDA) and Form ST-220-TD (with the Tax Department). The Contractor must also submit a copy of the Certificate of Authority, if available, for itself and any affiliates required to register to collect state sales and compensating use tax. If Certificates of Authority are unavailable, the Contractor, affiliate, Subcontractor or affiliate of Subcontractor must represent that it is registered and that it has confirmed such status with DTF.

After contract start date, through the life of the contract including all extensions, the following forms are required:

1. Contractor’s Annual Employment Report (Form B)

2. MWBE Quarterly Compliance Report – Separately Attached

Beginning ten days following the end of the first calendar quarter (March 31st, June 30th, September 30th, and December 31st) after contract start date, quarterly compliance reports are due on the tenth day of the first month of each following quarter, for the preceding quarter’s activity.

3. EEO Workforce Utilization and Compliance Report – Separately Attached

The work force utilization/compliance report is to be submitted on a quarterly basis during the life of the contract to report the actual work force utilized in the performance of the contract broken down by the specified categories. When the work force utilized in the performance of the contract can be separated out from the Contractor’s or Subcontractor’s total work force, the Contractor or

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Subcontractor shall submit a Utilization Report of the work force utilized on the contract. When the work force to be utilized on the contract cannot be separated out from the Contractor’s or Subcontractor’s total work force, information on the Contractor's total work force shall be included in the Utilization Report. Utilization reports are to be completed each quarter and submitted to OTDA within 15 days of the end of each quarter. If there are no changes to the work force utilized on the contract during the reporting period, the Contractor can submit a written statement of no change or submit a copy of the previously submitted report with the date and reporting period updated.

6.2 TECHNICAL PROPOSAL

The purpose of the Technical Proposal is to demonstrate the qualifications, competence, and capacity of the Offeror to perform the services contained in this RFP. The Technical Proposal should demonstrate the qualifications of the Offeror and of the staff to be assigned to provide the services related to the services included in this RFP. A Technical Proposal that is incomplete in any material respect WILL be eliminated from consideration. The following outlines the required information to be provided, in the following order, by Offerors. The information requested should be provided in the prescribed format, in the same order as shown below. Responses that do not follow the prescribed format may be eliminated from consideration. All responses to the RFP will be subject to verification for accuracy. While additional data may be presented, the following must be included. Please provide the information in the same order in which it is requested. Your proposal must contain sufficient information to assure OTDA of its accuracy. Failure to follow these instructions may result in disqualification. Please note responses to Appendix W Scope of Work Section 2.20 must be separately bound. Cost information must NOT be included in the Technical Proposal documents.

A. Title Page

Submit a Title Page providing the RFP subject and Number; the Offeror’s name and address, the name, address, telephone numbers, and email address of the Offeror’s contact person; and the date of the Proposal.

B. Table of Contents

The Table of Contents should clearly identify all materials (by section and page number) included in the proposal.

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Each proposal should contain an index that cites each tab number in the proposal where the requested information can be found for the corresponding RFP Section. The proposal should provide satisfactory evidence of the Offeror’s ability to meet, and expressly respond to, each requirement and information request in this RFP.

C. Executive Summary

An Executive Summary must be submitted which describes the Offeror’s understanding of the requirements of this RFP, the Offeror’s approach for meeting the requirements and how the Offeror can assist the OTDA in accomplishing the purpose of this RFP. In addition, the Executive Summary must describe the range of services generally provided by the Offeror, and include a statement that the individual signing the signature pages is authorized to bind the company.

D. Narrative Section

A narrative must be submitted, together with explanatory charts, schedules and other documents describing the Offeror's understanding of the requirements of this RFP, and how the Offeror proposes to meet those requirements as described in SOW and this RFP for each of the following components:

1) Statement of Offeror Ability

State the ability of your firm to provide sufficient staff to meet the OTDA’s production and operational requirements. Identify all proposed Subcontractors. Explain whether qualified staff will be provided by using existing on-staff resources, through direct recruitment, through Subcontractors or a combination thereof. Provide, in detail, the Project Manager and staffing projections as described in SOW and RFP Provide Appendix J - Key Personnel Experience and Reference Forms and resume for the Offeror’s Proposed Project Manager assigned to the project, including those hired through a Subcontractor. The Appendix J must list three (3) references for this position. The Offeror is responsible for ensuring that all physical addresses, telephone numbers, and email addresses provided in Appendix J reference contacts are current and that the reference contacts are available and willing to provide prompt response to OTDA inquiries. OTDA will contact the references by email. References will not be acceptable if they are employees of the Offeror or any proposed Subcontractor. It is the responsibility of the Offeror to provide proof of experience and capability for each of the key personnel proposed by the Offeror.

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Appendix J - Key Personnel Experience and resumes must be submitted for any additional key personnel being submitted with the proposal, and so designated on the Appendix L– Project Team Resource Chart. Appendix K, Letter of Intent to Accept Employment – Key Staff must be submitted for each proposed Key Personnel who are not currently employed by the Offeror or its proposed agent.

2) Offeror Experience and Qualifications.

OTDA strongly encourages proposals from companies with experience in procurements of this type. Proposals from firms without appropriate experience and financial resources will be rejected. A qualified Offeror must be a single, totally responsible prime Contractor. The exact roles of any proposed Subcontractors or vendors in relation to the work outlined in this RFP must be specified within the Offeror’s proposal. All proposed roles and responsibilities of the prime Contractor and Subcontractors must remain constant for the life of the contract. The Prime Contractor or its Subcontractor, whichever entity is directly performing the card production and personalization, must have a minimum of four (4) full years of experience in the production of cards used for financial transactions. (i.e. Debit, Creditor EBT) producing at least 500,000 cards per year for each of the four years. These financial cards produced are further defined as having all requirements conforming to standards, as defined in Appendix W, Exhibit 15- Card Standards and are used to access the financial network used in the Debit, Credit and EBT industries. Offerors must provide documentation of all previous experience that the firm has in delivering the services as required by this RFP. The four years of experience cannot equal the summation of the prime and proposed Subcontractor(s). Over the counter experience in card personalization and delivery is desired but not required.

3) Offeror References

Appendix R of this RFP must be completed for the prime Contractor for three (3) organizations for which your firm is supplying or has supplied services similar to those presented in this RFP, card production and distribution services. At least one of the references must be within the past three (3) years. Provide each organization name and address, and the name, email address, and telephone number of the individual who is or was the point of contact in each organization. Offerors must include additional narrative to fully describe the details of the scope of services provided to each referenced customer/organization. The Offeror is responsible for ensuring that all physical addresses, telephone numbers, and email addresses provided in Appendix R for reference contacts are

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current and that the reference contacts are available and willing to provide prompt response to OTDA inquiries. OTDA will contact the references by email. If the production and personalization of cards will be performed by a Subcontractor, three (3) references must be submitted for the Subcontractor in addition to the prime Contractor references. OTDA reserves the right to ask for additional references for the prime Contractor and any Subcontractors. If an Offeror is requesting OTDA to be a reference in Appendix R, forward any such requests in writing to the Primary Contact for this procurement. The Primary Contact will be the conduit between the vendor and the individuals in OTDA and will forward such requests to the appropriate party. The appropriate party will respond back to the vendor through the Primary Point of Contact.

E. Offeror’s Certified Statements- Appendix C

Submit Appendix C, Offeror’s Certified Statements, which include information regarding the Offeror. Appendix C must be signed by an individual authorized to bind the Offeror contractually. Please indicate the title or position that the signer holds with the Offeror. OTDA reserves the right to reject a proposal that contain an incomplete or unsigned Appendix C. Failure to include Appendix C WILL result in your proposal being considered nonresponsive.

F. SOW Requirements

1. Offeror’s proposal shall demonstrate how the Offeror intends to provide all the

services included in this RFP and Appendix W (Scope of Work) throughout the Contract Term

To ensure that the Offeror’s Proposal details every/all aspects of Appendix W (Scope of Work), Offeror’s proposal should include a cover page which identifies the page(s) where information/details are provided for each item number/letter listed in the SOW and below.

2. Responses to SOW section 2.20 are required to be provided in separate bound copies.

G. Benchmark Presentation/Demonstration Requirements

OTDA may require the Offeror to participate in the benchmark presentation/demonstration of the card issuance process described in the Offeror’s proposal. The benchmark presentation/demonstration may be required at OTDA’s sole discretion.

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OTDA staff may be present on site during pre-award benchmark presentation/demonstration to verify results or participate through alternate method as agreed to by OTDA. The Offeror must present the following items described below in Benchmark Criteria for the pre-award benchmark presentation/demonstration. Offerors are free to display the processes required below using any existing production system or systems for which they are responsible for designing and maintaining, or utilize the system or the components of the system they propose for OTDA. All cards produced during the benchmark will be sent to OTDA immediately following its conclusion. OTDA reserves the right to conduct additional testing on the benchmark cards.

Benchmark Criteria:

1) Total cards: Produce 9,000 cards in a 24-hour timeframe. Of which 2,000 must

utilize tabletop OTC hardware, and 7,000 must utilize the hardware intended for mailed cards. The timeframe for OTC production cannot exceed twelve 12 hours and must demonstrate printer pooling. The timeframe for mailed card production is twenty-four 24 hours.

2) All cards printed must be ISO standard financial transaction track two (2)

compliant as defined in Appendix W, Exhibit 15- ISO Card Standards. 3) All cards must be customized in flat graphics. 4) Photo card and non-photo card printing must be demonstrated. 5) Signature and non-signature card printing must be demonstrated. 6) All mailed cards must be mounted on customized card carriers and stuffed for

mailing. 7) An inventory control system must be displayed. 8) A quality control system/methodology must be displayed. 9) The proposed Zip sorting bundling for mailing purposes must be demonstrated if

so proposed. 10) Customer reporting with billing, detailed production and summary production

reports must be provided.

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11) Display of an Administrative System capable of presenting detailed and summary histories of card production, photo data and signature data.

Following the benchmark, it will be the Offeror's responsibility to provide independent certification that cards produced during the benchmark presentation/demonstration meet the ISO standards contained in SOW and as defined in Appendix W, Exhibit 15- ISO Card Standards of this RFP. OTDA representatives will select a sampling of both mailed and OTC cards produced during the benchmark to be sent for certification. This certification must be provided by a company or agency experienced in evaluating financial transaction cards. Test results provided to the OTDA must be on original documents from the testing company and be accompanied by information adequate to allow the OTDA to independently contact the testers and verify the results. The Offeror’s instructions to the testing company must include a requirement that the tester transmit or mail the benchmark results directly to the OTDA upon completion. At its discretion, the OTDA will be free to communicate directly with any testing organization chosen by the Offeror.

Specific items that must be addressed in the certification include the following:

1) Electrical and Magnetic Characteristics of the Card that meet the requirements

for use in the financial industry. 2) Card construction documentation that will assure the OTDA that the card

construction method supports the 4-year durability requirement in section 2.2 of Appendix W according to industry accepted recommendations.

3) Physical Characteristics of the Card that will guarantee reliability when used in

conjunction with card transport mechanisms used in ATM devices. The cards must be compatible with use in standard track 2 reading POS devices and in ATM machines.

4) Physical Security of Cards that will guarantee resistance to tampering with text or

color photos printed on the cards. 5) All cards possess high coercivity magnetic media characteristics. 6) All tests listed in Appendix W, Exhibit 15 (Card Standards) will be conducted by

the independent testing organization. H. Diversity Practices

OTDA has determined, pursuant to New York State Executive Law Article 15-A, that the assessment of the diversity practices of Offerors to this RFP is practical, feasible,

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and appropriate. As part of your proposal, submit the “Diversity Practices Questionnaire” (referenced in Appendix E) with your Technical Proposal.

I. Additional Requirements of Technical Proposal

1) Offeror’s Proposal may include a brief narrative that explains any potential

revision(s) the Offeror’s would like to submit, including all benefits and disadvantages, both tangible and intangible, as well as the effect on equipment, software, fixed and reimbursable costs, (e.g., decreases or increases, sale or replacement, etc.), including: a description of the effect of the revision on the performance in standards outlined herein: a statement of any and all design, development and implementation costs and any increases or decreases in operation costs; a description of the impact on districts, clients or any other affected party and an estimate of the annual savings.

Such proposed revisions may be accepted or rejected by OTDA, in its sole discretion, in whole or in part. Offerors must not make their cost proposal contingent on acceptance of any Offeror suggested revision(s).

The State reserves the right to use any Offeror suggested revision(s) proposed by any Offeror. This right extends to revisions suggested by unsuccessful Offerors. By submitting any Offeror suggested revision(s) in its proposal, an Offeror agrees to the terms of this paragraph. The State will not, in any manner, reimburse the unsuccessful Offerors for any of their suggested revisions, which the State may decide to implement. An Offeror’s suggested revisions will not be used in evaluating that Offeror's proposal. Offeror suggested revisions will be considered during contract negotiations with the successful Offeror.

OTDA reserves the right to reject any revision proposed by an Offeror that OTDA deems impractical in the New York State environment or not in the best interest of the State.

2) Offeror’s proposal must provide a detailed work plan in the proposal that lists all anticipated activities, associated deliverables and approximate time frames needed to complete the project. The work plan should at a minimum, include the following listed items along with all other tasks the Offeror deems appropriate. Associated deliverables are noted in italics. Numbers in parenthesis refer to the corresponding item in Appendix G of this RFP. Specific dates associated with that work plan must be provided to the OTDA within 30 calendar days of OSC approval of the signed contract. Due dates and required timeframes for all deliverables are indicated in Appendix G.

Work Plan to include:

a) Systems design and development

i. General Design Documents (#4) ii. Detailed Design Documents – draft (#7)

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iii. Detailed Design Documents – final (#12) b) Hardware Acquisition and Installation

i. Detailed Equipment List (#9) ii. Maintenance Contracts (#21) iii. Proof of Delivery (#21)

c) Testing

i. Test Plans (#8) ii. Test Scripts (#8) iii. Test Reports (#15) iv. Availability of User Test System (#14) v. Final Test Results (#15 and #25)

d) Procedures, Manuals, and Documents

i. Operations Procedures Manual(s) (#19) ii. Inventory Control Procedures (#11 and #19) iii. Issue Escalation Flow Chart and Contact Data (#23) iv. Quality Assurance and Control Manual (#22) v. Change and Release Management Manual (#22)

e) Database Conversion

i. Agreements with Current CBIC Contractor as Necessary (#7) ii. Conversion Plan (#7) iii. Data Base Conversion Reports (#20)

f) Mailed card production primary and back-up sites readiness

i. Written Certification from Contractor that the Primary, Back-up Site, and OTC Sites are Ready to Begin Card Production (#24)

ii. Back-up and Recovery Plans for Mailed Card Production and for Data Flow to OTC Sites (#16)

iii. Vendor Communications Network (Primary and Back-up) readiness iv. Written Certification and Documentation from Contractor that the Primary

and Back-up Networks are ready to support the CBIC project and perform as required.

The Offeror is responsible for ensuring that the level of detail in the work plan sufficiently identifies each deliverable, milestone and the responsible person and/or work unit within the Offeror's corporate structure or that of any Subcontractor assigned to the task. The work plans must be presented with “days to completion” projections which will be converted to actual begin and end dates 30 calendar days after OSC approval of the signed contract. All dependencies, external and internal, must be identified. Each organization (State, Contractor, Subcontractor, other) responsible for a specific function of the

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CBIC project must be identified. Dates for State receipt of each deliverable must be provided to the OTDA within 30 calendar days of OSC approval of the signed contract. Failure to meet scheduled deliverable may subject the Contractor to damages.

Staffing/Training Plan:

a) Identification of Individuals to be Assigned/Hired (#17) b) Resumes of Staff to be Assigned/Hired (#10) c) Organizational Chart (#17) d) Training Plans (#18) e) Training Manual(s) (#18)

Identification of all Subcontractors Copies of Subcontracts (#3)

Acquisition of Consumables a) Detailed Listing of Consumables (#13) b) Proof of Purchase (#13)

6.3 COST PROPOSAL Submit a separate completed and signed Appendix P (Pricing Schedule). Cost proposals must comply with the mandatory format and content requirements as detailed in Appendix P. Failure to comply with the mandatory format and content requirements may result in disqualification. 7.0 PROPOSAL SUBMISSION All proposals must be submitted in hard copy and exact electronic copy (CD/DVD-rom or USB flash drive) (see Section 7.1) and received by the date and time indicated for the Deadline for Submission of Proposals as specified in Section 1. Proposals received after the Deadline for Submission of Proposals may be rejected.

To be considered eligible, the Offeror must submit a complete response to this RFP in conformance with the format and content requirements set forth herein. A proposal that does not provide all the information requested may be subject to rejection. The proposal must contain sufficient information to assure the State of its accuracy. No information beyond that specifically requested is required and Offerors are requested to keep their submissions to the shortest length consistent with making a complete presentation of qualifications.

Administrative, Technical, and Cost Proposals must clearly be labeled and submitted, by U.S. Mail, by courier/delivery service, or by hand as noted below, in separately sealed packages to:

Office of Temporary and Disability Assistance Attention: Cynthia McGrath 40 North Pearl Street, Floor 12D

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Albany, New York 12243

Due to security procedures at 40 North Pearl Street, proposals that will be hand-delivered must be taken to the Security desk during OTDA’s normal receiving hours, which are Monday through Friday, between the hours of 8:00 am ET and 3:00 pm ET. Offeror’s must provide the name of the Primary Point of Contact listed in Section 5.1 and phone number (518) 486-6352 to the Security Staff. Offeror’s should allow extra time to comply with security procedures in effect at 40 North Pearl Street, in Albany, New York when hand delivering proposals or using deliveries by independent courier services. NOTE: Offeror’s must provide identification to the security guard(s) for inspection. Offeror’s assume all risk for timely, properly submitted proposals.

Submission of proposals in a manner other than as described in these instructions (e.g., fax, electronic transmission) will NOT be accepted.

All Proposals received before the Deadline for Submission of Bids shall become the property of OTDA and will not be returned to the Offeror.

An Offeror may withdraw a proposal at any time prior to the Deadline for Submission of Proposals by written notification to OTDA as set forth in Section 5.1 of this RFP. An authorized agent of the company must sign the notice of withdrawal. The proposal may thereafter be resubmitted, but not after the Deadline for the Submission of Proposals specified in Section 1. Modification offered in any other manner, oral or written will not be considered.

SUBMISSION OF ADMINISTRATIVE, TECHNICAL, AND COST PROPOSALS Each Offeror must submit SEPARATE Administrative, Technical, and Cost Proposals, as follows:

A. For the Administrative Proposal

Submit TWO Originals; the original Administrative Proposals must be clearly marked “ORIGINAL” on the covering page.

B. For the TECHNICAL Proposal:

1. Submit TWO Original and Seven Paper Copies; the original of the Technical Proposal (not including SOW Section 2.20) must be clearly marked “ORIGINAL” on the covering page.

2. Submit Two Original and Five Paper Copies of responses to SOW Section 2.20.

C. For the Cost Proposal

Submit TWO Original; Cost Proposals must be clearly marked “ORIGINAL” on the covering page.

D. For EACH of the Administrative, Technical and Cost Proposal:

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Submit ONE copy of EACH of the Administrative, Technical and Cost Proposals on SEPARATE CD’s/Flash Drive’s; an acceptable format is unlocked Adobe PDF. The electronic copies of EACH of the Administrative, Technical and Cost Proposals should represent exact copies of the original documents, including signatures, and must be in one file on each CD/Flash Drive.

Submit each of the complete Administrative, Technical, and Cost Proposals in its own separate sealed package, all of which may be submitted within one (1) complete package.

Clearly mark the outside envelope of your sealed Proposal, the original, each copy, and CD/Flash Drive as “Common Benefit Identification Card” – (Technical) (Administrative) or (Cost) Proposal submitted by (Offeror’s Name).”

8.0 EVALUATION CRITERIA

8.1 GENERAL INFORMATION OTDA will evaluate each proposal based on the “Best Value” concept. This means that the proposal that best “optimizes quality, cost and efficiency amount responsive and responsible Offerors” shall be selected for award (State Finance Law, Article 11 §163[1][j]). OTDA, at its sole discretion, will determine which proposal best satisfies its requirements. OTDA reserves all rights with respect to the award. All proposals deemed to be responsive to the requirements of this procurement will be evaluated and scored for technical qualities and cost. Proposals failing to meet the requirements of this document may be eliminated from consideration. The evaluation process will include separate technical and cost evaluations, and the result of each evaluation shall remain confidential until both evaluations have been completed and a selection of the winning proposal is made. The evaluation process will be conducted in a comprehensive and impartial manner, as set forth herein, by an Evaluation Committee. The Technical Proposal compliance with other RFP requirements (other than the Cost Proposal) will be weighted at 60% of a proposals total score and the information contained in the Cost Proposal will be weighted at 40% of a proposals total score. Offerors may be requested by OTDA to clarify the contents of their proposals. Other than to provide such information as may be requested by OTDA, no Offeror will be allowed to alter its proposal or add information, except as provided for in Section 5.11.V above, after the Deadline for Submission of Proposals. 8.2 ORAL PRESENTATIONS OTDA, at its own discretion, may require Offerors to make an oral presentation clarifying their proposed solution/proposal and additional items in their proposal. OTDA evaluators may use

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the information gathered during this process to revise the scores from the technical evaluation, based on the merits and clarifications provided. Presentations may be up to 90 minutes. Questions may be asked by the evaluation committee based on material covered in the presentation and/or in the proposal. Presentations would be conducted in Albany, New York. It would be the responsibility of the Offeror to present staff at the schedule time. Offerors would be responsible for all costs associated with the presentation. Appointments would be made at least one week prior to the schedule interview date. 8.3 BENCHMARKS

OTDA may require the Offeror to participate in the benchmark presentation/demonstration of the card issuance process described in the Offeror’s proposal. The benchmark presentation/demonstration may be required at OTDA’s sole discretion. See Technical Section 6.2 of this RFP for benchmark requirements. Any and all cost of the Benchmark presentation/demonstration will be at the sole cost of the Offeror.

8.4 SUBMISSION REVIEW OTDA will examine all Proposals that are received in a proper and timely manner to determine if they meet the proposal submission requirements, as described in Section 6.0 (Proposal Content) and Section 7.0 (Proposal Submission), and include the proper documentation, including all documentation required for the Administrative Proposal, as stated in this RFP. Proposals that are materially deficient in meeting the submission requirements or have omitted material documents, in the sole opinion of OTDA, may be rejected. 8.5 TECHNICAL EVALUATION The evaluation process will be conducted in a comprehensive and impartial manner. A Technical Evaluation Committee comprised of program staff of OTDA, HRA and ITS will review and evaluate all proposals. All proposals will undergo a Preliminary Technical Evaluation (Pass/Fail) to verify the mandatory requirements (Section 4.1). The Technical Evaluation Committee members will independently score each Technical Proposal that passes the Preliminary Technical Evaluation and meets the submission requirements of this RFP. The individual Committee Member scores will be averaged to calculate the Technical Score for each responsive Offeror. The technical evaluation (which includes the Diversity Questionnaire) is 60% (up to 60 points) of the final score.

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The following general evaluation criteria will be used to evaluate each Offeror’s technical proposal that has passed the Preliminary Technical Evaluation. Technical Proposal Evaluation Methodology

A. Technical Proposal Evaluation

Proposals which satisfy the format and content criteria will be examined to determine if they satisfy the mandatory specifications found in SOW and this RFP. Failure to meet any specification found in the SOW and this RFP may result in an Offeror’s removal from further consideration.

B. Determination

The determination to be made will be made by subjecting each Offeror’s responses to the following two tests: 1) Existence

The Offeror has supplied a response to the specifications of this RFP.

2) Adequacy

Offeror has responded to each requirement in SOW and RFP with specific details as to how they propose to provide or accomplish the requirement.

C. Technical Scoring Criteria

All proposals deemed responsive as a result of the existence and adequacy reviews above will then be evaluated in detail against weighted criteria. The weighted criteria against which each proposal will be evaluated are described below. The maximum number of percentage points given to that criterion in the scoring of the proposals is also stated below.

1) Criteria 1. Understanding of the Problem and the Nature and Scope of Work to

be Performed (15 percent).

An assessment will be made of the Offeror’s understanding of OTDA’s needs and objectives and of the scope of work to be performed under this RFP. The proposal will be reviewed with respect to its definition of the work required to adequately design and implement the project. Included in the assessment of these criteria is an examination of the proposed work plan that details tasks and

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how end products will be delivered, proposed staffing resources, the overall project organization and administration of the project.

2) Criteria 2. Project Manager (5 percent)

An assessment of the qualifications and experience of the Offeror’s proposed Project Manager will be made based upon the submitted Appendix J resume. The proposed Project Manager may be required to participate in an interview with OTDA staff.

3) Criteria 3. Offeror’s Experience and Capability (35 percent)

An assessment will be made of the Offeror’s experience with projects of similar size and scope, the Offeror’s technical experience and success with similar projects, and the Offeror’s corporate capacity to assume the work. Included in the assessment of this criteria is an evaluation of the manpower and technical resources available to support the project, the project's relationships within the corporate structure, the use of subcontracted or in-house resources, and references verifying experience, success, and the ability to meet time frames.

4) Criteria 4. Quality of Technical Approach (35 percent)

The evaluation will be based on an assessment of how well each specific requirement identified in SOW and this RFP is met, including the processing requirements as defined in SOW Section 2.5.2, OTC Requirements, with higher scoring assigned based on proposed shorter timeframes. Offerors not committing to the maximum 45-minute timeframe at the OTC sites will be eliminated from contract award consideration. An Offeror’s technical score will be adjusted upward to reflect committed timeframes of less than 45-minute client turnaround at the OTC sites, and for mailed cards less than the two (2) calendar day requirement defined in Appendix W, Exhibit 14.

5) Criteria 5. Diversity Practices (10 percent)

The evaluation will be based on an assessment of the responses to the Diversity Questionnaire provided by the Offeror in their submitted proposal.

Each Technical Proposal will be scored based on a maximum technical score of 60 points. The maximum Technical score will be allocated to the proposal with the highest total technical score. All other responsive proposals will receive a

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proportionate score based on the relation of their Technical Proposal to the proposal with the highest total technical score, using this formula: Technical points awarded = 60 potential points x (Technical Proposal being Evaluated/Highest Technical Total Score Proposal). The Technical evaluation is 60% (up to 60 points) of the final score.

8.6 COST EVALUATION A cost evaluation will be conducted separately. The Cost Evaluation Committee will examine each Cost Proposal document. Cost Proposals will be opened and reviewed for responsiveness to cost requirements. If a Cost Proposal is found to be non-responsive, that proposal may not receive a cost score and may be eliminated from consideration. Each proposal that meets the submission requirements, and meets the Cost Proposal requirements will receive a cost score. Each Cost Proposal will be scored based on a maximum cost score of 40 points. The maximum cost score will be allocated to the proposal with the lowest total cost. All other responsive proposals will receive a proportionate score based on the relation of their Cost Proposal to the proposals offered at the lowest total cost, using this formula: Cost points awarded = 40 potential points x (Lowest Cost Proposal / Cost of Proposal being Evaluated). The cost evaluation is 40% (up to 40 points) of the final score. 8.7 PRELIMINARY COMPOSITE SCORE A preliminary composite score will be calculated by OTDA by adding the preliminary Technical Proposal points to the Cost Proposal points for each Offeror’s proposal. Finalists will be determined based on preliminary composite scores. The Offeror with the highest combined preliminary composite Technical and Financial score will be subject to a benchmark presentation/demonstration. The benchmark presentation/demonstration is scored on a pass/fail basis. Successful completion (i.e. passing) would be defined as 3 or fewer attempts to fully meet the specifications detailed in the benchmark presentation/demonstration Section 6 of this RFP. If the Offeror fails the benchmark presentation/demonstration on their 3rd attempt, they will be eliminated from contract award consideration and the Offeror/Finalist with the next highest combined preliminary composite score will be subject to a benchmark presentation/demonstration.

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8.8 REFERENCE CHECKS The Offeror will submit references using Appendix R (References). At the discretion of the Evaluation Committee, references may be checked at any point during the process. 8.9 FINAL COMPOSITE SCORE

A Final Composite Score will be calculated by OTDA by adding each Offeror’s Final Technical Proposal points, reflecting any adjustments that may result from interviews, and the Offeror’s Cost Proposal points. 9.0 AWARD RECOMMENDATION A recommendation to award will be submitted to OTDA’s Selection Committee for award to the Finalist with the highest composite score whose experience and qualifications have been verified and who has passed the Benchmark Presentation/Demonstration. If the recommendation is accepted, it will be forwarded to Contract Management for review. The award recommendation will only become final after approval by the Commissioner of OTDA. A responsibility review, conflict review, and Procurement Integrity review will be required before the award recommendation becomes final. Contract Management staff will notify the awarded Offeror and Offeror’s not awarded. The awarded Offeror will enter into a written Agreement substantially in accord with the terms of Appendix T (Draft Contract Terms), to provide the required services as specified in this RFP. The resultant Agreement shall not be binding until fully executed and approved by the New York State Office of Attorney General and OSC 10.0 CONTRACT TERMS AND CONDITIONS The successful Offeror will enter into an Agreement with OTDA, substantially in accord with the terms and conditions as set forth in the Appendix T (Draft Contract Terms). These terms and conditions, the content of the selected Offeror’s proposal, together with this RFP, any amendment(s) or addendum(s) thereto, and the formal questions and answers passed during the bidding process, will be made a part of the final Agreement, hereinafter referred to as the “Agreement.”

All provisions stated in the Agreement will become part of the contractual obligations under the Agreement entered into as a result of this RFP unless explicitly stated in the Agreement that such provision(s) is/(are) deemed excluded from the Agreement entered into as a result of this RFP.

The State of New York is not liable for any cost incurred by the Contractor in preparation for or prior to the approval of an executed Agreement by OSC. Additionally, no cost will be incurred by OTDA for the Contractor’s participation in any pre-contract award activity.

The Agreement entered into as a result of this RFP and the Appendices will constitute the entire

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Agreement between the parties and no statement, promise, condition, understanding, inducement or representation, oral or written, expressed or implied, which is not contained in the Agreement entered into as a result of this RFP shall be binding or valid. The Agreement entered into as a result of this RFP shall not be changed, modified, or altered in any manner except by an instrument in writing executed by all parties of the Agreement.

January 2014

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

PLEASE RETAIN THIS DOCUMENT FOR FUTURE REFERENCE.

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

Page 2 January 2014

TABLE OF CONTENTS

Page 1. Executory Clause 3

2. Non-Assignment Clause 3

3. Comptroller’s Approval 3

4. Workers’ Compensation Benefits 3

5. Non-Discrimination Requirements 3

6. Wage and Hours Provisions 3

7. Non-Collusive Bidding Certification 4

8. International Boycott Prohibition 4

9. Set-Off Rights 4

10. Records 4

11. Identifying Information and Privacy Notification 4

12. Equal Employment Opportunities For Minorities and Women 4-5

13. Conflicting Terms 5

14. Governing Law 5

15. Late Payment 5

16. No Arbitration 5

17. Service of Process 5

18. Prohibition on Purchase of Tropical Hardwoods 5-6

19. MacBride Fair Employment Principles 6

20. Omnibus Procurement Act of 1992 6

21. Reciprocity and Sanctions Provisions 6

22. Compliance with New York State Information Security Breach and Notification Act 6

23. Compliance with Consultant Disclosure Law 6

24. Procurement Lobbying 7

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

State Contractors, Affiliates and Subcontractors

26. Iran Divestment Act 7

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

Page 3 January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

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

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

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

Page 4 January 2014

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

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

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

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

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

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In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State. 19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business Albany, New York 12245 Telephone: 518-292-5100 Fax: 518-292-5884 email: opa@esd.ny.gov

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

NYS Department of Economic Development Division of Minority and Women's Business Development 633 Third Avenue New York, NY 10017 212-803-2414 email: mwbecertification@esd.ny.gov https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million:

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

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the contract, the Department of Civil Service and the State Comptroller. 24. PROCUREMENT LOBBYING. To the extent this agreement is a "procurement contract" as defined by State Finance Law Sections 139-j and 139-k, by signing this agreement the contractor certifies and affirms that all disclosures made in accordance with State Finance Law Sections 139-j and 139-k are complete, true and accurate. In the event such certification is found to be intentionally false or intentionally incomplete, the State may terminate the agreement by providing written notification to the Contractor in accordance with the terms of the agreement. 25. CERTIFICATION OF REGISTRATION TO COLLECT SALES AND COMPENSATING USE TAX BY CERTAIN STATE CONTRACTORS, AFFILIATES AND SUBCONTRACTORS. To the extent this agreement is a contract as defined by Tax Law Section 5-a, if the contractor fails to make the certification required by Tax Law Section 5-a or if during the term of the contract, the Department of Taxation and Finance or the covered agency, as defined by Tax Law 5-a, discovers that the certification, made under penalty of perjury, is false, then such failure to file or false certification shall be a material breach of this contract and this contract may be terminated, by providing written notification to the Contractor in accordance with the terms of the agreement, if the covered agency determines that such action is in the best interest of the State. 26. IRAN DIVESTMENT ACT. By entering into this Agreement, Contractor certifies in accordance with State Finance Law §165-a that it is not on the “Entities Determined to be Non-Responsive Bidders/Offerers pursuant to the New York State Iran Divestment Act of 2012” (“Prohibited Entities List”) posted at: http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf Contractor further certifies that it will not utilize on this Contract any subcontractor that is identified on the Prohibited Entities List. Contractor agrees that should it seek to renew or extend this Contract, it must provide the same certification at the time the Contract is renewed or extended. Contractor also agrees that any proposed Assignee of this Contract will be required to certify that it is not on the Prohibited Entities List before the contract assignment will be approved by the State. During the term of the Contract, should the state agency receive information that a person (as defined in State Finance Law §165-a) is in violation of the above-referenced certifications, the state agency will review such information and offer the person an opportunity to respond. If the person fails to demonstrate that it has ceased its engagement in the investment activity which is in violation of the Act within 90 days after the determination of such violation, then the state agency shall take such action as may be appropriate and provided for by law, rule, or contract, including, but not

limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Contractor in default. The state agency reserves the right to reject any bid, request for assignment, renewal or extension for an entity that appears on the Prohibited Entities List prior to the award, assignment, renewal or extension of a contract, and to pursue a responsibility review with respect to any entity that is awarded a contract and appears on the Prohibited Entities list after contract award.

APPENDIX C

OFFEROR’S CERTIFIED STATEMENTS

(MANDATORY SUBMISSION: to be completed and included in the Proposal documents)

Common Benefit Identification Card

1. Information with regard to the Offeror

A. Provide the Offeror’s name, address, telephone number, and fax number.

Name:

Address:

City, State, ZIP Code:

Telephone Number (including area code):

Fax Number (including area code):

B. Provide the name, address, telephone number, and email address of the Offeror’s Primary Contact with OTDA with regard to thisproposal.

Name:

Address:

City, State, ZIP Code:

Telephone Number (including area code):

Email Address:

C. Provide the name, address, telephone number, and email address of the person authorized to bind the Offeror contractually, ifdifferent from (B).

Name:

Address:

City, State, ZIP Code:

Telephone Number (including area code):

Email Address:

D. Provide the name, address, telephone number, email address, place of principal employment and occupation of any person authorized to represent the Offeror. This requirement applies not only to Offeror’s employees involved in the submission of the proposal, but also to every individual or organization employed or designated by the Offeror to attempt to influence the procurement process. If there is none, state that. This information must be updated if, after the Deadline for Submission of Proposals, the Offeror retains an individual or organization to attempt to influence the procurement process. Indicate also whether the individual or organization has a financial interest in the procurement.

Name:

Address:

City, State, ZIP Code:

Telephone Number (including area code):

Email Address:

Place of Principal Employment:

Occupation:

This individual/organization has a financial interest in the procurement: Yes

No

No such individual/organization is authorized to represent the Offeror: Yes

No

2. Mandatory Requirements to Propose (Section 4.1):

A. The Offeror has maintained an organization capable of performing the services of the RFP for at least the past four (4) years and has sufficient financial resources to deliver the goods or services described in the RFP.

Yes

No*

B. The Offeror is not subject to any current or impending legal action which could impact on the financial viability of the offeror or the delivery of the goods or services. Yes

No*

C. The Offeror has (or will have) insurance coverage for the purposes of, and at the levels required, for the procurement Yes

No*

D. The Offeror agrees to meet the Minority and Women-Owned Business Enterprise and Equal Employment Opportunity Participation reporting requirements in Section 5.6 Yes

No*

E. Offeror acknowledges that OTDA will supply a minimum of 4 Pitney Bowes Pro P 3000 meter machines (or equivalent) to be used exclusively for processing OTDA CBIC’s. OTDA will also rent a minimum of 4 Pitney Bowes DM Infinity Meters and the Contractor will supply the Infinity Base. Postage will be supply to the meter established for CBIC’s.

Yes

No*

3. Offeror’s Acknowledgement of Proposal Requirements: [Please note: alteration of any language contained in this section may render your proposal non-responsive.]

A. The proposal, including the Technical, Administrative, and Cost Proposals, constitutes a firm and irrevocable offer for a period of 365 days from the date of submission to OTDA. Yes

No*

B. By submission of a proposal, the Offeror agrees not to make any claims for or have a right to any damages because of any misrepresentations or misunderstanding of the specifications or because of any lack of information.

Yes

No*

C. The Offeror Attests that its performance of services outlined in this solicitation does not and will not create a conflict of interest with, nor position the Offeror to breach any other Agreement currently in force with the State of New York.

Yes

No*

D. The Offeror certifies that all information disclosed to the OTDA is complete, true, and accurate with regard to Conflicts of Interest. Yes

No*

E. The Offeror certifies that all information disclosed to OTDA is complete, true, and accurate with regard to investigations or disciplinary actions by the NYS Commission of Public Integrity or its predecessor(s) (collectively, “Commission”).

Yes

No*

F. The Offeror certifies that all information disclosed to OTDA is complete, true, and accurate with regard to employment of Former State Employees. Yes

No*

G. The Offeror certifies that it can and will provide and make available, at a minimum, all services as described in the RFP if selected for award. Yes

No*

H. The Offeror certifies that staff provided to perform Services possesses the necessary integrity and professional capacity to meet OTDA’s reasonable expectations. Subsequent to the commencement of Services, whenever the successful Offeror becomes aware, or reasonably should have become aware, that any staff member(s) providing Services to OTDA no longer possesses the necessary integrity or professional capacity, the Offeror agrees to immediately discontinue the use of such staff and notify OTDA.

Yes

No*

I. The successful Offeror agrees to undertake a background investigation of any new/replacement staff during the term of the Agreement resulting from this RFP. Yes

No*

J. The Offeror certifies that it will maintain records related to the background investigations performed for the term of the Agreement resulting from this RFP. Yes

No*

K. The Offeror certifies that all information provided in connection with its proposal is true and accurate. Yes

No*

L. The Offeror has read, understands, and accepts all provisions of Appendix A – Standard Clauses for NYS Contracts. Appendix A contains important information related to the contract to be entered into as a result of this RFP and will be incorporated, without change or amendment, into the contract entered into between OTDA and the selected Offeror. By submitting a response to the RFP, the Offeror agrees to comply with all the provisions of Appendix A.

Yes

No*

M. The Offeror’s Legal representation has reviewed and understands Appendix T (Draft Contract Terms), and the Offeror is willing to enter into an Agreement substantially in accord with the terms of Appendix T, should the Offeror be selected for contract award.

Yes

No*

N. The Offeror agrees that OTDA shall have the right to approve or disapprove, after appropriate review and/or interview(s), any and all subcontractor(s) of the Offeror prior to their performance of services under the Agreement.

Yes

No*

O. The Offeror agrees that it shall be fully responsible for performance of work by its staff and by its subcontractor’s staff. OTDA reserves the right to request removal of any Offeror staff or subcontractor’s staff if, in OTDA’s discretion, such staff is not performing in accordance with the Agreement.

Yes

No*

P. The Offeror warrants that, if selected, it will execute an Agreement of Confidentiality wherein it agrees to protect confidential information accessed during the term of the contract from unauthorized disclosure.

Yes

No*

4. Background Investigations (Section 5.21):

A. The Offeror has conducted background investigations of employees that will be providing the Services described in this RFP to OTDA. Yes

No*

B. Background investigations of employees that will be providing the Services described in this RFP to OTDA will be conducted before such services are provided to OTDA. Yes

No*

C. The provisions of Section 5.21 will apply to any new/replacement employee(s) providing the Services described in this to OTDA. Yes

No*

* A “No” Response in Sections 2, 3, or 4 of this attachment will result in disqualification.

5. Information Required:

A. The Offeror is (check as applicable):

A New York State Certified Minority-Owned Business Enterprise

A New York State Certified Woman-Owned Business Enterprise

A New York State Certified Minority and Woman-Owned Business Enterprise (Dual Certified)

A New York State Certified Service Disabled Veteran-Owned Business Enterprise

None of the above

B. Provide the name, title, address, telephone number, and email address of the person authorized to receive Notices with regard to the contract entered into as a result of this procurement. See Article 6 of the Draft Contract Terms (Appendix T), NOTICES.

Name:

Title:

Address:

City, State, ZIP Code:

Telephone Number (including area code):

Email Address:

C. Offeror’s Taxpayer Identification Number:

D. Offeror’s NYS Vendor Identification Number as discussed in Section 5.9, if enrolled:

By my signature on this Appendix C, I certify that I am authorized to bind the Offeror contractually.

____ Typed or Printed Name of Authorized Representative of the Offeror| _____________ Title/Position of Authorized Representative of the Offeror _____________ Signature of Authorized Representative of the Offeror ______________________________________________________ Date

STATE OF NEW YORK ) COUNTY OF _________ ) SS.: On this ___________day of____________________, 20__, before me personally came _______________________________________, to me known and known to me to be the person described in and who executed the foregoing instrument and (s)he acknowledged to me that (s)he executed the same. ________________________________ Notary Public

Page 1 of 2

APPENDIX D Diversity Practices Questionnaire

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

1. Does your company have a Chief Diversity Officer or other individual who is tasked with supplierdiversity initiatives? Yes or No

If Yes, provide the name, title, description of duties, and evidence of initiatives performed by this individual or individuals.

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

3. What percentage of your company’s overhead (i.e. those expenditures that are not directly related tothe provision of goods or services to your company’s clients or customers) or non-contract-relatedexpenses (from your prior fiscal year) was paid to New York State certified minority- and women-ownedbusiness enterprises as suppliers/contractors?1

4. Does your company provide technical training2 to minority- and women-owned business enterprises?Yes or No

If Yes, provide a description of such training which should include, but not be limited to, the date the program was initiated, the names and the number of minority- and women-owned business enterprises participating in such training, the number of years such training has been offered and the number of hours per year for which such training occurs.

5. Is your company participating in a government approved minority- and women-owned businessenterprise mentor-protégé program?

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

6. Does your company include specific quantitative goals for the utilization of minority- and women-ownedbusiness enterprises in its non-government procurements? Yes or No

If Yes, provide a description of such non-government procurements (including time period, goal, scope and dollar amount) and indicate the percentage of the goals that were attained.

7. Does your company have a formal minority- and women-owned business enterprise supplier diversityprogram? Yes or No

1 Do not include onsite project overhead. 2 Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical components of their jobs. Training can include technology applications, products, sales and service tactics, and more. Technical skills are job-specific as opposed to soft skills, which are transferable.

Diversity Questionnaire Page 2 of 2

If Yes, provide documentation of program activities and a copy of policy or program materials.

8. Does your company plan to enter into partnering or subcontracting agreements with New York Statecertified minority- and women-owned business enterprises if selected as the successful respondent? Yesor No

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

Signature of Owner/Official Printed Name of Signatory

Title

Name of Business

Address

City, State, Zip

STATE OF _______________________________ COUNTY OF ) ss:

On the ______ day of __________, 201_, before me, the undersigned, a Notary Public in and for

the State of __________, personally appeared _______________________________, personally known

to me or proved to me on the basis of satisfactory evidence to be the individual whose name is

subscribed to this certification and said person executed this instrument.

__________________________

Notary Public

New York State Diversity Practices Scoring Matrix

Questions

Q1 - CDO or other person tasked with function Yes No Total

5 pts 0 ptsQ2 - Percentage of prior yr. revenues that involved M/WBEs as subs or JVs/partners 20%+ 15-19% 10-14% 5-9% 1-4% 0%

20 pts 14 pts 10 pts 6 pts 2 pts 0pts

Q3 - Percentage of overhead expenses paid to M/WBEs

20%+ 15-19% 10-14% 5-9% 1-4% 0%16 pts 10 pts 7 pts 4 pts 1 pts 0pts

Q4 - M/WBE Training Robust Moderate Minimum None

16 pts 8 pts 4 pts 0 pts

Q5 - M/WBE Mentoring Robust Moderate Minimum None

12 pts 8 pts 4 pts 0 pts

Q6 - Written M/WBE goals included in the Company's procurements

Robust Moderate Minimum No20 pts 12 pts 6 pts 0 pts

Q7 - Formal Supplier Diversity Program

Robust Moderate Minimum No6 pts 4 pts 2 pts 0 pts

Q8 - Utilization PlanRobust Moderate Minimum No5 pts 3 pts 1 pts 0 pts

Weighted Score (Up to

10% of Technical)

Total Diversity Score (Max 100 pts)

APPENDIX E

REQUIRED FORMS

Appendix E Administrative Forms

To Be Provided with Offeror’s Proposal Provided

Vendors Standard Response Forms:

MacBride Fair Employment Principle

Vendor Responsibility Questionnaire, certified within six months of the Proposal due date (unless filed and certified online) If Vendor Responsibility Questionnaire was completed and certified online, check here and do not attach a paper

copy.

Non-Collusive Bidding

Offeror Disclosure of Non-Responsibility Determinations

Procurement Lobbying Act Offeror’s Certification of Affirmation of Understanding and Agreement pursuant to SFL §139-j and k

Contractor’s Certification/Acknowledgement/Understanding

Offeror Assurance of No Conflict of Interest or Detrimental Effect (Offeror, Subcontractors, Consultants)

Subcontractor and Supplier ID Form

M/WBE Participation Requirements:

The Offeror’s EEO Policy Statement, as described in Clause 12 of Appendix A – Standard Clauses for NYS Contracts (ref OTDA-4970)

Form OTDA-4934-B Offeror’s EEO Staffing Plan

Form OTDA-4937 – Offeror’s M/WBE Utilization Plan

Form OTDA- 4938 – Subcontractors and Suppliers Letter of Intent to Participate

Form OTDA-4976 MWBE Certification of Good Faith Efforts

Form OTDA-4969 Waiver Request – If Applicable

SDVOB Participation:

Form OTDA-4200 In Contract Performance

The Following Will Be Required From the Selected Offeror Within 48 Hours of Notification Sales and Compensating Use Tax Certification 1

• ST-220 CA, Sales and Compensating Use Tax Certification (See Appendix N)

Workers’ Compensation Documentation – Appendix I

• Form C-105.2 – Certificate of Workers’ Compensation Insurance issued by private insurance carrier (or Form U-26.3 issued by the State Insurance Fund); or

• Form SI-12 – Certificate of Workers’ Compensation Self-Insurance (or Form GSI-105.2 Certificate of Participation in Workers’ Compensation Group Self-Insurance); or

• Form CE-200 – Certificate of Attestation of Exemption from New York State Workers’ Compensation and/or Disability Benefits Coverage.

Disability Documentation – Appendix I

• Form DB-120.1 – Certificate of Disability Benefits Insurance; or

• Form DB-155 – Certificate of Disability Benefits Self-Insurance; or

1 The selected Offeror must file a properly completed Form ST-220-CA (with OTDA as the Contracting Agency within 48 hours of notification of selection for award) and Form ST-220-TD (with the DTF).

• Form CE-200 – Certificate of Attestation of Exemption from New York State Workers’ Compensation and/or Disability Benefits Coverage.

Other Insurances- Appendix I

• Commercial General Liability Insurance

• Commercial Automobile Liability Insurance

• Professional Liability Insurance

• Crime Insurance

• Umbrella and Excess Liability Insurance

Additional Forms

• Security, Nondisclosure, Confidentiality and Press Release Agreement (See Appendix N)

The Following MWBE Quarterly Reports Will Be Required From the Selected Offeror Form OTDA-4968 Quarterly Compliance

Form OTDA-4971 Workforce Utilization Report

NONDISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND: MACBRIDE FAIR EMPLOYMENT PRINCIPLES

In accordance with section l65 of the State Finance Law, the bidder, by submission

of this bid certifies that it or any individual or legal entity in which the bidder holds a 10%

or greater ownership interest, or any individual or legal entity that holds a 10% or greater

ownership in the bidder, either: (answer yes or no to one or both of the following, as applicable),

(1) has business operations in Northern Ireland;

Yes ___________or No_____________

if yes:

(2) shall take lawful steps in good faith to conduct any business operations that it has in

Northern Ireland in accordance with the MacBride Fair Employment Principles relating to

nondiscrimination in employment and freedom of workplace opportunity regarding such

operations in Northern Ireland, and shall permit independent monitoring of their compliance with

such Principles.

Yes ___________or No_____________

__________________________________________________________________

Signature

New York State Vendor Responsibility Non-Construction For-Profit Questionnaire (Separately Attached)

The Office of Temporary and Disability Assistance recommends that vendors file the

required Vendor Responsibility Questionnaire online via the New York State VendRep

System; however, vendors may choose to complete and submit a paper questionnaire.

To enroll in and use the New York State VendRep System, see the VendRep System

Instructions available at http://www.osc.ny.gov/vendrep/vendor_index.htm or go directly

to the VendRep System online at https://portal.osc.state.ny.us.

Please check one of the following:

A Vendor Responsibility Questionnaire has been filed online and has been

certified/updated within the last six months.

A Vendor Responsibility Questionnaire is attached to this bid/proposal.

AC 3290-S (Rev. 9/13) NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

You have selected the For-Profit Non-Construction questionnaire which may be printed and completed in this format or, for your convenience, may be completed online using the New York State VendRep System.

COMPLETION & CERTIFICATION

The person(s) completing the questionnaire must be knowledgeable about the vendor’s business and operations. An owner or officer must certify the questionnaire and the signature must be notarized.

NEW YORK STATE VENDOR IDENTIFICATION NUMBER (VENDOR ID)

The Vendor ID is a ten-digit identifier issued by New York State when the vendor is registered on the Statewide Vendor File. This number must now be included on the questionnaire. If the business entity has not obtained a Vendor ID, contact the IT Service Desk at ITServiceDesk@osc.state.ny.us or call 866-370-4672.

DEFINITIONS

All underlined terms are defined in the “New York State Vendor Responsibility Definitions List,” found at www.osc.state.ny.us/vendrep/documents/questionnaire/definitions.pdf. These terms may not have their ordinary, common or traditional meanings. Each vendor is strongly encouraged to read the respective definitions for any and all underlined terms. By submitting this questionnaire, the vendor agrees to be bound by the terms as defined in the "New York State Vendor Responsibility Definitions List" existing at the time of certification.

RESPONSES

Every question must be answered. Each response must provide all relevant information which can be obtained within the limits of the law. However, information regarding a determination or finding made in error which was subsequently corrected is not required. Individuals and Sole Proprietors may use a Social Security Number but are encouraged to obtain and use a federal Employer Identification Number (EIN).

REPORTING ENTITY

Each vendor must indicate if the questionnaire is filed on behalf of the entire Legal Business Entity or an Organizational Unit within or operating under the authority of the Legal Business Entity and having the same EIN. Generally, the Organizational Unit option may be appropriate for a vendor that meets the definition of “Reporting Entity” but due to the size and complexity of the Legal Business Entity, is best able to provide the required information for the Organizational Unit, while providing more limited information for other parts of the Legal Business Entity and Associated Entities.

ASSOCIATED ENTITY

An Associated Entity is one that owns or controls the Reporting Entity or any entity owned or controlled by the Reporting Entity. However, the term Associated Entity does not include “sibling organizations” (i.e., entities owned or controlled by a parent company that owns or controls the Reporting Entity), unless such sibling entity has a direct relationship with or impact on the Reporting Entity.

STRUCTURE OF THE QUESTIONNAIRE

The questionnaire is organized into eleven sections. Section I is to be completed for the Legal Business Entity. Section II requires the vendor to specify the Reporting Entity for the questionnaire. Section III refers to the individuals of the Reporting Entity, while Sections IV-VIII require information about the Reporting Entity. Section IX pertains to any Associated Entities, with one question about their Officials/Owners. Section X relates to disclosure under the Freedom of Information Law (FOIL). Section XI requires an authorized contact for the questionnaire information.

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

I. LEGAL BUSINESS ENTITY INFORMATION

Legal Business Entity Name* EIN

Address of the Principal Place of Business (street, city, state, zip code) New York State Vendor Identification Number

Telephone ext.

Fax

Email Website

Additional Legal Business Entity Identities: If applicable, list any other DBA, Trade Name, Former Name, Other Identity, or EIN used in the last five (5) years and the status (active or inactive).

Type Name EIN Status

1.0 Legal Business Entity Type – Check appropriate box and provide additional information:

Corporation (including PC) Date of Incorporation

Limited Liability Company (LLC or PLLC) Date of Organization

Partnership (including LLP, LP or General) Date of Registration or Establishment

Sole Proprietor How many years in business?

Other Date Established

If Other, explain:

1.1 Was the Legal Business Entity formed or incorporated in New York State? Yes No

If ‘No,’ indicate jurisdiction where Legal Business Entity was formed or incorporated and attach a Certificate of Good Standing from the applicable jurisdiction or provide an explanation if a Certificate of Good Standing is not available.

United States State

Other Country

Explain, if not available:

1.2 Is the Legal Business Entity publicly traded? Yes No

If “Yes,” provide CIK Code or Ticker Symbol

1.3 Does the Legal Business Entity have a DUNS Number? Yes No

If “Yes,” Enter DUNS Number

*All underlined terms are defined in the “New York State Vendor Responsibility Definitions List,” which can be found atwww.osc.state.ny.us/vendrep/documents/questionnaire/definitions.pdf.

Page 2 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

I. LEGAL BUSINESS ENTITY INFORMATION

1.4 If the Legal Business Entity’s Principal Place of Business is not in New York State, does the Legal Business Entity maintain an office in New York State? (Select “N/A,” if Principal Place of Business is in New York State.)

Yes No N/A

If “Yes,” provide the address and telephone number for one office located in New York State.

1.5 Is the Legal Business Entity a New York State certified Minority-Owned Business Enterprise (MBE), Women-Owned Business Enterprise (WBE), New York State Small Business (SB) or a federally certified Disadvantaged Business Enterprise (DBE)? If “Yes,” check all that apply:

New York State certified Minority-Owned Business Enterprise (MBE) New York State certified Women-Owned Business Enterprise (WBE) New York State Small Business (SB) Federally certified Disadvantaged Business Enterprise (DBE)

Yes No

1.6 Identify Officials and Principal Owners, if applicable. For each person, include name, title and percentage of ownership. Attach additional pages if necessary. If applicable, reference to relevant SEC filing(s) containing the required information is optional.

Name Title Percentage Ownership (Enter 0% if not applicable)

Page 3 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

II. REPORTING ENTITY INFORMATION

2.0 The Reporting Entity for this questionnaire is: Note: Select only one.

Legal Business Entity Note: If selecting this option, “Reporting Entity” refers to the entire Legal Business Entity for the remainder of the questionnaire. (SKIP THE REMAINDER OF SECTION II AND PROCEED WITH SECTION III.)

Organizational Unit within and operating under the authority of the Legal Business Entity SEE DEFINITIONS OF “REPORTING ENTITY” AND “ORGANIZATIONAL UNIT” FOR ADDITIONAL INFORMATION ON CRITERIA TO QUALIFY FOR THIS SELECTION. Note: If selecting this option, “Reporting Entity” refers to the Organizational Unit within the Legal Business Entity for the remainder of the questionnaire. (COMPLETE THE REMAINDER OF SECTION II AND ALL REMAINING SECTIONS OF THIS QUESTIONNAIRE.)

IDENTIFYING INFORMATION

a) Reporting Entity Name

Address of the Primary Place of Business (street, city, state, zip code) Telephone

ext.

b) Describe the relationship of the Reporting Entity to the Legal Business Entity

c) Attach an organizational chart

d) Does the Reporting Entity have a DUNS Number? Yes No

If “Yes,” enter DUNS Number

e) Identify the designated manager(s) responsible for the business of the Reporting Entity.For each person, include name and title. Attach additional pages if necessary.

Name Title

Page 4 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

INSTRUCTIONS FOR SECTIONS III THROUGH VII

For each “Yes,” provide an explanation of the issue(s), relevant dates, the government entity involved, any remedial or corrective action(s) taken and the current status of the issue(s). For each “Other,” provide an explanation which provides the basis for not definitively responding “Yes” or “No.” Provide the explanation at the end of the section or attach additional sheets with numbered responses, including the Reporting Entity name at the top of any attached pages.

III. LEADERSHIP INTEGRITYWithin the past five (5) years, has any current or former reporting entity official or any individual currently or formerly having the authority to sign, execute or approve bids, proposals, contracts or supporting documentation on behalf of the reporting entity with any government entity been:

3.0 Sanctioned relative to any business or professional permit and/or license? Yes No Other

3.1 Suspended, debarred, or disqualified from any government contracting process? Yes No Other

3.2 The subject of an investigation, whether open or closed, by any government entity for a civil or criminal violation for any business-related conduct?

Yes No Other

3.3 Charged with a misdemeanor or felony, indicted, granted immunity, convicted of a crime or subject to a judgment for: a) Any business-related activity; orb) Any crime, whether or not business-related, the underlying conduct of which was related to

truthfulness?

Yes No Other

For each “Yes” or “Other” explain:

IV. INTEGRITY – CONTRACT BIDDINGWithin the past five (5) years, has the reporting entity:

4.0 Been suspended or debarred from any government contracting process or been disqualified on any government procurement, permit, license, concession, franchise or lease, including, but not limited to, debarment for a violation of New York State Workers’ Compensation or Prevailing Wage laws or New York State Procurement Lobbying Law?

Yes No

4.1 Been subject to a denial or revocation of a government prequalification? Yes No

4.2 Been denied a contract award or had a bid rejected based upon a non-responsibility finding by a government entity?

Yes No

4.3 Had a low bid rejected on a government contract for failure to make good faith efforts on any Minority-Owned Business Enterprise, Women-Owned Business Enterprise or Disadvantaged Business Enterprise goal or statutory affirmative action requirements on a previously held contract?

Yes No

4.4 Agreed to a voluntary exclusion from bidding/contracting with a government entity? Yes No

4.5 Initiated a request to withdraw a bid submitted to a government entity in lieu of responding to an information request or subsequent to a formal request to appear before the government entity?

Yes No

For each “Yes,” explain:

Page 5 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

V. INTEGRITY – CONTRACT AWARDWithin the past five (5) years, has the reporting entity:

5.0 Been suspended, cancelled or terminated for cause on any government contract including, but not limited to, a non-responsibility finding?

Yes No

5.1 Been subject to an administrative proceeding or civil action seeking specific performance or restitution in connection with any government contract?

Yes No

5.2 Entered into a formal monitoring agreement as a condition of a contract award from a government entity? Yes No

For each “Yes,” explain:

VI. CERTIFICATIONS/LICENSESWithin the past five (5) years, has the reporting entity:

6.0 Had a revocation, suspension or disbarment of any business or professional permit and/or license? Yes No

6.1 Had a denial, decertification, revocation or forfeiture of New York State certification of Minority-Owned Business Enterprise, Women-Owned Business Enterprise or federal certification of Disadvantaged Business Enterprise status for other than a change of ownership?

Yes No

For each “Yes,” explain:

VII. LEGAL PROCEEDINGSWithin the past five (5) years, has the reporting entity:

7.0 Been the subject of an investigation, whether open or closed, by any government entity for a civil or criminal violation?

Yes No

7.1 Been the subject of an indictment, grant of immunity, judgment or conviction (including entering into a plea bargain) for conduct constituting a crime?

Yes No

7.2 Received any OSHA citation and Notification of Penalty containing a violation classified as serious or willful?

Yes No

7.3 Had a government entity find a willful prevailing wage or supplemental payment violation or any other willful violation of New York State Labor Law?

Yes No

7.4 Entered into a consent order with the New York State Department of Environmental Conservation, or received an enforcement determination by any government entity involving a violation of federal, state or local environmental laws?

Yes No

7.5 Other than previously disclosed: a) Been subject to fines or penalties imposed by government entities which in the aggregate total $25,000

or more; orb) Been convicted of a criminal offense pursuant to any administrative and/or regulatory action taken by

any government entity?

Yes No

For each “Yes,” explain:

Page 6 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

VIII. FINANCIAL AND ORGANIZATIONAL CAPACITY

8.0 Within the past five (5) years, has the Reporting Entity received any formal unsatisfactory performance assessment(s) from any government entity on any contract?

Yes No

If “Yes,” provide an explanation of the issue(s), relevant dates, the government entity involved, 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.

8.1 Within the past five (5) years, has the Reporting Entity had any liquidated damages assessed over $25,000? Yes No

If “Yes,” provide an explanation of the issue(s), 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.

8.2 Within the past five (5) years, have any liens or judgments (not including UCC filings) over $25,000 been filed against the Reporting Entity which remain undischarged?

Yes No

If “Yes,” provide an explanation of the issue(s), relevant dates, the Lien holder or Claimant’s name(s), the amount of the lien(s) and the current status of the issue(s). Provide answer below or attach additional sheets with numbered responses.

8.3 In the last seven (7) years, has the Reporting Entity initiated or been the subject of any bankruptcy proceedings, whether or not closed, or is any bankruptcy proceeding pending?

Yes No

If “Yes,” provide 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.

8.4 During the past three (3) years, has the Reporting Entity failed to file or pay any tax returns required by federal, state or local tax laws?

Yes No

If “Yes,” provide the taxing jurisdiction, the type of tax, the liability year(s), the tax liability amount the Reporting Entity failed to file/pay and the current status of the tax liability. Provide answer below or attach additional sheets with numbered responses.

8.5 During the past three (3) years, has the Reporting Entity failed to file or pay any New York State unemployment insurance returns?

Yes No

If “Yes,” provide the years the Reporting 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.

8.6 During the past three (3) years, has the Reporting Entity had any government audit(s) completed? Yes No

a) If “Yes,” did any audit of the Reporting Entity identify any reported significant deficiencies in internalcontrol, fraud, illegal acts, significant violations of provisions of contract or grant agreements,significant abuse or any material disallowance?

Yes No

If “Yes” to 8.6 a), provide an explanation of the issue(s), relevant dates, the government entity involved, 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.

Page 7 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

IX. ASSOCIATED ENTITIESThis section pertains to any entity(ies) that either controls or is controlled by the reporting entity.(See definition of “associated entity” for additional information to complete this section.)

9.0 Does the Reporting Entity have any Associated Entities? Note: All questions in this section must be answered if the Reporting Entity is either: − An Organizational Unit; or − The entire Legal Business Entity which controls, or is controlled by, any other entity(ies). If “No,” SKIP THE REMAINDER OF SECTION IX AND PROCEED WITH SECTION X.

Yes No

9.1 Within the past five (5) years, has any Associated Entity Official or Principal Owner been charged with a misdemeanor or felony, indicted, granted immunity, convicted of a crime or subject to a judgment for: a) Any business-related activity; orb) Any crime, whether or not business-related, the underlying conduct of which was related to

truthfulness?

Yes No

If “Yes,” provide an explanation of the issue(s), the individual involved, his/her title and role in the Associated Entity, his/her relationship to the Reporting Entity, relevant dates, the government entity involved, any remedial or corrective action(s) taken and the current status of the issue(s).

9.2 Does any Associated Entity have any currently undischarged federal, New York State, New York City or New York local government liens or judgments (not including UCC filings) over $50,000?

Yes No

If “Yes,” provide an explanation of the issue(s), identify the Associated Entity’s name(s), EIN(s), primary business activity, relationship to the Reporting Entity, relevant dates, the Lien holder or Claimant’s name(s), the amount of the lien(s) and the current status of the issue(s). Provide answer below or attach additional sheets with numbered responses.

9.3 Within the past five (5) years, has any Associated Entity:

a) Been disqualified, suspended or debarred from any federal, New York State, New York City or otherNew York local government contracting process?

Yes No

b) Been denied a contract award or had a bid rejected based upon a non-responsibility finding by anyfederal, New York State, New York City, or New York local government entity?

Yes No

c) Been suspended, cancelled or terminated for cause (including for non-responsibility) on any federal,New York State, New York City or New York local government contract?

Yes No

d) Been the subject of an investigation, whether open or closed, by any federal, New York State, NewYork City, or New York local government entity for a civil or criminal violation with a penalty inexcess of $500,000?

Yes No

e) Been the subject of an indictment, grant of immunity, judgment, or conviction (including entering intoa plea bargain) for conduct constituting a crime?

Yes No

f) Been convicted of a criminal offense pursuant to any administrative and/or regulatory action taken byany federal, New York State, New York City, or New York local government entity?

Yes No

g) Initiated or been the subject of any bankruptcy proceedings, whether or not closed, or is anybankruptcy proceeding pending?

Yes No

For each “Yes,” provide an explanation of the issue(s), identify the Associated Entity’s name(s), EIN(s), primary business activity, relationship to the Reporting Entity, relevant dates, the government entity involved, 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.

Page 8 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

X. FREEDOM OF INFORMATION LAW (FOIL)

10. Indicate whether any information supplied herein is believed to be exempt from disclosure under theFreedom of Information Law (FOIL).Note: A determination of whether such information is exempt from FOIL will be made at the time of anyrequest for disclosure under FOIL.

Yes No

If “Yes,” indicate the question number(s) and explain the basis for the claim.

XI. AUTHORIZED CONTACT FOR THIS QUESTIONNAIRE

Name Telephone Fax

ext. Title Email

Page 9 of 10

AC 3290-S (Rev. 9/13) NYS Vendor ID: ____________ NEW YORK STATE

VENDOR RESPONSIBILITY QUESTIONNAIRE FOR-PROFIT BUSINESS ENTITY

Certification

The undersigned: (1) recognizes that this questionnaire is submitted for the express purpose of assisting New York State government entities (including the Office of the State Comptroller (OSC)) in making responsibility determinations regarding award or approval of a contract or subcontract and that such government entities will rely on information disclosed in the questionnaire in making responsibility determinations; (2) acknowledges that the New York State government entities and OSC may, in their discretion, by means which they may choose, verify the truth and accuracy of all statements made herein; and (3) acknowledges that intentional submission of false or misleading information may result in criminal penalties under State and/or Federal Law, as well as a finding of non-responsibility, contract suspension or 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 questionnaire in any manner;• has reviewed and/or supplied full and complete responses to each question;• to the best of his/her knowledge, information and belief, confirms that the Business Entity’s responses are true,

accurate and complete, including all attachments, if applicable;• understands that New York State government entities will rely on the information disclosed in the questionnaire

when entering into a contract with the Business Entity; and• is under an obligation to update 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 notification, and may berequired to update the information at the request of the New York State government entities or OSC prior to theaward and/or approval of a contract, or during the term of the contract.

Signature of Owner/Official

Printed Name of Signatory

Title

Name of Business

Address

City, State, Zip

Sworn to before me this __________ day of _____________________________, 20___;

_____________________________________________ Notary Public

Page 10 of 10

NON-COLLUSIVE BIDDING CERTIFICATION REQUIRED BY SECTION 139-D OF THE STATE FINANCE LAW

SECTION 1 39-D. Statement of Non-Collusion in bids to the State:

BY SUBMISSION OF THIS BID, BIDDER AND EACH PERSON SIGNING ON BEHALF OF BIDDER CERTIFIES, AND IN THE CASE OF JOINT BID, EACH PARTY THERETO CERTIFIES AS TO ITS OWN ORGANIZATION, UNDER PENALTY OF PERJURY, THAT TO THE BEST OF HIS/HER KNOWLEDGE AND BELIEF:

[l] The prices of this bid have been arrived at independently, without collusion,

consultation, communication, or agreement, for the purposes of restricting competition, as

to any matter relating to such prices with any other Bidder or with any competitor,

[2] Unless otherwise required by law, the prices which have been quoted in this

bid have not been knowingly disclosed by the Bidder and will not knowingly be disclosed

by the Bidder prior to opening, directly or indirectly, to any other Bidder or to any

competitor, and

[3] No attempt has been made or will be made by the Bidder to induce any other

person, partnership or corporation to submit or not to submit a bid for the purpose of

restricting competition.

A BID SHALL NOT BE CONSIDERED FOR AWARD NOR SHALL ANY AWARD BE MADE WHERE [1], [2], AND [3] ABOVE HAVE NOT BEEN COMPLIED WITH; PROVIDED HOWEVER, THAT IF IN ANY CASE THE; BIDDER(S) CANNOT MAKE THE FOREGOING CERTIFICATION. THE BIDDER SHALL SO STATE AND SHALL FURNISH BELOW A SIGNED STATEMENT WHICH SETS FORTH IN DETAIL THE REASONS THEREFORE:

[AFFIX ADDENDUM TO THIS PAGE IF SPACE IS REQUIRED FOR STATEMENT.]

Subscribed to under penalty of perjury under the laws of the State of New York, this ____

day of _______________ , 200__ as the act and deed of said corporation or partnership.

Exhibit 1: Non-Collusive Bidding Certification-3

Identifying Data

Potential Contractor:_____________________________________________________________________

Address:______________________________________________________________________________

Street

______________________________________________________________________________

City, Town, etc.

Telephone:___________________________ Title:__________________________________________

If applicable, Responsible Corporate Officer

Name:______________________________ Title:__________________________________________

Signature:_____________________________________________

Joint or combined bids by companies or firms must be certified on behalf of each participant.

_____________________________________ ___________________________________________

Legal name of person, firm or corporation Legal name of person, firm or corporation

By___________________________________ ___________________________________________

Name Name

______________________________________ ___________________________________________

Title Title

Address_______________________________ ___________________________________________

Street Street

_______________________________ ___________________________________________

City State City State

Offeror Disclosure of Prior Non-Responsibility Determinations (Procurement Lobbying Act)

Name of Individual or Entity Seeking to Enter into the Procurement Contract:

Address:

Name and Title of Person Submitting this Form:

Contract Procurement Number:

Date:

1. Has any Governmental Entity made a finding of non-responsibility regarding the individual orentity seeking to enter into the Procurement Contract in the previous four years? (Please circle):

No Yes If yes, please answer the next questions:

2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law§139-j (Please circle):

No Yes 3. Was the basis for the finding of non-responsibility due to the intentional provision of false or

incomplete information to a Governmental Entity? (Please circle):

No Yes

4. If you answered yes to any of the above questions, please provide details regarding the

finding of non-responsibility below.

Governmental Entity:

Date of Finding of Non-responsibility:

Basis of Finding of Non-Responsibility: _____________________________________________________________________________

_____________________________________________________________________________ _____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________ _____________________________________________________________________________

_____________________________________________________________________________ (Add additional pages as necessary)

5. Has any Governmental Entity or other governmental agency terminated or withheld aProcurement Contract with the above-named individual or entity due to the intentional provision

of false or incomplete information? (Please circle):

No Yes

6. If yes, please provide details below.

Governmental Entity:

Date of Termination or Withholding of Contract:

Basis of Termination or Withholding:

______________________________________________________________________________ ______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________ ______________________________________________________________________________

______________________________________________________________________________ ______________________________________________________________________________

(Add additional pages as necessary)

Offerer certifies that all information provided to the Governmental Entity with respect to State Finance Law §139-k is complete, true and accurate.

By: Date:

Signature

Name:

Title:

Procurement Lobbying Act Offeror’s Certification and Affirmation of Understanding of and Agreement pursuant to

State Finance Law §139-j and k

Offeror affirms that it understands and agrees to comply with the New York State procedures

relative to permissible contacts as required by State Finance Law §139-j.

(https://www.nysenate.gov/legislation/laws/STF/139-J)

By: Date:

Name:

Title:

Contractor Name:

Contractor Address:

Offeror Certification:

I certify that all information provided to the Governmental Entity with respect to State Finance

Law §139-k is complete, true and accurate. (https://www.nysenate.gov/legislation/laws/STF/139-K)

_______________________________________________________________ Authorized Signature

CONTRACTOR’S CERTIFICATION/ACKNOWLEDGEMENTS/UNDERSTANDING

CONTRACTOR’S ACKNOWLEDGEMENT OF UNDERSTANDING OF POST-EMPLOYMENT PROVISIONS

The Authorized Signatory of the Contractor acknowledges that he/she has the authority to sign on behalf of the Contractor, has read and understands the provisions applicable to post-employment restrictions affecting former State officers and employees, and agrees to abide by the Provisions of the Public Officer’s Law during the term of the Agreement.

CONTRACTOR’S DISCLOSURE OF ANY EXISTING AND/OR CONTEMPLATED CONFLICT OF INTEREST

Have you any e xisting or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more, parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers of the Contractor or former officers and employees of the Agencies and their Affiliates, in connection with your rendering services enumerated in this Agreement.

Yes No

If your answer to the above is “Yes”, please attach a written explanation, include a statement with your Agreement documents describing how your Staffing Firm would eliminate or prevent the Conflict of Interest. Indicate what procedures will be followed to detect, notify OTDA of, and resolve any such conflicts.

By my signature on this form, I certify that all information disclosed to the State is complete, true, and accurate with regard to Conflicts of Interest.

CONTRACTOR’S DISCLOSURE OF FORMER STATE EMPLOYEES

Do you employ and/or use any subcontractors who are former employees of OTDA that will be assigned to perform services under this Agreement.

Yes No

If your answer to the above is “Yes”, please attach a written statement identifying any/all employees and/or subcontractors who are former employees of OTDA that will be assigned to perform services under this Agreement, include a description of their work duties, and the dates of their employment.

By my signature on this form, I certify that all information disclosed to the State is complete, true, and accurate with regard to Former State Employees.

CONTRACTOR’S DISCLOSURE OF ANY INVESTIGATION OR DISCIPLINARY ACTIOIN BY THE NEW YORK STATE COMMISSION ON PUBLIC INTEGRITY OR ITS PREDECESSOR STATE ENTITIES (COLLECTIVELY, “COMMISSION”)

Have you or any of your members, shareholders of 5% or more, parents, affiliates, or subsidiaries, have been the subject of any investigation or disciplinary action by the New York State Commission on Public Integrity or its predecessor State entities (collectively, “Commission”).

Yes No

If your answer to the above is “Yes”, please attach a written explanation; include a statement with your Proposal providing a brief description indicating how any matter before the Commission was resolved, or whether it remains unresolved.

By my signature on this form, I certify that all information disclosed to the State is complete, true, and accurate with regard to investigations or disciplinary actions by the Commission.

CONTRACTOR’S AGREEMENT TO NOTIFY OTDA OF POTENTIAL FUTURE CONFLICTS

By signature below, the Authorized Signatory of the Contractor, certifies that he/she will notify OTDA of any/all new potential conflicts of interest and any/all new contractor staff that are prior OTDA employees during the term of the contract, prior to hiring of said individual, and will compete and submit an updated version of this form to OTDA at the time of becoming aware of any such new potential conflicts of interest, and of any/all new contractor or subcontractor staff that are prior OTDA employees.

THE SIGNATURE BELOW INDICATES CERTIFICATION/ACKNOWLEDGEMENT/UNDERSTANDING OF EACH OF THE ABOVE

__________________________________________________________________________________________ Authorized Signatory Date

__________________________________________________________________________________________

Printed or Typed Name

_____________________________________ Title Contract Number

Page 1 of 1 OTDA 11/2016

Offeror Assurance of No Conflict of Interest or Detrimental Effect The Offeror proposing to provide services pursuant to this solicitation, as Contractor, Joint venture contractor, subcontractor, or consultant, attests that its performance of the services outlined in this solicitation does not and will not create a conflict of interest with nor, position the Offeror to breach any other Agreement currently in force with the State of New York.

Furthermore, the attests that it will not act in any manner that is detrimental to any State project on which the Offeror is rendering services; Specifically the Offeror attests that:

1. The fulfillment of obligations by the Offeror, as proposed in the response, does not Violate, anyexisting Contracts or Agreements between the Offeror and the State;

2. The fulfillment of obligations by the Offeror, as proposed in the response, does not and will notcreate any conflict of interest, or perception thereof, with any current role or responsibility thatthe Offeror has with regard to any existing Contracts or Agreements between the Offeror andthe State;

3. The fulfillment of obligations by the Offeror, as proposed in the response, does not and will notcompromise the Offeror’s ability to carry out its obligations under any existing Agreementsbetween the Offeror and the State;

4. The fulfillment of any other contractual obligations that the Offeror has with the State will notaffect or influence its ability to perform under any Agreement with OTDA resulting from thisRFP;

5. During the negotiation and execution of any Agreement resulting from this RFP, the Offeror willnot knowingly take any action or make any decision which creates a Potential, for conflict ofinterest or might cause a detrimental impact to the State as a whole including, but not limitedto, any action or decision to divert resources from one State project to another;

6. In fulfilling obligations under each of its State contracts, including any Agreement which resultsfrom this RFP, the Offeror will act in accordance with the terms of each of its State contractsand will not knowingly take any action or make any decision which might cause a detrimentalimpact to the State as a whole including, but not limited to any action or decision to divertresources from one State project to another;

7. No former officer or employee of the State who is now employed by the Offeror, nor any formerofficer or employee of the Offeror who is now employed by the State, has played a role withregard to the administration of this procurement in a manner that may violate section 73(8)(a)of the State Ethics Law; and

8. The Offeror has not and shall not offer to any employee, member or director of OTDA any gift,whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise,or in any other form, under circumstances in which it could reasonably be inferred that the giftwas intended to influence said employee, member or director, or could reasonably beexpected to influence said employee, member or director, in the performance of the officialduty of said employee, member or director or was intended as a reward for any official actionon the part of said employee, member or director.

Offeror’s responding to this RFP should note that OTDA recognizes that conflicts may occur in the future because an Offeror may have existing or new relationships. OTDA will review the nature of any such new relationship and reserves the right to terminate the Agreement for cause if, in its judgment, a real or potential conflict of interest cannot be cured.

Dated:

__________________________________ Signature

Name: ____________________________ Title: _____________________________

NOTE: This form must be signed by an authorized executive or legal representative (person that is authorized to bind the Offeror contractually).

SUBCONTRACTOR AND SUPPLIER IDENTIFICATION FORM

Offeror’s Name:

Address:

City, State, Zip Code:

Region/Location of Work:

Federal Identification Number:Telephone Number:

Email:

INSTRUCTIONS: This form must be submitted with any bid, proposal, or proposed negotiated contract . This identification form must contain a detailed descriptionof the supplies and/or services to be provided by each subcontractor or supplier under the contract. Offerors must indicate by checking the box(es) below which business designation(s) each listed Subcontractor/Supplier meets. Attach additional sheets if necessary.

1. Subcontractors/SuppliersBusiness Name, Address, Email Address, Telephone No.

2. Service/ProductProvided

3. Federal ID No. 4. Designati nCheck all that apply 5. Dollar Value of Subcontracts/Supplies/Services

over the term of the contract.

A.

B.

C.

ALL NAME AND TITLE OF PREPARER (Print or Type):

Signature: Authorized Signature

D :

EMAIL Address:

Office of Temporary and DisabilityAssistance 40 NorthPearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA– 4934 (Rev. 1/2016)

STAFFING PLAN

Submit with Bid or Proposal – Instructions on page 2 Solicitation No.: Reporting Entity: Report includes Contractor’s/Subcontractor’s:

□ Workforce to be utilized on this contract

Offeror’s Name: □ Offeror □ Subcontractor

Subcontractor’s name

Offeror’s Address:

Enter the total number of employees for each classification in each of the EEO-Job Categories identified EEO-Job Category

Total Work force

Workforce by Gender

Workforce by Race/Ethnic Identification

Total Male (M)

Total Female

(F)

White

(M) (F)

Black

(M) (F)

Hispanic

(M) (F)

Asian

(M) (F)

Native American

(M) (F)

Disabled

(M) (F)

Veteran

(M) (F)

Officials/Administrators

Professionals

Technicians

Sales Workers

Office/Clerical

Craft Workers

Laborers

Service Workers

Temporary /Apprentices

Totals

PREPARED BY (Signature): TELEPHONE NO.: EMAIL ADDRESS:

DATE:

NAME AND TITLE OF PREPARER (Print or Type):

Submit completed with bid or proposal

Office of Temporary and DisabilityAssistance 40 NorthPearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA– 4934 (Rev. 1/2016)

General instructions: All Offerors and each subcontractor identified in the bid or proposal must complete an EEO Staffing Plan (M/WBE 101) and submit it as part of the bid or proposal package. Where the work force to be utilized in the performance of the State contract can be separated out from the contractor’s and/or subcontractor’s total work force, the Offeror shall complete this form only for the anticipated work force to be utilized on the State contract. Where the work force to be utilized in the performance of the State contract cannot be separated out from the contractor’s and/or subcontractor’s total work force, the Offeror shall complete this form for the contractor’s and/or subcontractor’s total work force.

Instructions for completing:

1. Enter the Solicitation number that this report applies to along with the name and address of the Offeror. 2. Check the box acknowledging work force to be utilized on the contract. 3. Check off the appropriate box to indicate if the Offeror completing the report is the contractor or a subcontractor. 4. Enter the total work force by EEO job category. 5. Break down the anticipated total work force by gender and enter under the heading ‘Work force by Gender’. 6. Break down the anticipated total work force by race/ethnic identification and enter under the heading ‘Work force by Race/Ethnic Identification’. Contact the

OM/WBE Permissible contact(s) for the solicitation if you have any questions. 7. Enter information on disabled or veterans included in the anticipated work force under the appropriate headings. 8. Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes.

RACE/ETHNIC IDENTIFICATION Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the purposes of this form, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:

WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.

BLACK a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.

HISPANIC a person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.

ASIAN & PACIFIC a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.

ISLANDER NATIVE INDIAN (NATIVE a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal

AMERICAN/ALASKAN affiliation or community recognition. NATIVE)

OTHER CATEGORIES

DISABLED INDIVIDUAL any person who: - has a physical or mental impairment that substantially limits one or more major life activity(ies) has a record of such an impairment; or

- is regarded as having such an impairment. VIETNAM ERA VETERAN a veteran who served at any time between and including January 1, 1963 and May 7, 1975.

GENDER Male or Female

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA – 4937 (Rev. 1/2016)

M/WBE UTILIZATION PLAN

1. Certified M/WBE Subcontractors/SuppliersName, Address, Email Address, Telephone No.

2. Classification 3. Federal ID No. 4. Detailed Description of Work(Attach additional sheets, if necessary)

5. Dollar Value of Subcontracts/Supplies/Services and intended performance dates of each component of the contract.

A. NYS ESD CERTIFIED

MBE WBE

B. NYS ESD CERTIFIED

MBE

WBE

6. IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, OFFEROR MUST SUBMIT A REQUEST FOR WAIVER FORM - OTDA - 4969.PREPARED BY (Signature): DATE: NAME AND TITLE OF PREPARER (Print or Type):

SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR’S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A, 5 NYCRR PART 143, AND THE ABOVE-REFERENCED SOLICITATION. FAILUR TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND POSSIBLE TERMINATION OF YOUR CONTRACT.

TELEPHONE NO.: EMAIL ADDRESS:

FOR M/WBE USE ONLY REVIEWED BY: DATE:

UTILIZATION PLAN APPROVED: YES NO Date: Contract No.:

Contract Award Date: Estimated Date of Completion: Amount Obligated Under the Contract: Description of Work:

NOTICE OF DEFICIENCY ISSUED: YES NO Date:______________

NOTICE OF ACCEPTANCE ISSUED: YES NO Date:_____________

INSTRUCTIONS: This form must be submitted with any bid, proposal, or proposed negotiated contract or within a reasonable time thereafter, but prior to contract award. This Utilization Plan must contain a detailed description of the supplies and/or services to be provided by each certified Minority and Women-owned Business Enterprise (M/WBE) under the contract. Note – A dually certified firm cannot be counted toward both the MBE and WBE participation goals. Attach additional sheets if necessary.

Offeror’s Name: Address: City, State, Zip Code: Telephone No.:

Federal Identification No.: Solicitation Name/Contract No.: MWBE Certified M/WBE Goals in the Contract: MBE % WBE %

Region/Location of Work:

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

 OTDA – 4938 (Rev. 1/2016)

M/WBE SUBCONTRACTORS AND SUPPLIERS LETTER OF INTENT TO PARTICIPATE

Contractor: Contract No.:          Address: Federal ID#: Dear Contractor: I, intend to perform work for (Name of Subcontractor/Supplier) (Name of Prime Contractor) My Minority/Women Business Enterprise (M/WBE) status as a MBE (☐ ) and/or WBE (☐ ) is certified as of . (Certification date) is prepared to do the following: (Name of Subcontractor/Supplier) (Describe work to be performed on the above project) Unit Price Total Amount

                                   

                                   

                                   

You have projected for such work to start. (Commencement Date)

will sign a formal contract for the above work conditioned (Name of Subcontractor/Supplier) upon the approval of your executed contract with the contractor. Please choose one of the following options: MBE: Subcontractor [ ] Supplier [ ] WBE: Subcontractor [ ] Supplier [ ]

Company Official’s Name: Title:

Company Official’s Signature Date: Address:

***This section is to be completed by the prime contractor*** Company Official’s Name: Title: Company Official’s Signature Date: Telephone Number: Fax Number

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA – 4969 (Rev. 1/2016)

REQUEST FOR WAIVER FORM

INSTRUCTIONS: SEE PAGE 2 OF THIS ATTACHMENT FOR REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS. Offeror/Contractor Name: Federal Identification No.:

Address: Solicitation/Contract No.:

City, State, Zip Code: M/WBE Goals: MBE % WBE %

By submitting this form and the required information, the offeror/contractor certifies that every Good Faith Effort has been taken to promote M/WBE participation pursuant to the M/WBE requirements set forth under the contract.

Contractor is requesting a:

1. MBE Waiver – A waiver of the MBE Goal for this procurement is requested. Total Partial

2. WBE Waiver – A waiver of the WBE Goal for this procurement is requested. Total Partial

3. Waiver Pending ESD Certification – (Check here if subcontractors or suppliers of Contractor are not certified M/WBE, but an application forcertification has been filed with Empire State Development.) Date of such filing with Empire State Development:

PREPARED BY (Signature):

SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR/CONTRACTOR’S ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A AND 5 NYCRR PART 143. FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND/OR TERMINATION OF THE CONTRACT.

Date:

Name and Title of Preparer (Printed or Typed): Telephone Number: Email Address:

Submit with the bid or proposal or if submitting after award (Form must be submitted to OTDA’s program contract manager).

For questions regarding this form, please call:

The NYS OTDA MWBE Program Management Unit at 212-961-8217.

******************** FOR M/WBE USE ONLY ******************** REVIEWED BY: DATE:

Waiver Granted: YES MBE: WBE:

Total Waiver Partial Waiver ESD Certification Waiver Conditional Notice of Deficiency Issued

*Comments:

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA – 4969 (Rev. 1/2016)

REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS

When completing the Request for Waiver Form please check all boxes that apply. To be considered, the Request for Waiver Form must be accompanied by documentation for items 1 – 12, as listed below. If box # 3 has been checked above, please see item 11. Copies of the following information and all relevant supporting documentation must be submitted along with the request:

1. A statement setting forth your basis for requesting a partial or total waiver.

2. The names of general circulation, trade association, and M/WBE-oriented publications in which you solicited certified M/WBEs for thepurposes of complying with your participation goals.

3. A list identifying the date(s) that all solicitations for certified M/WBE participation were published in any of the above publications.

4. A list of all certified M/WBEs appearing in the NYS Directory of Certified Firms that were solicited for purposes of complying with yourcertified M/WBE participation levels.

5. Copies of notices, dates of contact, letters, and other correspondence as proof that solicitations were made in writing and copies of suchsolicitations, or a sample copy of the solicitation if an identical solicitation was made to all certified M/WBEs.

6. Provide copies of responses made by certified M/WBEs to your solicitations.

7. Provide a description of any contract documents, plans, or specifications made available to certified M/WBEs for purposes of soliciting theirbids and the date and manner in which these documents were made available.

8. Provide documentation of any negotiations between you, the Offeror/Contractor, and the M/WBEs undertaken for purposes of complyingwith the certified M/WBE participation goals.

9. Provide any other information you deem relevant which may help us in evaluating your request for a waiver.

10. Provide the name, title, address, telephone number, and email address of offeror/contractor’s representative authorized to discuss andnegotiate this waiver request.

11. Copy of notice of application receipt issued by Empire State Development (ESD).

12. Please use OTDA - 4976 M/WBE Goal Requirements Certification of Good Faith Efforts, as a guideline for submission of all supportingdocumentation for this waiver request.

Note: Unless a Total Waiver has been granted, the Offeror/Contractor will be required to submit all reports and documents pursuant to the provisions set forth in the Contract, as deemed appropriate by OTDA, to determine M/WBE compliance.

OTDA – 4970 (Rev. 11/16)

1

MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES- EQUAL EMPLOYMENT OPPORTUNITY

POLICY STATEMENT

M/WBE AND EEO POLICY STATEMENT

I, , the (awardee/contractor) agree to adopt the following policies with respect to the project being developed or services rendered at

This organization will and will cause its contractors and subcontractors to take good faith actions to achieve the M/WBE contract participations goals set by the State for that area in which the State-funded project is located, by taking the following steps:

(1) Actively and affirmatively solicit bids for contracts and

subcontracts from qualified State certified MBEs or WBEs, including solicitations to M/WBE contractor associations.

(2) Request a list of State-certified M/WBEs from AGENCY and solicit bids from them directly.

(3) Ensure that plans, specifications, request for proposals and other documents used to secure bids will be made available in sufficient time for review by prospective M/WBEs.

(4) Where feasible, divide the work into smaller portions to enhanced participations by M/WBEs and encourage the formation of joint venture and other partnerships among M/WBE contractors to enhance their participation.

(5) Document and maintain records of bid solicitation, including those to M/WBEs and the results thereof. The Contractor will also maintain records of actions that its subcontractors have taken toward meeting M/WBE contract participation goals.

(6) Ensure that progress payments to M/WBEs are made on a timely basis so that undue financial hardship is avoided, and that, if legally permissible, bonding and other credit requirements are waived or appropriate alternatives developed to encourage M/WBE participation.

(a) This organization will not discriminate against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability or marital status, will undertake or continue existing programs of affirmative action to ensure that minority group members are afforded equal employment opportunities without discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on state contracts. (b)This organization shall state in all solicitation or advertisements for employees that in the performance of the State contract all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex disability or marital status. (c) At the request of the contracting agency, this organization shall request each employment agency, labor union, or authorized representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of this organization’s obligations herein. (d) The Contractor shall comply with the provisions of the Human Rights Law, all other State and Federal statutory and constitutional non-discrimination provisions. The Contractor and subcontractors shall not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non- discrimination on the basis of prior criminal conviction and prior arrest. (e) This organization will include the provisions of sections (a) through (d) of this agreement in every subcontract in such a manner that the requirements of the subdivisions will be binding upon each subcontractor as to work in connection with the State contract

Agreed to this day of , 2

By

Print: Title:

M/WBE

EEO

OTDA – 4970 (Rev. 11/16)

2

is designated as the Minority Business Enterprise Liaison (Name of Designated Liaison)

responsible for administering the Minority and Women-Owned Business Enterprises- Equal Employment Opportunity (M/WBE-EEO) program.

M/WBE Contract Goals

% Minority and Women’s Business Enterprise Participation

% Minority Business Enterprise Participation

% Women’s Business Enterprise Participation

(Authorized Representative) Title:

Date:

1

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

M/WBE GOAL REQUIREMENTS

CERTIFICATION OF GOOD FAITH EFFORTS Contractors (to include those who submit bids/proposals in an effort to be selected for contract award as well as those successful bidders/proposers with whom OTDA enters into State contracts) must document “good faith efforts” to provide meaningful participation by New York State Certified M/WBE subcontractors or suppliers/vendors in the performance of this contract. The undersigned hereby acknowledges that he/she took or may need to take the following actions on behalf of the Contractor to demonstrate, and upon request by OTDA, to provide written verification to document the aforesaid good faith efforts:

(a) The Contractor attended any pre-bid, pre-award, or other meetings scheduled by the contracting agency or the NYS Department of Economic Development or its designee to inform certified minority- or women-owned business enterprises of contracting and subcontracting opportunities available on the project, for purposes of complying with contract participation goal requirements;

(b) The Contractor identified economically feasible units of the project that could be contracted or subcontracted to certified minority- and women-owned business enterprises in order to increase the likelihood of participation by such enterprises on the contract;

(c) The Contractor undertook efforts to reasonably structure the contract scope of work for purposes of subcontracting with certified minority- and- women-owned business enterprises;

(d) The Contractor advertised in a timely fashion and in appropriate general circulation, trade and minority- and women-oriented publications, if any, concerning the contracting or subcontracting opportunity;

(e) The Contractor made written solicitations in a timely fashion to a reasonable number of certified minority- and women- owned business enterprises identified from current certified lists of such business enterprises provided or maintained by the NYS Empire State Development’s Division of Minority and Women Owned Business Development, or its designee, of the contracting or subcontracting opportunity. The directory of certified businesses can be viewed at: http://esd.ny.gov/index.html

(f) The Contractor can document if any timely responses to any such advertisements and solicitations were provided by certified minority- and women-owned business enterprises;

(g) The Contractor followed-up initial solicitations by contacting the enterprises to determine whether the enterprises were interested in such contracting or subcontracting opportunity;

(h) The Contractor provided interested certified minority- and women-owned business enterprises in a timely fashion with adequate information about the plans, specifications or terms and conditions of the State contract and requirements for the contracting or subcontracting opportunity so as to prepare an informed response to a contractor solicitation;

OTDA–4976 (Rev. 1/2016)

2

(i) The Contractor submitted a completed, acceptable utilization plan in accordance with applicable requirements to meet goals for participation of certified minority-and women-owned business enterprises established in the State contract;

(j) The Contractor used the services of community organizations, contractor groups, state and federal business assistance offices and other organizations identified by the NYS Department of Economic Development or its designee that provide assistance in the recruitment and placement of minority and women business enterprises;

(k) The Contractor negotiated in good faith with certified minority- and women-owned business enterprises submitting bids, proposals, or quotations and did not, without justifiable reason, reject as unsatisfactory any bids, proposals or quotations prepared by any certified minority- or women-owned business enterprise. "Good faith" negotiating means engaging in good faith discussions with certified minority- or women-owned business enterprises about the nature of the work, scheduling, requirements for special equipment, opportunities for dividing of work among the bidders, proposers, and various subcontractors and the bids of the minority or women businesses, including sharing with them any cost estimates from the request for proposal or invitation to bid documents, if available; and,

(l) The Contractor undertook efforts to make payments for any work performed by certified minority- and women-owned business enterprises in a timely fashion so as to facilitate continued performance by certified minority- and women-owned business enterprises.

_______________________________________ Signature Date _______________________________________ Print Name _______________________________________ Title _______________________________________ Company _______________________________________ Contract Number ______________________________________ Program/Solicitation Name

Your MWBE Utilization and Reporting Responsibilities

Under Article 15-A

The New York State Contract System (“NYSCS”) is your one stop tool compliance with New York State’s

MWBE Program. It is also the platform New York State uses to monitor state contracts and MWBE

participation.

GETTING STARTED

To access the system, you will need to login or create a user name and password at

https://ny.newnycontracts.com. If you are uncertain whether you already have an account set up or

still need to register, please send an email to the customer service contact listed on the Contact Us &

Support page, or reach out to your contract’s project manager. For verification, in the email, include

your business name and contact information.

VENDOR RESPONSIBILITIES

As a vendor conducting business with New York State, you have a responsibility to utilize minority-

and/or women-owned businesses in the execution of your contracts, per the MWBE percentage goals

stated in your solicitation, incentive proposal or contract documents. NYSCS is the tool that New York

State uses to monitor MWBE participation in state contracting. Through the NYSCS you will submit

utilization plans, request subcontractors, record payments to subcontractors, and communicate with

your project manager throughout the life of your awarded contracts.

There are several reference materials available to assist you in this process, but to access them, you

need to first be registered within the NYSCS. Once you log onto the website, click on the Help &

Support >> link on the lower left hand corner of the Menu Bar to find recorded trainings and manuals on

all features of the NYSCS. You may also click on the icon at the top right of your

screen to find videos tailored to primes and subcontractors. There are also opportunities available to

join live trainings, read up on the “Knowledge Base” through the Forum link, and submit feedback to

help improve future enhancements to the system. Technical assistance is always available through the

Contact Us & Support link on the NYSCS website (https://ny.newnycontracts.com).

For more information, contact your project manager.

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA – 4968 (Rev. 9/2015)

Failure to submit this form will result in non-compliance

M/WBE Quarterly Compliance Report

NYS OTDA Contract No.

The following information indicates the payment amounts made by the grantee/contractor to the NYS Certified M/WBE subcontractor on this project. The payments as shown made are in compliance with contract documents for the above referenced project.

Contractors Name and Address Federal ID# Goals/$ Amt.

MBE %=

WBE %=

Contract Type

Paid to Contractor This Quarter

Total Paid to Contractor To Date _ Expenditure Code Project

Completion Date Work Location REPORTING PERIOD (BEGINNING 10 DAYS

FOLLOWING THE END OF THE FIRST CALENDAR QUARTER): 1st Quarter (4/1-6/30) 3rd Quarter (10/1-12/31)

2nd Quarter (7/1-9/30) 4th Quarter (1/1-3/31)

M/WBE

Subcontractor/Vendor Product Code*

Work Status This Report

Total Subcontractor Contract Amount

Payments this Quarter Previous Payments Total Payment Made to Date

MBE WBE MBE WBE MBE WBE MBE WBE

Name: FED ID#

Active Inactive Complete

Name: FED ID#

Active Inactive Complete

Name: FED ID#

Active Inactive Complete

Totals

QUARTERLY REPORTS MUST BE SUBMITTED TO OTDA’s PROGRAM/CONTRACT MANAGER

Date Name Title Signature

Is this a final report? Check One

Yes No

Office of Temporary and Disability Assistance 40 North Pearl Street, Albany, NY 12243 www.otda.ny.gov

OTDA – 4968 (Rev. 9/2015)

* EXPENDITURE CODE:

C – Commodities, SC – Services/Consultants, CC – Construction Consultants, CN – Construction

*PRODUCT KEY CODE

A = Agriculture/ Landscaping (e.g., all forms of landscaping services) B = Mining (e.g., geological investigations) C = Construction C15 = Building Construction – General Contractors C16 = Heavy Construction (e.g., highway, pipe laying) C17 = Special Trade Contractors (e.g., plumbing, heating, electrical, carpentry) D = Manufacturing E = Transportation, Communication and Sanitary Services (e.g., delivery services, warehousing, broadcasting

and cable systems) F/G = Wholesale/Retail Goods (e.g. hospital supplies and equipment, food stores, computer stores, office supplies G52 = Construction Materials (e.g., lumber, paint, law supplies) H = Financial, Insurance and Real Estate Services I = Services I73 = Business Services (e.g., copying, advertising, secretarial, janitorial, rental services of equipment, computer

programming, security services) I81 = Legal Services I82 = Education Services (e.g., AIDS education, automobile safety, tutoring, public speaking) I83 = Social Services (Counselors, vocational training, child care) I87 = Engineering, architectural, accounting, research, management and related services

Reporting EntityContractor Name

FEIN Date:Contractor Address

Funding Source

Contract Number

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross WagesNo. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

No. of Employees

No. of Hours

Gross Wages

#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A#N/A #N/A

0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00 0 0 $0.00

Occupation Classifications (SOC Major Group)

SOC Job Title EEO Job TitleSOC Job

CodeMale FemaleFemale Male

White

Section B - SOC Occupation Classifications and Titles

State Federal Blended

Section C - Number of Employees, Hours Worked and Total Compensation by Race/Ethnic Identification During Reporting Period

OTDA - 4971 (11/2017)WORKFORCE UTILIZATION REPORT

Preparer's Name:

Preparer's Title:

Male Female FemaleMale

Section A - Contractor's/ Subcontractor's Information

Reporting Period - Select One

Reporting Month - Select One

Workforce Identified in Report

Total

Black/African American Hispanic/Latino Asian/Native Hawaiian or Other Pacific Islander Native American/Alaskan Native

Male Female

Contractor Subcontractor

January 1 - March 31 April 1 - June 30

July 1 - September 30 October 1 - December 31

January February March

April May June

July August September

October November December

Workforce Utilized in Performance of Contract

Contractor/Subcontractor's Total Workforce

By checking this box, I certify that I personally completed this document and I adopt the name typed above as my electronic signature under the NYS Electronic Signatures and Records Act, with like legal force and effect as if I had physically signed the document.

Check this box to request that the material included herein be withheld from disclosure pursuant to Article 6 of the Public Officers Law (Freedom of Information Law)

General instructions:

Instructions for completing:

3. CONTRACTOR NAME and CONTRACTOR ADDRESS: Enter the name and address of the Contractor preparing the report. 4. CONTRACT NUMBER: Enter the contract number to which this report applies.5. REPORTING PERIOD: Check off the box that corresponds to the reporting period for this report.

11. Save the document prior to submission using the following naming convention: OTDA_EnterContractNumber.xls 12. Click the “Submit” button to attach the file in an email, or email the completed report to:

otda.sm.co.quarterly.compliance.eeo.staffing.reports@otda.ny.gov and copy your assigned OTDA Program Manager.

Race/Ethnic and Gender Identification:

WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.

The Workforce Utilization Report (OTDA – 4971) is to be submitted on a quarterly basis during the life of the contract to report the actual workforce utilized in the performance of the contract broken down by the job categories, titles and codes. When the workforce utilized in the performance of the contract can be separated out from the contractor’s and /or subcontractor’s total workforce, the contractor and/or subcontractor shall submit a Utilization Report of the workforce utilized on the contract. When the workforce to be utilized on the contract cannot be separated out from the contractor’s and/or subcontractor’s total workforce, information on the total workforce shall be included in the Utilization Report. Utilization reports are to be completed for the quarters end 3/31, 6/30, 9/30 and 12/31 and submitted to the OTDA contract manager within 7 days of the end of each quarter. If there are no changes to the workforce utilized on the contract during the reporting period, the contractor can submit a copy of the previously submitted report indicating no change with the date and reporting period updated.

1. REPORTING ENTITY: Check off the appropriate box to indicate if the entity completing the report is the Contractor or a subcontractor.

2. FEDERAL EMPLOYER IDENTIFICATION NUMBER: Enter the Federal Employer Identification Number (FEIN) assigned by the IRS. Contractors utilizing their social security number in lieu of an FEIN should leave this field blank.

6. WORKFORCE IDENTIFIED IN REPORT: Check off the appropriate box to indicate if the workforce being reported is just for the contract, or the contractor’s or subcontractor’s total workforce.

7. OCCUPATION CLASSIFICATIONS and SOC JOB TITLE: Select the occupation classification and job title that best describes each group of employees performing work on the state contract under columns A and B. *The EEO Job Title and SOC Job Codes will automatically populate the Excel spreadsheet once the Contractor/ subcontractor has selected the applicable Occupation Classification and SOC Job Title. Do not modify the results generated in these fields.

8. NUMBER OF EMPLOYEES and NUMBER OF HOURS: Enter the number of employees and total number of hours worked by such employees during pay periods covered by the Report for each job title under the columns corresponding to the gender and racial/ethnic groups with which the employees most closely identify.

9. TOTAL GROSS WAGES: [TO BE REPORTED QUARTERLY] Enter the total gross wages paid to all employees for each job code, and each gender and racial/ethnic group, identified in the Report. Contractors and subcontractors should report only gross wages for work on the contract paid to employees during the period covered by the Report. “Gross wages” are those reported by employers to employees on their wage statements. Gross wages are defined more specifically by 20 NYCRR §2380.4 and typically include every form of compensation for employment paid by an employer to his, her or its employees, whether paid directly or indirectly by the employer, including salaries, commissions, bonuses, tips and the reasonable value of board, rent, housing, lodging or similar advantage received.

10. PREPARER’S INFORMATION: Enter the name and title for the person completing the form, enter the date upon which the Report was completed, and check the box accepting the name entered into the Report as the digital signature of the preparer.

Race/ethnic designations do not denote scientific definitions of anthropological origins. For the purposes of this Report, an employee must be included in the group with which he or she most closely identifies. No person may be counted in more than one race/ethnic group. In determining an employee’s race or ethnicity, a contractor may rely upon an employee’s self-identification, employment records, or, in cases where an employee refuses to identify his or her race or identity, observer identification. The race/ethnic categories for this Report are:

BLACK/AFRICAN AMERICAN A person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.

HISPANIC/ LATINO

ASIAN/NATIVE HAWAIIAN or OTHER PACIFIC ISLANDER

NATIVE AMERICAN/ALASKAN NATIVEGENDER Male or Female

A person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal affiliation or

Need assistance? If you have questions regarding these requirements, are unsure of the appropriate job titles to include in your Report, or otherwise require assistance in preparing or submitting the Report, please contact your OTDA Program Manager.

A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.

A person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.

40 North Pearl Street, Albany, NY 12243-0001 │www.otda.ny.gov

ANDREW M. CUOMO Governor

SAMUEL D. ROBERTS Commissioner

BARBARA C. GUINN Executive Deputy Commissioner

USE OF SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES

IN CONTRACT PERFORMANCE – OTDA-4200 (1/16)

Article 17-B of the Executive Law enacted in 2014 acknowledges that Service-Disabled Veteran-

Owned Businesses (SDVOBs) strongly contribute to the economies of the State and the nation.

As defenders of our nation and in recognition of their economic activity in doing business in New

York State, bidders/proposers for this contract for commodities, services or technology are

strongly encouraged and expected to consider SDVOBs in the fulfillment of the requirements of

the contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting

roles. SDVOBs can be readily identified on the directory of certified businesses at

http://ogs.ny.gov/Core/docs/CertifiedNYS_SDVOB.pdf.

Bidders/proposers need to be aware that all authorized users of this contract will be strongly

encouraged to the maximum extent practical and consistent with legal requirements of the State

Finance Law and the Executive Law to use responsible and responsive SDVOBs in purchasing and

utilizing commodities, services and technology that are of equal quality and functionality to those

that may be obtained from non-SDVOBs. Furthermore, bidders/proposers are reminded that

they must continue to utilize small, minority and women-owned businesses consistent with

current State law.

Utilizing SDVOBs in State contracts will help create more private sector jobs, rebuild New York

State’s infrastructure, and maximize economic activity to the mutual benefit of the contractor

and its SDVOB partners. SDVOBs will promote the contractor’s optimal performance under the

contract, thereby fully benefiting the public sector programs that are supported by associated

public procurements.

Public procurements can drive and improve the State’s economic engine through promotion of

the use of SDVOBs by its contractors. The State, therefore, expects bidders/proposers to provide

maximum assistance to SDVOBs in their contract performance. The potential participation by all

kinds of SDVOBs will deliver great value to the State and its taxpayers.

Bidders/proposers can demonstrate their commitment to the use of SDVOBs by responding to

the questions below and including the responses with their bid/proposal:

Are you a bidder/proposer that is a NYS certified SDVOB? Yes __ No __

If yes, what is your DSDVBD Control #? ______________

40 North Pearl Street, Albany, NY 12243-0001 │www.otda.ny.gov

Will NYS certified SDVOBs be used in the performance of this contract?

Yes __ No __

If yes, identify the NYS certified SDVOBs that will be used below. (If additional space is required,

pleases add to the table below).

SDVOB Name SDVOB Address DSDVBD Control # Contract #

Nature of Participation % of Total Work

Performed

$ Amount

Contractor will report on actual participation by each SDVOB during the term of the contract to

the contracting agency/authority on a quarterly basis according to policies and procedures set by

the contracting agency/authority.

______________________________________________________________________________

NOTE: Information about set asides for SDVOB participation in public procurement can be found

http://www.ogs.ny.gov/Core/SDVOBA.asp which provides guidance for State agencies in making

determinations and administering set asides for procurements from SDVOBs.

APPENDIX Y

Dist.ID# LSSD Feb-16 Mar-16 Apr-16 3 Mo. Average1 Albany 709 732 702 7142 Allegany 64 71 56 643 Broome 726 812 745 7614 Cattaraugus 167 175 126 1565 Cayuga 152 182 170 1686 Chautauga 234 251 219 2357 Chemung 427 490 426 4488 Chenango 109 125 134 1239 Clinton 174 202 177 184

10 Columbia 116 116 105 11211 Cortland 117 133 106 11912 Delaware 40 27 46 3813 Dutchess 289 368 283 31314 Erie 2,313 2,651 2,502 2,48915 Essex 23 26 25 2516 Franklin 108 132 149 13017 Fulton 138 167 114 14018 Genesee 102 80 73 8519 Greene 74 90 73 7920 Hamilton 0 2 1 121 Herkimer 141 169 125 14522 Jefferson 257 250 237 24823 Lewis 48 70 49 5624 Livingston 88 96 84 8925 Madison 102 93 100 9826 Monroe 2,209 2,577 2,241 2,34227 Montgomery 84 101 92 9228 Nassau 966 1,014 1,002 99429 Niagara 681 759 717 71930 Oneida 681 786 758 74231 Onondaga 601 701 682 66132 Ontario 153 152 147 15133 Orange 121 112 130 12134 Orleans 32 38 55 4235 Oswego 202 232 177 20436 Otsego 65 56 43 5537 Putnam 11 23 19 1838 Rensselaer 335 353 321 33639 Rockland 249 250 257 25240 St.Lawrence 126 131 128 12841 Saratoga 131 114 95 11342 Schenectady 518 573 569 55343 Schoharie 36 44 46 4244 Schuyler 44 43 40 4245 Seneca 38 54 47 4646 Steuben 209 207 184 20047 Suffolk 1,390 1,560 1,507 1,48648 Sullivan 175 191 175 18049 Tioga 55 63 61 6050 Tompkins 214 206 184 20151 Ulster 325 340 292 31952 Warren 87 79 75 8053 Washington 99 119 97 10554 Wayne 79 111 109 10055 Westchester 707 782 750 74656 Wyoming 45 44 51 4757 Yates 32 39 29 3366 NYC 13 240 122 12578 NY Health 13 16 11 1397 Mental Health 0 1 1 198 OPWDD 0 0 0 099 NYDSS (DOH) 1 0 0 0

02/16 Total 03/16 Total 04/16 Total 3Mo. Average17,445 19,621 18,041 18,369

Vault cards Monthly

Appendix FUpstate All Counties and New York City

Deliverable number

ITEM DAYS/DATE FROM OSC APPROVAL

1 Detailed workplan as described in Section 6.2 of this RFP 30 Days

2 Weekly updates to workplan and schedules Weekly

3 Copies of all subcontracts for OTDA review/approval 30 Days4 General design documents. 30 Days5 Identification of primary mailed card site 30 Days6 Identification of secondary (backup) location for mailed cards - 30 Days

7 Detailed design documents, database conversion agreements and conversion plan, draft 30 Days

8 All systems, user, and acceptance test plans including the schedules and test scripts 30 Days

9 Detailed equipment list 30 Days

10Provide resumes, as per Appendix W, to OTDA for the proposed Manhattan and Brooklyn OTC Site Supervisors, and Mailed Card Production Manager for review and approval.

58 Days

11 Inventory control procedures, draft (Vault Cards and Permanent Plastic) 74 Days

12 Detailed design documents, database conversion agreements and conversion plan, final 74 Days

13 Detailed listing of consumables, proof of purchase, inventory design documents 74 Days

14 User Test System networked and available for State use 74 Days

15 Test Reports74 days and Ongoing as

needed16 Backup and recovery plans 74 Days

17 Identify operations staff for mailed card production and for OTC sites in New York City. Submit Organizational Chart 74 Days

18 Training Plans and Training Manuals 74 Days

19 Operations Procedure Manuals and Inventory Control Procedures, final 74 Days

20 Database Conversion Reports 74 Days21 Equipment proof of delivery and maintenance contracts 104 Days

22 Finalized complete systems documentation, Quality Assurance and Control Manual 158 Days

23 Issue Escalation Flow Chart and Contact Data 158 Days

24 Written certification that Primary, Back-Up, and OTC sites are ready for card production 158 Days

25 Successful Completion of User Acceptance Test Requirements as specified in SOW Section 2.23 170 Days

26 Production Start Date 180 Days

CBIC RFP

DELIVERABLESAppendix G

APPENDIX I

NEW YORK STATE INSURANCE REQUIREMENTS

Prior to the start of work the Contractor shall procure, at its sole cost and expense, and shall maintain in force at all times policies of insurance as set forth in Appendix I, written by companies licensed or authorized by the New York State Department of Financial Services to issue insurance in the State of New York with an A.M. Best Company rating of “A-” or better or as acceptable to OTDA.

The Agency may, at its sole discretion, accept policies of insurance written by a non-authorized carrier or carriers when Certificates and/or other policy documentation is accompanied by a completed Excess Lines Association of New York (ELANY) Affidavit; provided that nothing herein shall be construed to require the Agency to accept insurance placed with a non-authorized carrier under any circumstances.

The Contractor shall deliver to the OTDA evidence of such policies in a form acceptable to the Agency. These policies must be written in accordance with the requirements of the paragraphs below, as applicable.

General Conditions

A. Conditions Applicable to Insurance. All policies of insurance required by this contract mustmeet the following requirements:

1. Coverage Types and Policy Limits. The types of coverage and policy limits required from theContractor are specified in paragraph B. Specific Coverages and Limits below.

2. Policy Forms. Except as may be otherwise specifically provided herein or agreed to in writingby OTDA, policies must be written on an occurrence basis. Under certain circumstances, theAgency may elect to accept policies written on a claims-made basis provided that, at a minimum,the policy remains in force throughout the performance of the services and for three (3) yearsafter completion of the contract. If the policy is cancelled or not renewed during that time, theContractor must purchase, at its sole expense, Discovery Clause coverage sufficient to cover the3-year period after completion of the contract. Written proof of this extended reporting period mustbe provided to the Agency prior to the policy’s expiration or cancellation.

3. Certificates of Insurance/Notices. Contractor shall provide a Certificate or Certificates ofInsurance, in a form satisfactory to OTDA, before commencing any work under this contract.Certificates shall reference the contract number. Certificates shall be mailed to the:

Office of Temporary and Disability Assistance 40 North Pearl Street, 12D Albany, NY 12243

Unless otherwise agreed upon, policies shall be written so as to include a provision that the policy will not be canceled, materially changed, or not renewed without at least thirty (30)days’ prior, written notice except for non-payment, in which case notice shall be provided as required by law to OTDA, Attention – Laurie Eckert, at the above address. In addition, if required by the Agency, the Contractor shall deliver to the Agency within forty-five (45) days of such request a copy of any

or all policies of insurance not previously provided, certified by the insurance carrier as true and complete.

Certificates of Insurance shall: a. Be in the form approved by the Agency;b. Disclose any deductible, self-insured retention, aggregate limit or any

exclusion to the policy that materially changes the coverage required by thecontract;

c Specify the Additional Insureds and Named Insureds as required herein;. d. Refer to this contract by number and any other attachments on the face of the

certificate;e. When coverage is provided by a non-admitted carrier, be accompanied by a

completed ELANY Affidavit; andf. Be signed by an authorized representative of the insurance carrier or producer.

ONLY original documents (Certificates of Insurance and other attachments) will be accepted.

4. Primary Coverage. The liability and protective liability insurance policies shall provide primaryand non-contributory coverage to OTDA for any claim arising from the Contractor’s Work underthis contract, or as a result of the Contractor’s activities. Insurance policies that remove or restrictblanket contractual liability located in the “insured contract” definition (as stated in Section V,Number 9, Item f in the ISO CGL policy) so as to limit coverage against claims that arise out ofthe work, or that remove or modify the “insured contract” exception to the employers liabilityexclusion, or that do not cover the additional insured for claims involving injury to employees ofthe named insured or subcontractors, are not acceptable.

5. Policy Renewal/Expiration. At least two weeks prior to the expiration of any policy requiredby this contract, evidence of renewal or replacement policies of insurance with terms no lessfavorable to the Agency than the expiring policies shall be delivered to the Agency in the mannerrequired for service of notice in Paragraph A.3. Certificates of Insurance/Notices above. If, atany time during the term of this contract, the coverage provisions and limits of the policies requiredherein do not meet the provisions and limits set forth in the contract or proof thereof is not providedto the Agency, the Contractor shall immediately cease work under the contract. The Contractorshall not resume work under the contract until authorized to do so by the Agency. Any delay, timelost, or additional cost incurred as a result of the Contractor not having insurance required by thecontract or not providing proof of the same in a form acceptable to the Agency, shall not give riseto a delay claim or any other claim against the Agency. Should the Contractor fail to provide ormaintain any insurance required by this contract, or proof thereof is not provided to the Agency,the Agency may withhold further contract payments, and treat such failure as a breach or defaultof the contract, and/or, after providing written notice to the Contractor, OTDA may purchaseinsurance complying with the contract and charge back such purchase to the Contractor.

6. Self-Insured Retention/Deductibles. Certificates must indicate deductibles or self-insuredretentions above $100,000.00, which are subject to approval from the OTDA. Additionalsurety/security may be required in certain circumstances. The Contractor shall be solelyresponsible for all claim expenses and loss payments within the deductible or self-insuredretention.

7. Subcontractors. Should the Contractor engage a Subcontractor, the Contractor shallendeavor to impose the insurance requirements of this document on the Subcontractor, as

applicable. Required insurance limits should be determined commensurate with the work of the Subcontractor. Proof thereof shall be supplied to OTDA.

The types of insurance and minimum policy limits shall be as follows:

1. Commercial General Liability

Commercial General Liability Insurance, (CGL) covering the liability of the Contractor for bodily injury, property damage, and personal/advertising injury arising from all work and operations under this contract, using form CG 00 01 12 07 or a policy providing equivalent coverage. The limits under such policy shall not be less than the following:

Each Occurrence limit -$1,000,000 General Aggregate – $2,000,000 Products/Completed Operations – $2,000,000 Personal Advertising Injury – $1,000,000 Damage to Rented Premises – $50,000 Medical Expense – $5,000

Coverage shall include, but not be limited to, the following: premises liability; independent contractors/subcontractors; blanket contractual liability, including tort liability of another assumed in a contract; defense and/or indemnification obligations, including obligations assumed under this contract; cross liability for additional insureds; products/completed operations for a term of no less than 3 years, commencing upon acceptance of the work, as required by the contract; explosion, collapse, and underground hazards, contractor means and methods; and liability resulting from Section 240 or Section 241 of the New York State Labor Law.11.

The following ISO forms must be endorsed to the policy if applicable:

a. CG 20 10 11 85, or an equivalent – Additional Insured - Owner, Lessees or Contractors(Form B).

b. CG 25 03 11 85 or an equivalent – Designated Construction Project(s) general aggregatelimit (only required for construction contracts).

Limits may be provided through a combination of primary and umbrella/excess liability policies. The CGL aggregate shall be endorsed to apply on a per project basis for construction contracts.

Policies shall name the Office of Temporary and Disability Assistance as Additional Insured, and such coverage shall be extended to afford Additional Insured status to those entities during the Products/Completed Operations term. This coverage is applicable for contracts involving the erection, demolition, repairing, altering, painting, cleaning or pointing of a building or structure.

The CGL policy, and any umbrella/excess policies used to meet the “Each Occurrence” limits specified above, must be endorsed to be primary with respect to the coverage afforded the Additional Insureds, and such policy (ies) shall be primary to, and non-contributing with, any other insurance maintained by OTDA. Any other insurance maintained by OTDA shall be excess of and shall not contribute with the Contractor’s or Subcontractor’s insurance, regardless of the “Other Insurance” clause contained in either party’s policy (ies) of insurance, if applicable. When the work involves construction or demolition within 50 feet of rail stations, yards, tracks, or other railroad property, the exclusion for work done within 50 feet of railroad property (the “Railroad” exclusion) must be deleted. Also see requirements for Railroad Protective Liability insurance.

2. Workers’ Compensation

For work to be performed in New York State, the Contractor shall provide and maintain full New York State (NYS listed in item 3a of the policy’s Information Page) coverage during the life of this contract for the benefit of such employees as are required to be covered by the New York State Workers’ Compensation Law.

If the contract involves work on or near a shoreline, a U.S. Longshore and Harbor Workers’ Compensation Act and/or Jones Acts policy as applicable must be provided. Any waiver of this requirement must be approved by OTDA and will only be granted in unique or unusual circumstances.

Evidence of Workers’ Compensation and Employers Liability coverage must be provided on one of the following forms specified by the Chairman of the New York State Workers’ Compensation Board:

(1) C-105.2 (Sept. 2007, or most current version) – Certificate of Workers’ CompensationInsurance,

(2) U-26.3 – Certificate of Workers’ Compensation Insurance from the State InsuranceFund,(3) GSI-105/SI-12 – Certificate of Workers’ Compensation Self Insurance, or(4) CE-200 – Attestation of Exemption – When Contractor meets the requirements.

All forms are valid for one year from the date the form is signed/ stamped, or until policy expiration, whichever is earlier.

3. Disability Benefits

For work to be performed in New York State, the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the New York State Disability Benefits Law. Any waiver of this requirement must be approved by OTDA and will only be granted in unique or unusual circumstances.

Evidence of Disability Benefits coverage must be provided on one of the following forms specified by the Chairman of the Workers’ Compensation Board:

(1) DB-120.1 (May 2006 or most current version) – Certificate of Insurance Coverageunderthe New York State Disability Benefits Law,(2) DB-155 – Certificate of Disability Self Insurance, or(3) CE-200 – Certificate of Attestation of Exemption.

All forms are valid for one year from the date the form is signed/ stamped, or until policy expiration, whichever is earlier.

4. Commercial Automobile Liability

Commercial Auto Liability insurance covering liability arising out of the use of any motor vehicle in connection with the contract, including owned, leased, hired and non-owned vehicles bearing or, under the circumstances under which they are being used, required by the Motor Vehicle Laws of the State of New York to bear, license plates. Such policy shall have a combined single limit for Bodily Injury and Property Damage of at least one million dollars ($1,000,000) and shall name OTDA as additional insured. The limits may be provided through a combination of primary and umbrella/excess liability policies. If the contract involves the removal of hazardous waste or otherwise transporting hazardous materials, pollution liability coverage for covered autos shall be provided by form CA 99 48 03 06 or CA 00 12 03 06 and the Motor Carrier Act Endorsement (MCS90) shall be attached.

5. Professional Liability

The Contractor and any subcontractor retained by the Contractor to work on the contract shall procure and maintain during and for a period of three (3) years after completion of this contract, Professional Liability Insurance in the amount of one million dollars ($1,000,000) issued to and covering damage for liability imposed on the Contractor by this contract or law arising out of any negligent act, error, or omission in the rending of or failure to render professional services required by this contract. The professional liability insurance may be issued on a claims-made policy form, in which case the Contractor shall purchase, at its sole expense, extended Discovery Clause coverage of up to three (3) years after work is completed if coverage is cancelled or not renewed.

If applicable, the Contractor shall provide coverage for its negligent act, error or omission in rendering or failing to render professional services required by this contract arising out of specifications, installation, modification, abatement, replacement or approval of products, materials or processes containing pollutants, and the failure to advise of or detect the existence or the proportions of pollutants.

6. Data Breach/Cyber Liability Including Technology Errors and Omissions

The Contractor shall carry and maintain applicable coverage in the amount of one million dollars ($1,000,000) if the Contractor provides technology services or products; the Contractor must also provide Technology Errors & Omissions Coverage. As this insurance is most often written on a claims-made basis the Contractor shall purchase, at its sole expense, extended Discovery Clause coverage of up to three (3) years after the work is completed if coverage is cancelled or not renewed.

7. Crime

CRIME INSURANCE, on “loss sustained form” in an amount not less than fifty thousand dollars ($50,000), including coverage for:

• Employee Theft;• Forgery or Alteration;

• Inside the Premises - Theft of Money and Securities;• Inside the Premises- Robbery or Safe Burglary of Other Property;• Outside the Premises;• Computer Fraud; and• Money Orders and Counterfeit Paper Currency.

Policy must allow for reporting of circumstances or incidents that might give rise to future claims. The policy must include an extended reporting period of no less than three years with respect to events which occurred but were not reported during the term of the policy. It is important to remember for this line of coverage that no two policies are identical and terminology can be confusing. Due to this fact and the potential risks including security, privacy, media/content, regulatory actions; consultation with your respective Insurance Analyst and Legal counsel is recommended.

OTDA, including its affiliates and subsidiaries, must be included as “Loss Payees” as respects this specific amount as their interests may appear. Any warranties required by the insurer must be disclosed and complied with. Said insurance shall extend coverage to include the principals.

8. Umbrella and Excess Liability

When the limits of the CGL, Auto, and/or Employers’ Liability policies procured are insufficient to meet the limits specified, the Contractor shall procure and maintain Commercial Umbrella and/or Excess Liability policies with limits in excess of the primary; provided, however, that the total amount of insurance coverage is at least equal to the requirements set forth above. Such policies shall follow the same form as the primary. Any insurance maintained by the OTDA or any additional insured shall be considered in excess of and shall not contribute with any other insurance procured and maintained by the Contractor including primary, umbrella and excess liability regardless of the other insurance clause contained in either parties policy.

Appendix J Key Personnel Experience and Reference Information

Offerors must complete this form for all individuals proposed to fill key personnel positions proposed in the Common Benefit Identification Card (CBIC) RFP. The references provided must be from client company(s) external to the Offeror’s organization and must have direct knowledge of the candidate’s experience. OTDA reserves the right to contact the staff references, or any other interested party, that can validate the relevant information provided by the Offeror.

Candidate Information:

1. Candidate Name:

2. Proposed Title (Must coincide with information provided on the Appendix L -Project Team Resource Chart)

3. Candidate’s Current Employer: (If the candidate is not a direct employee ofthe Offeror or a proposed subcontractor of the Offeror, a Letter of Intent toAccept Employment must be included per Section 2.24 of Appendix W.)

4. Candidate’s Education: (Using the template below, provide all relevanteducation)

Candidate Education Template

Candidate Name: (a) Name of Institution:(b) Degree or Certificate Received (c) Date of Degree or Certificate

5. Candidate’s Professional Experience Template. Complete the templatebelow for all experience.

Candidate’s Professional Experience Template

Candidate Name: (a) Provide the name of the Engagement or Project:(b) Provide the Candidate’s direct employer during the Engagement or Project:(c) Provide the beginning and endDates of Engagement or Project:

(d) Provide the Candidate’s Job Title /Role in the Engagement or Project:

(e) Provide the name of the Client Company for the Engagement or Project:

(f) Provide the Name of the Client Company Reference Contact. This contactmust have direct knowledge of the candidate’s role and performance during the

engagement or project. This contact may not be an individual within the Offeror’s organization.

(g) Provide the current mailing address for the Reference Contact:

(h) Provide the current telephone number for the Reference Contact:

(i) Provide the current email address for the Reference Contact:

*The Offeror is responsible for ensuring that all of the addresses andtelephone numbers for the Reference Contact Person are current andthat the Reference Contact Person provided is available and willing toprovide prompt response to OTDA inquiries.

**If an Offeror is requesting OTDA staff to be a reference for Appendix J, forward any such requests in writing to the Primary Point of Contact identified in Section 5.1 of the RFP. This Primary Point of Contact will be the conduit between the Offeror and the individuals in OTDA and will forward such requests to the appropriate party. The appropriate party will respond back to the Offeror through the Primary Point of Contact.

Appendix K Letter of Intent to Accept Employment for Key Staff

Proposed Employee Name: I understand that <Name of Offeror or Sub-contractor> has submitted a proposal in response to the Common Benefit Identification Card (CBIC) RFP. I understand that my name has been submitted in the role of <Title of Position listed on Project Team Staffing Roster>. I have read the Common Benefit Identification Card (CBIC) RFP and all of its attachments. I understand the nature of the Common Benefit Identification Card (CBIC) and the critical nature of the duties of this position for which I have been submitted. I understand that I may be required to participate in oral presentation portion of the RFP evaluation process. If <Name of Offeror> is selected as the Contractor for this RFP, I am willing to accept assignment to this position. _____________________________________ _______________ Signature Date ______________________________________ Printed Name

Appendix L Project Team Resource Chart

Please provide the information for the required Key Personnel. Add additional key personnel as necessary to support the proposal. Direct Employee?

Yes/No – If No, State Employer

Name Title (Key Personnel)

Years of relevant

experience

List type of Experience Is Position Considered

Key Personnel

Yes/No

# of hours on Project (Full-Time or Part-Time)

Project Manager

Project Team Resource Chart New York City Operations

Please provide the information for all proposed non-key personnel.

Function Title

# of FTE’s Name (If Unknown, Enter TBD)

Direct Staff or Subcontractor Name

APPENDIX N

WINNING BIDDER

REQUIRED FORMS

SECURITY, NONDISCLOSURE, CONFIDENTIALITY AND PRESS

RELEASES AGREEMENT

SECURITY, NONDISCLOSURE, CONFIDENTIALITY AND PRESS RELEASES

The Contractor shall maintain the security, nondisclosure and confidentiality of all information in accordance with the following clauses in performance of its activities under this Agreement.

A. SECURITY PROCEDURES:

Contractor agrees to comply fully with all security procedures of the State in relation to providing services and agrees that its officers, agents, employees and subcontractors shall be required to undergo the same security clearances as are required of the employees of the State. Specifically, each prospective and current employee of Contractor designated to work under this Agreement with the State may be required to submit identifying information and be fingerprinted. The State shall arrange for the scheduling of such fingerprinting activities on State premises. Contractor shall pay the fee prescribed by the Division of Criminal Justice Services for processing such fingerprint card, subject to waiver at the discretion of the State.

B. NONDISCLOSURE and CONFIDENTIALITY:

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

(a) information that is previously rightfully known to the receiving party withoutrestriction on disclosure;(b) information that becomes, from no act or failure to act on the part of thereceiving party, generally known in the relevant industry or is in the publicdomain; and(c) information that is independently developed by Contractor without use of ConfidentialInformation of the State.

Contractor shall hold the State harmless from any loss or damage to the State resulting from the disclosure by the Contractor, its officers, agents, employees, and subcontractors of such confidential information.

PRESS RELEASES: Contractor agrees that no brochure, news/media/press release, public announcement, memorandum or other information of any kind regarding this Agreement shall be disseminated in any way to the public, nor shall any presentation be given regarding this Agreement without the prior written approval by the undersigned or the undersigned’s designee from the State, which written approval shall not be unreasonably withheld or delayed provided, however, that Contractor shall be authorized to provide copies of this Agreement and answer any questions relating thereto to

any State or Federal regulators or, in connection with its financial activities, to financial institutions for any private or public offering.

PUBLIC INFORMATION: Disclosure of items related to this Agreement shall be permitted consistent with the laws of the State of New York and specifically the Freedom of Information Law (FOIL) contained in Section 87 of the Public Officers Law. The State shall take reasonable steps to protect from public disclosure any of the records relating to this procurement that are otherwise exempt from disclosure under that statute. Information constituting trade secrets, for purposes of FOIL, must be clearly marked and identified as such upon submission. If the Contractor intends to seek an exemption from disclosure of these materials under FOIL, the Contractor shall, at the time of submission, request the exemption in writing and provide an explanation of why the disclosure of the identified information would cause substantial injury to the competitive position of the Contractor. Acceptance of the identified information by the State does not constitute a determination that the information is exempt from disclosure under FOIL. Determinations as to the availability of the identified information will be made in accordance with FOIL at the time a request for such information is received by the State.

_________________________________ Signature:

Date:_____________________________

CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS ALTERNATIVE I - FOR GRANTEES OTHER THAN INDIVIDUALS

US DEPARTMENT OF HEALTH AND HUMAN SERVICES - CONTRACTORS US DEPARTMENT OF EDUCATION - CONTRACTORS

US DEPARTMENT OF AGRICULTURE - CONTRACTORS

This certification is required by the regulations implementing Sections 5151-5160 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701 et seq.). The January 31, 1989 regulations were amended and published as Part II of the May 25, 1990 Federal Register (pages 21681-21691), and require certification by grantees (and by inference, sub-grantees and sub-contractors), prior to award, that they will maintain a drug-free workplace. Section 3017.630(c) of the regulation provides that a grantee (and by inference, sub-grantees and sub-contractors) that is a State may elect to make one certification to the Department in each federal fiscal year in lieu of certificates for each grant during the federal fiscal year covered by the certification. The certificate set out below is a material representation of fact upon which reliance is placed when the agency awards the grant. False certification or violation of the certification shall be grounds for suspension of payments, suspension or termination of grants, or government wide suspension or debarment. Contractors using this form should send it to:

Commissioner New York Office of Temporary and Disability Assistance

40 N. Pearl St. Albany, NY 12243.

(A) The grantee certifies that it will or will continue to provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,dispensing, possession or use of a controlled substance is prohibited in the grantee’sworkplace and specifying the actions that will be taken against employees for violation ofsuch prohibition;

(b) Establishing an ongoing drug-free awareness program to inform employees about—

(1) The dangers of drug abuse in the workplace;

(2) The grantee’s policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee assistanceprograms; and

(4) The penalties that may be imposed upon employees for drug abuse violationsoccurring in the workplace;

(c) Making it a requirement that each employee to be engaged in the performance of thegrant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition ofemployment under the grant, the employee will—

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for a violation of a criminaldrug statute occurring in the workplace no later than five calendar days aftersuch conviction;

(e) Notifying the agency in writing, within ten calendar days after receiving notice undersubparagraph (d)(2) from an employee or otherwise receiving actual notice of suchconviction. Employers of convicted employees must provide notice, including positiontitle, to every grant officer on whose grant activity the convicted employee was working,unless the Federal agency has designated a central point for the receipt of such notices.Notice shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days of receiving notice undersubparagraph (d)(2), with respect to any employee who is so convicted—

(1) Taking appropriate personnel action against such an employee, up to andincluding termination, consistent with the requirements of the Rehabilitation Actof 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a drug abuse assistanceor rehabilitation program approved for such purposes by a Federal, State, orlocal health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace throughimplementation of paragraphs (a), (b), (c), (d), (e), and (f).

(B) The grantee may insert in the space provided below the site(s) for the performance of work donein connection with the specific grant.

Place of Performance (street address, city, county, State, zip code) (list each location)

Check if there are workplaces on file that are not identified here.

From: Contractor Name Period Covered by this Certification

Name and Title of Authorized Contractor Representative

Contractor Representative Signature Date

New York State Department of Taxation and Finance

Contractor Certification to Covered Agency(Pursuant to Section 5-a of the Tax Law, as amended, effective April 26, 2006)

ST-220-CA(12/11)

Contractor name

Contractor’s principal place of business City State ZIP code

Contractor’s mailing address (if different than above)

Contractor’s federal employer identification number (EIN) Contractor’s sales tax ID number (if different from contractor’s EIN)

Contractor’s telephone number Covered agency name

Covered agency address

I, , hereby affirm, under penalty of perjury, that I am(name) (title)

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)

G The contractor has filed Form ST-220-TD with the Department of Taxation and Finance in connection with this contract and, to the best ofcontractor’s knowledge, the information provided on the Form ST-220-TD, is correct and complete.

G 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 of the contractor’s knowledge, the information provided on that previously filed Form ST-220-TD, is correct and complete as of the current date, and thus the contractor is not required to file a new Form ST-220-TD at this time.

Sworn to this day of , 20

(sign before a notary public) (title)

For covered agency use only

Contract number or description

Estimated contract value over the full term of contract (but not including renewals)

$

Covered agency telephone number

For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5-a (see Need Help? on back).

Instructions

General informationTax 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 5-a, a contractor must file (1) Form ST-220-CA, Contractor Certification to Covered Agency, with a covered agency, and (2) Form ST-220-TD with the Tax Department before a contractmay take effect. The circumstances when a contract is subject tosection 5-a are listed in Publication 223, Q&A 3. See Need help?for more information on how to obtain this publication. In addition, acontractor must file a new Form ST-220-CA with a covered agencybefore an existing contract with such agency may be renewed.

Note: Form ST-220-CA must be signed by a person authorized to make the certification 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 formAs set forth in Publication 223, a contract is subject to section 5-a, and you must make the required certification(s), if:

i. The procuring entity is a covered agency within the meaning of thestatute (see Publication 223, Q&A 5);

ii. The contractor is a contractor within the meaning of the statute (seePublication 223, Q&A 6); and

iii. The contract is a contract within the meaning of the statute. This isthe case when it (a) has a value in excess of $100,000 and (b) is acontract for commodities or services, as such terms are defined forpurposes of the statute (see Publication 223, Q&A 8 and 9).

Furthermore, the procuring entity must have begun the solicitation to purchase on or after January 1, 2005, and the resulting contract must have been awarded, amended, extended, renewed, or assigned on or after April 26, 2006 (the effective date of the section 5-a amendments).

Need help?

Telephone assistance

Sales Tax Information Center: (518) 485-2889

To order forms and publications: (518) 457-5431

Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082

accessible to persons with disabilities. If you have questions about special accommodations for persons with disabilities, call the information center.

Persons with disabilities: In compliance with the Americans with Disabilities Act, we will ensure that our lobbies, offices, meeting rooms, and other facilities ar

Visit our Web site at www.tax.ny.gov• get information and manage your taxes online• check for new online services and features

Individual, Corporation, Partnership, or LLC Acknowledgment

STATE OF } : SS.:

COUNTY OF }

On the day of in the year 20 , before me personally appeared ,

known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that

he resides at ,

Town of ,

County of ,

State of ; and further that:

[Mark an X in the appropriate box and complete the accompanying statement.]

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

G (If a corporation): _he is the

of , the corporation described in said instrument; that, by authority of the Boardof Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation forpurposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and onbehalf of said corporation as the act and deed of said corporation.

G (If a partnership): _he is a

of , the partnership described in said instrument; that, by the terms of saidpartnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forththerein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of saidpartnership as the act and deed of said partnership.

G (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 instrumenton behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executedthe foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limitedliability company.

Notary Public

Registration No.

Page 2 of 2 ST-220-CA (12/11)

Privacy notificationThe 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 liabilities and, 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 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 Manager of Document Management, NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone (518) 457-5181.

Need help?

Telephone assistance

Sales Tax Information Center: (518) 485-2889

To order forms and publications: (518) 457-5431

Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082

accessible to persons with disabilities. If you have questions about special accommodations for persons with disabilities, call the information center.

Persons with disabilities: In compliance with the Americans with Disabilities Act, we will ensure that our lobbies, offices, meeting rooms, and other facilities ar

Visit our Web site at www.tax.ny.gov• get information and manage your taxes online• check for new online services and features

Department of Taxation and Finance

Contractor Certificatio(Pursuant to Tax Law Section 5-a, as amended, effective April 26, 2006)

ST-220-TD(4/15)

Contractor name

Contractor’s principal place of business City State ZIP code

Contractor’s mailing address (if different than above) City State ZIP code

Contractor’s federal employer identification number (EIN Contractor’s sales tax ID number (if different from contractor’s EIN) Contractor’s telephone number( )

Covered agency or state agency Contract number or description Covered agency telephone number( )

Covered agency address City State ZIP code

Is the estimated contract value over the full term of the contract (but not including renewals) more than $100,000? Yes No Unknown at this time

For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5-a (see Need help? below).

General informationTax Law section 5-a, as amended, effective April 26, 2006, requires certain contractors awarded certain state contracts valued at more than $100,000 to certify to the Tax Department that they are registered to collect New York State and 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, contractorsmust certify to the Tax Department that each affiliate andsubcontractor exceeding 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 Form S -220-CA, Contractor Certification to Covered Agency, certifying to the procuring state entity that they filed Form S -220-TD with the Tax Department and that the information contained on Form ST-220-TD is correct and complete as of the date they file Form S -220-CA.

All sections must be completed including all fields on the topof this page, all sections on page 2, Schedule A on page 3, if applicable, and Individual, Corporation, Partnership, or LLC Acknowledgement on page 4. If you do not complete these areas, the form will be returned to you for completion.

For more detailed information regarding this form and Tax Law section 5-a, see Publication 223, Questions and Answers Concerning Tax Law Section 5-a, (as amended, effective April 26, 2006). See Need help? for more information on how to obtain this publication.

Note: Form ST-220-TD must be signed by a person authorized to make the certification on behalf of thecontractor, and the acknowledgement on page 4 of this form must be completed before a notary public.

Mail completed form to:NYS TAX DEPARTMENTDATA ENTRY SECTIONW A HARRIMAN CAMPUSALBANY NY 12227-0826

Privacy notificatioNew York State Law requires all government agencies that maintain a system of records to provide notification of thelegal authority for any request, the principal purpose(s) for which the information is to be collected, and where it will be maintained. To view this information, visit our Web site, or, if you do not have Internet access, call and request Publication 54, Privacy Notification. See Need help? for the Web address and telephone number.

Page 2 of 4 ST-220-TD (4/15)

Complete Sections 1, 2, and 3 below. Make only one entry in each section.

Section 1 – Contractor registration status

G The contractor has made sales delivered by any means to locations within New York State of tangible personal property or taxableservices having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales taxquarter in which this certification is made. The contractor is registered to collect New York State and local sales and compensating usetaxes with the Commissioner of Taxation and Finance pursuant to Tax Law sections 1134 and 1253, and is listed on Schedule A of thiscertification

G The contractor has not made sales delivered by any means to locations within New York State of tangible personal property or taxableservices having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales taxquarter in which this certification is made

Section 2 – Affiliate registration statu

G The contractor does not have any affiliates

G To the best of the contractor’s knowledge, the contractor has one or more affiliates having made sales delivered by any means tlocations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made, and each affiliaexceeding the $300,000 cumulative sales threshold during such quarters is registered to collect New York State and local sales andcompensating use taxes with the Commissioner of Taxation and Finance pursuant to Tax Law sections 1134 and 1253. The contractorhas listed each affiliate exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification

G To the best of the contractor’s knowledge, the contractor has one or more affiliates, and each affiliate has not made sales delivered 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 3 – Subcontractor registration status

G The contractor does not have any subcontractors.

G To the best of the contractor’s knowledge, the contractor has one or more subcontractors having made sales delivered by any means tolocations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 duringthe four sales tax quarters which immediately precede the sales tax quarter in which this certification is made, and each subcontractoexceeding the $300,000 cumulative sales threshold during such quarters is registered to collect New York State and local sales andcompensating use taxes with the Commissioner of Taxation and Finance pursuant to Tax Law sections 1134 and 1253. The contractorhas listed each subcontractor exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification

G To the best of the contractor’s knowledge, the contractor has one or more subcontractors, and each subcontractor has not made salesdelivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value inexcess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made

Sworn to this day of , 20

(sign before a notary public) (title)

I, , hereby affirm, under penalty of perjur , that I am(name) (title)

of the above-named contractor, and that I am authorized to make this certification on behalf of such contracto .

ST-220-TD (4/15) Page 3 of 4

ARelationship

tocontractor

BName

CAddress

DFederal ID number

ESales tax ID number

FRegistration in progress

Column A – Enter C in column A if the contractor; A if an affiliate of the contractor; or S if a subcontractor.

Column B – Name - If the entity is a corporation or limited liability company, enter the exact legal name as registered with the NY Department of State, if applicable. If the entity is a partnership or sole proprietor, enter the name of the partnership and each partner’s given name, or the given name(s) of the owner(s), as applicable. If the entity has a different DBA (doing business as) name, enter that name as well.

Column C – Address - Enter the street address of the entity’s principal place of business. Do not enter a PO box.

Column D – ID number - Enter the federal employer identification number (EIN) assigned to the entit . If the entity is an individual, enter the social security number of that person.

Column E – Sales tax ID number - Enter only if different from federal EIN in column D.

Column F – If applicable, enter an X if the entity has submitted Form DTF-17 to the Tax Department but has not received its certificate ofauthority as of the date of this certification

Schedule A – Listing of each entity (contractor, affiliate, or subcontractor) exceeding $300,000cumulative sales thresholdList the contractor, or affiliate, or subcontractor in Schedule A only if such entity exceeded the $300,000 cumulative sales threshold during the specified sales tax quarters. See directions belo . For more information, see Publication 223.

Page 4 of 4 ST-220-TD (4/15)

Individual, Corporation, Partnership, or LLC Acknowledgment

STATE OF } : SS.:COUNTY OF }

On the day of in the year 20 , before me personally appeared ,

known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that

he resides at ,

Town of ,

County of ,

State of ; and further that:

(Mark an X in the appropriate box and complete the accompanying statement.)

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

G (If a corporation): _he is the

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

G (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.

G (If a limited liability company): _he is a duly authorized member of LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument

on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company.

Notary Public

Registration No.

APPENDIX P

COST CHARTS

START UP Price Offer: Line 1 Color Photo and Signature Conversion $ One time Charge Line 2 Additional Conversion:

a) More than 11,000,000 Color Photosb) More than 9,000,000 Signatures

$$

Incremental Prices per Image

Line 3 Communications Networks One time Charge Line 4 Over the Counter Cards $ One time Charge Line 5 Mailed Cards $ One time Charge Line 6 Other Start Up Charges $ One time Charge Line 7 Total Start Up Costs $ One time Charge Line 8 Amortized Monthly Cost $ Recurring Monthly Line 9 60 Month Total of Amortized Costs $

Instructions: Do not include ongoing operational costs. Separately provide detailed information to demonstrate how the amounts in each line were derived. Line 1- Insert One-Time Charge to convert photos and electronic signatures per SOW Section 2.22; Line 2- Insert incremental price per image to convert more than the stated numbers of images; Line 3- Per SOW Section 2.20.4; Line 4- Submit one-time charge for start-up costs associated with over the counter card production; Line 5- Submit one-time charge for start-up costs associated with mailed card production; Line 6- Include all other start up charges Line 7- Total of line 1 plus lines 3 – 6. Line 8- In the event that OTDA elects to amortize the start-up costs over the five-year (60 month) operational period Offerors are required provide a monthly amortized cost. Line 9- Multiply line 8 times 60 months.

Operations Price Offer:

VAULT Cards Card Volume

25,000-100,000

100,001-200,000

200,001-400,000

400,001- 1,000,000 1,000,000+

One Color Option $ $ $ $ $ Two Color Option $ $ $ $ $ Incremental Hi-Co

Price Increase $ $ $ $ $ Instructions: Submit a low coercivity price per card for each volume tier for both one-color vault cards and two-color vault cards. The Contractor will order the number of cards selected by the OTDA. The price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards ordered. If OTDA elects to purchase high coercivity cards, the incremental Hi-Co price will be added. The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year.

Per SOW section 2.4.2, pricing for additional vault card types must be included in proposals. Per SOW section 2.5.4 all pricing for expanded vault card usage or separate vault card inventory must be included in pricing.

CBIC Cards- Non-Photo/ Non-Signature Mailed

Monthly Card Volume 1-1,000

1,001-25,000

25,001-50,000

50,001- 100,000

100,001 – 200,000

200,001+

Price per Card $ $ $ $ $ $ Options:

4 Color Printing

$ $ $ $ $ $

Microline Printing

$ $ $ $ $ $

Holographic Overlay

$ $ $ $ $ $

Embedded Hologram

$ $ $ $ $ $

Instructions: Submit a price per card for each volume tier for non-photo mailed cards. The monthly price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards actually produced. Exclude postage costs. The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year. Submit incremental prices (price increase per card) for each optional feature for each volume tier.

CBIC Cards- Photo Mailed

Monthly Card Volume 1-1,000

1,001-20,000

20,001-50,000

50,001- 80,000

80,001- 125,000

125,001+

Price per Card $ $ $ $ $ $ Options:

4 Color Printing

$ $ $ $ $ $

Microline Printing

$ $ $ $ $ $

Holographic Overlay

$ $ $ $ $ $

Embedded Hologram

$ $ $ $ $ $

Instructions: Submit a price per card for each volume tier for photo mailed cards. The monthly price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards actually produced. Exclude postage costs. The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year. Submit incremental prices (price increase per card) for each optional feature for each volume tier.

CBIC Cards- Signature Only Non-Photo Mailed

Monthly Card Volume 1-500

501- 1,000

1,001-1,500

1,501- 2,000

2,001+

Price per Card $ $ $ $ $ Options:

4 Color Printing

$ $ $ $ $

Microline Printing

$ $ $ $ $

Holographic Overlay

$ $ $ $ $

Embedded Hologram

$ $ $ $ $

Instructions: Submit a price per card for each volume tier for photo mailed cards. The monthly price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards actually produced. Exclude postage costs . The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year. Submit incremental prices (price increase per card) for each optional feature for each volume tier.

CBIC Cards- Photo Over the Counter

Monthly Card Volume 1-500 501-1,000

1,001-10,000

10,001- 20,000

20,001 – 40,000

40,001+

Price per Card $ $ $ $ $ $ Options:

4 Color Printing

$ $ $ $ $ $

Microline Printing

$ $ $ $ $ $

Holographic Overlay

$ $ $ $ $ $

Embedded Hologram

$ $ $ $ $ $

Instructions: Submit a price per card for each volume tier for photo over the counter cards. The monthly price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards actually produced. The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year. Submit incremental prices (price increase per card) for each optional feature for each volume tier.

CBIC Cards- Non-Photo Over the Counter

Monthly Card

Volume 1-500 501- 1,000

1,001-2,500

2,501- 5,000

5,001 – 10,000

10,001+

Price per Card $ $ $ $ $ $ Options:

4 Color Printing

$ $ $ $ $ $

Microline Printing

$ $ $ $ $ $

Holographic Overlay

$ $ $ $ $ $

Embedded Hologram

$ $ $ $ $ $

Instructions: Submit a price per card for each volume tier for non-photo over the counter cards. The monthly price will be determined by multiplying the price per card as bid for the appropriate volume tier times the number of cards actually produced. The price per card is subject to adjustment annually on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index (CPI) as published by the US Bureau of Labor Statistics for the preceding calendar year. Submit incremental prices (price increase per card) for each optional feature for each volume tier.

Change Order Pricing

Personal Services

Position Title Daily Rate – Normal Status

Daily Rate – Travel Status

Please list

Non-Personal Services

Percentage N/A Administrative/ Mark-Up Rate

N/A

The selected Offeror may be requested to perform Change Order assignments at the discretion of the State. For personal services, the daily travel status rates are to be inclusive of all travel/ per diem charges. The daily rates for normal status are to be exclusive of all travel/per diem charges. The Contractor and OTDA will mutually agree upon which status, or a combination thereof, is applicable for the specific change order. The daily rate is based upon an eight-hour workday exclusive of lunch breaks. Utilization of personal services in increments of less than eight hours will be prorated accordingly. Any applicable non-personal services charges would be billed at cost as evidenced by invoicing to be submitted by the Contractor plus the mark-up/administrative fee as bid.

APPENDIX R

REFERENCES

Submit a total of THREE references (Section 4.0) using this form.

Expand fields and duplicate this page as necessary.

Common Benefit Identification Card RFP

OFFEROR:

Provide the following information for each reference submitted. Fields will expand as you type.

Reference Company #1:

Contact Person:

Address:

City, State, Zip:

Telephone Number:

Email Address:

Number of years Offeror provided services to this entity:

Brief description of the services provided:

Reference Company #2:

Contact Person:

Address:

City, State, Zip:

Telephone Number:

Email Address:

Number of years Offeror provided services to this entity: Brief description of the services provided:

Reference Company #3:

Contact Person:

Address:

City, State, Zip:

Telephone Number:

Email Address:

Number of years Offeror provided services to this entity: Brief description of the services provided:

APPENDIX T DRAFT CONTRACT TERMS

ARTICLE 1 AGREEMENT DURATION AND AMENDMENT

This Agreement shall commence upon approval of the Offices of the Attorney General and the State Comptroller’s Bureau of Contracts (“OSC”) and shall continue for the transition period of up to six (6) months plus five (5) years, subject to termination as provided for in ARTICLE 19 (Termination). Following the initial Agreement expiration at the discretion of OTDA the contract may be extended for up to two (2) additional one (1)-year periods by amendments signed by both parties with all required approvals. OTDA shall have the right to re-negotiate the terms and conditions of this Agreement in the event a) applicable New York State (State) or Federal statutes, policy, rules, regulations and/or guidelines are altered from those existing at the time of the execution of this Agreement, in order to be in continuous compliance therewith. It shall be understood that, in the event OTDA and the Contractor are unable to mutually agree to a set of terms and conditions through re-negotiation, the terms and conditions required to continue this Agreement in compliance with revised State or Federal statutes, policy, rules, regulations and/or guidelines shall be decided by the Commissioner of OTDA or his/her duly authorized representative(s) or designee(s), in accordance with ARTICLE 16 herein.

Unless otherwise provided, this Agreement is subject to amendment only upon mutual consent of the parties, reduced to writing and approved by the Comptroller of the State of New York.

ARTICLE 2 MERGER OF DOCUMENTS/CONFLICTS OF CLAUSES

This Agreement shall be deemed inclusive of the following documents. Only documents expressly mentioned below shall be deemed part of this Agreement. Conflicts between these documents shall be resolved in the following order of precedence:

1. Appendix A – Stand Clauses for New York State Contracts; 2. Amendments to this Agreement; 3. Agreement – (This Document); 4. Appendix P – Pricing Schedule; 5. Appendix W – Scope of Work; 6. Appendix Z – Minority and Women Owned Business Enterprises (MWBE) and Equal

Employment Opportunity (EEO) Participation Requirements for all NYS OTDA Contracts and Grants;

7. Appendix Y – OTDA Form 4200; 8. Attachment A- Amendments to the Common Benefit Identification Card Request for

Proposals (“RFP”), to include Questions and Answer; 9. Attachment B- The Common Benefit Identification Card RFP, including Appendices; 10. Attachment C - The Contractor’s Proposal (Technical Proposal, Cost Proposal, and

Administrative Proposal), including any clarifications thereto, all documents listed in Appendix E (Required Forms), and the Offeror’s Certified Statements in Appendix V (Offeror’s Certified Statements).

ARTICLE 3 COMPENSATION

OTDA shall compensate the Contractor pursuant to this Agreement in accordance with the Pricing Schedule as set forth in the Contractor’s Proposal, Appendix P. The Contractor will not be reimbursed for travel expenses, including travel time to and from any OTDA facility. The price per card for all card types is subject to an annual adjustment on the contract anniversary date commensurate with the percentage increase or decrease in the Consumer Price Index-All Urban Consumers, U.S. All items, 1982-84=100 as published by the US Bureau of Labor Statistics for the preceding contract anniversary date.

The CPI-U is available through the Bureau of Labor Statistics web site at http://stats.bls.gov/.

ARTICLE 4

PAYMENT AND INVOICES Payments to the Contractor shall be based on the pricing and/or rates set forth in Appendix P, Cost Charts as attached. Invoicing will be submitted in arrears by the Contractor using the standard Claim for Payment Form (Form AC3253-S Revised 8/14). Timeliness of payment and any fees to be paid to the Contractor for late payment shall be governed by the laws of the State of New York. To ensure the timely processing and payment of contract invoices, they must be submitted to the Business Service Center (BSC). Submit invoices via one of the following methods:

1. Preferred Method: Email a PDF copy of your signed invoice to the BSC at: AccountsPayable@ogs.ny.gov with a subject field as follows: Subject: Unit ID: TDA01 Contract # C02xxxx (Do NOT send a paper copy in addition to your emailed invoice.)

2. Alternate Method: Mail invoices to BSC at the following U.S. postal address: NYS Office of Temporary and Disability Assistance Unit ID: TDA01 c/o NYS OGS BSC Accounts Payable Building 5, 5th Floor 1220 Washington Ave. Albany, NY 12226-1900

Include all Required Information on invoices:

Contractor’s SFS Vendor ID Number; Invoice number and date; Business Unit ID# TDA01; Name of the NYS Agency to which you provided the services: NYS Office of Temporary and Disability Assistance; Contract #C02XXXX; and The period of service for which the claim is made or reference to deliverable completed.

If prompt payment discounts are applicable, the terms of the discounts MUST be included on all invoices as well as the amounts due if OTDA meets the terms, and the date for which the prompt payment discount(s) expires.

Invoices that do not comply with the above guidelines will be returned to the Contractor for corrections.

Do NOT include contractually required supporting documentation with the invoice submitted to the BSC.

A copy of the invoice sent to the BSC and all contractually required supporting documentation, such as reports, receipts, timecards and other schedules are to be sent to the contact listed below. Lack of submission of any contractually required supporting documentation may “stop the clock” in determining the statutorily prescribed period for invoice payment.

Invoices and the supporting documents required by OTDA are to be sent to the following address, unless directed otherwise:

NYS Office of Temporary and Disability Assistance Attn: Michael Burns Office of Temporary and Disability Assistance 40 North Pearl Street, Floor 11B Albany, New York 12243-0001

The State shall not be liable for the payment of any taxes under this Agreement, however designated, levied or imposed. No person, firm, or corporation is exempt from paying the State truck mileage, unemployment insurances taxes and other Federal, State, and local taxes to which the Contractor is subject.

The State represents that the Contractor is not liable for the payment of any transfer taxes including, but not limited to, sales taxes upon goods or services purchased for or provided for the State. For purposes of tax free transactions under the Internal Revenue Code, the New York State Registration Number is 14740026K.

Contractor shall comply with the State Comptroller’s procedures to authorize electronic payments. Authorization forms are available at the State Comptroller’s website at www.osc.state.ny.us/epay/index.htm, by email at epunit@osc.state.ny.us or by telephone at (518) 474-4032. Contractor acknowledges that it will not receive payment on any invoices submitted under this Contract if it does not comply with the State Comptroller’s electronic payment procedures, unless payment by paper check is expressly authorized by OTDA, in OTDA’s sole discretion, due to extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State procedures and practices as established by the State Comptroller.

The Contractor must take advantage of all available postal rate schedules, including as appropriate ZIP pre-sort, bar coding, ZIP plus 4, and any other relevant postal price offerings which may include 3rd party pre-sort facilities. Reimbursable vault card delivery charges shall be payable at cost and not subject to Contractor mark-up.

ARTICLE 5a MINORITY AND WOMAN-OWNED BUSINESS ENTERPRISE (M/WBE)

REPORTING REQUIREMENTS

The Contractor shall comply with New York State Executive Law Article 15-A, Appendix Z, and OTDA’s New York State Contract System compliance and reporting requirements as set forth below:

A. OTDA has developed compliance requirements to ensure that (i) all contractors as defined under Executive Law § 310 (3) (to include those who submit bids/proposals in an effort to be selected for contract award as well as those successful Offerors/ proposers with whom OTDA enters into State Contracts, as defined in Executive Law § 310 (13) [hereinafter “Contractors”], as well as proposed or actual ”Subcontractors”, as defined in Executive Law § 310 (14) shall comply with requirements to ensure Equal Employment Opportunities for Minority Group Members and Women, and, (ii) the meaningful participation of certified Minority or Women-owned Business Enterprises (M/WBEs) in the OTDA procurement process. Contractors participating in and/or selected for procurement opportunities with OTDA shall fulfill their obligations to comply with applicable Federal, State and Local requirements concerning Equal Employment Opportunity and opportunities for Minority and Women Business Enterprises, including but not limited to the Statute and its implementing regulations as promulgated by the New York State Division of Minority and Women's Business Development (DMWBD) and set forth at 5 NYCRR Parts 140-145. Please refer to Appendix Z, attached and incorporated by reference herein, for the specific EEO/M/WBE requirements.

B. To streamline M/WBE compliance tracking, vendors may now report payments and track goals using an electronic monitoring and compliance system. The New York State Contract System will allow vendors to electronically update their contact information, provide subcontractor payment data for contract audits and provide revenue and payment data for concession audits. The system will also allow Subcontractors to enter the system to verify receipt of Contractor payments. Data is to be submitted without change to the Contractor’s MWBE Utilization Plan nor the MWBE participation goals as specified in the RFP or contract, unless otherwise authorized by OTDA. The electronic monitoring and reporting system can be viewed at https://ny.newnycontracts.com. The Vendor Guide and Vendor Training Manual are available on the OTDA’s internet site at http://otda.ny.gov/contracts/mwbe/forms.asp.

C. Please refer to Appendix Z for the specific EEO/M/WBE requirements and associated forms required by this procurement. These forms are to be submitted without change to the MWBE participation goals as specified in the RFP or contract, unless otherwise authorized by OTDA. The forms that are identified in Appendix Z are also available on OTDA’s Internet site at http://otda.ny.gov/contracts/mwbe/forms.asp.

For purposes of this contract, OTDA hereby establishes an overall goal of 30% for M/WBE participation, 15% for New York State certified Minority Business Enterprise (“MBE”) participation and 15% for New York State certified Women Business Enterprise (“WBE”) participation (based on the current availability of qualified MBEs and WBEs). A contractor (“Contractor”) on the subject contract (“Contract”) must document its good faith efforts to provide meaningful participation by M/WBEs as subcontractors or suppliers in the performance of the Contract and the Contractor agrees that OTDA may withhold payment pending receipt of the required M/WBE documentation. The New York State M/WBE Directory can be viewed at: https://ny.newnycontracts.com. For guidance on how OTDA will determine a Contractor’s “good faith efforts,” refer to 5 NYCRR §142.8.

ARTICLE 5b SERVICE-DISABLED VETERAN-OWNED BUSINESS ENTERPRISES (SDVOBS)

UTILIZATION 1. Contractor agrees, to the maximum extent practical and consistent with legal

requirements of the State Finance Law, the Executive Law and any implementing regulations, to use NYS certified Service-Disabled Veteran-Owned Business Enterprises (SDVOBs) in purchasing and utilizing commodities, services and technology that are of equal quality and functionality to those that may be obtained from non-SDVOBs.

2. Contractor acknowledges being subject to the provisions of Executive Law Article 17-

B and the applicable regulations (9 NYCRR Part 252), and that the directory of NYS certified SDVOBs is located at: https://ogs.ny.gov/Core/Docs/CertifiedNYS_SDVOB.pdf

3. Contractor acknowledges that the SDVOB utilization goal for this Agreement is 6 %.

4. Contractor further acknowledges that this requirement is separate and distinct from the similar requirement elsewhere in this Agreement to utilize small, minority and women- owned businesses (M/WBEs), consistent with current State law (Executive Law, Article 15-A).

5. Contractor agrees to report on actual participation by each SDVOB during the term of the

contract to OTDA on a quarterly basis according to policies and procedures to be set by OTDA.

6. Contractor agrees that, following contract execution, if OTDA determines that the contractor may not have acted in good faith, has failed, is failing, or is refusing to comply with the participation or utilization contractual goals for SDVOB participation, OTDA may, after giving the contractor an opportunity to be heard, make a determination that Contractor has failed to meet the contract goals and may be in breach of contract. Upon determination that the Contractor is in breach of contract, as set forth in this Article, OTDA may require the submission of a corrective action plan for meeting the contractual goals, and may also assess actual damages as authorized by regulation [9NYCRR Section 252.2 (s)] based on the actual cost incurred by the State agency, related to the State agency's expenses for personnel, supplies and overhead related to establishing, monitoring, and reviewing certified service-disabled veteran-owned business enterprise programmatic goals.

Information about SDVOB certification and set asides for SDVOB participation in public

procurement can be found at: http://www.ogs.ny.gov/Core/SDVOBA.asp, which provides certification information and guidance for State agencies in making determinations and administering set asides for procurements from SDVOBs.

ARTICLE 6 NOTICES

Any notice or other communication given pursuant to this Agreement shall be in writing and shall be effective either when delivered personally to the party for whom intended, or five (5) days following the deposit of same into the United States Postal Service mail (certified mail, return receipt requested, or first class postage prepaid), upon read receipt if sent via email, or upon actual receipt by the intended party if the same is sent by overnight mail service, addressed to such party at the address set forth in this Agreement. Either party may designate a different address by notice to the other given in accordance herewith. The following are the names and contact information for OTDA and the Contractor. The parties shall notify each other, as soon as possible of any change. OTDA: Name: Michael Burns

Title: EBT Bureau Chief Address: Office of Temporary and Disability Assistance 40 North Pearl Street, Floor 11B Albany, New York, 12243-0001 Email: Michael.Burns@otda.ny.gov

Contractor: Name: ____________________

Title: Address: Telephone: Email

ARTICLE 7 SERVICES

OTDA hereby retains the Contractor to perform the Services, and the Contractor agrees to perform the Services, which shall include all deliverables, work and/or work products as described in Section 3.0 and Appendix W (Statement of Work) of the RFP.

Nothing contained herein shall prohibit OTDA from contracting at any time with third parties or from performing any of the work itself or through other State entities, for any Services that otherwise may be requested or required of the Contractor pursuant to this Agreement, and the Contractor shall not assert and exclusive right to perform such Services. The Contractor shall provide to OTDA, upon request, services and commodities at the awarded proposal rate, or less.

The Contractor accepts sole and complete responsibility for the timely accomplishment of all activities required under this Agreement and to provide the services and commodities as specified in accordance with the RFP and the Contractor’s Proposal.

The OTDA Contract Manager and those individuals designated by him/her in writing shall have the prerogative to make announced or unannounced on-site visits to the Contractor’s facilities.

The Contractor agrees to strict adherence to the requirements outlined in Appendix W (Scope of Work) and throughout the RFP.

Upon expiration of this Agreement, the Contractor agrees to cooperate in assisting OTDA with transition of the services provided through this Agreement to any new contractor selected for subsequent contract periods.

ARTICLE 8 COOPERATION

The Contractor, OTDA, and their respective agents, employees, and officers shall cooperate with each other to the fullest extent in connection with the Services to be provided under this Agreement. Pursuant to the terms and conditions of this Agreement and all appendices hereto, OTDA shall supply and make available necessary information and personnel to assist the Contractor to perform the Services.

ARTICLE 9 STAFF

For the purposes of this section Contractor’s “Staff” includes employees, owners, directors, subsidiaries, affiliates, partners, agents, and subcontractors of the Contractor. The Contractor specifically represents and agrees that its Staff has and shall possess the experience, knowledge and character necessary to qualify its Staff for the particular duties to be performed pursuant to this Agreement, including having the necessary integrity and professional capacity to meet OTDA’s reasonable expectations. Subsequent to the commencement of Services, whenever the Contractor becomes aware, or reasonably should have become aware, that the Staff providing Services to OTDA no longer possesses the necessary integrity or professional capacity, the Contractor shall immediately discontinue the use of such Staff and notify OTDA. OTDA reserves the right to remove any of the Contractor’s Staff if, in OTDA’s discretion, such Staff is not performing in accordance with this Agreement, or for any other reasonable work-related cause. OTDA may refuse to approve any Staff based on its review of the Staff’s’ responsibility to perform the required Services. OTDA reserves the right to bar anyone from access to OTDA’s premises and/or access to OTDA’s information resources. The Contractor shall be fully responsible for performance of work by its Staff. The Federal Immigration Reform and Control Act, as amended (8 USC § 1324a et al.), obligates employers, such as the Contractor and its subcontractors, to verify that its employees are legally entitled to work in the United States. In order to confirm that the employees are legally entitled to work in the United States, OTDA reserves the right to request documentation attesting to the legal entitlement to work in the United States of any Contractor or subcontractor employee assigned work under this Agreement. OTDA does not provide sponsorship. The Contractor warrants to OTDA that the Staff assigned to OTDA are eligible for employment in the United States. The Contractor is responsible for ensuring that the Staff retain the authorization to legally work in the

United States throughout the term of the Agreement. OTDA does not discriminate against individuals on the basis of national origin or citizenship.

ARTICLE 10 SUBCONTRACTORS

In the event that the Contractor utilizes subcontractors to perform any of the services pursuant to this Agreement, OTDA shall have the right to approve or disapprove, after appropriate review and/or interview(s), any and all subcontractors of the Contractor prior to their performance of services under this Agreement.

The Contractor shall require all proposed subcontractors to complete such Appendices included in this Agreement as are deemed necessary by OTDA prior to any such proposed subcontractor’s performance of services under this Agreement. The Contractor acknowledges that this requirement is ongoing for the term of this Agreement, and the Contractor shall be required to disclose to OTDA its intention to enter into any subcontracts for the performance of any services under this Agreement.

Failure to disclose the identity of any and all subcontractors used by the Contractor together with a detailed description of their responsibilities may, at the sole discretion of OTDA, result in a disqualification of the subcontractor or termination of this Agreement.

The Contractor shall be fully responsible to OTDA for the acts and omissions of its subcontractors and of persons either directly or indirectly engaged by them in connection with the performance of this Agreement.

OTDA reserves the right to remove any of the subcontractor’s staff if, in OTDA’s discretion, such subcontractor’s staff is not performing in accordance with this Agreement, or for any other reasonable work-related cause. OTDA reserves the right to approve or disapprove any proposed changes in subcontractor’s key staff. OTDA in each instance will be provided with a summary of the experience of the proposed subcontractor’s key staff member(s) and an opportunity to interview the key staff member prior to giving its approval or disapproval.

The Contractor agrees not to subcontract any of its services, unless as indicated in its proposal, without the prior written approval of OTDA. Approval shall not be unreasonably withheld upon receipt of written request to subcontract. The Contractor may arrange for a portion/s of its responsibilities under this Agreement to be subcontracted to qualified, responsible subcontractors, subject to approval of OTDA. If the Contractor determines to subcontract a portion of the services, the subcontractors must be clearly identified and the nature and extent of its involvement in and/or proposed performance under this Agreement must be fully explained by the Contractor to OTDA. As part of this explanation, the subcontractor must submit to OTDA a completed “Vendor Assurance of No Conflict of Interest or Detrimental Effect” form, found in Appendix E of the RFP, as required by the Contractor prior to execution of this Agreement. The Contractor retains ultimate responsibility for all services performed under this Agreement. All subcontracts shall be in writing and shall contain provisions, which are functionally identical to, and consistent with, the provisions of this Agreement including, but not limited to, the body of this Agreement, Appendix A – Standard Clauses for New York State Contracts and the solicitation document unless waived in writing by OTDA, all subcontracts between the Contractor and subcontractors shall expressly name the State, through OTDA, as the sole intended third party

beneficiary of such subcontract. OTDA reserves the right to review and approve or reject any subcontract, as well as any amendment to said subcontract(s), and this right shall not make OTDA or the State a party to any subcontract or create any right, claim, or interest in the subcontractor or proposed subcontractor against OTDA. OTDA reserves the right, at any time during the term of this Agreement, to verify that the written subcontract between the Contractor and subcontractors is in compliance with all of the provisions of this section and any subcontract provisions contained in this Agreement. The Contractor shall give OTDA immediate notice in writing of the initiation of any legal action or suit which relates in any way to a subcontract with a subcontractor or which may affect the performance of the Contractor’s duties under this Agreement. Any subcontract shall not relieve the Contractor in any way of any responsibility, duty and/or obligation of this Agreement. If at any time during performance under this Agreement total compensation to a subcontractor exceeds or is expected to meet or exceed $100,000, the subcontractor shall be required to submit and certify a Vendor Responsibility Questionnaire.

ARTICLE 11

INSURANCE REQUIREMENTS

Prior to the start of work the Contractor shall procure, at its sole cost and expense, and shall maintain in force at all times during the Term of the Contract, policies of insurance as set forth in Appendix I (New York State Insurance Requirements), written by companies authorized by the New York State Insurance Department to issue insurance in the State of New York (“admitted” carriers) with an A.M. Best Company rating of “A-”or better or as acceptable to OTDA.

ARTICLE 12 RELATIONSHIP OF PARTIES; RIGHT TO WORK PRODUCT

The relationship of the Contractor, its staff, and its subcontractors to OTDA shall be that of an independent contractor, and not that of an agent or employee of OTDA. The Contractor, as an independent contractor, shall not have the authority to contract for or bind OTDA for any purpose whatsoever. The Contractor covenants and agrees that its staff and subcontractors will not hold themselves out as agents, officers, or employees of OTDA, and that they will not make any claim, demand, or application for any right or privilege applicable to any officer or employee of OTDA, including but not limited to, Workers’ Compensation coverage, Social Security coverage, or Retirement System benefits. All work performed by Contractor, its staff, and its subcontractors for OTDA under this Agreement, including all deliverables, supporting materials, modifications, customizations, custom programs, tools, data, modules, components, and any properties embodied therein and furnished to OTDA under this Agreement by or through Contractor, its staff, and its subcontractors is a work for hire. Such work is specially ordered and commissioned for use as contributions to a collective work, or is other such work as specified by the U.S. Copyright Act [17 U.S.C. § 101(2)], and is intended to be a work for hire that is made for the use and ownership of the State of New York. Furthermore, OTDA and the Contractor agree title and ownership shall pass to the State of New York upon acceptance of the work. The Contractor, its staff, and its subcontractors who have been or may be used in regard to the Agreement forfeit all claims of title or ownership to work produced under this Agreement. Any and all reports and other materials (preliminary, final and otherwise), analyses and data (whether statistical or otherwise), transmitted to OTDA by the Contractor shall become the sole and exclusive property of OTDA for such use as OTDA shall deem appropriate, other than Contractor’s work papers, which Contractor may retain.

Nothing herein shall preclude the Contractor from otherwise using the related or underlying general knowledge, skills, ideas, concepts, techniques and experience developed in the course of Contractor’s business.

ARTICLE 13 CONFLICT RESOLUTION

a) In the event of conflicts between the Contractor and OTDA, the Contractor shall submit to the OTDA’s Director of the Bureau of Contract Management or his/her designee, a timely written explanation of the details of the conflict, including such pertinent facts as may provide OTDA with a firm basis for understanding the nature of the conflict.

b) With respect to the conflicts detailed in Subsection (a), the OTDA Director of Bureau of Contract Management or his/her designee shall have the sole right and authority to direct the involved parties on the appropriate course of action to be taken to resolve the conflict. Both parties reserve the right to pursue all available legal and equitable remedies.

ARTICLE 14 CONFLICTS OF INTEREST

A. The Contractor has provided a form (“Vendor Assurance of No Conflict of Interest or Detrimental Effect”), signed by an authorized legal representative, authorized to bind the Contractor contractually, attesting that the Contractor’s performance of the services does not and will not create a conflict of interest with, nor position the Contractor to breach any other contract currently in force with the State of New York, and that the Contractor will not act in any manner that is detrimental to any State project on which the Contractor is rendering services.

B. The Contractor hereby reaffirms the attestations made in its proposal and covenants and

represents that there is and shall be no actual or potential conflict of interest that could prevent the Contractor's satisfactory or ethical performance of duties required to be performed pursuant to the terms of this Agreement. The Contractor shall have a duty to notify OTDA immediately of any actual or potential conflicts of interest by completing and submitting an updated form entitled, “Contractor’s Certification/Acknowledgements/ Understanding”. The Contractor shall also notify OTDA of any new potential conflicts of interest and of any new contractor staff that are prior OTDA employees during the term of the contract, by submitting an updated form entitled, “Contractor’s Certification/Acknowledgements/Understanding”.

C. In conjunction with any subcontract under this Agreement, the Contractor shall obtain

and deliver to OTDA, prior to entering into a subcontract, a “Vendor Assurance of No Conflict of Interest or Detrimental Effect” form, signed by an authorized executive or legal representative(s) authorized to bind the subcontractor contractually. The Contractor shall also require in any subcontracting agreement that the subcontractor, in conjunction with any further subcontracting agreement, obtain and deliver to OTDA a signed and completed, “Vendor Assurance of No Conflict of Interest or Detrimental Effect” form, for each of its subcontractors prior to entering into a subcontract.

D. OTDA and the Contractor recognize that conflicts may occur in the future because the

Contractor may have existing, or establish new, relationships. OTDA will review the nature of any relationships and reserves the right to terminate this Agreement for any reason, or for cause, if, in the judgment of OTDA, a real or potential conflict of interest cannot be cured.

ARTICLE 15 CONFIDENTIALITY, SECURITY AND BACKGROUND INVESTIGATIONS

A. Definition

The term “Confidential Information” shall mean any and all information which is disclosed by either party (“Owner”) to the other (“Recipient”) verbally, electronically, visually, or in written or other tangible form which is either identified or should be reasonably understood to be confidential or proprietary. Confidential Information may include, but not be limited to, trade secrets, computer programs, software, documentation, formulas, data, inventions, techniques, marketing plans, strategies, forecasts, client lists, employee information, financial information, confidential information concerning Owner’s past, current, or possible future products or methods, including information about Owner’s research, development, engineering, purchasing, manufacturing, accounting, marketing, selling, leasing, and/or software (including third party software). Confidential Information shall include, but not be limited to: Personal information about individuals, e.g., home addresses, home telephone numbers,

social security numbers, payroll information, account numbers, health status, etc. Computer codes or other electronic or non-electronic information, the disclosure of which

could jeopardize the security of OTDA’s computer systems. Any other material designated as being “Confidential.”

B. Treatment

Owner’s Confidential Information shall be treated as strictly confidential by Recipient and shall not be disclosed by Recipient to any third party except to those third parties operating under non-disclosure provisions no less restrictive than those in this Section and who have a justified business “need to know.” This Agreement imposes no obligation upon the parties with respect to Confidential Information which either party can establish by legally sufficient evidence: (a) was in the possession of, or was rightfully known by the Recipient without an obligation to maintain its confidentiality prior to receipt from Owner; (b) is or becomes generally known to the public without violation of this Agreement; (c) is obtained by Recipient in good faith from a third party having the right to disclose it without an obligation of confidentiality; (d) is independently developed by Recipient without the participation of individuals who have had access to the Confidential Information; or (e) is required to be disclosed by governmental or judicial order or applicable law provided notice is promptly given to the Owner and provided further that diligent efforts are undertaken to limit disclosure.

C. Confidentiality of OTDA Information In connection with the Services, the Contractor, its staff, and its subcontractors may view, or have access to, Confidential Information owned by OTDA. The Contractor agrees to preserve the confidentiality of any and all Confidential Information viewed, accessed, or developed under the Agreement, and agrees: To view, access and use only the Confidential Information relevant and necessary to

provide Services; To use its best efforts to preserve the confidentiality of the Confidential Information;

To use its best efforts to prevent disclosure of the Confidential Information to any person other than to OTDA employees;

To abide by all State confidentiality policies and procedures; That all reports and other materials, preliminary, final and otherwise, prepared for or

relating to Services (other than Contractor’s work papers) must be treated at all times as Confidential Information by the Contractor;

All Confidential Information shall remain the property of OTDA; That all Confidential Information shall be returned or destroyed (using highest industry-

standard secure disposal methods) within thirty (30) days after the expiration of the Agreement and that upon such destruction, the Contractor will certify as to the method of destruction.

D. Security

The Contractor shall be required to comply with all applicable facility and information security policies and procedures, including any training required, (both present and future), by OTDA in performing the Services. The Contractor may not connect any non-State computer, electronic storage device, or telecommunications equipment to OTDA’s network. Personal and corporate laptop computers, personal and corporate USB devices, smartphones, and tablets are included in this prohibition. Where performance of Services involves use by the Contractor of State-owned or licensed, or OTDA-owned or licensed, papers, files, computer disks or other electronic storage devices, data, or records at OTDA or State facilities or offices, the Contractor shall not remove such records therefrom without the prior written approval from an authorized representative of OTDA.

E. Background Investigations OTDA policy requires that background investigations be conducted on Contractor staff who will have access to OTDA’s IT systems, access to OTDA confidential information/data, or routine access to any OTDA facility. For purposes of this policy, “routine access” is defined as access to an OTDA facility for five (5) consecutive business days or ten (10) business days over the annual term of the engagement. Accordingly, with the signing of this Agreement, the Contractor certifies that it has or will conduct a background investigation within twelve (12) months prior to any individual commencing Services under this Agreement. At a minimum, background investigations shall include a review/evaluation of the following: Social Security Number search and verification of U.S. citizenship or legal immigration status (if appropriate); criminal history check/court records (Federal, State and local for the past five (5) years); work experience/history (for the past five (5) years); and pertinent education/professional credentials. OTDA has the right to review the results of the background investigation and its supporting documentation upon request. OTDA reserves the right to conduct its own background investigation of the Contractor’s staff. The Contractor agrees to undertake a background investigation of any new/replacement staff during the term of this Agreement. The Contractor shall maintain records related to the background investigations performed for the term of this Agreement.

For the purpose of this Section “staff” includes employees, owners, officers, directors, or agents of the Proposer and of any of the Proposer’s subcontractors.

ARTICLE 16 DISPUTES

This disputes provision shall apply to any dispute of the parties relating to performance under this Agreement, except liquidated damages. Any dispute concerning any question of fact or law arising under this Agreement, which is not disposed of, by mutual agreement of the parties shall be initially decided by the adjudicator designee (hereinafter “Designee”) of the Director the Bureau of Contract Management (hereinafter “Director”). The Director shall also designate the person who will present OTDA’s position in the dispute (hereinafter “Advocate”). Within thirty (30) calendar days of such designations, the Advocate will state and brief the Designee on OTDA’s position on the dispute. The Contractor will then have thirty (30) calendar days to make its submission; the submission may include any material the Contractor deems relevant to the dispute. All documents may be sent either by surface mail, by carrier, or electronically.

The Advocate will have a right to submit a response to the Contractor’s submission. The response must be limited to the material rebutting evidence and arguments raised by the Contractor in its most recent submission and must be submitted within fifteen (15) calendar days of receipt of the Contractor’s submission. If the Advocate submits a response, the Contractor will have thirty (30) calendar days to prepare and submit a response to the Advocate’s rebuttal submission. This response shall consist wholly of material which responds to evidence or arguments raised in the Advocate’s rebuttal. Any actual submission by the Advocate shall generate a right of rebuttal by the Contractor.

The Advocate and the Contractor will be informed in writing by the Designee when the submission process is deemed complete. The Designee shall have the right to take administrative notice of relevant matters of law and fact as he believes appropriate, in accordance with general principles of Administrative Law.

The Designee will prepare and forward the recommended written decision to the Director. The Director shall: (a) evaluate the Designee’s findings and recommendations, (b) review the materials presented by the Contractor and the Advocate, (c) if necessary, consult with agency Counsel, and (d) prepare a response to the dispute either ratifying, modifying, or reversing the recommended decision. The Director’s decision will be rendered within forty-five (45) calendar days of the date when the submission process is deemed complete.

A copy of the Director’s decision stating the reason(s) upon which it is based and informing the Contractor of the right to appeal an unfavorable decision to the General Counsel of OTDA, will be issued to both parties. The dispute decision shall be deemed a final and conclusive agency decision unless a written notice of appeal is received no more than fifteen (15) calendar days after the date the decision is received by the Contractor. Such notice of appeal must be filed with the General Counsel of OTDA.

The General Counsel of OTDA or his or her designee(s) shall hear and make a final decision on all appeals. A formal dispute appeal may not introduce new facts unless responding to facts or issues unknown to the Contractor prior to the final dispute decision. The General Counsel’s decision will be rendered within thirty (30) calendar days of the date that the notice of appeal is received by the General Counsel.

If the Contractor is unwilling to accept the decision rendered through this procedure or if a decision is not made within ninety (90) calendar days after the record is deemed final, it may then pursue its normal legal remedies de novo, but it is specifically agreed that any and all reports rendered

through this procedure shall be admissible as evidence in any court action taken with respect to the matter. Pending conclusion of any dispute or disagreement by whatever procedure, the construction placed upon the Agreement by the State shall govern operation thereunder and the Contractor and OTDA shall continue to perform under the Contract. The Director and General Counsel shall have the power to change any or all of their designees or otherwise alter the rules of proceeding upon written notice to the Contractor.

The Contractor shall be required to bring all legal proceedings relating to this Agreement against OTDA or the State of New York in the Supreme Court of the State of New York in the County of Albany or the New York State Court of Claims or any Court of Competent Jurisdiction.

ARTICLE 17

INDEMNIFICATION AND LIABILITY The Contractor shall be fully liable for any act or omission of the Contractor, its staff and its subcontractors, and shall fully indemnify, defend and hold harmless OTDA and the State, their officials, agents and employees, without limitation, from suits, actions, damages and costs of every name and description (including reasonable attorney’s fees and expenses) arising from personal injury (including wrongful death) and/or damage to real or tangible personal property (including electronic systems, software, and databases) or intellectual property caused by any intentional act or negligence of the Contractor, its staff or its subcontractors; provided, however, that the Contractor shall not be obligated to indemnify OTDA for that portion of any claim, loss or damage arising hereunder due to the negligent act or failure to act of OTDA.

For third party claims, OTDA shall give the Contractor:

1. prompt written notice of any action, claim, suit, proceeding, or threat of such action for which the Contractor is required to indemnify OTDA;

2. the opportunity to take over, settle, or defend any such action, claim, suit, or proceeding at Contractor’s sole expense; and

3. reasonable assistance in the defense of any such action, claim, suit or proceeding at the expense of Contractor.

Notwithstanding the foregoing, the State reserves the right to join such action, claim, suit or proceeding at its sole expense, if it determines there is an issue involving a significant public interest. For all other claims, liabilities, and expenses arising under or related to this Agreement where liability is not otherwise set forth in this Agreement as being without limitation, and regardless of the basis on which the claim is made, the Contractor shall be fully liable for any act or omission of the Contractor, its staff and its subcontractors. Such liability by Contractor for direct damages under this Agreement shall not exceed, in aggregate, the greater of the dollar amount of this Agreement as stated on the New York Statewide Financial System, or two (2) times the charges paid to the Contractor. The Contractor shall not be responsible for loss of records or data unless the Contractor is required to back-up the records or data.

Notwithstanding the above, neither party shall be liable for any consequential, indirect, or special damages of any kind which may result directly or indirectly from such performance, including, without limitation, damages resulting from loss of use or loss of profit by OTDA, the Contractor, or by others.

OTDA may, in addition to other legal remedies available to it, retain from amounts otherwise due Contractor

The Contractor shall abide by the requirements of this Agreement as outlined in Appendix W (Scope of Work). In the event the Contractor fails to produce and deliver the RFP SERVICES within the prescribed time frames as outlined in Appendix W, the Contractor, at OTDA’s discretion, shall be responsible for liquidated damages as outlined in ARTICLE 23, herein.

ARTICLE 18 RESPONSIBILITY TERMS

A. The Contractor represents that it has, to the best of its knowledge, truthfully and thoroughly

completed the Contractor’s Vendor Responsibility Questionnaire (“Responsibility Questionnaire”) provided to the Contractor by OTDA prior to execution of this Agreement. The Contractor further represents that as of the date of execution of this Agreement, there are no material events, omissions, changes, or corrections to such document requiring an amendment to the Responsibility Questionnaire.

B. The Contractor shall provide to OTDA updates to the Responsibility Questionnaire if any material event(s) occurs requiring an amendment or as new information related to such Responsibility Questionnaire becomes available. The Contractor shall, on an annual basis from the anniversary date of execution of this Agreement, re-certify such Responsibility Questionnaire, noting any changes, whether material or non-material, or submit a certification of “no change” to OTDA.

C. Notwithstanding Subsection (B) hereinabove, OTDA reserves the right, in its sole discretion, at any time during the term of this Agreement, (i) to require updates or clarifications to the Responsibility Questionnaire, (ii) to inquire about information included in or omitted from the Responsibility Questionnaire, and (iii) to require the Contractor to provide such information to OTDA within a reasonable timeframe to be established at OTDA’s sole discretion.

D. OTDA reserves the right to make a final determination of the Contractor’s non-responsibility (“Determination of Non-Responsibility”) at any time during the term of this Agreement based on (i) any information provided in the Responsibility Questionnaire and/or in any updates, clarifications, or amendments thereof; or (ii) the Contractor’s failure to disclose material information; or (iii) OTDA’s discovery of any other material information which pertains to the Contractor’s responsibility.

E. If OTDA preliminarily determines the Contractor to be non-responsible, OTDA shall provide written notice to the Contractor detailing the reason(s) for the preliminary determination, and shall provide the Contractor with an opportunity to be heard before the determination is finalized.

F. Upon a Determination of Non-Responsibility of the Contractor, OTDA reserves the right to terminate this Agreement for cause pursuant to ARTICLE 19 (Termination).

ARTICLE 19 TERMINATION

This Agreement shall be subject to the following termination provisions:

a) All or any part of this Agreement may be terminated by mutual written agreement of the contracting parties.

b) All or any part of this Agreement may be terminated immediately by OTDA in the event of the failure of the Contractor to perform within the time requirements set forth in this Agreement, termination effective upon Contractor’s receipt of written notice of OTDA.

c) All or any part of this Agreement may be terminated by OTDA for cause upon the failure of the Contractor to comply with the terms and conditions of this Agreement, including the attachments hereto. In the event that the Contractor is in breach of its obligations under this Agreement other than for a) willful violation or b) a violation that presents a danger to the health, safety, or welfare of the employees, agents, or citizens of the State, OTDA shall give the Contractor written notice specifying Contractor’s failure and ten (10) calendar day period to submit a corrective action plan. The corrective action plan shall define the scope and timeline of the cure. If OTDA reasonably determines, in its sole discretion, that the failure to comply is a) a willful violation, b) presents a danger to the health, safety, or welfare of the employees, agents, or citizens of the State, or c) is not remedied by the Contractor’s corrective action plan within then (10) calendar days, in OTDA’s sole discretion, OTDA may terminate this Agreement immediately upon notice to the Contractor, termination effective upon Contractor’s receipt of written notice from OTDA. The Contractor agrees to incur no new obligations or to claim any expenses made after receipt of notification of termination. Termination for cause shall create a liability upon the Contractor for legal damages.

d) This Agreement may be terminated if OTDA deems that termination would be in the best interest of OTDA, provided that OTDA gives written notice to the Contractor not less than sixty (60) calendar days prior to the date upon which termination shall become effective, such notice to be made via registered or certified mail, return receipt requested or hand-delivered with receipt made. The date of such notice shall be deemed to be the date of postmark in the case of mail or the date of the Contractor’s receipt for notice in the case of hand delivery. In the case of termination under this paragraph, OTDA agrees to pay the Contractor for reasonable and appropriate expenses incurred in good faith, up until the time of notice of termination

e) Should OTDA determine that Federal and/or State funds are unavailable, OTDA may terminate this Agreement immediately upon notice to the Contractor. If the initial notice is oral notification, OTDA shall follow this up with written notice within ten (10) business days of oral notification. OTDA will be obligated to pay the Contractor only for the expenditures made and obligations incurred by the Contractor until such time as notice of termination is received either orally or in writing by the Contractor from OTDA.

f) In the event of termination for any reason, the Contractor shall not incur new obligations for the terminated portion, the Contractor shall cancel as many outstanding obligations as possible, and the Contractor shall take all reasonable measures to mitigate any damages for which OTDA may be liable. OTDA will not be obligated to pay the Contractor for any lost and/or anticipated profits.

g) If this Agreement is terminated for any reason, OTDA shall have the right to award a new contract to a third party. In the event of termination for cause, OTDA shall have the right to seek recovery of damages, and for all additional costs incurred in reassigning the contract, subject to the limitations set forth in ARTICLE 32 (Limitation of Liabilities) of this Agreement.

h) It is understood that OTDA reserves the right to suspend or reduce the Contractor services during the Term of this Agreement. It should also be understood that OTDA reserves the right to enter into multiple agreements with other contractors for the same products and services provided herein. OTDA does not guarantee any minimum or maximum volume of work. Such action(s) by OTDA shall not be considered a breach of this Agreement or otherwise give rise to damages on the part of the Contractor, provided, however, that the Contractor is given written notification of such action. OTDA reserves the sole discretion for the volume of work provided to the Contractor pursuant to this Agreement, and makes no commitment to any specific minimum or maximum volume of work.

i) The State reserves the right to immediately terminate this Agreement in the event it is found that the certification filed by the Contractor in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, the State may exercise its termination right by providing written notification to the award recipient.

ARTICLE 20 TRANSITION

Upon expiration or termination of this Agreement, the Contractor shall, upon the appointment of the successor contractor, provide access to such successor contractor all necessary records in the Contractor’s possession relating to the Services provided under this Agreement. At OTDA’s request, the Contractor shall, at current (hourly) rates, as defined in The Bureau of Labor Statistics website for required job titles, make appropriate staff available to OTDA and to the successor contractor during normal business hours to answer questions regarding such records and the Services which have been provided by the Contractor under this Agreement. The Contractor shall cooperate to the fullest extent with any successor contractor in order to accomplish a smooth and orderly transition, so that the Services required are uninterrupted and are not adversely impacted by the change in contractor.

ARTICLE 21 EXECUTORY PROVISION

Appendix A, (Standard Clauses for NYS Contracts) is hereby fully incorporated, without change or amendment into this Agreement.

The parties agree that this Agreement shall be construed and interpreted in accordance with the Laws of the State of New York. The Contractor shall be required to bring any legal proceeding against OTDA arising from this Agreement in to New York State courts.

Should any provision of this Agreement be declared or found to be illegal, unenforceable, ineffective, or void, then each party shall be relieved of any obligation arising from such provision; the balance of this Agreement, if capable of performance, shall remain in full force and effect.

No term or provision of the Agreement shall be deemed waived and no breach consented to, unless such waiver or consent is in writing and signed by the party claimed to have waived or consented. Any consent by a party to, or waiver of, a breach under this Agreement shall not constitute or consent to, a waiver of, or excuse for any other, different or subsequent breach.

It shall be understood that the Contractor is an independent contractor; the Contractor, its agents, officers and employees, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees of OTDA.

ARTICLE 22 ASSURANCES

The Contractor warrants that it has carefully reviewed the needs of OTDA, as described in the RFP and its attachments and otherwise communicated in writing by OTDA to the Contractor, that it has familiarized itself with OTDA’s specifications, and warrants that it can provide such services as represented in its Proposal and the other documents incorporated into this Agreement.

The Contractor agrees that it will perform its obligations hereunder in accordance with all applicable laws, rules and regulations now or hereafter in effect.

The Contractor warrants and affirms that the terms of this Agreement do not violate any contracts or agreements to which it is a party and that its other contractual obligations will not adversely influence its capabilities to perform under this Agreement.

ARTICLE 23 PERFORMANCE STANDARDS/QUALITY ASSURANCE AND LIQUIDATED DAMAGES

In performance of its duties, the Contractor shall fully indemnify and save harmless OTDA without limitations from suits, actions, damages and costs of every name and description relating to personal injury, damage to real or personal tangible or intangible property, or any other claim for direct damages arising as a result of acts or omissions of the Contractor, its officers, employees, partners or agents in performing this Contract.

The Contractor shall be jointly and severally responsible for the actions of its agents, employees, partners, including losses arising from, but not limited to:

• Defective or inadequate performance.

OTDA may, in addition to other remedies available to it by law, recover by the deduction of such costs from monthly billing payments for up to sixty days (60) calendar days, except in cases where risk of bankruptcy exists and then by attachment of the Letter of Credit, if any, as may be necessary to satisfy any claim for damages, penalties, costs and the like asserted by or against them; provided, however, that the Contractor shall not indemnify to the extent that any claim, loss or damage arising hereunder is caused solely by the negligent act or failure to act of OTDA.

OTDA shall provide Contractor: (i) prompt written notice of any claims for which indemnification may be sought hereunder; (ii) the opportunity, subject to the approval of the Department of Law, to take over, settle or defend any action or suit relating to such claim at Contractor’s sole expense; and (iii) assistance in the defense of any such action or suit at the request and expense of the Contractor.

Within one (1) month after the approval of this Agreement by the Office of the State Comptroller, the Contractor will provide the OTDA with an irrevocable Letter of Credit, drawn upon a financial institution approved or accepted by OTDA, the terms of which shall be subject to approval by OTDA, in the amount of $3,500,000, and maintained in force and effect for the benefit of OTDA.

The Letter of Credit shall remain in effect for the full Term of the Agreement, and for a period extending beyond the termination of the Agreement, through the month following the completion of transition to the subsequent Contractor. OTDA will be entitled to demand payment from said Letter of Credit, in the event liquidated damages are assessed pursuant to this Agreement, and/or as a result of the Contractor's non-performance. In the event of damages occurring as a result of non-performance, and/or in the event of breach of the Agreement resulting in liquidated damages, OTDA may demand disbursement of all or any portion(s) of the face value of the Letter of Credit to recover said damages and/or liquidated damages. Such disbursements, pursuant to demand of all or any portion(s) of the face value of the Letter of Credit, may be affected by OTDA's submission of written notice(s) to the institution that issued the Letter of Credit on behalf of the Contractor. Partial disbursement(s), pursuant to demand, shall not terminate the Letter of Credit, but the balance shall be diminished by any amounts disbursed and shall otherwise remain in effect.

This section defines the performance standards for RFP services and liquidated damages for failure to meet the standards. In the event of performance failures, OTDA will assess liquidated damages in an amount not to exceed a total of $40,000 per day.

A. Mailed Cards.

The Contractor assures that it will be able to produce and mail within the continental United States, upon receipt of all card request data, within two (2) business days or within the lesser time-frame, if committed to in Contractor’s Proposal. Contractors committing to a lesser timeframe will be held to the standard of the lesser timeframe. Exhibit 14 details Contract Minimum Time-Frame Requirements.

Delays caused by network issues out of the control of the Contractor will not be considered a performance standard failure.

Measurement of this standard will be as follows: The business date on which each record is received by the Contractor will be considered day zero. Day one will be the first business day following day zero. Day two will be the first business day following day one. Cards will be considered delayed if mailed one or more days beyond the requirements detailed in Exhibit 14. Delays in mailing cards within the requirements detailed in Exhibit 14, or the lesser timeframe if committed to by the Contractor, in their proposal as and as reflected on the Mailed Card Issuance Monitoring Report, will result in liquidated damages being assessed as follows:

One (1) day of delay--No charge to the State for the card production and postage costs for all cards delayed. Each additional day of delay--No charge to the State as above and subject to the computed delay penalties as listed below:

Computed damages are equal to the cost of the number of cards delayed times the number of total days delayed minus one (1). Example: 5,000 cards delayed for 3 days will be assessed at the rate of the cost of one card times 5,000 times 2 (10,000 cards). The price per card in effect at that point of time in the life cycle of the contract will be used in determining damages. The postage rate in effect at the time of delayed mailing will only apply to the initial count of cards that would have been mailed. Example: 5,000 cards delayed for 3 days equates to damages assessed as follows:

5,000 cards times 2 equals 10,000 cards

Postage would only apply to the initial 5,000 cards reported late.

B. OTC Production at the New York City OTC Sites.

The Contractor assures that it will issue completed CBICs to individuals upon their arrival at the Contractor issuance window located at the NYC OTC sites customized with the individual’s demographics, photograph (if available) and electronic signature (If available).

The Contractor assures that it will be able to create a CBIC within forty-five (45) minutes of receipt of the referral or the lesser time if committed to in the Contractor’s Proposal. The time tracking system on which the performance standard will be measured is from the point in time that the referral is received at the Contractor issuance window.

100% of all cards will be produced and ready for client pickup within the timeframe committed to by the Contractor.

Liquidated damages may be assessed by OTDA at the rate of $300 for each percentage below the 100% standard for each day of the month in which the standard is not met.

On days when the vault card system needs to be operated due to failure of the Contractor system, then liquidated damages may be assessed at the rate of $1,500 per hour, per OTC site, that the vault card system must be operational, except where the Contractor demonstrates that the failure to meet a standard was caused by factors beyond his responsibility or control, (e.g. interruption of State system that provides Contractor relevant card data).

C. Record Process

Inbound records confirming card production are used by the OTDA CBIC System to provide information to local workers regarding card issuance status. Contractor assures that, each card produced will generate a record to OTDA confirming the production of that card. Card request records for which OTDA has not received an inbound record confirming production of the card within three (3) days of transmission of the card request record to Contractor will be considered “not produced” if the record was not superseded by a subsequent request.

For those missing record(s), liquidated damages may be assessed by OTDA at the rate of two (2) times the value of the associated card(s). Assessment of these damages does not preclude OTDA from assessing liquidated damages for mail delays.

D. Duplicate Cards.

Contractor assures that there will not be any duplicate cards produced from a single card request record.

Liquidated damages may be assessed by OTDA at the rate of $10.00 per duplicate card.

This assessment will not be applied if the Contractor is able to prevent and document that the duplicate card was not mailed or delivered to the client.

Evidence of duplicate cards may be, but are not limited to, the return of the card to the OTDA project staff for destruction by SSD staff, the inclusion of a card record on multiple reports to the state, or the detection of duplicate inbound "card produced" records if it is conclusively shown the duplication event occurred.

E. Card Standards.

The Contractor agrees they must produce cards that meet all the standards defined in Appendix W. Cards with any or all of the following defects will be considered unacceptable:

1. Incorrect or unreadable magnetic stripe 2. Incorrect or unreadable client information 3. Incorrect, missing or unreadable graphics, text or other required data/information 4. Card does not comply with ISO and/or ANSI Standards 5. Card does not meet durability Standards

Evidence of unacceptable cards may be, but are not limited to, the cards being returned to the OTDA project staff by SSD staff and found not to conform to the above requirements. Liquidated damages may be assessed by OTDA at the rate of $10.00 per unacceptable

card.

F. Availability of the Card Administration System

The Contractor assures that the Administrative System will be available for all functionality by OTDA 24/7/365 as is with card request transmissions.

Failure to comply with these timeframes and all other Administrative System requirements will be assessed and charged at $250 per day.

G. Availability of the User Test System.

The Contractor assures that a fully supported User Test System will be available for the life of the Agreement and any extension thereof.

Complete end-to-end testing of all components of the system will be available during the period of user and acceptance testing prior to system start up, and for the duration of the contract and any extensions. The card-printing component of the User Test System may be suspended at any time at OTDA's discretion. OTDA will give the Contractor advanced notice to make this component available when needed. Failure to comply with requirement will be assessed and charged at $250 per day.

The Contractor acknowledges that any and all Liquidated Damages provisions in this Agreement may be invoked at OTDA’s sole discretion, subject to the applicable provisions herein. Liquidated Damages may be imposed through offset of monthly billing or by invoking the Line of Credit, also at OTDA’s sole discretion.

H. Reporting Requirements.

Daily and monthly reports as described in Section 2.21 of this SOW will be considered deliverables under the contract. Any delay in the production and distribution of these reports, will result in liquidated damages being assessed by OTDA. All monthly reports will be due by the 14th day of the month following the reporting period. All daily reports will be due to OTDA by the 3rd day following the day for which the report was produced. Date of receipt of the electronic reports on the State server provided for this function will constitute the delivery date of the report. Liquidated damages for late reports may be assessed according to the following schedule:

• $500 a day for failure to comply with each of the monthly compliance reporting

requirements as listed in Section 2.21 of the SOW.

• $250 a day for failure to comply with all other report requirements listed in Section 2.21 of the SOW.

• Reports deemed to be inaccurate must be replaced at no additional cost to OTDA. Inaccurate reports will be considered not produced and subject to the liquidated damages stated above.

I. Failure to meet the contract start-up date for card production.

The Contractor agrees to be assessed all incremental costs per cards for retaining the previous contractor's services or any other contractor services times the actual card production volume during the delay plus $5,000/day plus any other costs incurred by OTDA or NYC HRA, one time or per card, for the continued production of CBIC.

J. Availability of Contractor’s NetworkThe Contractor's network or back-up network must be available 24/7/365. Failure of theContractor's ability to distribute data to all Contractor sites may result in liquidateddamages being assessed at the rate of $1,500 per hour.

K. Change Order Management

1. OTDA and the Contractor may mutually agree to other project-related tasks includingEnhancing Change Requests in excess of the 100-hour effort defined in Article 23.L,herein which, although within the general scope of work required by this Agreement,are not required to be performed within the current pricing structure. Any such mutualagreement shall be finalized in a completed Change Request, also defined in Article23.L. For personal services, payments to the Contractor shall be based on the ratesas contained in Appendix P, Change Order Pricing. Any applicable non-personalservices charges (such as equipment, COTS license fees, etc.) shall be billed at costas evidenced by invoicing to be submitted by the Contractor plus a 5% mark-up/administrative fee. Prior written approval from the State shall be required for allsuch tasks and total expenditures within the five-year contract term will notcumulatively exceed $750,000 over the term of the contract. The State reserves theright to require reasonable evidence, including the requirement that the Contractorfollow formal bidding procedures, and that all tasks performed hereunder are obtainedfrom the best available source, price and all other factors considered.

2. Prior written approval from the State shall be required for all such tasks and totalexpenditures. The State reserves the right to require reasonable evidence, includingthe requirement that the Contractor follow formal bidding procedures, and that all tasksperformed hereunder are obtained from the best available source, price and all otherfactors considered.

L. Change Management

The Contractor shall have formal written change management procedures which address

the following elements:1. Program and System Baseline

The program and system baseline will be established upon acceptance of theconversion and approval of all Takeover activities. After the initial baseline isestablished, any modifications to the program or system design or functionality will bedefined as a Change Request and will be documented, tracked, and managed inaccordance with an approved Change and Release Management plan.

2. Changes to the Program System BaselineContractor-initiated or OTDA-initiated changes seek to modify the baseline system,procedures, or application programs. Such requests alter the initial scope of theprogram, or add or modify functionality, after the system design baseline has beendetermined.All changes are categorized as remedial or enhancing. The Contractor must work withthe OTDA to ensure that sufficient testing is conducted to ensure that no changes will

negatively impact system functionality, OTC or mailed card production. All changes must be fully tested and approved by the OTDA before being put into production.

3. Remedial Changes Remedial changes are defined as changes needed to make the system perform or

function in the way it was designed and must not result in additional costs to the OTDA. Either the OTDA or the Contractor may identify the need for a remedial change and each party must give the other immediate notification of such need for remedial changes. The Contractor must provide immediate oral and written electronic notification that must be followed up with written documentation within seven (7) calendar days of the initial notice. Remedial changes must be tested and implemented as soon as possible or on a schedule to be approved by the OTDA.

4. Enhancing Changes Enhancing changes are defined as changes that are not Remedial changes. These include, but are not limited to, changes that will enhance performance, provide new functionality; provide conformity to changes in State or local law, regulations, or policies; provide conformity to changes in Federal law, policies, programs or regulations, or other applicable network rules; improve cost-effectiveness; enhance efficiency and ongoing operation; or improve program maintenance. The Contractor will provide change request services for enhancing changes herein for up to 100-person hours of effort (notwithstanding the dedicated on-site key personnel as defined in Appendix W) per contract year at no additional expense to the OTDA. The costs of the OTDA for enhancing changes requiring greater than a 100-hour effort per contract year will be compensated in full by OTDA at the rates contained in Appendix G, upon OTDA acceptance of the change. Enhancing changes above the 100-person hour effort per contract year will require the prior approval of the Office of the State Comptroller.

Change Request Process Change requests initiated by the OTDA requesting Enhancing Changes will be initiated through a Change Request Form. The OTDA will designate all Change Requests as high or low priority, and the Contractor’s proposal must outline proposed timeframes for initiating changes based on priority ranking. The OTDA’s CBIC Project Manager will forward a signed Change Request Form to the Contractor’s designee for analysis of the request for potential impacts on existing system processes, other schedule changes, resources, hours, and applicable costs. The Contractor will return the Change Request Form and the results of the analysis to the OTDA’s CBIC Project Manager within 7 calendar days of receipt. The Contractor must provide the OTDA with a proposed development and implementation schedule for completing the change. Contractor responses to OTDA-initiated change requests must include a detailed price quote utilizing the change request pricing for personal services as submitted by the Contractor in Appendix G of its financial proposal for the requested change, including the number of hours required to perform the request. However, should such changes result in a reduction in the Contractor’s responsibilities/efforts in providing services, a like reduction in pricing will be negotiated in good faith based upon an equal sharing of contract related savings. If the OTDA chooses to formally approve the change, the Change Request Form will be signed and dated by the OTDA’s CBIC Project Manager and forwarded to the Contractor. The Contractor shall not begin work on an OTDA-initiated Change

Request until written approval is received from the OTDA. The Contractor must provide a final development and implementation schedule within 7 days of receipt of the approved Change Request, and must include specific dates for development and implementation consistent with the schedule being proposed. Upon written approval of the Change Request, the Contractor must include the change in work plans, allocate resources as appropriate, and will provide ongoing status reports as part of the regular status report, with hour and cost accounting (if any) to the OTDA. Until such time as the change has been completed and accepted by the OTDA, the OTDA will monitor implementation of the approved changes through scheduled status reports. For Contractor-initiated changes, the Contractor must provide the OTDA with written, advance notification of all self-initiated, non-remedial changes. Written notification must include, at a minimum, known or anticipated impacts the changes will have on card production, system or program functionality, file formats, screens, reporting, performance, and any costs or cost savings to the OTDA. The Contractor must coordinate all non-remedial changes with the OTDA. Non-remedial changes must be implemented at a time agreed upon with the OTDA, so that the availability and participation of OTDA program and technical staff can be assured. All Contractor-initiated changes are subject to the prior written approval of the OTDA. Upon such approval, the Contractor will provide the OTDA with a proposed development and implementation schedule for completing the change, including the number of hours required to perform the request. Payment terms for change orders shall be as set forth in each negotiated change order. In the event of a dispute regarding hours invoiced under change orders, Contractor agrees to make available to OTDA the necessary internal Contractor documentation such as Contractor employee time cards and sub-contractor time cards to support the hours billed.

5. Release Management

The Contractor must manage software releases in a manner that ensures high-quality products with minimal deficiencies. At the time a newly modified software version is introduced, the Contractor must provide documentation to the OTDA that the Contractor has modified the correct software version. This applies to all changes, regardless of type. The Contractor must deliver software to the OTDA accompanied by a Release Impact Statement.

6. Release Impact Statement For every release, the Contractor must provide a Release Impact Statement that includes the Program release number; the Program release date to baseline; and date of Program release on the production environment. The Impact statement must also include back-out plans for the release; updated reference materials and user manuals; new version(s) of software distribution instructions, contact name and if applicable; and expectations and responsibilities of the OTDA during the planning and rollout of new releases.

ARTICLE 24

APPROVAL OF DELIVERABLES

This provision shall apply to any Deliverable identified in the Detailed Work Plan and Schedule Appendix G, Deliverable 1), including weekly updates to the Detailed Work Plan and Schedule (Appendix G, Deliverable 2).

A. All Deliverables submitted by the Contractor must be packaged with a cover sheet, table of contents if applicable, and narrative with detailed supportive documentation.

B. All Deliverables prepared by the Contractor shall have the written approval of OTDA's CBIC Project Manager or his/her designee that such Deliverables comply in all material respects with the requirements. OTDA's approval shall' not be unreasonably withheld. The OTDA CBIC Project Manager is responsible for attaining approval from all appropriate State agencies and the CBIC Project Office.

C. OTDA shall complete its review of a Deliverable in not more than ten (10) calendar days. OTDA shall provide Contractor (i) with approval of the Deliverable or (ii) with a written statement of the deficiencies preventing approval. Such business days shall be counted from and include the first business day following the receipt of the Deliverable by OTDA.

D. OTDA's review for approval of Deliverables shall be solely for the purpose of determining compliance in all material respects with the requirements and not for any other purpose, including the incorporation at that time of additional ideas or functionality. Approval of the deliverable shall be granted if the Deliverable conforms in all material respects to the requirements. In the event of OTDA's rejection of a Deliverable, OTDA shall provide a complete and written statement which identifies all deficiencies in reasonable detail, with references to the applicable acceptance criteria.

E. Contractor shall complete all corrective actions or changes in order to eliminate the deficiencies identified by the OTDA for such Deliverable to conform in all material respects with the requirements set forth in this Agreement as soon as possible and no later than 20 calendar days. The count of such calendar days shall begin on the first business day following Contractor's receipt of the OTDA's written statement of deficiencies or required corrective actions or changes as set forth in Paragraph (C) of this Article.

F. OTDA shall have ten (10) calendar days to complete a review of the corrective actions or changes made to the Deliverable in response to OTDA's written statement of deficiencies as set forth in Paragraph (C) of this Article and notify Contractor in writing of acceptance or rejection. The count of such days shall begin on the first business day after OTDA receives the corrected or changed Deliverable from Contractor. OTDA's review for approval of such corrected or changed Deliverable shall be solely for the purpose of determining that corrections have been made to bring the Deliverables into compliance in all material respects with the acceptance criteria, including the incorporation of additional ideas or functionality.

G. OTDA may extend the period of time allotted for any review, correction, or change under this Article. For any such extension OTDA and the Contractor will assess whether the extension impacts the production and delivery date for subsequent deliverables. As a result of that assessment, the Contractor shall be entitled to an extension of the delivery date of directly affected deliverables in the amount of time OTDA extended its own deadline, except that either party may request a variation in the duration of the extension of the time period upon demonstrating special circumstances supporting the variation, which variation shall not be refused by the requested party unless that party can show how such a variation will compromise its ability to fulfill its contractual obligations under this Agreement.

H. Notwithstanding the provisions of this Article, Section A — G, approval of a Deliverable shall be deemed given by OTDA if OTDA has not delivered to Contractor a notice of deficiencies in writing for such Deliverable prior to the expiration of any period for OTDA review thereof as set forth in this Article. Notwithstanding the foregoing provisions of this

Article, approval of corrective actions or changes with respect to a Deliverable shall be deemed given by OTDA if OTDA has not rejected in writing, in accordance with this Article, such corrective actions or changes with respect to such Deliverables prior to the expiration of any period for OTDA review thereof as set forth in this Article.

I. To the extent that any Deliverables have been approved by OTDA at any stage of Contractor's performance under the Work Plan, Contractor shall be entitled to rely on such approval, for purposes of all subsequent stages of Contractor's performance under the Work Plan. Upon OTDA's approval of each Deliverable, OTDA agrees that, in the event of a contradiction between the acceptance criteria and the approved Deliverable, the contradiction shall be resolved by the approved Deliverable taking precedence.

ARTICLE 25

NON-ASSIGNABILITY

Full responsibility for the delivery of services must be provided by the Contractor under this Agreement. Should the Contractor seek external financing, OTDA reserves the right to approve the assignment of the Agreement for financing purposes.

Nothing contained in this Agreement, expressed or implied, is intended to confer upon any person, corporation or other entity, other than the parties hereto and their successors in interest and assigns, any rights or remedies under or by reason of this Agreement.

ARTICLE 26 RECYCLED OR RECOVERED MATERIALS

In accordance with the laws of the State of New York, contractors are encouraged to use recycled or recovered materials in the manufacture of products and packaging to the maximum extent practicable without jeopardizing the performance or intended end use of the product or packaging unless such use is precluded due to health, welfare, safety requirements or in the Bid Specifications.

ARTICLE 27 PUBLIC OFFICERS LAW

The Contractor agrees not to engage in any conduct that the Contractor knows would violate or would assist an employee of OTDA in violating Sections §73 and §74 of the Public Officers Law.

Contractors, consultants, vendors, and subcontractors may hire former OTDA employees. However, as a general rule and in accordance with New York Public Officers Law, former employees of OTDA may neither appear nor practice before OTDA, nor receive compensation for services rendered on a matter before OTDA, for a period of two (2) years following their separation from OTDA service. In addition, former OTDA employees are subject to a “lifetime bar” from appearing before OTDA or receiving compensation for services regarding any transaction in which they personally participated or which was under their active consideration during their tenure with OTDA. The Contractor and its subcontractors shall not engage any person who is, or has been at any time, in the employ of the State to perform services in violation of the provisions of the New York Public Officers Law, other laws applicable to the service of State employees, and the rules, regulations, opinions, guidelines or policies promulgated or issued by the New York State Joint Commission on Public Ethics, or its predecessors (collectively, the “Ethics Requirements”). The Contractor certifies that all of its employees and those of its subcontractors who are former employees of the OTDA, and who are assigned to perform services under this Agreement, shall be assigned in accordance with all Ethics Requirements. During the Agreement Term, no person

who is employed by the Contractor or its subcontractors and who is disqualified from providing services under this Agreement pursuant to any Ethics Requirements may share in any net revenues of the Contractor or its subcontractors derived from this Agreement. The Contractor shall identify and provide the OTDA with notice of those employees of the Contractor and its subcontractors who are former employees of the OTDA, that will be assigned to perform services under this Agreement, and make sure that such employees comply with all applicable laws and prohibitions. OTDA may request that the Contractor provide it with whatever information OTDA deems appropriate about each such person’s engagement, work cooperatively with OTDA to solicit advice from the New York State Joint Commission on Public Ethics, and, if deemed appropriate by OTDA, instruct any such person to seek the opinion of the New York State Joint Commission on Public Ethics. OTDA shall have the right to withdraw or withhold approval of any subcontractor, if utilizing such subcontractor for any work performed hereunder would be in conflict with any of the Ethics Requirements. OTDA shall have the right to terminate this Agreement at any time, if any work performed hereunder is in conflict with any of the Ethics Requirements. During the term of this Agreement, the Contractor shall identify and provide OTDA with notice of the addition of new employees of the Contractor and its subcontractors, who are former employees of the OTDA that will be assigned to perform services under this Agreement by completing and submitting an updated form entitled, “Contractor’s Certification/Acknowledgements/Understanding”. Any termination of this Agreement by OTDA under this Article shall be deemed to be a termination of the Agreement for cause. The remedies set forth in this section shall be in addition to any other remedy available to OTDA under the Agreement or under any other provisions of law.

ARTICLE 28 FORCE MAJEURE

Neither the Contractor, OTDA, nor the State shall be liable for any delay or failure in performance beyond its control resulting from acts of war, hostility or sabotage; act of God; electrical, internet, or telecommunications outage that is not caused by the obligated party; or government restrictions, or other force majeure. The parties shall use reasonable efforts to eliminate or minimize the effect of such force majeure events upon performance of their respective duties under this Agreement. If such event continues for more than ninety (90) days, either party may terminate all or any agreed upon portion of the Services immediately upon written notice. This Section does not excuse either party’s obligation to take reasonable steps to follow its normal disaster recovery procedures, or OTDA’s obligation to pay for Services provided by the Contractor which have been approved by OTDA.

ARTICLE 29 RECORD RETENTION AND DESTRUCTION

The Contractor, during the course of this Agreement and for a period of six (6) years following its termination or final payment hereunder, whichever occurs later, agrees to maintain and make available for audit by duly authorized representatives of OTDA, the individual states, and the United States Government all records or documentation arising hereunder or relating hereto.

Additionally, all records involving matters in litigation or audit must be kept for a period of not less than three (3) years following the termination of the litigation or audit provided. Electronic copies of any documents related to this Agreement may be substituted for the originals with the prior written approval of OTDA, provided that the copy procedures are accepted by OTDA as reliable and are supported by an adequate retrieval system.

At the end of the Retention Period, the Contractor shall destroy all hardcopies of documents by shredding or incinerating after they have been retained until the end of the Documentation Retention Schedule. Copies of computer backups shall be destroyed by incineration or other proven method to destroy such media after they have been retained until the end of the Document Retention Schedule. The Contractor shall deliver to the OTDA Project Manager a certified statement, signed by the individual(s) responsible for performing the destruction; statement must include date/time, method of destruction and disposal site.

The Contractor shall be responsible for assuring that the provisions of this Article shall apply to any subcontract related to performance under this Agreement.

ARTICLE 30 ACCESS TO AND AUDIT OF AGREEMENT RECORDS

The Contractor agrees to preserve all Agreement-related records in accordance with the provisions of Paragraph 10 of Appendix A (Standard Clauses for New York State Contracts) of this Agreement for the Term of this Agreement. All records and information obtained by OTDA pursuant to the provisions of this Agreement, whether by audit or otherwise, shall be usable by OTDA in any manner, in its sole discretion, as it deems appropriate and the Contractor shall have no right of confidentiality or proprietary interest in such records or information.

Notwithstanding the preceding sentence and in addition to the provisions set forth in Appendix A herein, OTDA agrees, in those instances in which it has discretion, not to disclose outside those government agencies involved in the performance of this Agreement and then only to the personnel who are involved in the performance of the particular data contained within this Agreement.

The Contractor hereby agrees that all documents furnished by the Contractor shall be subject to public disclosure by OTDA in the normal course of business in accordance with the requirements of the Public Officers Law, Article 6, except for proprietary information the disclosure of which would cause substantial injury to the competitive position of Contractor enterprise. Information relating to Contractor price submissions, including commercial, book or list pricing, applicable discounts or final bid price and like information, shall not be entitled to confidentiality protection whether or not submitted or designated as proprietary to the Contractor. Contractor may otherwise preserve proprietary rights as to confidential or business process information in accordance with procedures established under applicable State laws, provided that (i) Contractor informed OTDA prior to or with submission of its bid, in writing, that such records are being furnished, are proprietary and are not to be disclosed; and (ii) said records shall be sufficiently identified; and (iii) Contractor stated the reasons with specificity why the information should be exempted from disclosure; and (iv) designation of said records as exempt from disclosure is reasonable and accepted by OTDA.

The Contractor shall promptly notify OTDA of any request for access to any records maintained pursuant to this Agreement. Access by Federal or State bank regulatory agents, or the Contractor’s regular outside auditors to the Contractor’s financial records, pursuant to regularly scheduled or routine audits or inspection of the Contractor, shall not require notification to OTDA provided that rights of confidentiality or proprietary interests are preserved.

ARTICLE 31 CONFIDENTIALITY OF INFORMATION

The Contractor, its officers, agents and employees, shall treat all information, with particular emphasis on information relating to public benefit recipients and providers, which is obtained through its performance under this Agreement, as confidential information to the extent required by the laws of the State of New York and of the United States and any regulations promulgated hereunder.

ARTICLE 32 LOBBYING CERTIFICATION

Section 1352 of Title 31 of the U.S. Code requires that funds appropriated to a federal agency be subject to a requirement that any Federal Contractor or grantee (such as OTDA) must be required to certify that no Federal funds will be used to lobby or influence a Federal officer or a Member of Congress. The certification that OTDA has been required to sign for the U.S. Health and Human Services Administration for Children and Family Services provides that the language of this certification (shall) be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly. The certification also requires the completion of Federal lobbying reports and the imposition of a civil penalty of $10,000 to $100,000 for failing to make a required report. As a sub-recipient, the Contractor understands and agrees to the Federal requirements for certification and disclosure.

ARTICLE 33 LIMITATION OF LIABILITIES

The Contractor shall be liable for breach of any express warranties, obligations and indemnifications set forth herein and, except where expressly provided otherwise, such liability by Contractor for direct damages under this Agreement shall not exceed, in aggregate, the greater of the dollar amount of this Agreement, as indicated by the State Comptroller’s Open Book New York http://wwe2.osc.state.ny.us/transparency/contracts/contractsearch.cfm or two (2) times the amount paid to the Contractor. The Contractor shall not be responsible for loss of records or data unless the Contractor is required to back-up the records or data.

Notwithstanding the above, neither party shall be liable for any consequential, indirect, or special damages of any kind that may result directly or indirectly from such performance, including, without limitation, damages resulting from loss of use or loss of profit by OTDA, the Contractor, or by others.

The warranties set forth herein are in lieu of all other warranties expressed or implied including but not limited to, the implied warranties of merchantability and fitness for a particular purpose.

Where express loss liabilities set forth herein provide for a higher loss limitation liability than as set forth in this paragraph, or where such express provisions impose the Contractor liability “without limitation,” such express warranties, obligations and indemnifications shall supersede the loss limitation cap contained in this Article. For any suit, action, claim, damages or costs arising under or connected to the title, patent and copyright actions by third parties, the Contractor shall be fully liable for damages without limitation should the same arise in performance of this contract. Notwithstanding the foregoing, Contractor remains liable, without monetary limitation, for direct damages for personal injury, death or damage to real property or tangible personal property or intellectual property attributable to the negligence or other tort of Contractor, its officers, employees or agents.

ARTICLE 34 GENERAL WARRANTY

The Contractor hereby warrants that the Services provided to OTDA under this Agreement will be performed in a professional and workmanlike manner, in accordance with highest applicable industry standards. For purposes of this Agreement, “highest applicable industry standards” shall be defined as the degree of care, skill, efficiency and diligence that a prudent person possessing technical expertise in the subject area and acting in a like capacity would exercise in similar circumstances. Contractor shall re-perform, at its own expense, any work not in compliance with this warranty brought to its attention within ninety (90) days of the initial performance of such work.

ARTICLE 35 ANTI-KICKBACK

The Contractor understands that it must comply with federal Executive Order 11246, the Copeland “Anti-Kickback Act” (18 USC 874), Section 306 of the Federal Clean Air Act, Section 306 of the Federal Clean Water Act, and that it must certify that neither it nor its principals are debarred or suspended from Federal financial assistance programs and activities and to complete and return in pursuit of such certification any appropriate form required by OTDA (see Federal Executive Order 12549 and 7 CFR Part 3017).

ARTICLE 36 DRUG-FREE WORKPLACE

The Contractor agrees to comply with the provisions of Section 5151-5160 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701 et seq.), and further agrees to have its representative execute the certification provided to the Contractor.

ARTICLE 37 OTHER AGENCY USE

Upon request by any other New York State Agency, the Contractor shall enter into an Agreement with such agency for the purchase of the goods and services that are the subject of this Agreement. Such new agreement shall provide that the cost of such goods and services to the agency entering into such agreement shall be the same as charged to OTDA under this Agreement except that the Contractor shall be permitted to negotiate an increase in price to the extent it can show an increase in the cost of providing goods and services which can be attributed to the fact that the agency requires the Contractor to be obligated to standard contractual provisions that are more onerous than those contained in Standard New York State Appendix A. In the event that a volume discount is applicable to the increase in services due to other agency use, both OTDA and the other agency shall share in the cost savings.

Upon request by a local social services district, New York City Human Resources Administration (NYC HRA) or its designated purchasing agent, the Contractor shall enter into an agreement with such district or agent for the purchase of the goods and services that are the subject of this Agreement. Such new agreement shall provide that the cost of such goods and services to the district/agent entering into such agreement shall be the same as charged to OTDA under this Agreement except that the Contractor shall be permitted to negotiate an increase in price to the extent it can show an increase in the cost of providing goods and services which can be attributed to the fact that the municipality constituting the local social services district requires the Contractor to be obligated to standard contractual provisions are more onerous than those contained in Standard New York State Appendix A. In the event that a volume discount is applicable to the increase in services due to other agency use, both OTDA and the other agency shall share in the cost savings.

ARTICLE 38 MISCELLANEOUS PROVISIONS

A. WAIVER

The waiver by either party of any default or breach of this Agreement shall not constitute a waiver of any other subsequent default or breach.

B. SEVERABILITY

If any term or provision of this Agreement shall be held invalid or unenforceable, the remainder of this Agreement shall not be affected thereby and every other term and provision of this Agreement shall be valid and enforced to the fullest extent permitted by law.

C. PUBLIC COMMUNICATION Neither the Contractor, nor its staff or subcontractors, shall make any statement to the press or issue through any media of communication any statement bearing on the Services performed or data collected under this Agreement, without the prior written approval of OTDA.

D. SURVIVAL The provisions of Article 33 “General Warranty,” 15. “Confidentiality, Security and Background Investigations,” 17. “Indemnification and Liability,” 20. “Transition” and Appendix A shall survive the expiration or termination of this Agreement.

ARTICLE 39 ENTIRE AGREEMENT AND APPROVALS

All provisions stated in the Common Benefit Identification Card RFP are incorporated into this Agreement and are part of the contractual obligations under this Agreement, unless explicitly stated herein that such provision(s) is deemed excluded from this Agreement.

This Agreement, attachments and the appendices attached hereto constitute the entire agreement between the parties with respect to the subject matter; all other prior agreements, representations, statements, negotiations and undertakings are superseded hereby. Any provision of this Agreement that imposes or contemplates continuing obligations on a party will survive the expiration or termination of this Agreement. It is understood that unless the context clearly indicates otherwise, all references herein to this Agreement shall be deemed to include the Attachments and Appendices attached hereto, subject to Article 2 (Merger of Documents/ Conflicts of Clauses) of this Agreement.

The Agreement shall not be changed, modified, or altered in any manner except by an amendment in writing executed by the parties. This Agreement and any amendment hereof shall not be deemed executed, valid or binding unless and until approved in writing by the New York State Attorney General and thereafter, approved in writing by OSC’s Bureau of Contracts pursuant to State Finance Law § 112, and filed in the Office of the State Comptroller.

APPENDIX W - Scope of Work (SOW)

Section 1. Proposed Card Issuance Mechanism ................................................................... 3

1.1 New York State Responsibility ........................................................................................ 3

1.2 Card Contractor Responsibility ....................................................................................... 3

1.3 New York City Human Resources Administration (HRA) Responsibility ......................... 5

1.4 AFIS Contractor Responsibility ....................................................................................... 6

Section 2 - Detailed Requirements ......................................................................................... 6

2.1 Back-Up Site .................................................................................................................. 6

2.2 Card Standards .............................................................................................................. 6

2.3 Card Samples ................................................................................................................ 7

2.4 Graphics of Card Inventory ............................................................................................. 7

2.5 Card Delivery ................................................................................................................. 8

2.6 Storage of Photo/Signature Images ...............................................................................18

2.7 Provision and Maintenance of CBIC Generation Equipment ..........................................19

2.8 Signature Panel(s) .........................................................................................................19

2.9 Digital Signatures ..........................................................................................................19

2.10 Digital Photographs .....................................................................................................19

2.11 Customized Text Data on the CBIC Card ....................................................................19

2.12 Format of the Card Number on the Plastic Cards ........................................................20

2.13 Writing Data to the Magnetic Stripe .............................................................................20

2.14 User Test System ........................................................................................................22

2.15 Returned Mail Control System .....................................................................................23

2.16 Vault Card Requirements ............................................................................................23

2.17 Systems Security .........................................................................................................25

2.18 Systems Back-up ........................................................................................................26

2.19 The Administrative System ..........................................................................................26

2.20 Network Requirements, File/Record Transfers ............................................................29

2.21 Reporting .....................................................................................................................32

2.22 Color Photo and Signature Images Conversion ...........................................................36

2.23 Acceptance Testing .....................................................................................................36

2.24 Project Staffing Requirements .....................................................................................39

2.25 Possible Future Development Activities .......................................................................42

Exhibits

Exhibit 1 Production Volumes – July 2015 thru June 2016 Exhibit 2 Mailed Cards Return Address File Exhibit 3 OTC Card Volume Information – May 2016 Exhibit 4 Card Production Verification Report – May 2016 Exhibit 5 Card Images Exhibit 6 AFIS - CBIC Interface Control Document Exhibit 7A&B Card Carrier Samples Exhibit 8 Temporary Medicaid Card Quantities Exhibit 9 Inbound and Outbound Layouts Exhibit 10 Returned Mail Volumes – July 2015 thru June 2016 Exhibit 11 Daily Detail Photo Processing – May 28, 2016 Exhibit 12 Vault Card System Re-Order Exhibit 13 Return Codes and Error Response Definitions Exhibit 14 Card Mailing Requirements Exhibit 15 Card Standards Exhibit 16 Vault Card System Requirements

The purpose of this RFP titled "Common Benefit Identification Card (CBIC) Request for Proposal" is to secure the services of a vendor, hereinafter referred to as the Contractor, to provide the services and functions described throughout this RFP for the production of CBIC cards.

The Contractor will:

a. support the production and distribution of mailed CBIC cards statewide,b. produce same day Over-The-Counter (OTC) CBIC cards at two sites in New York City,c. provide and distribute temporary benefit access cards, herein known as “vault cards”

to Social Service Districts (SSDs) statewide, including New York City, for normal anddisaster issuance purposes.

Section 1. Proposed Card Issuance Mechanism

1.1 New York State Responsibility

a. In addition to the responsibilities detailed in this RFP, in particular, within thecontext of the CBIC contract, the OTDA WMS/CBIC System will be responsiblefor the following functions:

i. Identify all individuals in need of a CBIC.

ii. Differentiate those recipients needing a card to be mailed from those

needing OTC cards.

iii. Differentiate those needing a photo card from those needing a non-photo

card.

iv. Identify the correct mailing address for mailed cards.

v. Assign unique numbers to each card.

vi. Pass Card Request records to the CBIC Contractor.

vii. Pass Vault Card Issuance records to the CBIC Contractor for tracking and

control purposes.

viii. Allow SSD users to request replacement cards.

ix. Support a CBIC card inquiry process and make it available to eligibility

workers statewide.

1.2 Card Contractor Responsibility

The CBIC Contractor will be responsible for all functions as described in Section 2 - Detailed Requirements, including but not limited to the following functions:

a. Provide and maintain all equipment used in the generation of CBICs, asdescribed in Section 2.7.

b. Equip and have total operational responsibility for all Contractor-providedcard production systems and system hardware and software componentsneeded at the two OTC card issuance locations in New York City in orderto print over the counter CBICs, and as defined in Section 2.5.2.5.4.1.1.,

herein

c. Calculate Card Authentication Value (CAV) value on each card. Maintainthe security of the OTDA Card Authentication Value (CAV) encryption keysand keep the encryption keys in the hardware security module as definedin Section 2.13.2.

d. Produce and provide all mailed, OTC and Vault cards in compliance withANSI and ISO standards, as defined in Exhibit 15 (Card Standards) andSections 2.2, 2.13.1 and 2.23.5 of this SOW.

e. Issue OTC cards within 45 minutes or less as defined in Section 2.5.2.3.1.

f. Maintain a scanning application at the NYC OTC sites to scan referraldocuments used in the OTC card issuance process into the CBIC AdminSystem associated with the redeemed client card record that resulted fromthe referral process.

g. Print cards and place in the mail stream upon receipt of mailed card requestdata from the OTDA as defined in Exhibit 14 and Section 2.5.1.1.

h. Provide and distribute vault cards as needed to all upstate SSD offices andNYC OTC sites as defined in Section 2.5.3.

i. Provide and maintain an Inventory Tracking and Control System fortracking vault card inventories and issuances as defined in Section 2.5.3.

j. Process and destroy returned mailed cards and “found cards” as definedin Section 2.15.

k. Acquire and convert the current Contractor’s photo/signature/referraldocument database to the CBIC Contractor’s System as detailed in Section2.22.

l. Accept and store mailed card request records from the OTDA via the real-time interface 24/7 as detailed in Section 2.20.3.2.

m. Each card produced must generate a record to OTDA confirming theproduction of that card. These inbound records confirming card productionare used by the OTDA CBIC System to provide information to local workersregarding card issuance status.

n. Accept and store photo and signature records from the Automated FingerImaging System (AFIS) Contractor. Have the ability to pass all photo andsignature records to the OTDA as detailed in Section 2.6.

o. Cooperate with the AFIS contractor or its successor, at no additional cost,to ensure the AFIS-CBIC photo, signature image transfer interface issuccessfully designed, implemented, and operated as detailed in Section2.6.

p. Upon contract termination, ensure the CBIC card data, photo, signatureand referral images are successfully transferred to the new Contractor asdefined in Section 2.22.

q. Provide a secure web-based Administrative System as defined in section2.19.

r. Provide operation and compliance reports as defined in Section 2.21.

s. Support a user test system that will mimic all aspects of the productionsystem as defined in Section 2.14.

t. Provide and maintain the communications networks and back-up networksthat will move data between the CBIC Contractor’s various locations,including: Datacenters, the two OTC sites, the primary mailed card siteand the secondary mailed (or back-up) site as defined in Sections 2.18.3and 2.20.4.6.

1.3 New York City Human Resources Administration (HRA) Responsibility

The HRA and its staff will be responsible for the following functions concerning the New York City CBIC card issuance at the over the counter sites, including:

a. Acquiring and maintaining real estate and all related aspects of the physicallocations of the New York City CBIC OTC facilities.

b. Staffing the OTC facilities with appropriate HRA workers and supervisors.

c. General supervision of all staff at the OTC sites.

d. Providing a network linking PCs at the sites with the New York City ITNetwork.

e. Cooperating with the CBIC Contractor in all activities needed tosuccessfully operate the OTC sites.

f. Providing security for the OTC sites.

g. Be the “first contact” for clients arriving at the sites.

h. Make decisions regarding the appropriateness of servicing specific clients.

i. Initiate card request (referral) transactions for clients arriving on site.

j. Assist clients with Personal Identification Number (PIN) selection process.

k. Operate the Emergency Vault Card Issuance System when required during failures of the permanent CBIC production systems.

1.4 AFIS Contractor Responsibility

a. The AFIS Contractor maintains fingerprint, photo capture and signature capture workstations at most eligibility centers around the State. Images captured at these devices are transmitted real-time to the AFIS Contractor, and from there, are forwarded in real-time to the CBIC Contractor’s central site.

b. When problems prevent regular real time transmission of images from AFIS to the CBIC Contractor’s System, the AFIS Contractor will transmit to the CBIC Contractor’s System at any time of day, including weekends, holidays or after normal business hours.

c. The client number will be incorporated into all AFIS records. Client numbers may be in CIN or Application Registration Number format.

d. The AFIS Contractor provides the OTDA CBIC project office with daily detailed electronic reports of all images captured and transmitted to the Contractor’s System. Images transmitted and not accepted are indicated as such on the report so that appropriate action can be taken.

Section 2 - Detailed Requirements 2.1 Back-Up Site

The Contractor must provide a primary mailed card production facility and a back-up site facility at locations within the continental United States. The sites must meet the requirements set forth throughout this RFP. The back-up site must be more than five hundred (500) miles from the primary facility. In order to ensure continued back-up site operability, a minimum of 10% of all mailed cards requested by the OTDA must be printed and mailed from the secondary or back-up site each month. Additionally, at least twice a year the entire back-up data center operations must be exercised for one full business day as a continuation of business test. The back-up site must be capable of 100% of mailed card production and must be equipped and have consumables to do so.

Mailed card production at both sites must meet performance standard requirements described in this RFP. The Contractor must submit production samples of products for testing according to a pre-defined OTDA schedule to assure ISO standards, as defined in Exhibit 15 (Card Standards) are being met. Schedule to be determined (TBD) during design phase.

2.2 Card Standards

All cards (CBICs and Vault cards) provided and produced must conform to Quest rules see website: https://quest.nacha.org/operatingrules; and all ISO/ANSI/IEC standards and ANSI/INCITS Durability Standards as defined in Exhibit 15 (Card Standards). The Contractor is responsible for obtaining the latest versions of these and any other standards regarding banking compatible access cards. These standards are available from the American National Standards Institute see website: https://ansi.org and the International Organization for Standardization see website: http://www.iso.org/iso/home.htm. All cards provided and produced will contain “Hi-Coercivity” (Hi-Co), track two magnetic stripes.

Cards with any or all of the following defects will be considered unacceptable:

a. Incorrect or unreadable magnetic stripe

b. Incorrect or unreadable client information (including Photos andSignatures)

c. Incorrect, missing or unreadable graphics, text or other requireddata/information.

d. Card does not comply with ISO and/or ANSI standards

e. Card does not meet durability standard.

i. Durability of Cards must meet a four (4) year minimum life span withnormal usage for the card plastic and magnetic stripe. Normal usageincludes a minimum of thirty (30) swiped card reads per month and theassociated wear of removal and re-insertion to a wallet or purse.

Contractor must provide documentation of ISO test validation of theproposed card construction to validate the product being offered is ableto meet the durability standards listed above. This applies also tochanges in plastic construction and plastic providers during orderingcycles throughout the life of the contract. See Exhibit 15 for requiredISO card durability certification testing parameters.

2.3 Card Samples

Offerors must submit product samples of their ISO standard financial access cards and card carriers along with their proposals. For the purposes of this RFP, 10 copies of sample product from existing business are required.

Card carrier artwork customized for the OTDA is not required during the procurement, except in terms of providing existing samples from the Offeror’s current business.

2.4 Graphics of Card Inventory

The Contractor must support differing inventories of cards. These include:

a. Client CBICs card

b. Authorized representative CBICs card

c. Vault cards

d. Any type of new future card as determined by OTDA (optional services)

2.4.1 Client CBIC and Authorized Representative CBIC

2.4.1.1 Text

Text on the client CBIC and the authorized representative CBIC is different. In addition, the client CBIC has one standard banking signature panel on the reverse, while the authorized representative CBICs have two signature panels.

2.4.1.2 Graphics

During the course of the contract, the OTDA reserves the right to change the graphics on the cards at no additional cost.

The Contractor is responsible for providing a final camera-ready proof of the front and back of each card type for OTDA approval before startup and at each change in the graphics for the life of the contract.

Contractor will be responsible for providing full ISO certification test verification if graphics changes are required to validate the new plastic meets ISO standards listed in Exhibit 15 (Card Standards).

The graphic printing of the card number on the front of the card will incorporate embedded spaces so as to ease client and worker reading of card numbers for keyed transactions. The card numbers printed on the front of the card will only include the first 19 digits.

2.4.1.3 Security and Graphic Features

The Contractor must provide CBICs using any or all of the following options. The use of any or all of the options will be at the sole discretion of the OTDA.

a. Four (4) color printing on the front surface of the card. (OTDA does notrequire four (4) color printing for the back of the card.)

b. Microline Printing

c. Holographic Overlay

d. Embedded Hologram

e. Watermarks

Alternative security methods may be considered if offered.

2.4.2 Vault Cards

The Contractor must provide inventories of vault cards as described in Section 2.5.3. OTDA will provide the graphics for both the front and back of the vault card.

Two standard banking signature stripes must be included on the back of the card below the magnetic stripe area. SSD or HRA staff will print the client’s name in one stripe and the client will sign the second stripe.

OTDA reserves the right to change, at no additional cost, the graphics and the numbering routine of the vault card prior to printing any order.

Timely shipments will be made to replace depleted inventory, resupply cards to districts during disasters or to support new programs.

In the event that additional vault card inventories are required outside the normal resupply process, the Contractor will provide all purchasing, inventory control and distribution services as is done for existing vault cards, at no additional cost to the state.

Separate inventories will differ only in graphics and card numbering. They will conform to all standards, as defined in Exhibit 15 (Card Standards).

2.5 Card Delivery

Contractor must support the issuance of CBICs via the US mail. The following details the requirements of mailed CBICs:

2.5.1 Mailed Cards

2.5.1.1 Production Requirements

All cards must be produced and mailed within the continental United States within two (2) business days upon receipt of card request data according to the Exhibit 14 (Card Mailing Requirements). Contractors committing to a lesser timeframe will be held to the standard of the lesser timeframe. Contractor must identify the locations of the primary and secondary mailed card productions sites.

The Contractor must be able to meet and exceed by 100% the volume detailed in Exhibit 1 of this RFP, within the timeframes set forth herein.

There must not be any duplicate cards produced from a single card request record.

2.5.1.1.1 Large Quantity CBIC Issuance

Should circumstances require the replacement of the existing production cards, the Contractor must be able to acquire the plastic, print and mail an additional volume, above otherwise required volumes, of 4,000,000 cards in a period of time not to exceed nine (9) months. ((Reasons for such issuance may include required changes to the graphics of the cards, replacement of HiCo cards with IC (integrated circuit) or Tap (contactless payment – radio-frequency identification) style cards, and other requirements as deemed appropriate by the OTDA, and DOH or OTDA establishment of a new group of recipients needing cards). Contractor is free to subcontract with 3rd parties to meet the additional card production volumes of this section. OTDA must approve such 3rd party selection. Contractor is required to build all necessary interfaces with the 3rd party and make mutual arrangements for the supply of all needed consumables if needed.

Should circumstances require the emergency issuance of cards, the Contractor must be able to acquire the plastic, print and mail an additional volume of 2,000,000 cards in a period of time not to exceed ten (10) weeks. Contractor is free to subcontract with 3rd parties to meet the additional card production volumes of this section. OTDA must approve such 3rd party selection. Contractor is required to build all necessary interfaces with the 3rd party and make mutual arrangements for the supply of all needed consumables.

In the event that the need to produce both the 4,000,000 cards for reasons such as a change to graphics as well as 2,000,000 emergency cards occurs simultaneously, OTDA may, at its sole discretion, put the 4,000,000 card order on hold until the emergency order is completed.

Irrespective of the need to implement the mass card issuances described in this section, the Contractor remains required to meet and exceed by 100% the average daily volumes as displayed in Exhibit 1 without the need for a subcontracted 3rd party.

2.5.1.2 Postage

OTDA will supply the postage on a Pitney Bowes account specifically established for the contractor to utilize for processing CBIC’s. OTDA will supply a minimum of four (4) Pitney Bowes Pro P 3000 Meter machines (or equivalent) with a minimum of two (2) to be placed in the Contractor’s main facility and a minimum of two (2) to be placed in the Contractors back-up disaster recovery site and to be used exclusively for processing OTDA CBIC’s.

OTDA will also rent a minimum of four (4) removable Pitney Bowes DM Infinity Meters two (2) to be placed the Contractor’s main facility and two (2) to be placed in the Contractors back-up disaster recovery site. Note, the Contractor will be required to supply the Infinity Base for each of the Pitney Bowes DM Infinity Meters. OTDA will supply the postage to the meters through a Pitney Bowes account established specifically for CBIC’s.

The Contractor will ensure that the OTDA will receive a written “monthly postage report” by the 5th day of each month for the life of the Agreement resulting from this RFP. The report will be in a format agreed to by the OTDA, and will contain an accounting of that previous month’s postage usage and the OTDA Contract Manager will conduct a review and reconcile. Any discrepancies in this report will be the responsibility of the Contractor. OTDA will continually monitor postage and as necessary, add postage to metering equipment and meter head..

2.5.1.3 Card Carrier

Each mailed CBIC card must be affixed to an informational card carrier document to be designed by the OTDA in conjunction with the Contractor. Offeror is free to propose a mechanism for stuffing more than one card in a mailer affixed to a single carrier. OTDA must participate fully and approve of the design and implementation of such processes. The following details the requirements of the card carrier.

2.5.1.3.1 Text

The Contractor is responsible for providing the pre-printed card carriers. The OTDA will provide the text for these carriers. Samples of the current carriers are in Exhibit 7A and 7B. Contractor will provide a camera-ready proof for approval, and actual “proof” paper copies of each carrier for review by the OTDA prior to obtaining inventory.

All data needed to customize each card carrier (with the exception of the return address, sequence number within the day's work, card issuance date, “custom messages” and “special messages” and machine ID used for card printing) will be sent from the OTDA to the Contractor on the same file as data needed for text on the card.

The return address will be obtained from the parameter file, the contents of which is defined in Section 2.19.1, using the SSD and local office ID entered on the data file as the access key.

Changes at any point in the term of the contract to the content or layout of text to be written on the card carrier will be made at no additional cost to OTDA.

The print data will include at a minimum:

a. Client name

b. Care of’ name (when appropriate)

c. Authorized representative name (when appropriate)

d. Client Identification Number (client cards only)

e. Street address

f. City/town

g. Apartment number

h. Zip code

i. Return address

j. Special messages if present

k. Custom messages if present

l. Case number

m. Last 4 digits of the card number

n. Card production date

o. SSD

p. Local Office (Center in NYC)

q. Unique card production machine ID (sufficient to identify sources ofcard print problems)

r. Sequence number within batch.

2.5.1.3.2 Custom Messages

The Contractor must be able to print custom messages and special text messages on the card carrier. Text will be stored in the parameter file and individual specific indicators on the card request file will instruct the Contractor to select pre-stored sentences or paragraphs for “custom messages”. See Exhibit 7A and 7B for the current print location of all variable data on the card carrier. There are two text fields for custom messages. One prints on all card carriers. The other prints only on those carriers so indicated on the Card Request record sent from OTDA to the Contractor.

The Contractor will be required to print and place inserts into the mailing envelopes along with the printed card and card carrier at the request of the OTDA or DOH. The Contractor must be capable of allowing these printed materials to be inserted into select client mailing envelopes or all client mailing envelopes as determined by OTDA or DOH.

2.5.1.3.3 Mailed Card Carrier Process

Automated processes shall exist to ensure that an individual's card is mounted to that individual's card carrier.

2.5.1.3.4 Protective Sleeves

The Contractor must provide protective sleeves of material of their choosing for the cards, that meet all current Federal or State requirements at the time

card and sleeve was issued. The Contractor must present a plan for including the sleeves in the mailing envelope, including the mechanism for implementation. The sleeve may be separately inserted in the mailing envelope, or attached to an insert in the card mailing envelope. OTDA will supply the Contractor with the text that will appear on the sleeves. The intent of the protective sleeve is to protect the card graphics and magnetic stripe and the Offeror must include in their proposal the type of material(s) intended to be used for the sleeves.

2.5.1.4 Envelopes and Postal Supplies

The Contractor is fully responsible for providing all mailing necessities, including but not limited to envelopes which must be specifically designed to meet the needs of the card carrier and the display of address and return address and all postal regulations. Envelope design must be approved by the OTDA prior to purchase.

“Return Service Requested” will be pre-printed on the envelopes as well as whatever “Presort” postage paid information is needed in the upper right-hand corner.

2.5.2 OTC Cards

Contractor must support the issuance of over-the-counter CBICs in New York City. The following details the requirements of card issuance at the NYC OTC sites.

2.5.2.1 Distribution and Availability Requirements

OTC card issuance will occur at two NYC locations acquired by and operated by the HRA. OTC site hours of operation will be on a 12 hour per day basis on business days. Times of operation will be determined upon contract implementation, however, currently each NYC location is open for clients Monday to Friday 8:30 am to 7:15 pm. At the discretion of the HRA site hours may change over the life of the contract. In emergencies, as determined by OTDA or HRA, the sites may be required to operate on weekends, holidays and after normal business hours.

All clients admitted prior to closing time must be provided with CBIC servicing. The number of clients served on a daily basis is presented in Exhibits 1, 3 and 4 of this RFP.

Authorized Contractor staff will have full access to the OTC sites for the life of the contract.

Optionally, the Contractor may be required to provide same day issuance to a segment(s) of the Upstate population at OTDA’s request. In the event that OTDA elects to request this, a change order providing the specifics will be negotiated at that time in accordance with Article 23 of the Contract.

2.5.2.2 Card Issuance Requirements

All cards must be fully customized using individual text data received from the OTDA CBIC System. Color photos and electronic signatures must be printed on the cards if that data has been made available to the CBIC Contractor via the data link between the CBIC Contractor and the AFIS Contractor. Non-photo/Non-signature cards will be issued if no photo/signature record is available.

The OTDA will transmit, and the Contractor will accept, store, and respond in real time to OTC card requests 24 hours a day, 7 days a week, every day of the year. At the point in time when these OTC card request records are created, the OTDA CBIC System will also print a corresponding OTC referral document. This document will contain the relevant client number and referral number. The referral will be handed to and signed by the client who will bring it to the Contractor's CBIC OTC issuance window. The Contractor is required to store an OTC card request for 30 calendar days or until the card is redeemed.

The Contractor’s system must be able to meet and exceed by 100% the highest daily average volume for OTC cards detailed in Exhibit 1 of this RFP, within the timeframes set forth herein.

2.5.2.3 OTC Card Process

Upon client arrival, at either one of the two OTC sites or the HRA’s Job/Work Centers, HRA staff will evaluate the client for appropriateness for service. If found appropriate HRA staff will access the OTDA CBIC System via their PC’s and will request a referral. This action will transmit a card request record to the Contractor which will include a referral number. The client will then be instructed by HRA staff to go to the Contractor’s issuance window and present their HRA-generated referral, at which point the Contractor will immediately begin the process to print the card. Contractor must create the permanent card within 45 minutes of receipt of the referral at the Contractor issuance window.

Following card production on site:

a. Card carriers for the cards will be provided by the Contractor and madeavailable with each OTC card issued. The card carriers need not beclient customized, but must contain the standard information printed onall mailed card carriers.

b. Protective sleeves for the cards will be provided by the Contractor andmade available with each OTC card issued. OTDA will supply theContractor with the text that will appear on the sleeves.

c. After the Contractor worker compares the photo on the card with theperson receiving the card, the worker will sign the referral documentand have the client sign the referral document. The Contractor mustthen compare client signature on referral to the signature provided atthe pick-up window. If the photo and/or signatures match, the card willbe issued.

d. All problems with photos or other card data will be referred to HRA staffon site for resolution.

e. After the completion of the card issuance process, the correspondingreferral document will be scanned by the Contractor into the CBICContractor Admin System, associated with the client’s card record andpresented for review from the Admin System. Upon successfulscanning of the document into the Admin System, the original paperreferral is to be destroyed by shredding.

f. At the end of each business day, after the last client has left the site, allcards created but not picked up by a client must be shredded by the

Contractor. A log of these shredded cards shall be maintained, indicating whether the card is a 1st copy that needed to be reprinted due to poor quality, or is one that was printed, but the client left the building without receiving it.

g. At the end of business operations each day, all referral documents notscanned will be scanned into the system and a report will be generatedconfirming that the referral documents scanned match the cards issuedfor the day.

Contractor must exercise appropriate information security procedures to ensure that client data is protected. This must include, but is not limited to. such steps as the secure destruction of any consumables such as printer ribbons or documentation that may compromise client data security. A proposed plan for achieving this must be included with the Offeror’s proposal.

2.5.2.3.1 Card Issuance Turnaround Time

The Contractor must issue completed CBICs to individuals in no more than 45 minutes of their arrival at the Contractor’s issuance window in the NY City OTC sites, on a first in first out basis. Turnaround is measured from receipt of the client referral at the Contractor issuance window until the card is printed and handed to the client.

Offerors must commit in their offer to a turnaround timeframe of no more than 45 minutes. Offerors committing to a lesser timeframe will be held to the standard of the lesser timeframe. The commitment must be exact in terms of the number of minutes committed to as measured by time of the day the client arrives at Contractor issuance window to the time of day the card is printed and issued to the client (the transaction is closed out). 100% of all cards must be produced and ready for OTC delivery within the timeframe committed to by the Contractor.

The time tracking system on which the 45-minute performance standard will be measured is from the point in time that the referral is received at the Contractor issuance window. Delays caused by network issues out of the control of the Contractor will not be considered a performance standard failure. A mechanism must exist which will store the client arrival time at the Contractors OTC intake window, which will be independently measured and recorded. This mechanism must not be affected by the unavailability of the Contractor’s card production system. A mechanism for keeping the systems’ clocks in synch (the client arrival clock and the card issuance clock) must be in place and displayed during acceptance testing. A manual system (if necessary) to issue any cards already produced and awaiting issuance when an interruption occurs must be in place and displayed during acceptance testing. A detailed monthly report will be transmitted to the OTDA indicating time of referral receipt at Contractor issuance window vs. card issuance time, for contract compliance purposes.

2.5.2.3.2 PIN Issuance

PIN selection will be an HRA function.

2.5.2.3.3 Printer Pooling

Card printing hardware at the OTC sites must support printer pooling so as to reduce the risk of downed equipment crippling site operations.

2.5.2.4 OTC Cards – Emergency Back-up Systems

The HRA will operate the emergency vault card system and distribute vault cards to clients. When unable to produce and issue cards, Contractor will continue to provide each client with a card carrier and a card sleeve if required by HRA.

2.5.2.5 OTC Contractor Site Requirements

2.5.2.5.1 On-Site Security

Security will be provided by HRA.

2.5.2.5.2 New York City HRA On-site Staff

HRA will supply PCs for the HRA staff.

2.5.2.5.3 Separation of Duties

Contractor staff will not be permitted to access State or City supplied hardware for transactions that update the database.

2.5.2.5.4 Location and Maintenance

Location and maintenance of OTC sites will be provided by HRA.

2.5.2.5.4.1 Physical Site Requirements

In their proposal, Offerors must clearly delineate all requirements of their staff at the OTC sites. Details must include the numbers of staff and their computer and associated network requirements. The Contractor is responsible for the acquisition and maintenance of all Contractor PCs, and equipment needed for the production of OTC CBICs.

The Contractor will be provided adequate floor space and furniture in the Manhattan and Brooklyn OTC facilities to house Contractor staff and equipment. If the Contractor determines that modifications to the space are necessary, it shall be the Contractor’s responsibility to make such modifications and incur any associated costs.

2.5.2.5.4.1.1 Equipment Requirements

All needed hardware for Contractor staff and for card production processes must be provided by the Contractor and described in detail.

Contractor will be required to provide equipment to facilitate the destruction of unclaimed or malformed CBICs and scanned referral documents at the OTC sites. This equipment will consist of a workstation with keyboard card reader or wedge reader, a scanner capable of scanning the referral documents into the Contractor admin system and a commercial shredding unit capable of shredding the plastic cards, referral documents and consumables used in day to day operations.

2.5.2.5.4.2 Contractor Staffing Requirements

a. Staffing must be such that all maintenance of Contractor hardwareand software can be done on site by individuals capable ofmaintaining all Contractor PCs on site and any and all equipmentneeded to print the cards.

b. Staffing for the direct supervision of Contractor OTC employeesmust be located at each OTC site;

c. The number of full time equivalents needed for each task detailedabove must be provided;

d. Detailed job descriptions must be presented to OTDA for eachposition; and

e. Any other staffing needs as deemed required by the Contractor.

2.5.2.5.5 Computer/Network Access Requirements

All computers/workstations/peripherals provided by the Contractor for the Contractor's staff must provide access to the Contractor’s card production system in order to process client referral documents and initiate the production of OTC CBICs.

2.5.3 Vault Card Inventory for SSDs Statewide and NYC OTC Sites

2.5.3.1 Delivery

Vault cards must be delivered upon request by a mutually agreed to mechanism to all SSDs statewide and HRA (NYC OTC sites) for the life of the contract. A predefined shipment amount must be supplied to each SSD or HRA with each shipment. The Contractor must notify the SSD or HRA, as appropriate, of each shipment by E-Mail to the identified responsible party in each SSD or HRA.

2.5.3.2 Vault Card Ordering

The OTDA will provide volume requirements that must be delivered to each SSD and HRA, along with a contact name, phone number and email address for the person(s) in each district who will be responsible for receipt of the cards. The Contractor must maintain this list and keep it current. The vault card re-order process will be defined by the OTDA and will be incorporated with the Automated Vault Card Inventory Tracking and Control System required by the card Contractor. OTDA reserves the right to modify the predefined volume requirements at any time at no additional cost to the OTDA.

2.5.3.3 Inventory Tracking and Control System

When vault cards are issued at SSDs and the NYC OTC sites, a vault card activation transaction will be sent from the OTDA CBIC System to the Contractor for inventory control purposes.

The Contractor must provide and maintain an automated Inventory Tracking and Control System for tracking vault card inventory at all locations. See Exhibit 16 for system design parameters. At a minimum, this system will:

a. Maintain data on vault cards as they are distributed to SSDs and HRA.Log and maintain individual vault card issuance data it receives fromthe OTDA CBIC System in a searchable format for use by OTDApersonnel.

b. Initiate re-stocking of inventory for locations in need of vault card supplybased on pre-determined thresholds supplied by the OTDA. The

threshold levels must be capable of being modified at any time during the term of the contract at no additional charge to NYS.

c. Provide reporting for reconciliation of vault card supply vs. vault cardsissued at all locations.

d. Provide access to the system by authorized OTDA, SSD and HRApersonnel, including ad-hoc reporting capabilities.

e. Provide error reporting for non-current vault card activations. (Non-Current refers to vault cards that may have existed from a previousinventory range which is no longer used by the current card Contractor.

f. Provide reporting for District Vault Inventory being activated outside ofthat district.

The Contractor must maintain and make available for audit, the security measures/processes and inventory control processes/procedures at the central vault card distribution location. The Contractor must maintain complete inventory records. Reporting requirements for vault card activities are defined in Section 2.21.1.14 and 2.21.1.15 of this SOW.

2.5.3.4 Inventory Transfer

The OTDA’s existing inventory of vault cards may be transferred from OTDA’s current card Contractor to the CBIC Contractor prior to startup of the card system. If OTDA chooses to migrate the existing inventory of vault cards to the new vendor’s system, this inventory will be stored securely by the Contractor and used along with inventory created by the Contractor. Exhibit 8 of this RFP details the approximate current annual usage rate of vault cards in each upstate SSD and NYC OTC sites.

2.5.3.5 Disaster Vault Card Inventory

The OTDA will be using the current Vault Card for delivering access to disaster benefits. The SSD on hand inventory levels are adjusted to reflect a percentage above the actual district usage levels to allow the SSD to issue initial disaster benefits to affected individuals. An emergency resupply plan to address expedited re-orders and deliveries of vault cards to disaster stricken district(s) must be included in the proposed system design.

2.5.4 Vault Card Usage for Additional Program Areas

In the event OTDA chooses to expand vault card usage to additional program areas, the Contractor may be required to develop additional inventories of vault cards, with different graphics and their own range of card numbers. Such expansion of vault card usage, even if differing graphics were not required, would substantially increase the volume required. The OTDA will provide the Contractor with reasonable development time in the event vault card expansion is required. All pricing for expanded vault card usage or separate vault card inventory must be included in the RFP proposal.

This section is provided for informational purposes only. In the event that OTDA requires vault card production for additional programs that are yet undefined, pricing for such cards would be determined by the vault card pricing provided in the Offeror’s proposal. Such volumes could be up to 2 million per year. The Offeror must be able to respond to such a request.

The Appendix P vault card schedule solicits pricing for orders in excess of 1,000,000 vault cards.

2.6 Storage of Photo/Signature Images

All digitized photo/signature images obtained either via conversion from the current CBIC Contractor, or from the Automated Finger Imaging System (AFIS) after start-up, must be added to a photo/signature database on Contractor supplied equipment. Details regarding the content and format of the AFIS/CBIC Contractor transmission of photos and signatures can be found in Exhibit 6 of this RFP. The Contractor must be able to access images using the Client Identification Number or the Applicant Registration Number that are supplied by the AFIS Contractor. The file of photo/signature images are the property of the OTDA. The current total volume of photo and signature images transmitted from AFIS to CBIC is approximately 23,000 per month.

2.6.1 Temporary Keys for Image Storage

Some of the images obtained each day will be stored using a temporary key known as the Application Registration Number assigned by the OTDA and captured in association with the image by the AFIS Contractor. The CBIC Contractor must be able to accept subsequent data records from the WMS that supply the permanent keys (known as the CIN) for these images. Updating the existing information on these image records from the data sent by the WMS (the CIN) is then the Contractor’s responsibility. This process is known as “Temp to Perm”. Those images stored using the temporary key which never becomes linked to a permanent key shall be purged after a period of time to be defined by the OTDA. This period will be stored in an element in a parameter file, the contents of which is defined in Section 2.19.1 of this SOW.

2.6.2 Photo Retention

All Photos/Signatures, unless purged as mentioned in Section 2.6.1 of this SOW, shall be retained for the life of the contract and transferred to the new Contractor at contracts end.

2.6.2.1 Photo/Signature Transfer to OTDA

If required, the Contractor must be able to transmit photo signature images and any additional required data to the OTDA system. The process may occur in either “real-time” or as a daily batch. The mechanism and the timing to do so will be clarified during the detailed design phase of the project. Pricing will be included as an OTDA option during this procurement. In the event that OTDA seeks to implement this, a change order will be negotiated in accordance with Article 23 of the Contract. Specifications will be developed at that time.

The photos are 300 x 300 pixels, JPEG, 72 x 72 dots per inch, 24 bits per pixel (millions of colors).

The signatures are 360 x 90 pixels, currently in PCX format with run-length encoding, 81 x 81 dots per inch, 1 bit per pixel (monochrome). The PCX format undergoes a conversion to JPG by the card Contractor’s system upon receipt of the image by the AFIS application. Until this process is revised, the card Contractor must be prepared to support this conversion process.

**Neither the photo nor the signature is to be resized before printing on a card.

2.6.3 Photo/Signature

The most recently received photo or signature from AFIS shall be considered ‘current’ and will be used in card production. The Administrative System will support a process whereby the user may assign a status of ‘unusable’ to a photo or signature. In the event that the most recent photo or signature is deleted or marked ‘unusable’, the photo or signature with the next most recent date shall be considered ‘current’ and used in card production. ‘Unusable’ photos or signatures shall not be used in card production. Multiple photos and signatures cannot be assigned a ’current’ status.

2.7 Provision and Maintenance of CBIC Generation Equipment

The Contractor is responsible for providing, maintaining and upgrading any and all equipment, hardware, computers and software needed for carrying out the functions of the contract for the life of the contract, including any and all contract extensions. The functions include, but are not limited to the printing of CBICs, the card carriers, protective sleeves, the stuffing and mailing of cards, maintaining the photo/signature image database, generating reports for the OTDA, and tracking of card request/delivery time at the OTC sites. The cost of providing the equipment and maintaining the equipment must be included in the proposed card rate. At the end of the second year of the contract, and every year thereafter, the OTDA and Contractor will evaluate the status of the equipment’s ability to meet the contract requirements. The Contractor will upgrade any and all equipment, hardware, computers and software as deemed necessary by OTDA to meet the contract requirements.

2.7.1 Products and Features

Offeror must list all proposed products or features to be used to provide the services required. For each product or feature listed, the technical publication must be provided, which contains a description of the product or feature. The technical literature provided must describe the product or feature so as to explain its use in the CBIC environment.

2.8 Signature Panel(s)

A banking standard signature stripe resistant to alteration is required on the CBIC card. An erasable background shall be affixed to the signature stripe, beneath which must be the pre-printed message "VOID". The ability to support a second signature stripe on some cards will be required in order to support Authorized Representative card issuance.

2.9 Digital Signatures

If a client’s signature is available in the Contractor’s photo/signature database, it shall be printed on the front of the card. See Exhibit 5 for current card samples.

2.10 Digital Photographs

If a client’s photo is available in the Contractor’s photo/signature database, it shall be printed on the card. Currently, the photo is printed in the space below the State emblem on the front of the card, and the signature is printed in the space in the lower left corner, approximately one half of the way across the bottom of the front of the card. See Exhibit 5 for current card samples.

2.11 Customized Text Data on the CBIC Card

All variable data needed to customize each CBIC plastic card will be supplied via transmission from OTDA with the exception of the photo and signature image(s), and the date/timestamp of card printing.

The Contractor must accept any changes to the layout, format and fonts of the variable text on cards for the life of the contract, including any extensions, at no additional cost to OTDA. For historical background, the OTDA has made four changes to font size and variable text content in the past 15 years. The first change was made in order to increase font size for information that was difficult to read. The second change added a line of variable text to all cards indicating the date/time of issuance of the card. The third change was the removal of the gender. The fourth change was a redesign of the entire CBIC card body to support the New York State branding initiative in 2015. This historical perspective is not to be interpreted as a guarantee or inevitability, regarding the frequency of such future changes.

Text data will include at a minimum:

2.11.1 Client CBICs

a. Last name

b. Middle initial

c. First name

d. Date of Birth (MM/DD/YYYY) The Contractor must alter the birth date to read

“00/00/0000” on cards when a sex code of "U" is provided in the card request

record

e. Client Identification Number

f. Card number

g. Date/time stamp of card printing

2.11.2 Authorized Representative CBICs

a. Client last name

b. Client first name

c. Authorized representative last name

d. Authorized representative first name

e. Card number

f. Date/time stamp of card printing

2.12 Format of the Card Number on the Plastic Cards

The card number must be printed in flat graphics on two locations on the front of the card. See sample cards in Exhibit 5 of this RFP for the layout of the client CBIC, the authorized representative CBIC, the vault card and the disaster vault card. Font size shall facilitate ease of reading for keying purposes. The card number will be blocked into groups of six, four, four, three and two numbers also for ease of reading.

2.13 Writing Data to the Magnetic Stripe

The process for writing data to track two (2) of the magnetic stripe shall be incorporated into the card customization process in a manner that shall ensure that the printed card number on the front of the card is identical to the card number data written to the magnetic stripe. The encoding process must be in line with the encoding standards of magnetic stripe cards used in the financial industry. The OTDA does not use tracks one or three of the magnetic stripe at this time.

2.13.1 ISO Standards

ISO standard 7813 defines the data structure of the magnetic stripe. The OTDA shall use, at a minimum, the user fields listed below and reserves the right to use the remaining fields as defined in that standard at no additional charge. OTDA cards are numbered as follows:

ISO standard "start sentinel"

Characters 1-19

Primary Account Number (PAN). (Supplied by OTDA with each card request transaction.)

Character 20 Field separator. Industry standard. "="

Character 21-24 Expiration date. Industry standard constant. "4912"

Character 25 - 27 Service code. Constant. "120"

Character 28-30 CAV (Card Authentication Value) CBIC Contractor computed security field using the Advanced Encryption Standard (AES) and the OTDA's encryption keys.

The OTDA will provide AES keys to the Contractor.

Keys must be kept secure.

ISO standard "end sentinel"

ISO standard "Longitudinal Redundancy Check" (LRC).

2.13.2 CAV

The Contractor will have the sole responsibility for the computation of the CAV using the Advanced Encryption Standard (AES). Contractor must successfully demonstrate the ability to generate the CAV during the acceptance test phase of the procurement. The OTDA will provide AES encryption keys to the Contractor. The two encryption keys must be stored separately. No single person should know or have in their possession both keys.

2.13.3 Card Magnetics

A high coercivity (Hi-Co) magnetic stripe is required. All card stripe Magnetic encoding must meet the required encoding level for use in the financial industry.

2.14 User Test System

2.14.1 System Requirements

A user test environment must be available to the OTDA that emulates production as described throughout Section 2 of this SOW. Equipment, communications and all processes and functionality supporting this environment must exist for the life of the contract and for any extensions of the contract, beginning with the user-test phase. The user test system must be supported on a database and program suite that is separate from any database supported by the Contractor for Contractor’s own development and testing purposes. Hardware for the test system may be shared with hardware used for the Contractor’s own development and testing.

The user test system will be used by State staff to validate all aspects of the Contractor's system and the interfaces that drive that system. User testing will begin prior to acceptance testing, will continue during acceptance testing, and will be used for the life of the contract in order to validate any changes or fixes made to the Contractor’s system, the State CBIC System which supplies card request/update records to the Contractor, and the AFIS System which supplies photo and signature data to the Contractor’s system.

2.14.2 System Availability

A fully supported User Test System as described in Section 2.14.1 of this document must be available for the life of the contract and any extension thereof.

Complete end-to-end testing of all components of the system must be available during the period of user and acceptance testing prior to system start up, and for the duration of the contract and any extensions. The card-printing component of the User Test System may be suspended at any time at OTDA’s discretion. OTDA will give the Contractor advanced notice to make this component available when needed.

All functionality and connectivity to OTDA and AFIS must be supported in the test system. Processing inbound and outbound records from and to the OTDA in the test system must be supported 24 hours a day, seven days a week. Printing of cards in this system must be available during normal business hours during the user test phase of the contract resulting from this RFP. After the user test phase, card printing may be suspended from this system at the OTDA’s discretion, although all file maintenance activities must continue to be supported 24/7. If card production is needed after the user test phase, the Contractor must provide card production within one business day of OTDA’s request.

User test cards, when produced, will be boxed each day, and sent to the OTDA project office in Albany, NY via Priority Mail or express mail (e.g. Federal Express)

The card-printing component of the User Test System may be suspended at any time at OTDA’s discretion. OTDA will give the Contractor advanced notice to make this component available when needed.

2.14.3 OTC Test Device

A single OTC device/workstation, consisting of a duplicate set of equipment that mirrors the functionality at the OTC site, must be provided to the OTDA for test

purposes at its offices in Albany, New York. The Contractor must provide the network interface to all hardware associated with that device, i.e. card printer and PC. In the event that the Contractor builds an “open system” interface, then network configuration and card printer will suffice. The OTC test device will be available for use during normal business hours for the life of the contract and any extensions. This device will be for development and test only and have no connection to the production system. All maintenance of, and consumable supplies for, this equipment will be provided to OTDA at no additional cost.

2.15 Returned Mail Control System

The Contractor must provide a central location and return address information for the return of cards in New York City that are undeliverable via the USPS. In addition, the Contractor will accept “found cards” sent from NY State Agencies and will process and destroy these cards in the same manner as returned mail cards. Volume statistics for current return of mailed cards for New York City cards are in Exhibit 10 of this RFP. The OTDA retains the option of using this system for upstate SSDs as well as for New York City.

The CBIC Contractor must process the returned mail and provide a mail return control system as follows:

2.15.1 Identifying Returned Cards

All CBIC envelopes, cards and/or card carriers must be machine readable so as to enable a system to identify returned cards and the client owner of each card. Bar codes or an Optical Character Reader mechanism may be used in this process; however, it must not interfere with post office bar code processes. Alternatively, the card’s magnetic stripe may be used in this process.

Equipment supplied for mechanically reading the CBIC cards and/or envelopes (such as bar code and/or magnetic stripe readers) must reside at a single Contractor site. Data from the process will be transmitted to the OTDA.

2.15.2 Card Disposal

Each day, subsequent to the creation of the daily returned mail file, all returned cards and card carriers must be shredded by the Contractor.

2.15.3 Equipment Maintenance

Contractor must provide and maintain all equipment associated with the feature described in this section.

2.15.4 Additional Returned Mail

On occasion, the Contractor will receive mail or items from clients or others that has been addressed to the return address on the card envelope. Contractor must immediately forward this mail to an address provided by OTDA.

2.16 Vault Card Requirements

Vault cards are plastic financial transaction cards that must conform to ISO/ANSI standards as defined in Exhibit 15 (Card Standards) and this SOW. Only track two (2) is encoded. The Contractor must provide vault cards in bulk. They will be pre-numbered, with the card number printed on the front and encoded on the magnetic stripe.

2.16.1 General Requirements

The vault cards must meet the following general requirements:

a. Preprinted card numbers (the first 19 digits) printed on the face of the card;

b. Pre-encoded card numbers on magnetic stripe;

c. Check digit calculation and generation;

d. CAV calculation and generation;

e. High coercivity magnetic stripe material

f. Banking signature stripes on the back,

g. Separate pricing for 1 and 2 color printing of card graphics.

2.16.2 Card Numbering

OTDA will provide the beginning card number and the ending card number for the first shipment if the existing vault card inventory is not migrated. If migrated inventory is to be used, the first card number in the new order will follow the last card number from the migrated order. Subsequent shipments must begin with the number following the last number of the previous shipment. The Contractor will be responsible for the consecutive numbering of vault cards on all supplemental vault card orders for the life of the contract. The Contractor must assure that duplicate numbering of the cards does not occur.

The Contractor may directly produce vault cards or outsource this function to a Subcontractor. Vault card numbers must be 30 digits long. Vault cards must be purchased or produced with this number encoded on the magnetic stripe and the first 19 characters printed on the front. ISO standard 7813 Table 2 for financial transaction cards applies.

Numbers on the magnetic stripe must be preceded by an ISO standard "start sentinel", followed by an ISO standard "end sentinel" and followed also by an ISO standard "Longitudinal Redundancy Check" (LRC).

Character 1-6 BIN (Bank Identification Number)

Constant for all cards in a shipment.

Character 7 Card Type Constant for all cards in a shipment.

Character 8 - 16 Incremental number

Nine numeric. The first and last card will be specified by the OTDA for the first vault card shipment. The Contractor will increment each card number by one (1) and be responsible for the consecutive numbering of all future vault card orders for the life of the contract.

Character 17 Check digit Mod 10 calculated/generated using all numbers on the card from BIN to sequence number place holder. The OTDA’s check

digit routine will be provided during the design phase of the project.

Character 18-19 Sequence number place holder

Constant, “00”, for all vault cards.

Character 20 Field separator Industry standard. "="

Character 21-24 Expiration date

Industry standard constant. "4912"

Character 25 - 27 Service code

Constant. "120"

Character 28-30 CAV Computed security field using the Advanced Encryption Standard (AES) and the OTDA’s encryption keys. The OTDA will provide AES keys to the Contractor. Keys must be kept secure.

2.16.3 Card Magnetics

A high coercivity (Hi-Co) magnetic stripe is required for vault cards; however, the OTDA retains the right to convert to low coercivity magnetics if it chooses.

2.17 Systems Security

The Contractor must ensure that all segments of its card production system are available to authorized Individuals only. This can be accomplished by whatever means the Contractor determines is required to meet proper security protocols. The proposed connectivity solution must meet OTDA approval.

The Administrative Systems are to be made available only to authorized individuals for inquiry, management and Vault Card System use (If Vault Card System is a component of the overall Administrative System). User access must be limited to only those aspects of the system relevant to their job functions. Non-Administrative Users must also be limited to Update and/or Inquiry Only capabilities based on their job functions with the exception of agreed to roles that require additional permissions at the Administrative levels. All transactions on the system must be self-auditing, creating a perpetual audit trail available for OTDA inspection. These transactions include, but are not necessarily limited to, card production transactions, inquiry and update to the card/photo/signature records, the parameter files, and the return mail control system. A systems trail must exist which permits access to the source and date-time stamp of the command initiating the transaction.

Contractor must maintain a current list of users eligible to access/update or inquire against each segment of its system. At a minimum, password access is required.

All production records generated for OTDA must be managed in a confidential manner as described in the CBIC Contract, Article 15, Section C.

2.18 Systems Back-up

A complete test of the back-up systems described below must be scheduled annually for the life of the contract and any extensions thereof. The first test must be scheduled within six months of start-up.

2.18.1 Mailed Cards

The CBIC Contractor must provide the OTDA with a business continuity plan that insures the ability to do full mailed card production in the event that the primary location becomes unavailable for a period exceeding one (1) business day. Offsite storage of a current version of the database, including all programs, card records and photo/signature records must be made daily. Each day's transaction logs must also be stored offsite real time, so that the Contractor can build a current database from the previous day's database and the current day's transaction log. The plan must include offsite storage of all consumables. Contractor is free to use the secondary site as the back-up site when needed.

2.18.2 Mailed Cards Backlog Recovery

To ensure that the secondary site remains functional, a minimum of 10% of all mailed cards requested by the OTDA must be printed and mailed from the secondary or back-up site each month. Contractor is free to print a larger percentage of mailed cards from their secondary site. Performance standards for the primary site also apply to the back-up site. In the event that the Contractor needs to switch to the secondary site for mailed cards, that site must have the capacity to clear out any backlog of business in one calendar day, while maintaining the OTDA set standards for current day card production as described in Exhibit 14.

2.18.3 OTC Back-up and Recovery

In the event of a failure of the Contractor’s OTC System or its database, the Contractor must provide for the complete recovery of that system, its database and the means for keeping that database current within one (1) hour.

2.19 The Administrative System

Provide a secure web-based Administrative System that will provide the functionality described below, utilizing role-based security as defined during the detailed design phase of the project.

The Administrative System must be available for all functionality by OTDA 24/7/365 as is with card request transmissions.

a. Provide the following functionality for the Parameter file:

i. Maintain a file of SSD/local office return addresses to be used for mailed

cards

ii. Maintain a file of Vault Card Re-Order District POCs (See Exhibit 12 for

specifications)

iii. Maintain a file of messages for printing on card carriers and/or inserts

iv. Maintain values for “timeout” purge of photo/signature records

v. Maintain value for “timeout” production of non-photo cards

vi. Provide Inquiry and/or Update capabilities for all values in the Parameter file

to authorized users

vii. Provide mechanism to print the contents of the Parameter file

b. Provide the following functionality for photo/signature files:

i. Allow access to and printing of photo and signature images

ii. Provide mechanism to delete photos and signatures

iii. Provide mechanism to mark photos and signatures as ‘unusable’

c. Provide the following functionality for Reporting purposes:

i. Allow access to administrative reports

ii. Provide ad-hoc reporting capabilities against client card production history

d. Provide mechanism for OTDA to grant user access and assign security roles

e. Allow viewing of client card issuance history including request date, cardproduction date and additional card details. Further definition will be completedduring the detailed design phase of the project.

f. Provide access to the Contractor’s project documents.

g. Vault Card Inventory Control System as defined in section 2.5.3.3 (can be andwill be an independent application interface or incorporated into accessedthrough the Administrative System) log on screen.

2.19.1 The Administrative Systems Control and Parameter File

The Parameter file must support the following functionality/values:

2.19.1.1 Updates to and Inquiry to the Return Addresses for each Local Office within each SSD

Each mailed CBIC card must have a return address derived from the Contractor's return address file using the SSD number and Local Office number on the card request record. The default value from the return address file will be used when the value of the Local Office field (within SSD) on the card request record cannot be found on the return address file. Exhibit 2 of this RFP further explains the structure of this file. OTDA staff will initially key in the detailed contents of this file prior to production start-up.

2.19.1.2 Updates to and Inquiry to the Universal Notice Text

A 255-character alpha numeric value must be available for entry on the Administrative System. These messages will be printed on each and every card carrier as it is customized for clients.

2.19.1.3 Updates to and Inquiry to the Special Notice Text

A 255-character alpha numeric value must be available for entry on the Administrative System. These messages must be printed on those card carriers when an indicator on the card request record from the OTDA requests special notice.

2.19.1.4 Purge Period for Applicant Photos

Contractor must make available for input a numeric value entitled “Photo Purge Period for Applicants.” (60 through 360 are acceptable values).

Photos and signatures keyed to an Applicant Registration Number must be purged after a period of time (days) indicated by this value if the photo is never linked to a CIN.

2.19.2 Administrative System Security

Access to the Administrative System must be secured as described in Section 2.17 of this SOW. The OTDA welcomes additional suggestions for further securing the Administrative System. Each update and inquiry function described in this RFP must be individually identified in the security system. The system must maintain a table of individuals authorized to access each function separately. Only persons identified and authorized by OTDA may make updates to that table. The Contractor can expect that at a minimum there will be one OTDA representative.

2.19.3 Photo and Signature Inquiry and Deletion Process

The Administrative System must support the display of photo and signature images. If more than one image is on file for an individual, each must be accessible.

2.19.3.1 Screen Display

The screen display must provide the following data:

a. Date/time of photo capture

b. Date/time of photo receipt from AFIS

c. Client ID number

d. Any previously used key (temporary key)

e. Each card number the photo was printed on

f. The associated electronic signature

g. Client demographics

h. The associated AFIS workstation

i. The associated AFIS worker

2.19.3.2 Photo/Signature Deletion

An on-line photo/signature purge process must be available via the Administrative System for deletion of unacceptable photo images. This process will have access controlled by an elevated role within the Admin System. The photo purge process is driven by a selection from the Admin screen.

2.20 Network Requirements, File/Record Transfers

The movement of data between the Contractor’s system, the OTDA CBIC System, and the AFIS Contractor’s system will consist of real time transmissions 24 hours a day, 7 days a week, every day of the year.

The OTDA routinely transmits all card requests as single individual requests real time via the SOAP protocol. SOAP (Simple Object Access Protocol) is a protocol that allows program-to-program communication across the Internet using the current Web infrastructure. Only in emergencies when SOAP fails and there is a large backlog would OTDA transmit batches of card requests. When doing so we would bring down the SOAP lines until the batches are fully transmitted.

The OTDA will allow the Contractor to perform batching as needed by their process. Contractor is expected to process requests in a manner that meets the performance standards and reporting standards of the contract.

2.20.1 Record Layouts

The Contractor must be able to accept records in the format that is currently being used by OTDA and the AFIS Contractor. Current record layouts for all data transferred between the Contractor System and the OTDA CBIC System at the time of this procurement are included in Exhibit 9 of this RFP. Record descriptions of the photo and signature images currently transferred by the AFIS Contractor to the CBIC Contractor are included in Exhibit 6 of this RFP.

If data record layouts or storage of the photo and signature images is in a differing format(s) at the time of conversion, this will be discussed and agreed to during the design phase of the project.

2.20.2 Record Errors

All conditions which result in the Contractor rejecting an OTDA record must be pre-defined and must result in a response error message with an agreed upon error number and error definition.

For more information, refer to Exhibit 13 (Record Transfer Error Codes).

2.20.3 File Transfer Responsibilities

2.20.3.1 OTDA’s CBIC System Responsibility

The OTDA’s CBIC System will:

a. Transmit to the Contractor card request records;

b. Transmit Vault Card Issuance records to the Contractor for tracking andcontrol purposes.

c. Receive from the Contractor acknowledgment of each record successfullytransmitted;

d. Receive from the Contractor a “card produced” record for each recordresulting in card production;

e. Receive from the Contractor error response records for each record thatfails card production; and,

f. Transmit to the Contractor “temporary to permanent” records instructingthe Contractor to switch the owner of a photo/signature from a temporaryID to a permanent ID.

2.20.3.2 Contractor System Responsibility

The Contractor System must:

a. Receive batch files and real time card request records from OTDA 24 hoursa day, 7 days a week, every day of the year.

b. Receive and store client photo and signature records from the OTDA AFISContractor 24 hours a day, 7 days a week.

c. Respond to OTDA’s card issuance records confirming their receipt andlater with card issuance records confirming issuance activities.

d. Accept and post updates to the parameter file.

e. Respond to receipt of photo/signature from the AFIS Contractor with anacknowledgement to the AFIS Contractor and to OTDA.

f. Respond to OTDA when appropriate with agreed-upon error responserecords for each record that fails card production.

g. Accept and process from the OTDA “temporary to permanent” recordsswitching the owner of a photo/signature from a temporary ID to apermanent ID.

h. Accept and process from the OTDA vault card issuance records that areposted against the Contractor’s Vault Card Inventory Tracking and ControlSystem.

i. Administer and have responsibility for providing the Administrative Systemand connectivity to the system.

Proposed networks must meet New York State Information Technology Services (ITS) standards. The standards for required security protocols can be found on the FIPS 140 Standards documentation website. A link to the FIPS standards is provided below:

http://csrc.nist.gov/publications/PubsFIPS.html

2.20.4 Network Responsibilities

The NYS ITS will be responsible for the installation and maintenance of all network capabilities that will move data between the OTDA’s primary and backup WMS-CBIC System.

The Contractor will be responsible for providing all network capabilities that will move data between all components and locations of its system to include access to its Administrative System. Contractor is also responsible for the connections to each of the State’s datacenter locations and must agree to work with NYS ITS on finalizing these connections. The Offeror must provide details of this network capability in their proposal.

2.20.4.1 Bandwidth

The Contractor must be able to ensure any communications needed between its mailed card site and its OTC card site as well as all communications within each of its sites is adequately serviced. Networks should be sized according to required production standards listed in section 2.5.1.1 and 2.5.1.1.1.

2.20.4.2 Transport Medium

The hardware and software components that the user data will travel between each of the Contractor’s sites must be described. This includes, but is not limited to; WAN, MAN, ATM, Routers, Switches and frame relay. TCP/IP must be the required network protocol.

2.20.4.3 Location

Describe the geographic locale of the Contractor.

2.20.4.4 Network Availability

Contractor support must be available whenever traffic is expected to be moving on its internal network. In the case of CBIC card production traffic from OTDA to the Contractor, data is moving on the network 24 hours a day, 7 days a week, with peak traffic occurring overnight, but with substantial traffic occurring during the business day. Photo/signature traffic may also be transmitted during the same timeframes, with peak traffic anticipated during the business day. Support must consist of a list of contacts (including name, phone number and e-mail address), an understood method of identifying the network, andescalation procedures to ensure resolution of the problem.

2.20.4.5 Staff Responsibility

The hardware and software components that comprise the Contractor’s internal network must be defined. The staff responsible for the support of these components must be fully trained in their operation.

2.20.4.6 Network and Back-up Network

The Contractor is required to provide network connections between its primary mailed card site, its back-up mailed card site, and both of the OTC sites as well as all connectivity to the required Web Based Administrative System.

The Contractor will be required to provide connections to the State’s primary and back-up data centers (section 2.20.4) and have a mechanism in place to switch to the State’s back-up network following notification by the State of an outage on the primary network. The Contractor will also be required to provide network connectivity from the State’s primary and back-up datacenters back to their primary and back-up datacenters. A fully capable back-up network between all Contractor nodes must also be provided and supported. The Contractor must propose solutions that include a backup for “last mile” connectivity to the over the counter sites which will be designed to provide redundant connection to the Contractors processing network. These solutions may include cable, multiple network providers, or other means by which the over the counter sites remain in communication with the Contractor’s primary and backup main sites (i.e. datacenters). All proposed solutions must meet State approval before implementation. The Contractor must be capable of switching to its back-up network within 45 minutes (or less) of a failure to the primary network. All back-up networks will be subject to business continuity tests twice a year as scheduled by the OTDA.

The Contractor’s network and back-up network must be available 24X7/365.

2.20.5 Communications Protocols

The CBIC Contractor must support the protocol standard as determined by SOA infrastructure. The SOA infrastructure currently supports SOAP protocol.

2.21 Reporting

The Contractor must supply/make available to the OTDA reports as defined below via a secure electronic media such as HTTPS and SFTP, or another mechanism as agreed to during the design phase of the project.

Operational and contract management reports must be supported. Reports must be transmitted or available 365 days a year. All daily reports will be for calendar days (midnight to midnight). The Contractor must only use agreed upon/known return/error response codes in all reports.

Report format will be agreed to during the design phase and may include PDF, Excel and Word as directed by OTDA.

Daily and monthly reports will be considered deliverables under the contract.

2.21.1 Operational Reports

At a minimum, the following reports will be provided to OTDA:

2.21.1.1 Daily Card Print Summary Report

Summarizes numbers of cards produced by type (OTC photo, OTC non-photo, mailed photo, mailed non-photo/non-signature, signature only non-photo).

2.21.1.2 Daily Card Detail Reports

Individual daily report for each card type issued - mailed, OTC and vault card.

Report must include data that was used for card issuance or printed on each card and each card carrier as follows: client last name, client first name, client middle initial, care of name (if any), authorized representative name (if any), date of birth, gender, CIN, card number, date/time printed, case number, district, production location and postal rate (if mailed).

2.21.1.3 Daily Summary Photo Processing Report

Summarizes the numbers of photos received by the CBIC Contractor from each AFIS site by day. Includes month to date totals and running bottom line totals of numbers of photos on the database by AFIS site and statewide. Bottom line number of photos on file is statewide.

2.21.1.4 Daily Detail Photo Processing Report

Lists individuals (CIN or Applicant Registration Number) for which photos and/ or signatures are received each day. See Exhibit 11 (Daily Detail Photo Processing Report) for current report format.

2.21.1.5 Monthly Billing Report

Includes the number, card type, cost per card, total card expense and postal charges of OTC and mailed cards generated for the month.

2.21.1.6 Monthly Detail and Summary Report

Provides summary of all card request records received during the month (including records accepted, rejected, acted upon, not acted upon) along with the action taken regarding each record.

2.21.1.7 Monthly Detailed Card Issuance Report

Provides detailed listing and summary total of each card issued. Includes CIN, card number, request date, issued date, issue method (OTC vs. mailed), card type (client photo, authorized representative photo, client non-photo, authorized representative non photo, client non-photo/non-signature, client signature only non-photo).

2.21.1.8 Monthly Unproduced Mailed Card Report

Provides detailed listing of card numbers and CINs of mailed card records in “unproduced” status.

2.21.1.9 Monthly Photos/Signatures Received Report

Provides detailed listing of photos/signatures received. Includes those accepted and those rejected and reason for reject. Includes Client ID, date of receipt and AFIS site ID.

2.21.1.10 Monthly Photo Warning Report

Provides detailed listing of those photos that are to be purged by site by day in the next thirty (30) and next sixty (60) days. Provides SSD and statewide totals.

2.21.1.11 Daily Returned Mail Report

Daily report listing all mailed cards returned and destroyed at the return card facility. Report to include client name, mailing address, card number, local office issuing card and worker who requested the card.

2.21.1.12 Monthly Returned Mail Report

Monthly Report listing by district total number of mailed cards returned and destroyed at the return card facility. Report to include total number of mailed cards returned, total number cards mailed and percentage of cards returned

2.21.1.13 Daily Photo/Signature Purge Report

Daily detailed listing of each photo or signature purged via the administrative on-line process.

2.21.1.14 Monthly Vault Card Inventory Report

Listing of all vault card inventory activity for the month. Report must include by district the vault card reorder point, shipment size, starting inventory count, cards used, number received during month and inventory at end of month.

2.21.1.15 Monthly Vault Card Shipment Report

Detailed listing of all cards sent to SSDs and NYC OTC sites during the month. This report must include, for each shipment, the date of the shipment, the name of the SSD or NYC OTC site, the card numbers sent, and the total number of cards sent.

2.21.1.16 Database Conversion Report

A report to run at the time the production photo/signature file is loaded from the current Contractor and converted for use in the new Contractor’s system must include the necessary details to reconcile the conversion process. The report must include at a minimum the following:

a. The number of photos loaded and converted.

b. The number of photo records that failed the conversion process.

c. The number of clients and applicants associated with those photos.

d. The number of clients and applicants with one photo on file.

e. The number of clients and applicants with more than one photo on file.

f. The number of signatures loaded and converted.

g. The number of signature records that failed the conversion process.

h. The number of clients and applicants associated with those signatures.

i. The number of clients and applicants with one signature on file.

j. The number of clients and applicants with more than one signature onfile.

2.21.1.17 OTC Scanned Referral Report

Provides detail and summary totals of scanned referral documents at the OTC sites. Report to include summary of number of cards accepted, number of cards with associated referral document and number of cards without associated referral documents. Details of card without associated referral document will be listed with referral number, card number, CIN, case key, client name and referral barcode date/time.

2.21.1.18 OTC Manual Card Issuance Report

Provides detail and summary totals of OTC cards printed but issuance station/system is subsequently down and issuance process cannot be electronically completed but instead is manually completed. The report will list card number, client name, date/time referral accepted, date/time card given to client and OTC site

2.21.1.19 Monthly Mailed Card Rate Report

Report by mailed card facility and date listing number of cards produced, postage rate and total daily mailing cost. Includes summary totals for month by mailing facility.

2.21.1.20 Vault Card Issuance Report

Provide a detail listing of al vault cards issued for a selected/reported timeframe and selected district(s). Data elements to include card number, district, date received, client name, client CIN or ARN and User Id.

2.21.2 Contract Management Reports

At a minimum, the following reports will be provided to OTDA:

2.21.2.1 Mailed Card Issuance Monitoring Report

Daily total and monthly summary of the total number of cards mailed. Report will reflect all cards mailed zero (0) days delayed beyond the mailed card committed to timeframe, one (1) day delayed beyond the committed to timeframe, two (2) days delayed, three (3) days delayed, four (4) days delayed, etc.

2.21.2.2 Records Posting Report – Processing of Card Request Files from the OTDA

Displays total number of records posted per hour for each day of the month along with total records available to be posted per hour for each day of the month.

2.21.2.3 Administrative System Monitoring Report

Down time of the Administrative System must be reported monthly by day and with monthly totals within the following categories:

a. 7AM to 8:59PM Monday through Friday excluding holidays

b. 9PM to 6:59AM Monday through Friday excluding holidays

c. Weekends and all holidays

2.21.2.4 Photo Inquiry Response Time Monitoring Report

Total number of photo inquiry transactions responded to.

Number and percent of total photo inquiry transactions responded to in less than forty-five (45) seconds.

Number and percent of total photo inquiry transactions responded to in forty-five (45) seconds or more.

2.21.2.5 OTC Monthly Monitoring Summary Report

Provide a summary listing of the total number of OTC cards produced within and outside of the 45-minute turnaround time requirement by day of the month. For each day of the month include total number of cards produced, number and percentage of cards produced within 45 minutes and the number and percentage of cards produced in more than 45 minutes.

2.21.2.6 OTC Monthly Monitoring Detail Report

Provide a detailed listing of each OTC card produced outside of the 45-minute turnaround time requirement. For each card include date card produced, number of minutes of turnaround, CIN, card number, and OTC card production site.

2.21.2.7 Monthly Client Turnaround Report

Detailed listing of all client arrival records created as required in Section 2.5.2.2.

2.21.2.8 Monthly Network Downtime Report

Network down time must be reported monthly by day and with monthly totals. Details of each Network outage will include cause, the date/time of the beginning and ending of each instance of down time, and operational points effected. Network downtime is reported for both mailed card sites and the NYC OTC sites.

2.21.2.9 Monthly Client Arrival Summary Report

Daily total and monthly summary of the total number of OTC cards requested, number of OTC card referrals processed and number of OTC cards successfully produced.

2.21.2.10 Parameter File Report

Daily report listing general parameters, SSD parameters, and POC demographics as currently stored in the parameter files. Report to include the general parameters of purge period, OTC timeout, universal notice text and special notice text in one section, SSD parameters of district name, district number, POC email address, vault card delivery address and mailed card return address of district.

2.21.2.11 Daily Shredded OTC Card Log Report

Daily report of all OTC cards produced but not picked up by client and shredded at close of business. Report should include card number, OTC sites, date destroyed, reason destroyed and user id of person destroying card.

2.21.3 Ad Hoc Reporting

Contractor will supply an ad hoc reporting tool and access to the card database and Contractor database. Ad-Hoc tool will require the approval of the OTDA before system acceptance. Contractor will supply an Ad-Hoc Reporting manual and training to OTDA staff on the Ad Hoc Reporting System.

2.22 Color Photo and Signature Images Conversion

OTDA anticipates that approximately 11 million digitized color photos and 9 million signatures will be on file with the current CBIC Contractor by January of 2016. Within the work plan required in this RFP, Offerors must include details of the proposed mechanism to acquire and make this file usable in their environment.

The Contractor will be authorized access by the OTDA to the digitized photo/signature files maintained for the OTDA by the current CBIC Contractor.

Upon contract termination, the CBIC Contractor must cooperate with the OTDA and the new CBIC Contractor in moving the photo-signature database to the new Contractor and provide an initial load (a “conversion file”) including card history, SSD current return addresses, and other contents in the Administrative System. The Contractor will create and implement a conversion plan in cooperation with the new Contractor upon request for the OTDA.

2.23 Acceptance Testing

2.23.1 Acceptance and Stress Testing

After approval of the contract by the State’s Comptroller’s Office and prior to operational cutover, the Contractor must demonstrate the ability to satisfactorily complete the acceptance test. This acceptance test must be run in the production environment.

Testing must include the full functionality of all mailed card production, OTC card production and Administrative Systems processes for one week's duration. This includes both the primary and backup mailed card production facilities. During this week, the Contractor must provide the following for the total number of card request records processed through WMS production for the week. At a minimum, this shall include:

a. Initialization and load of the production photo/signature image file from thecurrent CBIC Contractor.

b. Maintenance of the photo/signature file with a production interface from theAFIS Contractor.

c. Acceptance of the manual load or systems transfer of return addresses,message texts, timeout values and purge values into the parameter files.

d. Receipt of production card request data from the OTDA for five consecutivebusiness days, 24 hours a day, seven days a week.

e. Real time response indicating receipt of card request data.

f. Daily runs of mailed and OTC CBIC production (photo and non-photointermixed) for five consecutive days coinciding with the receipt of theproduction card data.

g. Card mounting, stuffing, protective sleeve insertion and presorting formailed cards.

h. Photo/signature and Card History inquiry and printing via the AdministrativeSystem.

i. Responding to OTDA systems with affirmation of card production asoutlined in Section 2.20.3.2 of the SOW.

j. Card conformance with all ISO standards, as defined in Exhibit 15 (CardStandards). Magnetic stripe data and CAV calculation must be correct.

k. All graphics will be correct and legible. Photos and Signatures will beprinted on cards as specified in section 2.6.

In the event Contractor initially fails to successfully complete the acceptance test, the OTDA may provide a cure period, the duration of which will be solely at the discretion of the OTDA. Subsequent failure to complete the acceptance test will result in OTDA assessing the Letter of Credit for all incremental costs necessary to continue its current operations subsequent to the planned cutover date. In addition, OTDA reserves the right to award the contract to another Offeror if this acceptance test cannot be completed successfully.

2.23.2 Full Functionality of All OTC Processes will be Displayed

Contractor employees must be on site and trained. PCs shall be operational for all functionality. For both OTC sites, a complete walkthrough of all Contractor processes must take place using either the test or production systems. Processes displayed will include at a minimum:

a. Client arrival transactions;

b. Card registration and printing in production volumes, and within timeframescommitted to by Contractor; and

c. Retention and filing of all OTC records to include the scanning of redeemedreferral documents.

Separation of duties requirements must be adhered to.

2.23.3 Vault Cards

Full functionality of all vault card creation and inventory distribution for SSDs and New York City OTC sites must be demonstrated. Specifically, the following must be presented:

a. Card numbering must be correct;

b. CAV calculation must be correct;

c. Cards must conform to ISO standards, as defined in Exhibit 15 (CardStandards) and this SOW, and be found acceptable by an independenttesting service;

d. Physical characteristics of the cards must conform to ISO standards;

e. Inventory control processes must be acceptable to OTDA;

f. Shipping processes must be acceptable to OTDA; and

g. Personnel assigned to distribution must be adequate and acceptable toOTDA.

2.23.4 Certification

Following the acceptance test, it will be the Contractor's responsibility to provide independent certification that both the proposed CBICs and vault cards meet the ISO standards and the New York State durability standard as defined in Exhibit 15 (Card Standards), and contained in Section 2.2 of this SOW. This certification must be provided by a certified Card Testing facility experienced in full ISO testing of financial transaction cards, as approved by OTDA. Test results provided to the OTDA must be on original documents from the testing company and be accompanied by information adequate to allow the OTDA to independently contact the testers and verify the results. The Offeror’s instructions to the testing company must include a requirement that the tester transmit or mail the benchmark results directly to the OTDA upon completion. At its discretion, the OTDA will be free to communicate directly with any testing organization chosen.

Specific items that must be addressed in the certification include the following:

a. Electrical and Magnetic Characteristics of the Card that will guaranteereadability of the card in standard track 2 card readers. ISO 7811-6

b. Physical Characteristics of the Card that will guarantee reliability whenused in conjunction with card transport mechanisms used in ATM devices.The cards must be compatible with use in standard track 2 reading POSdevices and in ATM machines. ISO 7811-6

c. Physical Security of Cards that will guarantee resistance to tampering withtext or color photos printed on the cards.

d. Quality of Flat Graphics on the card that will guarantee that text printed onthe card is easily readable. Many transactions will take place using theprinted material on the front of the card for keying purposes.

e. All permanent plastic cards possess high coercivity magnetic mediacharacteristics. ISO 7811-6

f. The following tests will be conducted by the independent testingorganization:

i. All tests listed in Exhibit 15 (Card Standards) (ISO/IEC/ANSI StandardsDurability Standards INCITS 322:2015) according to card types aslisted.

2.23.5 Ongoing Quality Assurance

a. To ensure card conformance to ISO standards and NYS Standards as definedin Exhibit 15 (Card Standards), the Contractor will provide the OTDA with proofof ISO Standard Testing on a quarterly basis. See Exhibit 15 for required testparameters. Tests will be conducted by a 3rd party test facility TBD by theOTDA during contract implementation.

i. Tests will be conducted on six (6) of ten (10) randomly selected mailedcards and six (6) of ten (10) OTC cards produced on the productionhardware. For OTC cards, 5 randomly selected cards from each of thetwo (2) locations is required

ii. Upon Contractor receipt of each new vault card shipment, ten (10)randomly selected vault cards will be tested.

2.24 Project Staffing Requirements

Key Personnel are those positions that are critical and essential to the effective management and performance of the CBIC Project. It is essential that key positions are filled with qualified, experienced staff committed to the success of supporting the State’s mission critical applications. It is essential that there is stability of the staff chosen to fill the key positions.

In the event that the Offeror’s proposed Project Manager is not currently employed by the Offeror, or the proposed Subcontractor, the Offeror must provide Appendix K, Letter of Intent to Accept Employment – Key Staff.

Please note that for the period spanning from the proposal due date until an award has been announced, in the event that the Offeror’s proposed Project Manager identified within an Offeror’s proposal becomes unwilling or unable to participate under the terms of a resultant contract, the Offeror must formally notify OTDA within one business day of the time that the Offeror knew or should have known of the key personnel non-availability. Within five business days thereafter, the Offeror must then identify and substitute a replacement candidate with qualifications that are equal to or better than the original

candidate as determined at the sole discretion of the OTDA. Failure to meet either of these timelines will result in the Offeror’s disqualification from award consideration. The original candidate’s qualifications will remain the basis for proposal evaluation purposes

The Contractor must assign the key personnel identified to perform the services described throughout this RFP effective with the agreement start date and for the duration of the agreement, except in the cases of death, illness, disability, termination, or other severance of association, or extenuating personal circumstances, unless otherwise agreed upon by the OTDA. In the event it becomes necessary to replace key personnel during the term of this contract, the Contractor must:

a. Provide the OTDA with written notification of such replacement;

b. Provide the OTDA with documentation describing the circumstances of theneed for the replacement;

c. Provide a completed candidate experience and reference information for theproposed replacement personnel

d. Obtain prior written approval from the OTDA; and

e. If required for the position, present replacement candidate for interview.

The following staff are Key Personnel.

2.24.1 Project Manager

This individual will be responsible for the overall operation of the CBIC Project including mailed card production, OTC operations and vault card distribution. The Project Manager must be OTDA's primary contact for all operational, financial and administrative issues related to the CBIC Project. A detailed description of the qualifications of the Project Manager must be submitted to OTDA as part of the Offeror’s proposal. In addition, Offerors must submit to OTDA, as part of the proposal, a resume and a complete Appendix J – Key Personnel Experience and Reference Form to be used for evaluation purposes. Initially proposed and if required, possible replacement Project Manager(s) will be required to go through an interview process with the OTDA before acceptance.

Project Manager candidates must meet the following minimum mandatory qualifications:

a. Three years of supervisory experience in a card production environment;

b. Three years’ experience in the procuring or manufacturing of cardproduction hardware;

c. Three years’ experience in the operations and management of a debit, EBTor credit card issuance system, producing a minimum of 500,000 cards peryear.

d. Three years’ experience in the management of Subcontractors and theirstaff

2.24.2 Site Supervisors for OTC Sites

Each OTC site in New York City must have a Site Supervisor. These individuals must be responsible for supervising all Contractor staff on site and assuring that the day to day OTC operations run smoothly. Four (4) months prior to start of OTC Site Supervisor assumption of duties, the Contractor must submit to OTDA a resume for

OTC Site Supervisors. OTDA reserves the right to interview and approve OTC site supervisors.

Individuals proposed must meet the following minimum qualifications:

a. One-year operational experience where the principal activity requires face to face interaction with the general public; and,

b. Three years of supervisory experience managing multiple employees.

c. Experience in the following areas is highly desirable:

d. Computer literacy in dealing with minor maintenance issues (i.e. replacing printer cartridges, cooperating with “computer help desk” personal); and,

e. Experience with hardware and software systems utilized in debit/credit card production.

2.24.3 Mailed Card Production Manager

This individual is responsible for the overall mailed card operations. Four (4) months prior to the start of Mailed Card Production Manager’s assumption of duties, the Contractor must submit to OTDA a resume of the Mailed Card Production Manager. OTDA reserves the right to interview and approve the Mailed Card Production Manager.

Individuals proposed must meet the following minimum qualifications:

a. Three-years operational experience in bulk and volume mail operations using the USPS; and

b. Three-years of supervisory experience managing multiple employees.

c. Three-years managerial experience in a high volume, debit/credit card production environment.

d. Experience in the following areas is highly desirable:

e. One-year experience with the USPS’ regulations governing bulk and volume mail; and

f. Two-years’ experience with hardware and software systems utilized in debit/credit card production.

2.24.4 CBIC Technical Manager

The CBIC Project Technical Manager will be responsible for all the Contractor technical requirements on the CBIC project. The Technical Manager will work closely with the card Contractor’s Project Manager, the NY State CBIC Project manager and the State’s CBIC Technical Manager. The technical manager will be the single point of contact by NY State personnel for all issues directly related to technical operations, i.e. Network issues, database issues, hardware and software issues, etc.

It will be the Technical Manager’s responsibility:

a. To assure that all communications networks are properly installed and correctly configured. Includes, primary networks, back-up networks, HSRP

networks and all associated hardware and software used in the creation of said networks above.

b. All operational hardware and software, i.e. desktop card printers, referraldocument scanners, software applications for production of CBIC cards andsoftware related to CBIC communications networks. Manage theconversion and implementation process of the NY State CBIC databaseand associated Photos and Signatures. If database operations are beinghandled by a database group employed by the Contractor, the TechnicalManager will oversee the conversion and implementation process beingperformed.

Individuals proposed for Technical Manager must meet the following minimum qualifications:

Qualifications: 3 Years Minimum / 5 Years Preferred (verified experience) in

i. Designing, Building and Implementing communicationsnetworks, including Primary and back up communicationsnetworks.

ii. SOAP (Simple Object Access Protocol) and SOA (ServiceOriented Architecture) communications protocols

iii. Design and implementation of HSRP (Hot Standby RouterProtocol) back up networks.

iv. Design and implementation of VRRP (Virtual RouterRedundancy Protocol) protocols.

v. Design and implementation of SFTP (Secure File TransferProtocol) communication protocols

vi. 3-5 yrs. Experience in database configurations.vii. 3-5 yrs. Experience in the implementation of card production

hardware, to include, Desktop Card printers, High SpeedDocument Scanners, associated software.

viii. Experience in a card production environment managingtechnical operations. Mainly Over the Counter Card operations

ix. Ability to manage single or multiple Subcontractors performingtechnical work or providing services to the New York State CBICproject.

Four (4) months prior to the CBIC Technical Manager’s assumption of duties, the Contractor must submit to OTDA a resume of the proposed CBIC Technical Manager. OTDA reserves the right to interview and approve the CBIC Technical Manager.

2.25 Possible Future Development Activities

The Contractor must support the OTDA in pursuit of utilizing CBICs for additional State and Federal program benefits including, but not limited to, WIC (Special Supplemental Program for Women, Infants and Children), health care applications, childcare, child support, and unemployment insurance benefit payments.

In the event the OTDA elects to proceed with any such items or other related features, the Contractor must agree to negotiate in good faith toward developing a contract amendment, subject to New York State Office of the State Comptroller

approval, to include associated pricing, detailed development and design documents, and ultimately the implementation and support of these features

2.25.1 Smart Card Technology

a. Produce smart cards that also have financial standard magnetic stripes (Hybrid card);

b. Write data to the magnetic stripe and the smart chip during the same card production operation;

c. Support Health Insurance Portability and Accountability Act (HIPAA) requirements for securing data on smart card chips; and,

d. Provide stand alone and/or integrated devices for updating data on the chips.

DefinitionsStatewide Total Perm

CBIC Cards

Photo Cards

Signature - Cards

Non-Photo/Non Signature

Mailed

Vault Cards

NYC Over the Counter Cards

NOTEAuthorized

RepresentativeCBICS

Permanent CBIC cards are all plastic debit cards that are NOT vault cards. Permanent cards may have photos, signatures or neither on them.

Photo Cards are Permanent CBIC cards which have a photo on them. Signature Only cards are Permanent CBIC cards with just the signature printed on them.Due to reporting issues, "Signature Only" cards are listed for reference only. The totals displayed of Signature Only cards are already combined with Non Photo/Non Signature Mailed Card Totals. Non-Photo/Non-Signature cards are Permanent CBIC cards that have no photos and no signatures on them.

CBICs issued to Authorized Representatives (persons acting on behalf of recipients) average approximately 320 per month. The total volume in 2015/2016 (July 2015 to July 2016) was 3816 total Auth Rep Cards, of which 6.5% were issued Over The Counter, all the rest were mailed. Less than 10% of AR cards have signatures, and no Auth Rep cards have photos.

Over The Counter CBIC cards are permanent plastic CBICs that are produced on a "while you wait" basis in 2 locations in NYCity. They are produced identically to the Mailed cards in that there are Photo cards, Non Photo cards and Signature only cards. The average wait time is between 6 and 11 minutes.

Mailed cards are permanent CBIC cards that are mailed to recipients.

Vault cards are plastic debit cards that are pre-printed and pre-encoded with a card number but no client specific data. They are purchased in bulk and are used while clients await their permanent CBIC cards in the mail. Their usage is typically limited to 90 days. They are mostly used in Upstate districts and in the NYC OTC sites when the system is down.

Exhibit 1: Production Volumes

193,785 192,206 195,091 196,368

168,400

142,396

223,684

236,005

201,864 197,645

170,656

215,975

0

50000

100000

150000

200000

250000

July2015

Aug2015

Sept2015

Oct2015

Nov2015

Dec2015

Jan2016

Feb2016

March2016

April2016

May2016

June2016

2015-2016 CBIC Card Production Totals (All Cards) Monthly

Exhibit 1: Production Volumes

Month

Total Perm CBIC Cards (Mailed &

OTCMailed

Photo Cards

Signature Only Cards Reference

ONLY

Mailed Non-Photo/Non Signature

Total Mailed Vault Cards OTC Card Totals

OTC Photo Cards

OTC Non Photo Cards

July 2015 193,785 34,986 535 132,763 168,284 21,609 25,501 20,667 4,834

Aug 2015 192,206 34,607 439 131,826 166,872 20,180 25,334 20,461 4,873

Sept 2015 195,091 35,502 478 133,679 169,659 20,884 25,432 20,540 4,892

Oct 2015 196,368 35,296 509 136,231 172,036 20,216 24,332 19,547 4,785

Nov 2015 168,400 31,814 461 113,699 145,974 19,016 22,426 18,241 4,185

Dec 2015 142,396 34,151 572 83,870 118,593 21,076 23,803 19,216 4,587

Jan 2016 223,684 34,484 471 167,451 202,406 19,635 21,278 17,126 4,152

Feb 2016 236,005 33,598 464 180,620 214,682 17,943 21,323 17,144 4,179

March 2016 201,864 34,592 470 142,120 177,182 20,139 24,682 19,859 4,823

April 2016 197,645 34,066 465 139,903 174,434 18,533 23,211 18,840 4,371

May 2016 170,656 36,575 171 109,837 146,583 18,956 24,073 19,672 4,401

June 2016 215,975 35,546 500 153,884 189,930 20,400 26,045 21,297 4,748

TOTAL 2,334,075 415,217 5,535 1,625,883 2,046,635 238,587 287,440 232,610 54,830

Highest 3 month Total Card Average

225,221 202,339 25,659

EXHIBIT 1PRODUCTION VOLUMES - July 2015 through June 2016

Highest 3 Month Mailed Card Average

Highest 3 Month OTC Card Average

Monthly Card Averages

District Number District Name Address To: Address City State Zip/Zip+4

2 Char. 25 Character Field 50 Character field 35 Character field 20 Character field 2 char. 9 CharactersNumeric Alpha/Numeric Alpha/Numeric Alpha/Numeric Alpha Alpha Numeric

Mailed Cards Return Address File

Data required to populate this table will be provided by OTDA during system build out.

Exhibit 2

Page 1 Totals

Page 2 Hourly Peaks

Dated Pages 05/02/2016 thru

05/31/2016

Exhibit 3: OTC Card Volume Information 05/2016Table of Contents and Legend

Shows the daily totals of card production as well as the monthly production volume at the 2 OTC sites for May 2016Shows the highest hourly processing per site/per day and the highest hourly combined total of both OTC sites

Shows the daily card production by site and daily operating hours of the sites. Shows the highest daily hourly count per site, the daily overall hourly averages per site and the highest daily production hour per site for the month listed.

TotalsDay Manhattan OTC Brooklyn OTC Total OTC Daily

05/01/16 0 0 005/02/16 583 786 1,36905/03/16 613 499 1,11205/04/16 635 515 1,15005/05/16 621 464 1,08505/06/16 656 493 1,14905/07/16 0 0 005/08/16 0 0 005/09/16 878 730 1,60805/10/16 722 582 1,30405/11/16 697 516 1,21305/12/16 613 514 1,12705/13/16 600 458 1,05805/14/16 0 0 005/15/16 0 0 005/16/16 746 626 1,37205/17/16 634 463 1,09705/18/16 573 425 99805/19/16 524 405 92905/20/16 552 432 98405/21/16 0 0 005/22/16 0 0 005/23/16 670 523 1,19305/24/16 518 429 94705/25/16 547 477 1,02405/26/16 480 461 94105/27/16 553 457 1,01005/28/16 0 0 005/29/16 0 0 005/30/16 0 0 005/31/16 716 594 1,310

Manhattan OTC Brooklyn OTC Totals 13,131 10,849

21 Day Avg (Per day) 625 51723,980

EXHIBIT 3: OTC CARD VOLUME INFORMATION Non Processing days marked in RED

Monthly OTC Total Production 05/2016

Day Hourly High Counts Hourly High CountsProduction Manhattan Production Brooklyn

05/01/1605/02/16 120 8005/03/16 80 8105/04/16 86 6905/05/16 9705/06/16 8705/07/1605/08/1605/09/16 119 10305/10/16 90 7805/11/16 10405/12/16 9105/13/16 11105/14/1605/15/1605/16/1605/17/1605/18/16 7105/19/16 6805/20/16 7105/21/1605/22/1605/23/1605/24/1605/25/16 7805/26/16 6905/27/16 7705/28/1605/29/1605/30/1605/31/16 92 87

325

8980

No-Processing

626258

No-Processing

11075

No-Processing

No-Processing

196

No-Processing

133146

No-Processing

6474

No-ProcessingNo-Processing

8671

756869

No-ProcessingNo-Processing

No-Processing

144

Manhattan (per hour)

10170

8460

No-Processing No-Processing

626667

No-ProcessingNo-ProcessingNo-Processing

EXHIBIT 3: OTC CARD VOLUME INFORMATION

High Peak Hourly Total (Both OTC Sites)

No-Processing185130

No-Processing

Total Card production

No-ProcessingNo-Processing

254

No-Processing

No-Processing

161

242224

325

No-ProcessingNo-Processing

No-ProcessingNo-Processing

No-Processing

Hourly Totals based on peak counts

Brooklyn (per hour)

Avg Peak Hourly Processing

280

179

161

No-ProcessingNo-Processing

No-Processing

227180

130129

246

140135

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals2-May 8-9AM 27 26 532-May 9-10AM 54 44 982-May 10-11AM 96 73 1692-May 11A-12N 81 71 1522-May 12-1PM 120 80 2002-May 1-2PM 88 70 1582-May 2-3PM 81 63 1442-May 3-4PM 85 59 1442-May 4-5PM 85 49 1342-May 5-6PM 46 30 762-May 6-7PM 21 17 382-May 7-8PM 2 1 3

TotalsManhattan Brooklyn Total Both Sites

786 583 1369

Manhattan Brooklyn12-1PM 12-1PM

120 8066 49

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Hourly High Peak Hour

Hourly Avg.

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals3-May 8-9AM 17 23 403-May 9-10AM 46 41 873-May 10-11AM 80 61 1413-May 11A-12N 73 81 1543-May 12-1PM 60 63 1233-May 1-2PM 80 48 1283-May 2-3PM 67 50 1173-May 3-4PM 55 55 1103-May 4-5PM 66 34 1003-May 5-6PM 40 29 693-May 6-7PM 26 12 383-May 7-8PM 3 2 5

TotalsManhattan Brooklyn Total Both Sites

613 499 1,112

Manhattan Brooklyn1-2PM 11A-12N

80 8151 42

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Peak HourHourly High Total

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals4-May 8-9AM 17 21 384-May 9-10AM 59 41 1004-May 10-11AM 60 61 1214-May 11A-12N 83 69 1524-May 12-1PM 74 69 1434-May 1-2PM 86 52 1384-May 2-3PM 67 68 1354-May 3-4PM 64 43 1074-May 4-5PM 57 55 1124-May 5-6PM 40 24 644-May 6-7PM 25 9 344-May 7-8PM 3 3 6

TotalsManhattan Brooklyn Total Both Sites

635 515 1150

Manhattan Brooklyn1-2PM 11A-12N

86 6953 43

Peak HourHourly High Total

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals5-May 8-9AM 25 20 455-May 9-10AM 31 34 655-May 10-11AM 72 48 1205-May 11A-12N 76 64 1405-May 12-1PM 71 43 1145-May 1-2PM 97 59 1565-May 2-3PM 63 56 1195-May 3-4PM 57 58 1155-May 4-5PM 63 42 1055-May 5-6PM 43 25 685-May 6-7PM 21 12 335-May 7-8PM 2 3 5

TotalsManhattan Brooklyn Total Both Sites

621 464 1085

Manhattan Brooklyn1-2PM 11A-12N

97 6452 39

Hourly High TotalAvg. Hourly

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Peak Hour

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals6-May 8-9AM 15 18 336-May 9-10AM 38 20 586-May 10-11AM 63 41 1046-May 11A-12N 69 51 1206-May 12-1PM 79 43 1226-May 1-2PM 87 74 1616-May 2-3PM 65 47 1126-May 3-4PM 70 74 1446-May 4-5PM 80 64 1446-May 5-6PM 58 39 976-May 6-7PM 24 17 416-May 7-8PM 8 5 13

TotalsManhattan Brooklyn Total Both Sites

656 493 1149

Manhattan Brooklyn1-2PM 1-2PM

87 7455 41Avg. Hourly

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals7-May 8-9AM 07-May 9-10AM 07-May 10-11AM 07-May 11A-12N 07-May 12-1PM 07-May 1-2PM 07-May 2-3PM 07-May 3-4PM 07-May 4-5PM 07-May 5-6PM 07-May 6-7PM 07-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn

Avg. Hourly

Peak HourHourly High Total

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals8-May 8-9AM 08-May 9-10AM 08-May 10-11AM 08-May 11A-12N 08-May 12-1PM 08-May 1-2PM 08-May 2-3PM 08-May 3-4PM 08-May 4-5PM 08-May 5-6PM 08-May 6-7PM 08-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn

Avg. Hourly

Peak HourHourly High Total

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals9-May 8-9AM 33 26 599-May 9-10AM 74 61 1359-May 10-11AM 71 71 1429-May 11A-12N 117 103 2209-May 12-1PM 105 87 1929-May 1-2PM 119 80 1999-May 2-3PM 102 73 1759-May 3-4PM 68 84 1529-May 4-5PM 97 85 1829-May 5-6PM 55 37 929-May 6-7PM 31 20 519-May 7-8PM 6 3 9

TotalsManhattan Brooklyn Total Both Sites

878 730 1608

Manhattan Brooklyn1-2PM 11A-12N

119 10373 61

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals10-May 8-9AM 26 19 4510-May 9-10AM 49 41 9010-May 10-11AM 82 62 14410-May 11A-12N 90 71 16110-May 12-1PM 73 78 15110-May 1-2PM 90 73 16310-May 2-3PM 90 78 16810-May 3-4PM 66 62 12810-May 4-5PM 67 52 11910-May 5-6PM 51 30 8110-May 6-7PM 31 13 4410-May 7-8PM 7 3 10

TotalsManhattan Brooklyn Total Both Sites

722 582 1304

Manhattan Brooklyn11A-12N 12-1PM

90 7860 49

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals11-May 8-9AM 25 17 4211-May 9-10AM 46 42 8811-May 10-11AM 64 53 11711-May 11A-12N 99 61 16011-May 12-1PM 82 75 15711-May 1-2PM 69 63 13211-May 2-3PM 104 47 15111-May 3-4PM 60 61 12111-May 4-5PM 75 36 11111-May 5-6PM 43 42 8511-May 6-7PM 23 14 3711-May 7-8PM 7 5 12

TotalsManhattan Brooklyn Total Both Sites

697 516 1213

Manhattan Brooklyn2-3PM 12-1PM

104 7558 43

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals12-May 8-9AM 25 19 4412-May 9-10AM 46 58 10412-May 10-11AM 67 54 12112-May 11A-12N 91 53 14412-May 12-1PM 71 68 13912-May 1-2PM 76 63 13912-May 2-3PM 56 61 11712-May 3-4PM 56 60 11612-May 4-5PM 66 39 10512-May 5-6PM 28 24 5212-May 6-7PM 26 15 4112-May 7-8PM 5 0 5

TotalsManhattan Brooklyn Total Both Sites

613 514 1127

Manhattan Brooklyn11A-12N 12-1PM

91 6851 43

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals13-May 8-9AM 17 18 3513-May 9-10AM 34 36 7013-May 10-11AM 66 46 11213-May 11A-12N 111 69 18013-May 12-1PM 68 49 11713-May 1-2PM 68 51 11913-May 2-3PM 62 50 11213-May 3-4PM 58 43 10113-May 4-5PM 52 50 10213-May 5-6PM 39 23 6213-May 6-7PM 23 19 4213-May 7-8PM 2 4 6

TotalsManhattan Brooklyn Total Both Sites

600 458 1058

Manhattan Brooklyn11A-12N 11A-12N

111 6950 38

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals14-May 8-9AM 014-May 9-10AM 014-May 10-11AM 014-May 11A-12N 014-May 12-1PM 014-May 1-2PM 014-May 2-3PM 014-May 3-4PM 014-May 4-5PM 014-May 5-6PM 014-May 6-7PM 014-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn12N to 1PM 12N to 1PM

0 0

No ProcessingNo ProcessingNo Processing

No Processing

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals15-May 8-9AM 015-May 9-10AM 015-May 10-11AM 015-May 11A-12N 015-May 12-1PM 015-May 1-2PM 015-May 2-3PM 015-May 3-4PM 015-May 4-5PM 015-May 5-6PM 015-May 6-7PM 015-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn12N to 1PM 12N to 1PM

0 0

No ProcessingNo ProcessingNo Processing

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals16-May 8-9AM 30 18 4816-May 9-10AM 62 54 11616-May 10-11AM 81 77 15816-May 11A-12N 98 86 18416-May 12-1PM 65 67 13216-May 1-2PM 110 81 19116-May 2-3PM 70 79 14916-May 3-4PM 63 64 12716-May 4-5PM 66 45 11116-May 5-6PM 57 37 9416-May 6-7PM 40 13 5316-May 7-8PM 4 5 9

TotalsManhattan Brooklyn Total Both Sites

746 626 1372

Manhattan Brooklyn1-2PM 11A-12N

110 8662 52

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals17-May 8-9AM 19 10 2917-May 9-10AM 51 40 9117-May 10-11AM 75 71 14617-May 11A-12N 69 67 13617-May 12-1PM 72 50 12217-May 1-2PM 75 70 14517-May 2-3PM 73 35 10817-May 3-4PM 66 37 10317-May 4-5PM 60 40 10017-May 5-6PM 45 30 7517-May 6-7PM 24 12 3617-May 7-8PM 5 1 6

TotalsManhattan Brooklyn Total Both Sites

634 463 1097

Manhattan Brooklyn1-2PM 10-11AM

75 7153 39

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Avg. Hourly

Peak HourHourly High Total

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals18-May 8-9AM 16 18 3418-May 9-10AM 47 37 8418-May 10-11AM 57 58 11518-May 11A-12N 62 62 12418-May 12-1PM 71 41 11218-May 1-2PM 73 46 11918-May 2-3PM 68 47 11518-May 3-4PM 64 39 10318-May 4-5PM 53 38 9118-May 5-6PM 32 22 5418-May 6-7PM 28 12 4018-May 7-8PM 2 5 7

TotalsManhattan Brooklyn Total Both Sites

573 425 998

Manhattan Brooklyn12-1PM 11A-12N

71 6248 35

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals19-May 8-9AM 16 7 2319-May 9-10AM 45 32 7719-May 10-11AM 49 49 9819-May 11A-12N 61 43 10419-May 12-1PM 60 62 12219-May 1-2PM 54 47 10119-May 2-3PM 64 45 10919-May 3-4PM 68 46 11419-May 4-5PM 47 35 8219-May 5-6PM 39 18 5719-May 6-7PM 17 18 3519-May 7-8PM 4 3 7

TotalsManhattan Brooklyn Total Both Sites

524 405 929

Manhattan Brooklyn3-4 12-168 6244 34

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals20-May 8-9AM 11 13 2420-May 9-10AM 44 32 7620-May 10-11AM 62 58 12020-May 11A-12N 53 55 10820-May 12-1PM 58 46 10420-May 1-2PM 69 54 12320-May 2-3PM 71 45 11620-May 3-4PM 56 40 9620-May 4-5PM 47 38 8520-May 5-6PM 54 28 8220-May 6-7PM 25 21 4620-May 7-8PM 2 2 4

TotalsManhattan Brooklyn Total Both Sites

552 432 984

Manhattan Brooklyn2-3 10-1171 5846 36

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Total Cards Produced

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals21-May 8-9AM 021-May 9-10AM 021-May 10-11AM 021-May 11A-12N 021-May 12-1PM 021-May 1-2PM 021-May 2-3PM 021-May 3-4PM 021-May 4-5PM 021-May 5-6PM 021-May 6-7PM 021-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn

0 0

EXHIBIT 3: OTC CARD VOLUME INFORMATION

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Hourly High TotalAvg. Hourly

Total Cards Produced

Peak Hour

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals22-May 8-9AM 022-May 9-10AM 022-May 10-11AM 022-May 11A-12N 022-May 12-1PM 022-May 1-2PM 022-May 2-3PM 022-May 3-4PM 022-May 4-5PM 022-May 5-6PM 022-May 6-7PM 022-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn

0 0

EXHIBIT 3: OTC CARD VOLUME INFORMATION

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Hourly High TotalAvg. Hourly

Total Cards Produced

Peak Hour

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals23-May 8-9AM 24 19 4323-May 9-10AM 49 41 9023-May 10-11AM 62 76 13823-May 11A-12N 101 84 18523-May 12-1PM 75 58 13323-May 1-2PM 93 42 13523-May 2-3PM 72 64 13623-May 3-4PM 75 52 12723-May 4-5PM 44 45 8923-May 5-6PM 41 22 6323-May 6-7PM 32 17 4923-May 7-8PM 2 3 5

TotalsManhattan Brooklyn Total Both Sites

670 523 1193

Manhattan Brooklyn11-12 11-12101 8456 44

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Total Cards Produced

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals24-May 8-9AM 17 11 2824-May 9-10AM 36 34 7024-May 10-11AM 50 43 9324-May 11A-12N 60 60 12024-May 12-1PM 70 50 12024-May 1-2PM 69 54 12324-May 2-3PM 54 57 11124-May 3-4PM 50 51 10124-May 4-5PM 53 21 7424-May 5-6PM 35 28 6324-May 6-7PM 20 18 3824-May 7-8PM 4 2 6

TotalsManhattan Brooklyn Total Both Sites

518 429 947

Manhattan Brooklyn12-1PM 11A-12N

70 6043 36

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Total Cards Produced

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals25-May 8-9AM 24 19 4325-May 9-10AM 46 44 9025-May 10-11AM 50 45 9525-May 11A-12N 78 61 13925-May 12-1PM 52 49 10125-May 1-2PM 79 57 13625-May 2-3PM 50 47 9725-May 3-4PM 49 51 10025-May 4-5PM 49 62 11125-May 5-6PM 40 20 6025-May 6-7PM 27 20 4725-May 7-8PM 3 2 5

TotalsManhattan Brooklyn Total Both Sites

547 477 1024

Manhattan Brooklyn11A-12N 4-5PM

78 6246 40

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals26-May 8-9AM 17 17 3426-May 9-10AM 23 44 6726-May 10-11AM 53 58 11126-May 11A-12N 69 66 13526-May 12-1PM 63 59 12226-May 1-2PM 44 49 9326-May 2-3PM 53 50 10326-May 3-4PM 45 45 9026-May 4-5PM 49 49 9826-May 5-6PM 31 10 4126-May 6-7PM 19 12 3126-May 7-8PM 14 2 16

TotalsManhattan Brooklyn Total Both Sites

480 461 941

Manhattan Brooklyn11A-12N 11A-12N

69 6640 38

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals27-May 8-9AM 18 14 3227-May 9-10AM 28 40 6827-May 10-11AM 61 53 11427-May 11A-12N 66 53 11927-May 12-1PM 62 67 12927-May 1-2PM 63 60 12327-May 2-3PM 77 36 11327-May 3-4PM 60 46 10627-May 4-5PM 56 47 10327-May 5-6PM 32 29 6127-May 6-7PM 25 10 3527-May 7-8PM 5 2 7

TotalsManhattan Brooklyn Total Both Sites

553 457 1010

Manhattan Brooklyn2-3PM 12-1PM

77 6746 38

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

Total Cards Produced

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals28-May 8-9AM 028-May 9-10AM 028-May 10-11AM 028-May 11A-12N 028-May 12-1PM 028-May 1-2PM 028-May 2-3PM 028-May 3-4PM 028-May 4-5PM 028-May 5-6PM 028-May 6-7PM 028-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn12N to 1PM 12N to 1PM

0 0Hourly High Total

Avg. Hourly

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Peak Hour

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals29-May 8-9AM 029-May 9-10AM 029-May 10-11AM 029-May 11A-12N 029-May 12-1PM 029-May 1-2PM 029-May 2-3PM 029-May 3-4PM 029-May 4-5PM 029-May 5-6PM 029-May 6-7PM 029-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn12N to 1PM 12N to 1PM

0 0Hourly High Total

Avg. Hourly

Total Cards Produced

EXHIBIT 3: OTC CARD VOLUME INFORMATION

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Peak Hour

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals30-May 8-9AM 030-May 9-10AM 030-May 10-11AM 030-May 11A-12N 030-May 12-1PM 030-May 1-2PM 030-May 2-3PM 030-May 3-4PM 030-May 4-5PM 030-May 5-6PM 030-May 6-7PM 030-May 7-8PM 0

TotalsManhattan Brooklyn Total Both Sites

0 0 0

Manhattan Brooklyn12N to 1PM 12N to 1PM

0 0

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Peak HourHourly High Total

Avg. Hourly

No ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo ProcessingNo Processing

Total Cards Produced

Day Time By Op. Hour Manhattan Brooklyn Hourly Totals31-May 8-9AM 38 18 5631-May 9-10AM 69 61 13031-May 10-11AM 75 79 15431-May 11A-12N 92 65 15731-May 12-1PM 75 87 16231-May 1-2PM 81 64 14531-May 2-3PM 77 49 12631-May 3-4PM 70 74 14431-May 4-5PM 69 46 11531-May 5-6PM 39 32 7131-May 6-7PM 29 18 4731-May 7-8PM 2 1 3

TotalsManhattan Brooklyn Total Both Sites

716 594 1310

Manhattan Brooklyn11A-12N 12-1PM

92 8760 50

EXHIBIT 3: OTC CARD VOLUME INFORMATION

Total Cards Produced

Peak HourHourly High Total

Avg. Hourly

Exhibit 4

Date Mailed Photo Cards Mailed Non-Photo Cards OTC Photo OTC Non Photo TotalsDaily Count Daily Count Daily Count Daily Count Daily Count

5/1/20165/2/2016 1403 5168 1125 242 79385/3/2016 181 203 921 192 14975/4/2016 2,051 4,807 963 186 80075/5/2016 1,437 8,430 896 187 109505/6/2016 1,710 6,958 970 177 98155/7/2016 1345 5225 65705/8/20165/9/2016 1784 5784 1365 241 9174

5/10/2016 222 78 1070 231 16015/11/2016 2,129 5,914 998 215 92565/12/2016 1,437 6,027 929 198 85915/13/2016 1,710 7,219 867 191 99875/14/2016 1169 5281 64505/15/2016 0 6000 60005/16/2016 1606 1046 1117 255 40245/17/2016 249 353 890 205 16975/18/2016 1,672 3,621 796 201 62905/19/2016 1,373 3,833 737 192 61355/20/2016 1,414 7,374 810 174 97725/21/2016 1091 0 10915/22/20165/23/2016 1498 3331 973 220 60225/24/2016 192 422 780 167 15615/25/2016 5,663 5,193 837 187 118805/26/2016 1,197 3,424 753 188 55625/27/2016 1,423 4,259 801 209 66925/28/2016 1013 3194 42075/29/20165/30/20165/31/2016 1610 6675 1070 240 9595

170,364Totals Card Production May 2016 -------------------------------------

Card Production Verification Report May 2016

/////////////////////////////Sunday (No Processing) /////////////////////////////////

/////////////////////////////Sunday (No Processing) /////////////////////////////////

/////////////////////////////Sunday (No Processing) /////////////////////////////////

/////////////////////////////Holiday (No Processing) //////////////////////////////////////////////////////////////Sunday (No Processing) /////////////////////////////////

Saturday (No Processing)

Saturday (No Processing) Sunday (No Processing)

Saturday (No Processing)

Saturday (No Processing)

EXHIBIT 5

IMAGES OF CLIENT CBIC, AUTHORIZED REPRESENTATIVE CBIC And VAULT CARD

Client Card (No Photo/Signature)

Front Back

Client Card (Photo/Signature)

Front Back

Exhibit 5: Images of New York State CBICs

Authorized Representative Card

Front Back

Vault Card

Front Back

NYS OTDA AFIS CBIC Interface Control Document, v5.0 1RELEASE 04/01/2016

1 Introduction

The OTDA AFIS is linked with the Common Benefit Identification Card (CBIC) production system, allowing photos and signatures acquired during the AFIS enrollment process to be transmitted through the OTDA AFIS web services server directly to the CBIC contractor for use in benefit card production. These photo and signature images are prepared for transmittal from the AFIS web services server to the CBIC contractor at the same time the associated full enrollment transactions are submitted to the AFIS workflow manager and backend processes, eliminating any processing latency associated with the finger image matching process. In addition to standard AFIS enrollment transactions, AFIS workstations acquire and transmit photo and signatures images for applicant/recipients who are not required to be finger imaged. The enrollments are referred to as CBIC-only enrollments. These images are also queued on the OTDA AFIS web services server for subsequent transmission to the card production system, but these particular images are not included as part of the AFIS search database. Currently, CBIC-only records are maintained in the OTDA AFIS database for 365 days.

This Interface Control Document details the methods and specifications used to transfer image data between the OTDA AFIS and the CBIC production system. In general, these are made up of the real-time interface, a simple daily batch list interface, business rules, and reporting requirements.

1.1 Background

The goal of the OTDA AFIS to CBIC interface is to fulfill the following conditions:

1) Transmit all contractually required photo images, signature images anddemographic data from the OTDA AFIS to the CBIC production system.

2) Conduct the transmission in a non-proprietary open protocol and format, usingstandard Simple Object Access Protocol (SOAP). To preserve the integrity ofsensitive data, transmissions will utilize HTTPS (TCP Port 4567) protocol.

3) Perform the transmission, error checking, and any required re-transmissions in anautomated and immediate fashion, as applicant/recipient records are generated.CBIC-bound records will be continuously queued for transmittal, atapproximately the same time of entry into the OTDA AFIS backend database.

4) Provide the mechanism in which reports can be generated detailing what/whenrecords were sent by the OTDA AFIS and what/when records were received bythe CBIC system.

Exhibit 6: AFIS - CBIC Interface Control Document

NYS OTDA AFIS CBIC Interface Control Document, v5.0 2RELEASE 04/01/2016

The following is a high-level illustration of the physical entities connected through common the New York State Office of Information Technology Services (ITS) Human Services Enterprise Network (HSEN) meshed network services:

The interface consists of a CBIC web server acting as “host” – residing on the CBIC production system to receive and process SOAP/XML transactions from the OTDA AFIS and record response codes. The OTDA backend system will act as the “client” to aggregate (and convert) the CBIC-specific AFIS images and demographics for each applicant/recipient and transmit them to the CBIC web server as SOAP/XML transactions, while also recording response codes. All client data used for this process will originate from OTDA AFIS workstations; and the movement of that data will be a continuous flow, rather than being subject to a periodic batch process.

[Material redacted.] A daily summary of all processing at the CBIC server is provided to the AFIS for subsequent administrative audit and reconciliation.

The following cross-functional flowchart is a high-level illustration of the required AFIS and CBIC collaboration:

NYS OTDA AFIS CBIC Interface Control Document, v5.0 3RELEASE 04/01/2016

OTDA AFIS workstations transmit records which are routed to the CBIC interface whenever there is:

• An AFIS Enrollment transaction.

• A CBIC Only transaction. A CBIC Only transaction is a recordcontaining CBIC only data, which does not participate in the normalOTDA AFIS workflow.

• An alpha update that changes a record’s CIN or ARN.

• An image update that includes the photo or signature. A SOAP/XMLtransaction is then generated at the AFIS backend for each uniqueCIN/ARN for the program in which that recipient participates.

• An AFIS operator clicks the “CBIC” toolbar button after a successfulrecord retrieval. A SOAP/XML transaction is then generated for eachunique CIN/ARN for the program in which that recipient participates.

NYS OTDA AFIS CBIC Interface Control Document, v5.0 4RELEASE 04/01/2016

One aspect of maintaining the legacy card production process is a requirement to support the PCX binary format for signature images. 3M Cogent provides a conversion module to translate the JPEG signature image into PCX format solely for CBIC transmittal.

2 CBIC Real-Time Interface Specification

The 3M Cogent implementation of the OTDA AFIS supports the direct external interface to the HSEN network and the CBIC production system. By mutual arrangement between OTDA, ITS, and the CBIC contractor, 3M Cogent will utilize a SOAP interface published on the CBIC web service. This will serve as the real-time interface between the OTDA AFIS and the CBIC production system.

From the W3C specification:

SOAP is a lightweight protocol for exchange of information in a decentralized, distributed environment. It is an XML based protocol that consists of three parts: an envelope that defines a framework for describing what is in a message and how to process it, a set of encoding rules for expressing instances of application-defined datatypes, and a convention for representing remote procedure calls and responses.

Physically, the communication between the AFIS and the CBIC system flows over the NYS HSEN network, administered by ITS. Devices connected to this network are required to adhere to ITS standards of operation and security. Both the AFIS and CBIC local area networks (LAN) run TCP/IP communications over Ethernet connections. 3M Cogent in Williamsburg, Virginia is the contractor responsible for the CBIC production system; 3M Cogent in Latham, New York is the contractor hosting the OTDA AFIS.

2.1 AFIS-to-CBIC Transaction Queuing

Residing on the OTDA AFIS backend database, there is an Oracle table called [Material redacted], used to track queued CBIC request transactions. The record layout of this table is as follows:

Column Name Data type Description

seq_num numeric (9) Table identity column. client_id char (10) Either the ARN with length=10 or the CIN with length=8. destination char (4) Currently always the string: “CBIC” entered datetime Date and time the record was queued to this table. origin smallint Workstation id (ws_id) where this record originated. status tinyint 0 = initial state; ready for transmittal (see separate status table).

NYS OTDA AFIS CBIC Interface Control Document, v5.0 5RELEASE 04/01/2016

Column Name Data type Description

transfered datetime Date and time the record was transmitted to CBIC server. type smallint 1 = AFIS record; 2 = CBIC-Only record tcn char (12) Primary key used to access records in AFIS database. resend tinyint Count of resend attempts of a “not OK” response.

The status table for [Material redacted] is provided here:

Status Description

1 Success 2* Processing failure (no record found) 9 Invalid Auth. Rep. Name 16 Invalid District Code 23 Invalid ARN or CIN

102 Database integrity error (internal database error on CBIC side) 104 No images present 105 Invalid enrollment type 106 Invalid tcn 107 Invalid workstation id (ws_id) 109 Image Hash value problem

*This is the only status code set by the OTDA AFIS web service. The CBIC Web Serverreturns all other codes after processing the initial request.

2.2 CBIC Web Service

The CBIC web service resides within the CBIC production system, with the responsibility to receive and process the SOAP/XML transactions queued by the AFIS Oracle [Material redacted] table. The following data elements exist in the logical field layout of each transaction request record:

NAME SIZE TYPE DESCRIPTION

cin 8 string Client Identification Number. [If this parameter is non-null, then ARN must be null.]

arn 10 string Applicant/Reg. Line Number. [If this parameter is non-null then CIN must be null. Used for enrollment types CCLI and CNFF only.]

NYS OTDA AFIS CBIC Interface Control Document, v5.0 6RELEASE 04/01/2016

NAME SIZE TYPE DESCRIPTION

enrollmentType 4 string CCLI = Applicant/Recipient CAUT = Authorized Representative. CNFF = Non Face-to-Face (Scanned signature) ANFF = Auth. Rep. Non Face-to-Face

tcn * 12 string Primary key for the record on the OTDA AFIS. Not required for CBIC production but provides traceability back to the OTDA AFIS.

district 2 string Specifies the county/district that owns this record. Two-character string representing the values 0 – 99.

operator 13 string Login name of enrolling operator. Field size allows maximum of 13 characters; no need to provide leading or trailing blanks.

enrollDate 14 string Date/Time stamp of enrollment or last update. YYYY-MM-DD HH:MM:SS.FFFFFFFFF

authRepLastname 17 string Authorized Representative’s Last Name

authRepFirstname 10 string Authorized Representative’s First Name

authRepMiddle 1 string Authorized Representative’s Middle Initial

ws_id 3 integer Enrollment workstation id. Numeric values ranging from 1 – 999. NOTE: Only numeric values 725 – 999 are available during the phased implementation.

testRecord boolean true = data record is a test record. (Do not use in production. false = production data.

photo base64Binary photo in JPEG format

signature base64Binary signature in PCX format

* This field actually maps to the xlpin field in the CBIC contractor’s schema.

2.3 CBIC Web Retransmission

If there is a need for CBIC retransmission from a Records Management screen (as opposed to a normal enrollment), the transmitting operator, the retransmit date/time stamp, and the transmitting workstation name will be sent through the Oracle [Material redacted] along with the other transaction data. The following field layout has the same dimensions as the normal Web Service; only those three (3) field names are different:

NYS OTDA AFIS CBIC Interface Control Document, v5.0 7RELEASE 04/01/2016

NAME SIZE TYPE DESCRIPTION

cin 8 string Client Identification Number. [If this parameter is non-null, then ARN must be null.]

arn 10 string Applicant/Reg. Line Number. [If this parameter is non-null then CIN must be null. Used for enrollment types CCLI and CNFF only.]

enrollmentType 4 string CCLI = Applicant/Recipient CAUT = Authorized Representative. CNFF = Non Face-to-Face (Scanned signature) ANFF = Auth. Rep. Non Face-to-Face

tcn * 12 string Primary key for the record on the OTDA AFIS. Not required for CBIC production but provides traceability back to the OTDA AFIS.

district 2 string Specifies the county/district that owns this record. Two-character string representing the values 0 – 99.

transmit_operator 13 string Login name of transmitting operator. Field size allows maximum of 13 characters; no need to provide leading or trailing blanks.

retransmitDate 14 string Date/Time stamp of retransmission or last update. MMDDCCYYHHMMSS

authRepLastname 17 string Authorized Representative’s Last Name

authRepFirstname 10 string Authorized Representative’s First Name

authRepMiddle 1 string Authorized Representative’s Middle Initial

retrans_ws_id 3 integer Retransmit workstation id. Numeric values ranging from 1 – 999. NOTE: Only numeric values 725 – 999 are available during the phased implementation.

testRecord boolean true = data record is a test record. (Do not use in production. false = production data.

photo base64Binary photo in JPEG format

signature base64Binary signature in PCX format

Capturing this information is important for documented transaction history that is tracked in the AFIS Record History Report, which will show when a card transmission is requested, the operator and workstation that submitted the retransmission, and when the retransmission was acknowledged by the CBIC system. The TCN field will link internally to the Case Type of the AFIS transaction, which will be used to track CBIC-Only records versus AFIS records sent to CBIC.

NYS OTDA AFIS CBIC Interface Control Document, v5.0 8 RELEASE 04/01/2016

Once the AFIS transaction is acknowledged as received by the CBIC contractor, the table record will be flagged for deletion during an overnight purge process.

2.4 Simple Object Access Protocol - WSDL The CBIC web service publishes a WSDL interface used by the OTDA AFIS to create SOAP/XML transactions composed of client data acquired during enrollment or update. These transactions are queued directly to the CBIC web server and card production system. The SOAP method to implement the AFIS-to-CBIC online interface is documented in the WSDL file located on the CBIC web server, listed as follows: [WSDL redacted.] Note: With respect to AFIS-to-CBIC communications, only two (2) operations listed in the above WSDL are applicable to AFIS operations: afisRecordRequest and afisRecordResponse. Other published operations pertain to separate processes outside the scope of this document. The previous implementation of AFIS-to-CBIC communications was based on SOAP transactions using HTTP (Port 80) protocol, as the mechanism utilized a private network managed by a single contractor. With the transition of the OTDA AFIS to the current contractor, communications will be routed over the NYS HSEN network, under the authority of ITS, which mandates that all web communications be secured. The use of SOAP/XML described here is based on RPC-style binding with HTTPS (Port 4567) used as the secure transport mechanism approved by ITS. The CBIC web service uses the following SOAP technology versions:

• SOAP 1.1 • WSDL 1.1

The CBIC contractor will utilize the following SSL-enabled CBIC web service for production communication: [Material redacted.] This allows the use of both HTTP (Port 80) and HTTPS (Port 4567) protocols on the same web server with only minor modification, which will undergo full functionality testing prior to production use. The following Return Codes are sent back to the OTDA AFIS to complete the synchronous communications process:

NYS OTDA AFIS CBIC Interface Control Document, v5.0 9 RELEASE 04/01/2016

Return Code Description

1 Success

9 Invalid Auth. Rep. Name

16 Invalid District Code

23 Invalid ARN or CIN

100 CBIC Server is down

102 Database integrity error (internal database error on CBIC side)

104 No images present

105 Invalid Enrollment type

106 Invalid tcn

107 Invalid Workstation ID (ws_id)

109 Image Hash value problem

3 CBIC Interface Business Rules The conditions under which transaction data is sent to the CBIC production system are complex and varied. This section documents under which specific conditions image and demographic data are provided to the CBIC contractor for benefit card production.

3.1 AFIS-to-CBIC Transaction Data Elements by Case Type This table lists demographic and image data collected at OTDA AFIS workstations and stored in the OTDA AFIS database – based on case type – according to the following values:

1 = Required. For images, either the image or a reason for lack of the image is needed. See note (a)

2 = Optional. Depending on the circumstance, the CBIC card could be useable without the photo (or signature) image. Either the image or a reason for lack of the image is needed. See note (a)

Case Type AFIS Data

Auth Rep Data

Non Face-to-

Face Finger Image Photograph

Signature (required for

NYC)

APPLICANT/RECIPIENT

11 FA 1 1 1 2 12 SNA Non-Cash(FP) 1 1 1 2 16 SNA Cash(FNP) 1 1 1 2 17 SNA Non-Cash(FNP)

1 1 1 2

NYS OTDA AFIS CBIC Interface Control Document, v5.0 10RELEASE 04/01/2016

Case Type AFIS Data

Auth Rep Data

Non Face-to-

Face Finger Image Photograph

Signature (required for

NYC) 18 EAA 1 1 2 19 EAF 1 1 1 2 20 MA 1 1 2 22 MA-SSI 1 1 2 31 NPA-FS 1 1 2 32 FS-MIX (Upstate only) 1 1 2

AUTHORIZED REP. (CBIC ONLY)

n/a All applicable case types 1 2 2

NON FACE-TO-FACE (CBIC ONLY)

n/a All applicable case types 1 1 2

AUTHORIZED REP. NON FACE-TO-FACE

(CBIC ONLY)

n/a All applicable case types X 1 X X X 2

(a) All image captures marked “1-Required” should allow for the followingreasons for lack of an image: “Failure to Comply”, “Not Required for thisApplicant/Recipient”, and “Temporarily Not Available.”

(b) Upstate Districts have signature capture capabilities, although signatures areoptional.

(c) ANY CBIC ONLY TRANSACTION REQUIRES AT LEAST ONE (1) IMAGE(photo, or signature).

(d) Enrollment Type is required for all case types.

(e) Requirements may change with legislation.

3.2 AFIS-to-CBIC Transaction Rules by Case Type

The table below lists information included in transactions submitted to the CBIC contractor – based on enrollment type and case type – according to the following values:

1 = required for record transmission

2 = to be included if image exists in AFIS file

NYS OTDA AFIS CBIC Interface Control Document, v5.0 11RELEASE 04/01/2016

Case Type APPLICANT/CLIENT Alpha Data

Auth. Rep. Data

Photograph Signature

11 FA 1 2 2 12 SNA Non-Cash (FP) 1 2 2 16 SNA Cash (FNP) 1 2 2 17 SNA Non-Cash (FNP) 1 2 2 18 EAA 1 2 2 19 EAF 1 2 2 20 MA 1 2 2 22 MA-SSI 1 2 2 31 NPA-FS 1 2 2 32 FS-MIX (Upstate only) 1 2 2

Case Type AUTHORIZED REP. Alpha Data

Auth. Rep. Data Photograph Signature

11 (N/A) FA 1 1 2 2 12 (N/A) SNA Non-Cash(FP) 1 1 2 2 16 (N/A) SNA Cash(FNP) 1 1 2 2 17 (N/A) SNA Non-Cash(FNP)

1 1 2 2

18 (N/A)

EAA

1 1 2 2 19 (N/A) EAF 1 1 2 2 20 (N/A) MA 1 1 2 2 22 (N/A) MA-SSI 1 1 2 2 31 (N/A) NPA-FS 1 1 2 2 32 (N/A) FS-MIX (Upstate only) 1 1 2 2

Case Type NON FACE-TO-FACE Alpha Data

Auth. Rep. Data Photograph Signature

11 (N/A) FA 1 2 12 (N/A) SNA Non-Cash(FP) 1 2 16 (N/A) SNA Cash(FNP) 1 2 17 (N/A) SNA Non-Cash(FNP)

1 2

18 (N/A)

EAA

1 2 19 (N/A) EAF 1 2 20 (N/A) MA 1 2 22 (N/A) MA-SSI 1 2 31 (N/A) NPA-FS 1 2

Case Type AUTHORIZED REP. NON FACE-TO-FACE

Alpha Data

Auth. Rep. Data Photograph Signature

11 (N/A) FA 1 1 2 12 (N/A) SNA Non-Cash(FP) 1 1 2 16 (N/A) SNA Cash(FNP) 1 1 2 17 (N/A) SNA Non-Cash(FNP)

1 1 2

18 (N/A)

EAA

1 1 2 19 (N/A) EAF 1 1 2 20 (N/A) MA 1 1 2 22 (N/A) MA-SSI 1 1 2 31 (N/A) NPA-FS 1 1 2

NYS OTDA AFIS CBIC Interface Control Document, v5.0 12RELEASE 04/01/2016

4 CBIC Reporting Requirements

The OTDA AFIS will provide the following reports to OTDA management:

4.1 Daily Detail Report

A Daily Detail Report file in Excel format is transmitted via FTP to an AFIS folder on an OTDA server [Material redacted], and it includes the following information:

• Record Origination• Record Type• Destination• Elements• Record Description• Client AFIS ID:

o Application Registry Number (ARN)o Client Identification Number (CIN)

• AFIS Site Name• Entered Date and Time• Transferred Date and Time• Record Status• CBIC Response• Sequential Number of Records• Report Date and Time

A sample detail report is as follows:

Rec Type Dest Description ARN CIN Site Name Entered Transferred Response Seq# Report Date

AFIS 1 CCLI 1 Photo Only 2070430138 2060930138 Rensselaer 1/2/2007 9:22 1/2/2007 9:22 1 Success 77 1/2/2007

AFIS 1 CCLI 1 Photo Only 2071960138 2061460138 Rensselaer 1/2/2007 9:40 1/2/2007 9:40 1 Success 160 1/2/2007

AFIS 1 CCLI 1 Photo Only 2069270138 2062170138 Rensselaer 1/2/2007 10:04 1/2/2007 10:04 1 Success 345 1/2/2007

AFIS 1 CCLI 1 Photo Only 2069680138 2062260138 Rensselaer 1/2/2007 10:05 1/2/2007 10:05 1 Success 346 1/2/2007

AFIS 1 CCLI 1 Photo Only 7078470157 7077290157 Yates 1/2/2007 10:34 1/2/2007 10:34 1 Success 490 1/2/2007

NYS OTDA AFIS CBIC Interface Control Document, v5.0 13 RELEASE 04/01/2016

4.2 Summary Report E-Mail A daily Summary Report is automatically e-mailed to the OTDA AFIS Project Director and the OTDA CBIC Project Manager, following completion of each business day’s activities. It includes entries for each day of the previous week’s transactions and displays the following data:

Field Description

Date date in mm/dd/yyyy format # of Records Transferred Number of records transferred from AFIS to CBIC on the given date. # of Photo Only Record Transferred

Number of CBIC-Only records with just a photo (no signature) transferred from AFIS to CBIC on the given date.

# of Signature Only Record Transferred

Number of CBIC-Only records with just a scanned signature (no photo) transferred from AFIS to CBIC on the given date.

# Combined Photo/Signature Records transferred

Number of CBIC Photo/Signature records (combined signature and photo data) transferred from AFIS to CBIC on the given date.

Avg. Time Elapsed for Transfer

The average time for AFIS to receive a response for all AFIS-to-CBIC record transfers for the given date, in HH:MM:SS format.

# of Records Not Transferred Number of record that failed the transfer from AFIS to CBIC on the given date.

# of Records Pending Number of AFIS to CBIC record transfers in pending status at the end of the given date.

A sample e-mail report is as follows: From: afisreports@cogentotda.local Sent: Monday, February 01, 2016 10:30 PM To: Cc: Subject: CBIC Summary

Date Total # of Records

Transferred

# of Photo Only Records Transferred

# of Signature Only Records Transferred

# of Photo and Signature

Records Transferred

Avg. Time Elapsed

for Transfer

# of Records Not

Transferred

# of Records Pending

01/25/2016 1,051 16 0 1,035 00:00:01 0 0

01/26/2016 1,028 12 1 1,015 00:00:07 0 0

01/27/2016 1,024 1 0 1,023 00:00:01 0 0

01/28/2016 1,056 0 0 1,056 00:00:01 0 0

01/29/2016 1,046 0 1 1,045 00:00:01 0 0

01/30/2016 2 0 0 2 00:00:16 0 0

01/31/2016 0 0 0 0 00:00:00 0 0

02/01/2016 1,239 1 0 1,238 00:00:01 0 0

INFORMACION ACTUALIZADA DE NUMERO DE IDENTIFICACION

PERSONAL (PIN).

SOLO PODRAN RECIBIR EL NUMERO PIN POR CORREO LOSTITULARES DE TARJETA EBT QUE NO TENGAN UN NUMERO DESEGURO SOCIAL VALIDO O SI EL TRABAJADOR SOCIAL HADETERMINADO QUE SE REQUIERE UN PIN POR CORREO. SI USTED NORECIBE UN PIN POR CORREO, PUEDE SOLICITARLO LLAMANDOGRATIS AL SIGUIENTE NUMERO TELEFONICO: 1-888-328-6399. ESTEPREPARADO PARA SUMINISTRAR LA INFORMACION DE SEGURIDADREQUERIDA PARA COMPLETAR ESTE PROCESO.

ATENCION REPRESENTANTE AUTORIZADO PARA RECIBIR

ASISTENCIA TEMPORAL O SUBSIDIO SNAP A NOMBRE DE UN

BENEFICIARIO:

USTED ES RESPONSABLE DE MANTENER SU NUMERO DEIDENTIFICACION PERSONAL O PIN, EN UN LUGAR SEGURO. DEBEGUARDAR ESTA TARJETA POR SEPARADO DE SU NUMERO PIN. NUNCAESCRIBA SU NUMERO PIN EN SU TARJETA DE IDENTIFICACION PARABENEFICIOS. LOS BENEFICIOS YARETIRADOS NO SE PUEDENREEMPLAZAR. SI PIERDE LA TARJETA O SE LA ROBAN, LLAMEINMEDIATAMENTE AL 1-888-328-6399 Y CAMBIE SU NUMERO PIN.TAMBIEN, PUEDE HACERLO EN EL DEPARTAMENTO DE SERVICIOSSOCIALES LOCAL DEL BENEFICIARIO, O EN LA CIUDAD DE NUEVAYORK, EN UNO DE LOS CENTROS LABORALES O EN UNA OFICINA DESNAP.

BENEFICIARIOS DE SNAP O DE DINERO EN EFECTIVO DE EBT:

SI DESEA OBTENER INFORMACION SOBRE SU CUENTA ENTRE ALSITIO WEB: www.mvbenefits.nv.gov.LOS TITULARES DE CUENTAS DE DINERO EN EFECTIVO PUEDENHACER 2 RETIROS AL MES DESDE UN CAJERO AUTOMATICO SINPAGAR LA CUOTA DE USO DE 0,45 CENTAVOS. CIERTOS COMERCIOSLE PERMITEN HACER UN RETIRO SIN QUE TENGA QUE HACER UNACOMPRA. PREGUNTELE AL ENCARGADO DE LA TIENDA CUAL ES LAREGLA SOBRE RETIROS DE DINERO EN EFECTIVO.

NEWYORKSTATE

Here is Your

New Authorized RepresentativeBENEFIT Identification Card!

If the recipient you are representing is eligible, this card can be used for:• SNAP Benefits

• Temporary Assistance Benefits

A SEPARATE CARD FOR EACH PROGRAM IS NOT NEEDED

Encuentre adjunta su nueva tarjeta de identification derepresentante autorizado.

Si el beneficiario que usted representa reiine los requisites, con estatarjeta puede recibir:

• Subsidio del Programa de Asistencia Nutricional Suplementaria• Asistencia Temporal

PUEDE UTILIZAR ESTA TARJETA PARA AMBOS PROGRAMAS.

NEW INFORMATION FOR PERSONAL IDENTIFICATION NUMBERS

(PIN'S)

MAILED PIN NUMBERS WILL ONLY BE MADE AVAILABLE TO EBTCARD HOLDERS THAT DO NOT HAVE VALID SOCIAL SECURITYNUMBERS OR IF YOUR CASE WORKER HAS DETERMINED THAT AMAILED PIN IS REQUIRED. IF YOU DO NOT RECEIVE A MAILED PIN,YOU CAN PIN YOUR CARD BY CALLING THE FOLLOWING TOLL FREENUMBER: 1-888-328-6399. PLEASE BE PREPARED TO PROVIDE THE

SECURITY INFORMATION REQUIRED TO COMPLETE THIS PROCESS.

FOR ALL AUTHORIZED REPRESENTATIVES ACCESSING

TEMPORARY ASSISTANCE OR SNAP ON BEHALF OF RECIPIENTS:

YOU ARE RESPONSIBLE FOR KEEPING YOUR PERSONALIDENTIFICATION NUMBER (PIN) SECURE. YOU MUST KEEP THIS CARDSEPARATE FROM YOUR PIN. NEVER WRITE YOUR PIN ON YOURBENEFIT IDENTIFICATION CARD. ONCE ACCESSED THESE BENEFITSCANNOT BE REPLACED. IF YOUR PIN IS LOST OR STOLENIMMEDIATELY CALL 1-888-328-6399 AND CHANGE YOUR PIN. YOU CANALSO CHANGE YOUR PIN BY VISITING THE RECIPIENT'S LOCALDEPARTMENT OF SOCIAL SERVICES, OR IN NEW YORK CITY, THEIRJOB CENTER OR SNAP SITE.

EBT CASH OR SNAP RECIPIENTS: YOU CAN LOG INTO:www.mvbenefits.nv.govTO ACCESS YOUR ACCOUNT INFORMATION. CASH ACCOUNTS AREALLOWED 2 WITHDRAWALS PER MONTH AT AN ATM WITHOUT A .45CENT USAGE FEE. SOME STORES ALLOW CASH BACK WITHOUT APURCHASE. JUST ASK THE STORE ABOUT THEIR EBT CASH BACKPOLICY.

32722M004

Exhibit 7A: Card Carrier Sample

IMPORTANT INFORMATION ABOUT YOUR NEW YORK STATE BENEFIT IDENTIFICATION CARD

• This is your New York State Benefit Identificationcard, used for Medicaid,Temporary Assistance and SNAP benefits, according to youreligibility. If you have been provided with a protective sleeve for your CBIC card, keep your card in the card sleeve and in a safe place when notin use. The protective sleeves are available at your local Department of Social Services or if in New York City your Job Center or SNAP site.

• You are responsible for keeping your Personal Identification Number (PIN) and card secure. Keep your card separate from your PIN and neverwrite your PIN number on the card. If someoneelse uses your card and PIN the benefits will not be replaced. If your card is lost or stolen, youmust first call EBT Customer Service at 1-888-328-6399 to have the card deactivated. Next, to request a new card you will need to contact yourlocal Departmentof Social Servicesor if in New York City contact your Job Center, SNAP site, or Medicaid site if you are Medicaid eligible.

• For information regarding your Medicaid benefits, you may call the Medicaid Toil-Free Helpline number at 1-800-541-2831.

• For those eligible to receive medical services and supplies, restrictionsor other conditions of Medicaid eligibility are not shown on this card.Your doctor, pharmacistor other provider of medical services will be informed of these limitations when they verify eligibility prior to deliveringservices.

• Have your CBIC card available whenever you get medical care, services, and supplies, including prescriptionsat the pharmacy. The actual card isnecessary for providers to verify your Medicaideligibilityeach time you receive a Medicaidbenefit. If your providers are unable to verify youreligibility, your medical services may be delayed until they are able to do so.

• Protect this card. It is for your use only. Do not let any unauthorizedperson use your card to obtain recipient benefits. Misuse or abuse of yourcard will result in an investigation by State and/or Federal authorities.

• New cards will be issued when you report to your local Social Service Office that your name has changed or that your card has been lost, stolen ordamaged.

• Keep the card even if you stop receivingbenefits. The same card will be used again if you become eligible in the future.

INFORMACION IMPORTANTE SOBRE SU TARJETA DE IDENTIFICACION PARA BENEFICIOS DEL ESTADO DE NUEVA YORK

• Esta es su Tarjeta de Identificacion para Beneficiosdel Estado de Nueva York, segiinel tipo de beneficio al que usted tenga derecho, puede usaresta tarjeta para los programasde Medicaid,AsistenciaTemporal y, o Nutricion SupplementalPrograma Asistencial.

• Ustedtiene la responsabilidad de conservar su numeropersonal de identificacion (PIN)en un lugar seguro. No debe guardaresta tarjetajunto consu PIN. Nuncaescriba su PIN en la tarjeta. Si pierde o le roban su PIN, llame inmediatamenteal 1-888-328-6399 para cambiarlo. Tambienpuedecambiarlo en el Departamento de Servicios Sociales de su localidad, o en la ciudadde NuevaYork,en su Centrode Trabajoo CentrodeNutricion Supplemental Programa Asistencial. Para aquellas personas habilitadas para recibir servicios y suministros medicos, la tarjetano indicarestricciones u otras condiciones de habilitacion para Medicaid. Informaremos a su medico, farmaceutico u otro profesional de la salud sobreestas limitaciones cuando ellos nos llamen para verificar su habilitacion, antes de la prestation de servicios.

• Proteja su tarjeta;es solo para su uso personal. No permitaque ningunapersona no autorizada la use para obtener beneficiosy serviciosmedicos;debido a que tal uso es ilegal y puede afectar su acceso a servicios de atencion medica, AsistenciaTemporal o Nutricion SupplementalProgramaAsistencial. Presente esta tarjeta cada vez que solicite beneficios o servicios medicos.

• Si usted informa a la Oficina de Servicios Sociales de su localidad sobre un cambio en su nombre o una tarjeta perdida, robada o danada, se leemitira una nueva tarjeta.

• Conserve su tarjeta, aun cuandohayadejadode recibirservicios. Usara la mismatarjeta si vuelvea recibirbeneficios en un futuro.

IMPORTANT NOTICE

The attached card is your new New York State BenefitIdentification Card. This card must be presented to vourdoctor, pharmacist, or other health care provider whenyou request services. If you do not bring your card withyou when you request services, you may be unable toreceive medical services including treatment, suppliesand medications.

EBT recipients requesting a photo card should contact theircase worker.

The requirement for periodic re-determination of eligibilitycontinues.

AVISO IMPORTANTELa tarjeta adjunta es su nueva Tarjeta de Identificacion paraBeneficios del Estado de Nueva York. Usted debe

presentarla cada vez que solicite los servicios de sumedico o de otro profesional de la salud. Si no presentasu tarjeta al momento de solicitar servicios. es posibleque no reciba los servicios medicos solicitados.

Si esta tarjeta no contiene una fotografia y usted necesitauna con fotografia, pongase en contacto con su oficinalocal de Servicios Sociales.

El requisito de una evaluation periodica de requisitos semantiene vigente.

INFORMACIÓN ACTUALIZADA DE NÚMERO DE IDENTIFICACIÓNPERSONAL (PIN). SÓLO PODRÁN RECIBIR EL NÚMERO DE PIN POR CORREO LOS TITULARES DE TARJETA EBT QUE NO TENGAN UN NÚMERO DE SEGURO SOCIAL VÁLIDO O SI EL TRABAJADOR SOCIAL HA DETERMINADO QUE SE REQUIERE UN PIN POR CORREO. SI USTED NO RECIBE UN PIN POR CORREO, PUEDE SOLICITARLO LLAMANDO GRATIS AL SIGUIENTE NÚMERO TELEFÓNICO:1-888-328-6399. ESTÉ PREPARADO PARA SUMINISTRAR LA INFORMACIÓN DE SEGURIDAD REQUERIDA PARA COMPLETAR ESTE PROCESO.

ATENCIÓN BENEFICIARIOS DE ASISTENCIA TEMPORAL DE DINERO EN EFECTIVO O SUBSIDIO DEL PROGRAMA DE ASISTENCIA NUTRICIONAL SUPLEMENTARIA (SNAP): USTED ES RESPONSABLE DE MANTENER SU NÚMERO DE IDENTIFICACIÓN PERSONAL O PIN, EN UN LUGAR SEGURO. DEBE GUARDAR ESTA TARJETA POR SEPARADO DE SU NÚMERO PIN. SI PIERDE LA TARJETA O SE LA ROBAN; DEBE LLAMAR, PRIMERAMENTE, AL SERVICIO DE ATENCIÓN AL CLIENTE DE EBT AL 1-888-328-6399 Y SOLICITAR QUE DESACTIVEN LA TARJETA. UNA VEZ QUE HA DESACTIVADO SU TARJETA, UN REPRESENTANTE DE SERVICIO AL CLIENTE DE EBT LE PREGUNTARÁ SI DESEA QUE LE REEMPLACEN SU TARJETA Y SE LA ENVÍEN POR CORREO. SIGA LOS PASOS DURANTE ESTE PROCESO PARA RECIBIRLA TARJETA DE REEMPLAZO CON PRONTITUD.IMPORTANTE: * LOS BENEFICIARIOS INSCRIPTOS EN MEDICAID POR MEDIO DEL MERCADO OFICIAL DE NEW YORK STATE OF HEALTH (NYSOH) DEBEN LLAMAR A LA LÍNEA DE ATENCIÓN AL CLIENTE DE NYSOH AL 1-855-355-5777 PARA SOLICITAR LA TARJETA BENEFICIO DE REEMPLAZO.

FIRME SU TARJETA EN EL ESPACIO INDICADO EN LA PARTE DE ATRÁS. SI LA TARJETA PERTENECE A UN NIÑO, UNO DE LOS PADRES O EL TUTOR DEBE FIRMARLA. FAVOR DE VERIFICAR LOS DATOS EN LA TARJETA ADJUNTA. SI LOS DATOS SON INCORRECTOS, NOTIFÍQUESELO AL DEPARTAMENTO LOCAL DE SERVICIOS SOCIALES; O EN LA CIUDAD DE NUEVA YORK, COMUNÍQUESE CON LA OFICINA DE MEDICAID, O CON UNA OFICINA DE SNAP O CON UN CENTRO LABORAL.

BENEFICIARIOS DE SNAP O DE DINERO EN EFECTIVO DE EBT: SI DESEA OBTENER INFORMACIÓN SOBRE SU CUENTA ENTRE AL SITIO WEB:www.mybenefits.ny.gov. LOS TITULARES DE CUENTAS DE DINERO EN EFECTIVO PUEDEN HACER 2 RETIROS AL MES DESDE UN CAJERO AUTOMÁTICO SIN PAGAR LA CUOTA DE USO DE 0,45 CENTAVOS. CIERTOS COMERCIOS LE PERMITEN HACER UN RETIRO SIN QUE TENGA QUE HACER UNA COMPRA. PREGÚNTELE AL ENCARGADO DE LA TIENDA CUÁL ES LA REGLA SOBRE RETIROS DE DINERO EN EFECTIVO.

USTED TIENE QUE LLEVAR CONSIGO ESTA TARJETA para recibir estos servicios LOS BENEFICIARIOS DE MEDICAID QUE ESTÁN INSCRITOS EN UN PLAN DE SALUD DEBEN PRESENTAR LA TARJETA DE IDENTIFICACIÓN DEL PLAN A LA FARMACIA PARA OBTENER MEDICAMENTOS RECETADOS.

NEW INFORMATION FOR PERSONAL IDENTIFICATION NUMBERS (PIN’S)MAILED PIN NUMBERS WILL ONLY BE MADE AVAILABLE TO EBT CARD HOLDERS THAT DO NOT HAVE VALID SOCIAL SECURITY NUMBERS OR IF YOUR CASE WORKER HAS DETERMINED THAT A MAILED PIN IS REQUIRED. IF YOU DO NOT RECEIVE A MAILED PIN, YOU CAN PIN YOUR CARD BY CALLING THE FOLLOWING TOLL FREE NUMBER: 1-888-328-6399. PLEASE BE PREPARED TO PROVIDE THE SECURITY INFORMATION REQUIRED TO COMPLETE THIS PROCESS.

FOR ALL RECIPIENTS RECEIVING TEMPORARY CASH ASSISTANCE OR SNAP BENEFITS: YOU ARE RESPONSIBLE FOR KEEPING YOUR PIN AND CARD SECURE. KEEP YOUR CARD SEPARATE FROM YOUR PIN AND NEVER WRITE YOUR PIN ON YOUR CARD. IF YOU LOSE YOUR CARD OR IF IT IS STOLEN YOU MUST FIRST CALL EBT CUSTOMER SERVICE AT 1-888-328-6399 TO HAVE THE CARD DEACTIVATED. ONCE YOU HAVE DEACTIVATED YOUR CARD THE EBT CUSTOMER SERVICE HELPLINE WILL ASK IF YOU WISH TO HAVE YOUR CARD REPLACED AND MAILED. PLEASE FOLLOW THE STEPS DURING THIS PROCESS TO RECEIVE YOUR REPLACMENT CARD IN A TIMELY MANNER.

IMPORTANT:*RECIPIENTS ENROLLED IN MEDICAID THROUGH NYSOH, THE OFFICIAL HEALTH PLAN MARKETPLACE SHOULD CONTACT NYSOH CUSTOMER SERVICE AT: 1-855-355-5777 TO REQUEST A REPLACEMENT BENEFIT CARD. SIGN YOUR CARD IN THE SPACE PROVIDED ON THE BACK OF THE CARD. A PARENT OR GUARDIAN MUST SIGN A CHILD’S CARD.PLEASE CHECK THE INFORMATION ON THE ENCLOSED CARD. IF THE INFORMATION IS NOT CORRECT, NOTIFY YOUR LOCAL DEPARTMENT OF SOCIAL SERVICES, OR, IN NEW YORK CITY, CONTACT YOUR MEDICAID, SNAP OR JOB CENTER.

EBT CASH OR SNAP RECIPIENTS: YOU CAN LOG INTO: www.mybenefits.ny.gov TO ACCESS YOUR ACCOUNT INFORMATION.CASH ACCOUNTS ARE ALLOWED 2 WITHDRAWALS PER MONTH AT AN ATM WITHOUT A .45 CENT USAGE FEE. SOME STORES ALLOW CASH BACK WITHOUT A PURCHASE. JUST ASK THE STORE ABOUT THEIR EBT CASH BACK POLICY.

If you are eligible this card can be used for:• Medicaid• SNAP Benefits • Temporary Assistance

YOU MUST CARRY THIS CARD to receive these services

MEDICAID RECIPIENTS WHO ARE ENROLLED IN A HEALTH PLAN MUSTPRESENT THEIR HEALTH PLAN ID CARD TO THE PHARMACY

WHEN OBTAINING PRESCRIPTION DRUGS.

Encuentre adjunta su nueva tarjeta de identificación para beneficiosSi usted es apto para recibir beneficios, puede usar esta tarjeta para:

• Medicaid• Subsidio del Programa de Asistencia Nutricional Suplementaria (SNAP) • Asistencia Temporal

Here is YourNew BENEFIT

Identification Card!

32723M005

Exhibit 7B: Card Carrier Sample

IMPORTANT INFORMATION ABOUT YOUR NEW YORK STATE BENEFIT IDENTIFICATION CARD

• This is your New York State Benefit Identification card, used for Medicaid, Temporary Assistance and SNAP benefits, according to youreligibility. If you have been provided with a protective sleeve for your CBIC card, keep your card in the card sleeve and in a safe place when notin use. The protective sleeves are available at your local Department of Social Services or if in New York City your Job Center or SNAP site.

• You are responsible for keeping your Personal Identification Number (PIN) and card secure. Keep your card separate from your PIN and neverwrite your PIN number on the card. If someone else uses your card and PIN the benefits will not be replaced. If your card is lost or stolen, youmust first call EBT Customer Service at 1-888-328-6399 to have the card deactivated. Next, to request a new card you will need to contact yourlocal Department of Social Services or if in New York City contact your Job Center, SNAP site, or Medicaid site if you are Medicaid eligible.

• For information regarding your Medicaid benefits, you may call the Medicaid Toll-Free Helpline number at 1-800-541-2831.

• For those eligible to receive medical services and supplies, restrictions or other conditions of Medicaid eligibility are not shown on this card.Your doctor, pharmacist or other provider of medical services will be informed of these limitations when they verify eligibility prior to deliveringservices.

• Have your CBIC card available whenever you get medical care, services, and supplies, including prescriptions at the pharmacy. The actual card isnecessary for providers to verify your Medicaid eligibility each time you receive a Medicaid benefit. If your providers are unable to verify youreligibility, your medical services may be delayed until they are able to do so.

• Protect your card. It is for your use only. Do not let any unauthorized person use your card to obtain benefits or medical services. Misuse or abuseof your card will result in an investigation by State and/or Federal Authorities.

• New cards will be issued when you report to your local Social Service Office that your name has changed or that your card has been lost, stolen ordamaged.

• Keep the card even if you stop receiving benefits. The same card will be used again if you become eligible in the future.

INFORMACIÓN IMPORTANTE SOBRE SU TARJETA DE IDENTIFICACIÓN PARA BENEFICIOS DEL ESTADO DE NUEVA YORK

• Esta es su Tarjeta de Identificación para Beneficios del Estado de Nueva York, según el tipo de beneficio al que usted tenga derecho, puede usaresta tarjeta para los programas de Medicaid, Asistencia Temporal y, o Nutrición Supplemental Programa Asistencial.

• Usted tiene la responsabilidad de conservar su número personal de identificación (PIN) en un lugar seguro. No debe guardar esta tarjeta junto consu PIN. Nunca escriba su PIN en la tarjeta. Si pierde o le roban su PIN, llame inmediatamente al 1-888-328-6399 para cambiarlo. Tambiénpuede cambiarlo en el Departamento de Servicios Sociales de su localidad, o en la ciudad de Nueva York, en su Centro de Trabajo o Centro deNutrición Supplemental Programa Asistencial. Para aquellas personas habilitadas para recibir servicios y suministros médicos, la tarjeta no indicarestricciones u otras condiciones de habilitación para Medicaid. Informarémos a su médico, farmacéutico u otro profesional de la salud sobreestas limitaciones cuando ellos nos llamen para verificar su habilitación, antes de la prestación de servicios.

• Proteja su tarjeta; es sólo para su uso personal. No permita que ninguna persona no autorizada la use para obtener beneficios y servicios médicos;debido a que tal uso es ilegal y puede afectar su acceso a servicios de atención médica, Asistencia Temporal o Nutrición Supplemental ProgramaAsistencial. Presente esta tarjeta cada vez que solicite beneficios o servicios médicos.

• Si usted informa a la Oficina de Servicios Sociales de su localidad sobre un cambio en su nombre o una tarjeta perdida, robada o dañada, se leemitirá una nueva tarjeta.

• Conserve su tarjeta, aun cuando haya dejado de recibir servicios. Usará la misma tarjeta si vuelve a recibir beneficios en un futuro.

IMPORTANT NOTICEThe attached card is your new New York State Benefit Identification Card. This card must be presented to your doctor, pharmacist, or other health care provider when you request services. If you do not bring your card with you when you request services, you may be unable to receive medical services including treatment, supplies and medications.

EBT recipients requesting a photo card should contact their case worker.

The requirement for periodic re-determination of eligibility continues.

AVISO IMPORTANTELa tarjeta adjunta es su nueva Tarjeta de Identificación para Beneficios del Estado de Nueva York. Usted debe presentarla cada vez que solicite los servicios de su médico o de otro profesional de la salud. Si no presenta su tarjeta al momento de solicitar servicios, es posible que no reciba los servicios médicos solicitados.

Si esta tarjeta no contiene una fotografía y usted necesita una con fotografía, póngase en contacto con su oficina local de Servicios Sociales.

El requisito de una evaluación periódica de requisitos se mantiene vigente.

Dist.ID# LSSD Feb-16 16-Mar Apr-16 3 Mo. Average1 Albany 752 764 715 7442 Allegany 39 39 43 403 Broome 70 83 71 754 Cattaraugus 15 8 7 105 Cayuga 5 8 10 86 Chautauga 52 48 46 497 Chemung 16 44 31 308 Chenango 39 43 52 459 Clinton 16 21 17 18

10 Columbia 150 144 128 14111 Cortland 19 32 26 2612 Delaware 27 14 26 2213 Dutchess 171 196 146 17114 Erie 2,296 2,703 2,463 2,48715 Essex 36 29 35 3316 Franklin 126 156 175 15217 Fulton 3 1 3 218 Genesee 38 41 56 4519 Greene 96 131 104 11020 Hamilton 0 1 1 121 Herkimer 7 7 8 722 Jefferson 2 3 2 223 Lewis 6 19 14 1324 Livingston 13 18 12 1425 Madison 97 95 94 9526 Monroe 2,130 2,461 2,181 2,25727 Montgomery 18 19 15 1728 Nassau 995 1,084 1,046 1,04229 Niagara 87 103 125 10530 Oneida 605 727 690 67431 Onondaga 494 546 573 53832 Ontario 166 175 165 16933 Orange 64 85 93 8134 Orleans 18 18 26 2135 Oswego 4 3 22 1036 Otsego 4 1 1 237 Putnam 10 25 12 1638 Rensselaer 368 395 367 37739 Rockland 280 355 279 30540 St.Lawrence 117 115 122 11841 Saratoga 31 21 35 2942 Schenectady 604 701 670 65843 Schoharie 19 21 5 1544 Schuyler 55 47 50 5145 Seneca 14 21 15 1746 Steuben 251 234 205 23047 Suffolk 706 838 717 75448 Sullivan 240 233 216 23049 Tioga 9 16 20 1550 Tompkins 93 122 116 11051 Ulster 181 188 161 17752 Warren 1 0 0 053 Washington 18 28 8 1854 Wayne 71 97 100 8955 Westchester 109 140 124 12456 Wyoming 45 37 40 4157 Yates 37 41 28 3566 NYC 1125 1,640 1,324 1,36378 NY Health 11 21 10 1497 Mental Health 28 19 8 1898 OPWDD 23 39 35 3299 NYDSS (DOH) 3 9 7 6

02/16 Total 03/16 Total 04/16 Total 3Mo. Average13,125 15,273 13,896 14,098

Upstate All Counties and New York CityTEMPORARY MEDICAID CARDS

Monthly

Exhibit 8

1

EXHIBIT 9

INBOUND AND OUTBOUND LAYOUTS FOR CARD CONTRACTOR

Outbound CBIC Record Layouts

1. Card Request (Function: D)

Description Column Length Field type Comments Function to be performed

01 04 AN Function (2)Vendor-id (2)

Return message code 05 04 AN Transmission Date/Time

09 16 N CCYYMMDDHHMMSSHD

Transmission sequence number

25 05 N

Pass thru area 30 30 AN CIN/App reg Line Number

60 10 AN

Card Number 70 19 N Case Key 89 12 AN Name 101 28 ANLocal Office 129 03 AN Card code 132 01 AN Date of birth 133 08 N CCYYMMDD Auth Rep Name 141 28 AN Mailing Address 169 89 AN C/O Name 28

Street 35 City 15 State 02 Zip 09

Sex 258 01 ANSpecial Notice Code 259 02 AN Referral Number 261 05 N Card Delivery Code 266 01 AN Apartment Number 267 05 AN District 272 02 NReferral Void Date 274 08 N CCYYMMDD Overlay Indication 282 01 AN Resp Unit 283 05 AN Resp Worker 288 05 AN

Record size = 292

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2. Transfer ID (Function: M)

Description Column Length Field type Comments Function to be performed

01 04 AN Function(2)Vendor id(2)

Return message code 05 04 AN Transmission Date/Time

09 16 N CCYYMMDDHHMMSSHD

Transmission sequence number

25 05 N

Pass thru area 30 30 AN Temp CIN/App reg line number

60 10 AN

Perm CIN 70 10 AN

Record size = 79

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Inbound CBIC Record Layouts

1) Card Produced (Function: Q)

Description Column Length Field type Comments Function to be performed

01 04 AN Function(2)Vendor-id(2)

Return message code 05 04 AN Transmission Date/Time

09 16 N CCYYMMDDHHMMSSHD

Transmission sequence number

25 05 N

Pass thru area 30 30 AN CIN 60 10 ANCard number 70 19 N Card type 89 01 AN Card holder type 90 01 AN Card Issue date/time 91 16 N CCYYMMDDHHMMSSHD Client Sign indication 107 01 AN Auth Rep Sign ind 108 01 AN

Record size = 108

2) Inbound Functions: O- photo on; P- no photo; W- sign on; X- no sign

Description Column Length Field type Comments Function to be performed

01 04 AN Function(2)Vendor-id(2)

Return message code 05 04 AN Transmission Date/Time

09 16 N CCYYMMDDHHMMSSHD

Transmission sequence number

25 05 N

Pass thru area 30 30 AN CIN 60 10 AN

Record size = 69

3) Card Request rejected (Function: D)

Same as outbound sent for Card Request.

4) Transfer ID rejected (Function: M)

Same as outbound sent for Transfer ID.

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Outbound Web Service Description Language (WSDL)

<?xml version="1.0" encoding="utf-8"?> <wsdl:definitions xmlns:http="http://schemas.xmlsoap.org/wsdl/http/" xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns:s="http://www.w3.org/2001/XMLSchema" xmlns:soapenc="http://schemas.xmlsoap.org/soap/encoding/" xmlns:tns="http://tempuri.org/afis" xmlns:tm="http://microsoft.com/wsdl/mime/textMatching/" xmlns:mime="http://schemas.xmlsoap.org/wsdl/mime/" targetNamespace="http://tempuri.org/afis" xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/"> <wsdl:types /> <wsdl:message name="transferIDResponse"> <wsdl:part name="transferIDReturn" type="s:int" /> </wsdl:message> <wsdl:message name="pingCbicWSRequest" /> <wsdl:message name="afisRecordResponse"> <wsdl:part name="afisRecordReturn" type="s:int" /> </wsdl:message> <wsdl:message name="afisRecordRequest"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="arn" type="s:string" /> <wsdl:part name="enrollmentType" type="s:string" /> <wsdl:part name="xlpin" type="s:string" /> <wsdl:part name="district" type="s:string" /> <wsdl:part name="operator" type="s:string" /> <wsdl:part name="enrollDate" type="s:string" /> <wsdl:part name="authRepLastname" type="s:string" /> <wsdl:part name="authRepFirstname" type="s:string" /> <wsdl:part name="authRepMiddle" type="s:string" /> <wsdl:part name="ws_id" type="s:int" /> <wsdl:part name="testRecord" type="s:boolean" /> <wsdl:part name="photo" type="s:base64Binary" /> <wsdl:part name="signature" type="s:base64Binary" /> </wsdl:message> <wsdl:message name="cardRequestRequest"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> <wsdl:part name="caseKey" type="s:string" /> <wsdl:part name="lastName" type="s:string" /> <wsdl:part name="firstName" type="s:string" /> <wsdl:part name="middleInitial" type="s:string" /> <wsdl:part name="localOffice" type="s:string" /> <wsdl:part name="cardCode" type="s:string" /> <wsdl:part name="dob" type="s:string" /> <wsdl:part name="authRepLastName" type="s:string" /> <wsdl:part name="authRepFirstName" type="s:string" /> <wsdl:part name="authRepMiddleInitial" type="s:string" /> <wsdl:part name="coName" type="s:string" /> <wsdl:part name="street" type="s:string" /> <wsdl:part name="city" type="s:string" /> <wsdl:part name="state" type="s:string" /> <wsdl:part name="zip" type="s:string" /> <wsdl:part name="sex" type="s:string" /> <wsdl:part name="specialNoticeCode" type="s:boolean" /> <wsdl:part name="referralNumber" type="s:int" /> <wsdl:part name="cardDeliveryCode" type="s:string" />

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<wsdl:part name="apartmentNumber" type="s:string" /> <wsdl:part name="district" type="s:int" /> <wsdl:part name="referralVoidDate" type="s:string" /> <wsdl:part name="overlay" type="s:boolean" /> <wsdl:part name="respUnit" type="s:string" /> <wsdl:part name="respWorker" type="s:string" /> <wsdl:part name="environment" type="s:string" /> </wsdl:message> <wsdl:message name="pingCbicWSResponse"> <wsdl:part name="pingCbicWSReturn" type="s:string" /> </wsdl:message> <wsdl:message name="cardRequestResponse"> <wsdl:part name="cardRequestReturn" type="s:int" /> </wsdl:message> <wsdl:message name="transferIDRequest"> <wsdl:part name="temporaryCin" type="s:string" /> <wsdl:part name="arn" type="s:string" /> <wsdl:part name="permanentCin" type="s:string" /> <wsdl:part name="environment" type="s:string" /> </wsdl:message> <wsdl:portType name="CbicWebService"> <wsdl:operation name="afisRecord" parameterOrder="cin arn enrollmentType xlpin district operator enrollDate authRepLastname authRepFirstname authRepMiddle ws_id testRecord photo signature">

<wsdl:input name="afisRecordRequest" message="tns:afisRecordRequest" /> <wsdl:output name="afisRecordResponse" message="tns:afisRecordResponse" />

</wsdl:operation> <wsdl:operation name="cardRequest" parameterOrder="cin cardNumber caseKey lastName firstName middleInitial localOffice cardCode dob authRepLastName authRepFirstName authRepMiddleInitial coName street city state zip sex specialNoticeCode referralNumber cardDeliveryCode apartmentNumber district referralVoidDate overlay respUnit respWorker environment">

<wsdl:input name="cardRequestRequest" message="tns:cardRequestRequest" /> <wsdl:output name="cardRequestResponse" message="tns:cardRequestResponse" />

</wsdl:operation> <wsdl:operation name="transferID" parameterOrder="temporaryCin arn permanentCin environment">

<wsdl:input name="transferIDRequest" message="tns:transferIDRequest" /> <wsdl:output name="transferIDResponse" message="tns:transferIDResponse" />

</wsdl:operation> <wsdl:operation name="pingCbicWS">

<wsdl:input name="pingCbicWSRequest" message="tns:pingCbicWSRequest" /> <wsdl:output name="pingCbicWSResponse" message="tns:pingCbicWSResponse" />

</wsdl:operation> </wsdl:portType> <wsdl:binding name="CbicWebServiceSoapBinding" type="tns:CbicWebService"> <soap:binding transport="http://schemas.xmlsoap.org/soap/http" style="rpc" /> <wsdl:operation name="afisRecord">

<soap:operation soapAction="" /> <wsdl:input name="afisRecordRequest">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:input> <wsdl:output name="afisRecordResponse">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

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</wsdl:output> </wsdl:operation> <wsdl:operation name="cardRequest">

<soap:operation soapAction="" /> <wsdl:input name="cardRequestRequest">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:input> <wsdl:output name="cardRequestResponse">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:output> </wsdl:operation> <wsdl:operation name="transferID">

<soap:operation soapAction="" /> <wsdl:input name="transferIDRequest">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:input> <wsdl:output name="transferIDResponse">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:output> </wsdl:operation> <wsdl:operation name="pingCbicWS">

<soap:operation soapAction="" /> <wsdl:input name="pingCbicWSRequest">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:input> <wsdl:output name="pingCbicWSResponse">

<soap:body use="encoded" namespace="http://tempuri.org/afis" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

</wsdl:output> </wsdl:operation> </wsdl:binding> <wsdl:service name="CbicWebServiceService"> <wsdl:port name="CbicWebService" binding="tns:CbicWebServiceSoapBinding">

<soap:address location="http://wsv.cbic.bioapplicant.com/CbicWebServices/services/CbicWebService" /> </wsdl:port> </wsdl:service> </wsdl:definitions>

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Inbound Web Service Description Language (WSDL)

<?xml version="1.0" encoding="utf-8" ?> - <wsdl:definitions xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns:tm="http://microsoft.com/wsdl/mime/textMatching/" xmlns:soapenc="http://schemas.xmlsoap.org/soap/encoding/" xmlns:mime="http://schemas.xmlsoap.org/wsdl/mime/" xmlns:tns="http://tempuri.org/CBICLog/InboundLog" xmlns:s="http://www.w3.org/2001/XMLSchema" xmlns:soap12="http://schemas.xmlsoap.org/wsdl/soap12/" xmlns:http="http://schemas.xmlsoap.org/wsdl/http/" targetNamespace="http://tempuri.org/CBICLog/InboundLog" xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/"> <wsdl:documentation xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/">Inbound Logging</wsdl:documentation> - <wsdl:types>- <s:schema elementFormDefault="qualified"targetNamespace="http://tempuri.org/CBICLog/InboundLog"> - <s:element name="LogCardDestroyed">- <s:complexType>- <s:sequence>

<s:element minOccurs="0" maxOccurs="1" name="cin" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardNumber" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardDestroyDate" type="s:string" /></s:sequence></s:complexType></s:element>

- <s:element name="LogCardDestroyedResponse"><s:complexType /></s:element>

- <s:element name="LogCardProduced">- <s:complexType>- <s:sequence>

<s:element minOccurs="0" maxOccurs="1" name="cin" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardNumber" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardType" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardHolderType" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardIssueDate" type="s:string" /></s:sequence></s:complexType></s:element>

- <s:element name="LogCardProducedResponse"><s:complexType /></s:element>

- <s:element name="LogAfisReceipt">- <s:complexType>- <s:sequence>

<s:element minOccurs="0" maxOccurs="1" name="cin" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="arn" type="s:string" /><s:element minOccurs="1" maxOccurs="1" name="hasPhoto" type="s:boolean" /><s:element minOccurs="1" maxOccurs="1" name="hasSignature" type="s:boolean" /></s:sequence></s:complexType></s:element>

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- <s:element name="LogAfisReceiptResponse"><s:complexType /></s:element>

- <s:element name="LogEbtCardDestroyed">- <s:complexType>- <s:sequence>

<s:element minOccurs="0" maxOccurs="1" name="FunctionCd" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="VendorID" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="ReturnMsg" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="TransTimestamp" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="TransSeq" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cin" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardNumber" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="VoidDate" type="s:string" /></s:sequence></s:complexType></s:element>

- <s:element name="LogEbtCardDestroyedResponse"><s:complexType /></s:element>

- <s:element name="LogFirstUse">- <s:complexType>- <s:sequence>

<s:element minOccurs="0" maxOccurs="1" name="cin" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="cardNumber" type="s:string" /><s:element minOccurs="0" maxOccurs="1" name="firstUseDate" type="s:string" /></s:sequence></s:complexType></s:element>

- <s:element name="LogFirstUseResponse"><s:complexType /></s:element><s:element name="string" nillable="true" type="s:string" /></s:schema></wsdl:types>

- <wsdl:message name="LogCardDestroyedSoapIn"><wsdl:part name="parameters" element="tns:LogCardDestroyed" /></wsdl:message>

- <wsdl:message name="LogCardDestroyedSoapOut"><wsdl:part name="parameters" element="tns:LogCardDestroyedResponse" /></wsdl:message>

- <wsdl:message name="LogCardProducedSoapIn"><wsdl:part name="parameters" element="tns:LogCardProduced" /></wsdl:message>

- <wsdl:message name="LogCardProducedSoapOut"><wsdl:part name="parameters" element="tns:LogCardProducedResponse" /></wsdl:message>

- <wsdl:message name="LogAfisReceiptSoapIn"><wsdl:part name="parameters" element="tns:LogAfisReceipt" /></wsdl:message>

- <wsdl:message name="LogAfisReceiptSoapOut"><wsdl:part name="parameters" element="tns:LogAfisReceiptResponse" /></wsdl:message>

- <wsdl:message name="LogEbtCardDestroyedSoapIn"><wsdl:part name="parameters" element="tns:LogEbtCardDestroyed" /></wsdl:message>

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- <wsdl:message name="LogEbtCardDestroyedSoapOut"><wsdl:part name="parameters" element="tns:LogEbtCardDestroyedResponse" /></wsdl:message>

- <wsdl:message name="LogFirstUseSoapIn"><wsdl:part name="parameters" element="tns:LogFirstUse" /></wsdl:message>

- <wsdl:message name="LogFirstUseSoapOut"><wsdl:part name="parameters" element="tns:LogFirstUseResponse" /></wsdl:message><wsdl:message name="VersionSoapIn" />

- <wsdl:message name="VersionSoapOut"><wsdl:part name="VersionResult" type="s:string" /></wsdl:message>

- <wsdl:message name="TestEmailSoapIn"><wsdl:part name="cin" type="s:string" /><wsdl:part name="cardNumber" type="s:string" /></wsdl:message>

- <wsdl:message name="TestEmailSoapOut"><wsdl:part name="TestEmailResult" type="s:string" /></wsdl:message>

- <wsdl:message name="LogCardDestroyedHttpGetIn"><wsdl:part name="cin" type="s:string" /><wsdl:part name="cardNumber" type="s:string" /><wsdl:part name="cardDestroyDate" type="s:string" /></wsdl:message><wsdl:message name="LogCardDestroyedHttpGetOut" />

- <wsdl:message name="LogCardProducedHttpGetIn"><wsdl:part name="cin" type="s:string" /><wsdl:part name="cardNumber" type="s:string" /><wsdl:part name="cardType" type="s:string" /><wsdl:part name="cardHolderType" type="s:string" /><wsdl:part name="cardIssueDate" type="s:string" /></wsdl:message><wsdl:message name="LogCardProducedHttpGetOut" />

- <wsdl:message name="LogAfisReceiptHttpGetIn"><wsdl:part name="cin" type="s:string" /><wsdl:part name="arn" type="s:string" /><wsdl:part name="hasPhoto" type="s:string" /><wsdl:part name="hasSignature" type="s:string" /></wsdl:message><wsdl:message name="LogAfisReceiptHttpGetOut" />

- <wsdl:message name="LogEbtCardDestroyedHttpGetIn"><wsdl:part name="FunctionCd" type="s:string" /><wsdl:part name="VendorID" type="s:string" /><wsdl:part name="ReturnMsg" type="s:string" /><wsdl:part name="TransTimestamp" type="s:string" /><wsdl:part name="TransSeq" type="s:string" /><wsdl:part name="cin" type="s:string" /><wsdl:part name="cardNumber" type="s:string" /><wsdl:part name="VoidDate" type="s:string" /></wsdl:message><wsdl:message name="LogEbtCardDestroyedHttpGetOut" />

- <wsdl:message name="LogFirstUseHttpGetIn"><wsdl:part name="cin" type="s:string" /><wsdl:part name="cardNumber" type="s:string" /><wsdl:part name="firstUseDate" type="s:string" />

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</wsdl:message> <wsdl:message name="LogFirstUseHttpGetOut" /> <wsdl:message name="VersionHttpGetIn" /> - <wsdl:message name="VersionHttpGetOut"> <wsdl:part name="Body" element="tns:string" /> </wsdl:message> - <wsdl:message name="TestEmailHttpGetIn"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> </wsdl:message> - <wsdl:message name="TestEmailHttpGetOut"> <wsdl:part name="Body" element="tns:string" /> </wsdl:message> - <wsdl:message name="LogCardDestroyedHttpPostIn"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> <wsdl:part name="cardDestroyDate" type="s:string" /> </wsdl:message> <wsdl:message name="LogCardDestroyedHttpPostOut" /> - <wsdl:message name="LogCardProducedHttpPostIn"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> <wsdl:part name="cardType" type="s:string" /> <wsdl:part name="cardHolderType" type="s:string" /> <wsdl:part name="cardIssueDate" type="s:string" /> </wsdl:message> <wsdl:message name="LogCardProducedHttpPostOut" /> - <wsdl:message name="LogAfisReceiptHttpPostIn"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="arn" type="s:string" /> <wsdl:part name="hasPhoto" type="s:string" /> <wsdl:part name="hasSignature" type="s:string" /> </wsdl:message> <wsdl:message name="LogAfisReceiptHttpPostOut" /> - <wsdl:message name="LogEbtCardDestroyedHttpPostIn"> <wsdl:part name="FunctionCd" type="s:string" /> <wsdl:part name="VendorID" type="s:string" /> <wsdl:part name="ReturnMsg" type="s:string" /> <wsdl:part name="TransTimestamp" type="s:string" /> <wsdl:part name="TransSeq" type="s:string" /> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> <wsdl:part name="VoidDate" type="s:string" /> </wsdl:message> <wsdl:message name="LogEbtCardDestroyedHttpPostOut" /> - <wsdl:message name="LogFirstUseHttpPostIn"> <wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> <wsdl:part name="firstUseDate" type="s:string" /> </wsdl:message> <wsdl:message name="LogFirstUseHttpPostOut" /> <wsdl:message name="VersionHttpPostIn" /> - <wsdl:message name="VersionHttpPostOut"> <wsdl:part name="Body" element="tns:string" /> </wsdl:message> - <wsdl:message name="TestEmailHttpPostIn">

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<wsdl:part name="cin" type="s:string" /> <wsdl:part name="cardNumber" type="s:string" /> </wsdl:message> - <wsdl:message name="TestEmailHttpPostOut">

<wsdl:part name="Body" element="tns:string" /></wsdl:message>

- <wsdl:portType name="InboundLogSoap">- <wsdl:operation name="LogCardDestroyed">

<wsdl:input message="tns:LogCardDestroyedSoapIn" /><wsdl:output message="tns:LogCardDestroyedSoapOut" /></wsdl:operation>

- <wsdl:operation name="LogCardProduced"><wsdl:input message="tns:LogCardProducedSoapIn" /><wsdl:output message="tns:LogCardProducedSoapOut" /></wsdl:operation>

- <wsdl:operation name="LogAfisReceipt"><wsdl:input message="tns:LogAfisReceiptSoapIn" /><wsdl:output message="tns:LogAfisReceiptSoapOut" /></wsdl:operation>

- <wsdl:operation name="LogEbtCardDestroyed"><wsdl:input message="tns:LogEbtCardDestroyedSoapIn" /><wsdl:output message="tns:LogEbtCardDestroyedSoapOut" /></wsdl:operation>

- <wsdl:operation name="LogFirstUse"><wsdl:input message="tns:LogFirstUseSoapIn" /><wsdl:output message="tns:LogFirstUseSoapOut" /></wsdl:operation>

- <wsdl:operation name="Version"><wsdl:input message="tns:VersionSoapIn" /><wsdl:output message="tns:VersionSoapOut" /></wsdl:operation>

- <wsdl:operation name="TestEmail"><wsdl:input message="tns:TestEmailSoapIn" /><wsdl:output message="tns:TestEmailSoapOut" /></wsdl:operation></wsdl:portType>

- <wsdl:portType name="InboundLogHttpGet">- <wsdl:operation name="LogCardDestroyed">

<wsdl:input message="tns:LogCardDestroyedHttpGetIn" /><wsdl:output message="tns:LogCardDestroyedHttpGetOut" /></wsdl:operation>

- <wsdl:operation name="LogCardProduced"><wsdl:input message="tns:LogCardProducedHttpGetIn" /><wsdl:output message="tns:LogCardProducedHttpGetOut" /></wsdl:operation>

- <wsdl:operation name="LogAfisReceipt"><wsdl:input message="tns:LogAfisReceiptHttpGetIn" /><wsdl:output message="tns:LogAfisReceiptHttpGetOut" /></wsdl:operation>

- <wsdl:operation name="LogEbtCardDestroyed"><wsdl:input message="tns:LogEbtCardDestroyedHttpGetIn" /><wsdl:output message="tns:LogEbtCardDestroyedHttpGetOut" /></wsdl:operation>

- <wsdl:operation name="LogFirstUse"><wsdl:input message="tns:LogFirstUseHttpGetIn" /><wsdl:output message="tns:LogFirstUseHttpGetOut" />

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</wsdl:operation> - <wsdl:operation name="Version">

<wsdl:input message="tns:VersionHttpGetIn" /><wsdl:output message="tns:VersionHttpGetOut" /></wsdl:operation>

- <wsdl:operation name="TestEmail"><wsdl:input message="tns:TestEmailHttpGetIn" /><wsdl:output message="tns:TestEmailHttpGetOut" /></wsdl:operation></wsdl:portType>

- <wsdl:portType name="InboundLogHttpPost">- <wsdl:operation name="LogCardDestroyed">

<wsdl:input message="tns:LogCardDestroyedHttpPostIn" /><wsdl:output message="tns:LogCardDestroyedHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="LogCardProduced"><wsdl:input message="tns:LogCardProducedHttpPostIn" /><wsdl:output message="tns:LogCardProducedHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="LogAfisReceipt"><wsdl:input message="tns:LogAfisReceiptHttpPostIn" /><wsdl:output message="tns:LogAfisReceiptHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="LogEbtCardDestroyed"><wsdl:input message="tns:LogEbtCardDestroyedHttpPostIn" /><wsdl:output message="tns:LogEbtCardDestroyedHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="LogFirstUse"><wsdl:input message="tns:LogFirstUseHttpPostIn" /><wsdl:output message="tns:LogFirstUseHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="Version"><wsdl:input message="tns:VersionHttpPostIn" /><wsdl:output message="tns:VersionHttpPostOut" /></wsdl:operation>

- <wsdl:operation name="TestEmail"><wsdl:input message="tns:TestEmailHttpPostIn" /><wsdl:output message="tns:TestEmailHttpPostOut" /></wsdl:operation></wsdl:portType>

- <wsdl:binding name="InboundLogSoap" type="tns:InboundLogSoap"><soap:binding transport="http://schemas.xmlsoap.org/soap/http" />

- <wsdl:operation name="LogCardDestroyed"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogCardDestroyed" style="document" /> - <wsdl:input>

<soap:body use="literal" /></wsdl:input>

- <wsdl:output><soap:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="LogCardProduced"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogCardProduced" style="document" /> - <wsdl:input>

13

<soap:body use="literal" /> </wsdl:input> - <wsdl:output> <soap:body use="literal" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="LogAfisReceipt"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogAfisReceipt" style="document" /> - <wsdl:input> <soap:body use="literal" /> </wsdl:input> - <wsdl:output> <soap:body use="literal" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="LogEbtCardDestroyed"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogEbtCardDestroyed" style="document" /> - <wsdl:input> <soap:body use="literal" /> </wsdl:input> - <wsdl:output> <soap:body use="literal" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="LogFirstUse"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogFirstUse" style="document" /> - <wsdl:input> <soap:body use="literal" /> </wsdl:input> - <wsdl:output> <soap:body use="literal" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="Version"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/Version" style="rpc" /> - <wsdl:input> <soap:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" /> </wsdl:input> - <wsdl:output> <soap:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="TestEmail"> <soap:operation soapAction="http://tempuri.org/CBICLog/InboundLog/TestEmail" style="rpc" /> - <wsdl:input> <soap:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" /> </wsdl:input> - <wsdl:output> <soap:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://schemas.xmlsoap.org/soap/encoding/" />

14

</wsdl:output> </wsdl:operation> </wsdl:binding> - <wsdl:binding name="InboundLogSoap12" type="tns:InboundLogSoap">

<soap12:binding transport="http://schemas.xmlsoap.org/soap/http" />- <wsdl:operation name="LogCardDestroyed"> <soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogCardDestroyed" style="document" /> - <wsdl:input>

<soap12:body use="literal" /></wsdl:input>

- <wsdl:output><soap12:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="LogCardProduced"> <soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogCardProduced" style="document" /> - <wsdl:input>

<soap12:body use="literal" /></wsdl:input>

- <wsdl:output><soap12:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="LogAfisReceipt"> <soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogAfisReceipt" style="document" /> - <wsdl:input>

<soap12:body use="literal" /></wsdl:input>

- <wsdl:output><soap12:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="LogEbtCardDestroyed"><soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogEbtCardDestroyed"

style="document" /> - <wsdl:input>

<soap12:body use="literal" /></wsdl:input>

- <wsdl:output><soap12:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="LogFirstUse"> <soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/LogFirstUse" style="document" /> - <wsdl:input>

<soap12:body use="literal" /></wsdl:input>

- <wsdl:output><soap12:body use="literal" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="Version">

15

<soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/Version" style="rpc" /> - <wsdl:input>

<soap12:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://www.w3.org/2003/05/soap-encoding" /> </wsdl:input> - <wsdl:output>

<soap12:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://www.w3.org/2003/05/soap-encoding" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="TestEmail">

<soap12:operation soapAction="http://tempuri.org/CBICLog/InboundLog/TestEmail" style="rpc"/> - <wsdl:input>

<soap12:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://www.w3.org/2003/05/soap-encoding" /> </wsdl:input> - <wsdl:output>

<soap12:body use="encoded" namespace="http://tempuri.org/CBICLog/InboundLog" encodingStyle="http://www.w3.org/2003/05/soap-encoding" /> </wsdl:output> </wsdl:operation> </wsdl:binding> - <wsdl:binding name="InboundLogHttpGet" type="tns:InboundLogHttpGet">

<http:binding verb="GET" />- <wsdl:operation name="LogCardDestroyed">

<http:operation location="/LogCardDestroyed" />- <wsdl:input>

<http:urlEncoded /></wsdl:input><wsdl:output /></wsdl:operation>

- <wsdl:operation name="LogCardProduced"><http:operation location="/LogCardProduced" />

- <wsdl:input><http:urlEncoded /></wsdl:input><wsdl:output /></wsdl:operation>

- <wsdl:operation name="LogAfisReceipt"><http:operation location="/LogAfisReceipt" />

- <wsdl:input><http:urlEncoded /></wsdl:input><wsdl:output /></wsdl:operation>

- <wsdl:operation name="LogEbtCardDestroyed"><http:operation location="/LogEbtCardDestroyed" />

- <wsdl:input><http:urlEncoded /></wsdl:input><wsdl:output /></wsdl:operation>

- <wsdl:operation name="LogFirstUse"><http:operation location="/LogFirstUse" />

- <wsdl:input>

16

<http:urlEncoded /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="Version"> <http:operation location="/Version" /> - <wsdl:input> <http:urlEncoded /> </wsdl:input> - <wsdl:output> <mime:mimeXml part="Body" /> </wsdl:output> </wsdl:operation> - <wsdl:operation name="TestEmail"> <http:operation location="/TestEmail" /> - <wsdl:input> <http:urlEncoded /> </wsdl:input> - <wsdl:output> <mime:mimeXml part="Body" /> </wsdl:output> </wsdl:operation> </wsdl:binding> - <wsdl:binding name="InboundLogHttpPost" type="tns:InboundLogHttpPost"> <http:binding verb="POST" /> - <wsdl:operation name="LogCardDestroyed"> <http:operation location="/LogCardDestroyed" /> - <wsdl:input> <mime:content type="application/x-www-form-urlencoded" /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="LogCardProduced"> <http:operation location="/LogCardProduced" /> - <wsdl:input> <mime:content type="application/x-www-form-urlencoded" /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="LogAfisReceipt"> <http:operation location="/LogAfisReceipt" /> - <wsdl:input> <mime:content type="application/x-www-form-urlencoded" /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="LogEbtCardDestroyed"> <http:operation location="/LogEbtCardDestroyed" /> - <wsdl:input> <mime:content type="application/x-www-form-urlencoded" /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="LogFirstUse"> <http:operation location="/LogFirstUse" /> - <wsdl:input>

17

<mime:content type="application/x-www-form-urlencoded" /> </wsdl:input> <wsdl:output /> </wsdl:operation> - <wsdl:operation name="Version">

<http:operation location="/Version" />- <wsdl:input>

<mime:content type="application/x-www-form-urlencoded" /></wsdl:input>

- <wsdl:output><mime:mimeXml part="Body" /></wsdl:output></wsdl:operation>

- <wsdl:operation name="TestEmail"><http:operation location="/TestEmail" />

- <wsdl:input><mime:content type="application/x-www-form-urlencoded" /></wsdl:input>

- <wsdl:output><mime:mimeXml part="Body" /></wsdl:output></wsdl:operation></wsdl:binding>

- <wsdl:service name="InboundLog"><wsdl:documentation xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/">Inbound

Logging</wsdl:documentation> - <wsdl:port name="InboundLogSoap" binding="tns:InboundLogSoap">

<soap:address location="http://appclstr1.otda.state.nyenet/CBICLog/DBLogging.asmx" /></wsdl:port>

- <wsdl:port name="InboundLogSoap12" binding="tns:InboundLogSoap12"><soap12:address location="http://appclstr1.otda.state.nyenet/CBICLog/DBLogging.asmx" /></wsdl:port>

- <wsdl:port name="InboundLogHttpGet" binding="tns:InboundLogHttpGet"><http:address location="http://appclstr1.otda.state.nyenet/CBICLog/DBLogging.asmx" /></wsdl:port>

- <wsdl:port name="InboundLogHttpPost" binding="tns:InboundLogHttpPost"><http:address location="http://appclstr1.otda.state.nyenet/CBICLog/DBLogging.asmx" /></wsdl:port></wsdl:service></wsdl:definitions>

July 2015#RC

Aug 2015 #RC

Sept 2015 #RC

Oct 2015 #RC

Nov 2015 #RC

Dec 2015 #RC

Jan 2016 #RC

Feb 2016 #RC

March 2016 #RC

April 2016 #RC

May 2016 #RC

June 2016 #RC

1 274 1 0 1 10 1 120 1 0 1 654 1 0 1 1083 1 606 1 447 1 0 1 5652 466 2 0 2 399 2 53 2 179 2 208 2 0 2 691 2 232 2 0 2 320 2 4403 38 3 320 3 215 3 0 3 513 3 229 3 0 3 296 3 440 3 0 3 633 3 3144 0 4 574 4 192 4 0 4 119 4 245 4 284 4 462 4 450 4 637 4 239 4 05 0 5 385 5 0 5 327 5 332 5 0 5 141 5 301 5 0 5 323 5 92 5 06 279 6 161 6 0 6 541 6 498 6 0 6 278 6 0 6 0 6 703 6 373 6 1967 415 7 539 7 0 7 425 7 0 7 138 7 167 7 0 7 334 7 289 7 0 7 3238 327 8 0 8 293 8 74 8 0 8 663 8 102 8 796 8 775 8 462 8 0 8 2689 13 9 0 9 611 9 359 9 408 9 228 9 0 9 132 9 416 9 0 9 441 9 486

10 400 10 396 10 53 10 0 10 497 10 407 10 0 10 848 10 282 10 0 10 346 10 51611 0 11 323 11 293 11 0 11 0 11 94 11 161 11 500 11 270 11 322 11 454 11 012 0 12 257 12 0 12 0 12 132 12 0 12 310 12 46 12 0 12 556 12 180 12 013 0 13 15 13 0 13 273 13 654 13 0 13 0 13 0 13 0 13 385 13 392 13 43814 900 14 396 14 107 14 580 14 0 14 562 14 138 14 0 14 377 14 167 14 0 14 73215 221 15 0 15 439 15 660 15 0 15 132 15 193 15 0 15 305 15 185 15 0 15 26316 37 16 0 16 334 16 223 16 259 16 520 16 0 16 936 16 460 16 0 16 246 16 23717 87 17 171 17 221 17 0 17 475 17 259 17 0 17 1812 17 332 17 0 17 237 17 23118 0 18 336 18 351 18 0 18 187 18 206 18 0 18 617 18 323 18 836 18 757 18 019 0 19 379 19 0 19 630 19 336 19 0 19 264 19 607 19 0 19 471 19 158 19 020 400 20 347 20 0 20 274 20 302 20 0 20 0 20 0 20 0 20 273 20 286 20 58121 236 21 433 21 440 21 653 21 0 21 254 21 260 21 0 21 360 21 171 21 0 21 57122 410 22 0 22 502 22 229 22 0 22 151 22 168 22 1008 22 321 22 237 22 0 22 41923 530 23 0 23 415 23 179 23 147 23 297 23 0 23 647 23 296 23 0 23 342 23 41424 193 24 681 24 268 24 0 24 1018 24 312 24 0 24 276 24 505 24 0 24 729 24 19625 0 25 259 25 130 25 0 25 5 25 0 25 0 25 327 25 301 25 558 25 405 25 026 0 26 542 26 0 26 373 26 0 26 0 26 115 26 410 26 0 26 256 26 470 26 027 440 27 242 27 0 27 864 27 123 27 572 27 382 27 0 27 0 27 343 27 18 27 65028 282 28 11 28 526 28 169 28 0 28 571 28 456 28 0 28 378 28 397 28 0 28 72529 299 29 0 29 465 29 357 29 0 29 223 29 246 29 288 29 486 29 132 29 0 29 13430 299 30 0 30 491 30 650 30 213 30 165 30 0 30 179 30 0 30 0 30 9031 315 31 845 31 0 31 91 31 0 31 249 31 669

Totals 6861 7612 6755 8013 6397 7181 3665 12083 8677 8150 7787 8789Daily Highs

900 845 611 660 1018 663 456 1812 775 836 757 725

Exhibit 10: Returned Mail Volumes - July 2015 thru June 2016

#RC = Returned CountsTotal = Total Monthly Returned Mail Counts

Daily Highs = Highest Daily Return Mail Processing

Create Date AFIS Site AFIS Operator CIN/ARN Photo Signature District AR Name

9:37:20 AM XXXXXXX XXXXXX AANNNNNA 1 0 Albany9:37:20 AM XXXXXXX XXXXXX AANNNNNA 0 1 Albany

11:15:33 AM XXXXXXX XXXXXX AANNNNNA 1 0 Albany11:15:33 AM XXXXXXX XXXXXX AANNNNNA 0 1 Albany11:21:57 AM XXXXXXX XXXXXX AANNNNNA 1 0 Albany11:21:57 AM XXXXXXX XXXXXX AANNNNNA 0 1 Albany11:26:29 AM XXXXXXX XXXXXX AANNNNNA 1 0 Albany11:26:29 AM XXXXXXX XXXXXX AANNNNNA 0 1 Albany1:59:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 Albany1:59:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 Albany2:46:07 PM XXXXXXX XXXXXX AANNNNNA 1 0 Albany2:46:07 PM XXXXXXX XXXXXX AANNNNNA 0 1 Albany1:11:04 PM XXXXXXX XXXXXX AANNNNNA 1 0 Allegany1:11:04 PM XXXXXXX XXXXXX AANNNNNA 0 1 Allegany9:34:05 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome9:34:05 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome

10:39:39 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome10:39:39 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome11:06:15 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome11:06:15 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome11:08:27 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome11:08:27 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome11:15:32 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome11:15:32 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome11:17:25 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome11:17:25 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome11:55:42 AM XXXXXXX XXXXXX AANNNNNA 1 0 Broome11:55:42 AM XXXXXXX XXXXXX AANNNNNA 0 1 Broome12:39:53 PM XXXXXXX XXXXXX AANNNNNA 1 0 Broome12:39:53 PM XXXXXXX XXXXXX AANNNNNA 0 1 Broome2:10:44 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cattaraugus2:10:44 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cattaraugus9:15:24 AM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga9:15:24 AM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga9:56:08 AM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga9:56:08 AM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga2:15:41 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga2:15:41 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga2:16:47 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga2:16:48 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga2:29:19 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga2:29:19 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga4:41:14 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cayuga4:41:14 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cayuga8:57:24 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung8:57:24 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung9:04:45 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung9:04:45 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung9:17:38 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung9:17:38 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung

10:17:34 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung10:17:34 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung10:22:20 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung10:22:20 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung10:28:16 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung10:28:16 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung11:27:53 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung11:27:53 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung12:02:59 PM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung12:02:59 PM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung12:43:37 PM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung12:43:37 PM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung2:35:25 PM XXXXXXX XXXXXX AANNNNNA 0 1 Chemung2:35:25 PM XXXXXXX XXXXXX AANNNNNA 1 0 Chemung9:41:32 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chenango9:41:32 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Chenango

10:22:03 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chenango10:22:03 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chenango11:08:45 AM XXXXXXX XXXXXX AANNNNNA 0 1 Chenango11:08:45 AM XXXXXXX XXXXXX AANNNNNA 1 0 Chenango9:08:44 AM XXXXXXX XXXXXX AANNNNNA 0 1 Columbia9:08:44 AM XXXXXXX XXXXXX AANNNNNA 1 0 Columbia

10:05:16 AM XXXXXXX XXXXXX AANNNNNA 0 1 Columbia10:05:16 AM XXXXXXX XXXXXX AANNNNNA 1 0 Columbia10:06:32 AM XXXXXXX XXXXXX AANNNNNA 0 1 Cortland10:06:32 AM XXXXXXX XXXXXX AANNNNNA 1 0 Cortland

Exhibit 11: Daily Detail Photo Processing for Date: May 28th 2016

11:57:55 AM XXXXXXX XXXXXX AANNNNNA 0 1 Cortland11:57:55 AM XXXXXXX XXXXXX AANNNNNA 1 0 Cortland1:56:12 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cortland1:56:12 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cortland2:18:58 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cortland2:18:58 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cortland3:51:52 PM XXXXXXX XXXXXX AANNNNNA 0 1 Cortland3:51:52 PM XXXXXXX XXXXXX AANNNNNA 1 0 Cortland

10:25:40 AM XXXXXXX XXXXXX AANNNNNA 0 1 Delaware10:25:40 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Delaware12:27:07 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Delaware12:27:07 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Delaware9:01:10 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie9:01:10 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie9:14:20 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie9:14:20 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie9:29:06 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie9:29:06 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie9:42:24 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie9:42:25 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie9:50:47 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie9:50:47 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie9:51:51 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie9:51:51 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie9:55:56 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie9:55:56 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie

10:01:29 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:01:29 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:12:38 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:12:38 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:16:31 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:16:31 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:21:04 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:21:04 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:43:17 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:43:17 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:47:10 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:47:10 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:58:02 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:58:02 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie10:58:06 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie10:58:06 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:02:00 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:02:00 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:03:53 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:03:53 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:08:05 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:08:05 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:25:50 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:25:50 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:30:45 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:30:45 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:42:05 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:42:05 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:42:44 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:42:44 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:46:25 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:46:25 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:49:57 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:49:57 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:52:47 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:52:47 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie11:57:16 AM XXXXXXX XXXXXX AANNNNNA 1 0 Erie11:57:16 AM XXXXXXX XXXXXX AANNNNNA 0 1 Erie12:00:18 PM XXXXXXX XXXXXX AANNNNNA 1 0 Erie12:00:18 PM XXXXXXX XXXXXX AANNNNNA 0 1 Erie12:05:25 PM XXXXXXX XXXXXX AANNNNNA 1 0 Erie12:05:26 PM XXXXXXX XXXXXX AANNNNNA 0 1 Erie12:09:28 PM XXXXXXX XXXXXX AANNNNNA 1 0 Erie12:09:28 PM XXXXXXX XXXXXX AANNNNNA 0 1 Erie12:21:03 PM XXXXXXX XXXXXX AANNNNNA 1 0 Erie12:21:03 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie12:40:20 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie12:40:20 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie12:46:23 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Erie12:46:23 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Erie1:02:28 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Essex1:02:29 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Essex9:19:52 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Franklin9:19:52 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Franklin9:43:34 AM XXXXXXX XXXXXX AANNNNNA 1 0 Franklin9:43:34 AM XXXXXXX XXXXXX AANNNNNA 0 1 Franklin

9:46:21 AM XXXXXXX XXXXXX AANNNNNA 1 0 Franklin9:46:21 AM XXXXXXX XXXXXX AANNNNNA 0 1 Franklin8:46:29 AM XXXXXXX XXXXXX AANNNNNA 1 0 Fulton8:46:30 AM XXXXXXX XXXXXX AANNNNNA 0 1 Fulton8:55:59 AM XXXXXXX XXXXXX AANNNNNA 1 0 Fulton8:55:59 AM XXXXXXX XXXXXX AANNNNNA 0 1 Fulton12:05:56 PM XXXXXXX XXXXXX AANNNNNA 1 0 Herkimer12:05:56 PM XXXXXXX XXXXXX AANNNNNA 0 1 Herkimer12:47:03 PM XXXXXXX XXXXXX AANNNNNA 1 0 Herkimer12:47:03 PM XXXXXXX XXXXXX AANNNNNA 0 1 Herkimer1:29:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 Herkimer1:29:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 Herkimer

10:22:15 AM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson10:22:15 AM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson10:35:54 AM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson10:35:55 AM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson11:01:58 AM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson11:01:58 AM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson11:03:51 AM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson11:03:51 AM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson11:51:55 AM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson11:51:55 AM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson12:26:20 PM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson12:26:20 PM XXXXXXX XXXXXX AANNNNNA 0 1 Jefferson12:40:34 PM XXXXXXX XXXXXX AANNNNNA 1 0 Jefferson12:40:34 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Jefferson1:55:07 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Jefferson1:55:08 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Jefferson3:11:49 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Jefferson3:11:49 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Jefferson3:16:12 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Jefferson3:16:12 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Jefferson9:43:55 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Lewis9:43:55 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Lewis8:51:46 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Livingston8:51:46 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Livingston9:46:34 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Livingston9:46:34 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Livingston1:46:29 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Livingston1:46:29 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Livingston1:53:26 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Livingston1:53:26 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Livingston

10:23:29 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Madison10:23:29 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Madison11:57:30 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Madison11:57:30 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Madison11:57:51 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Madison11:57:51 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Madison3:28:18 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Madison3:28:18 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Madison9:15:25 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:15:25 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:19:34 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:19:34 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:44:29 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:44:29 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:46:53 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:46:53 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:47:14 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:47:14 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:55:43 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:55:43 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe9:58:27 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Monroe9:58:27 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Monroe

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2:04:41 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:04:41 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:04:49 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:04:49 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:05:12 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:05:12 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:15:28 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:15:28 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:15:49 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:15:49 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:17:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:17:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:18:14 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:18:14 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:18:29 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:18:29 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:19:54 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:19:54 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:20:39 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:20:39 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:22:49 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:22:49 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:23:38 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:23:38 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:24:02 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:24:02 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:24:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:24:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:24:54 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:24:54 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:28:50 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:28:50 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:29:28 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:29:29 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:30:02 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:30:02 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:30:59 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:30:59 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:32:06 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:32:06 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:32:34 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:32:34 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:33:14 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:33:14 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:33:53 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:33:53 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:35:36 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:35:36 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:35:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:35:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:36:47 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:36:47 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:37:58 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:37:58 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:38:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:38:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:40:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:40:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:40:34 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:40:34 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:41:52 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:41:52 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:42:40 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:42:40 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:44:04 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:44:04 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:47:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:47:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:48:13 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:48:13 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:51:09 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:51:09 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:51:50 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:51:50 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:53:00 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:53:00 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:53:19 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:53:20 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:55:27 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:55:27 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:55:35 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:55:35 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City

2:56:37 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:56:37 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:57:43 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:57:43 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City2:59:13 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City2:59:13 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:00:06 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:00:06 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:00:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:00:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:00:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:00:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:03:26 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:03:26 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:03:34 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:03:34 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:03:40 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:03:40 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:03:40 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:03:40 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:04:05 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:04:05 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:04:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:04:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:04:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:04:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:06:43 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:06:43 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:06:43 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:14:31 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:14:32 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:14:32 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:17:45 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:17:45 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:17:56 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:17:56 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:18:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:18:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:18:40 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:18:40 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:19:02 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:19:02 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:20:49 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:20:49 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:20:51 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:20:51 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:21:14 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:21:14 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:22:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:22:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:26:57 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:26:57 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:27:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:27:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:27:44 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:27:45 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:28:27 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:28:27 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:28:42 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:28:42 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:29:22 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:29:22 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:29:35 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:29:35 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:30:55 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:30:55 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:31:35 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:31:35 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:32:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:32:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:32:51 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:32:51 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:33:15 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:33:15 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:33:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:33:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:34:14 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:34:14 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:35:13 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:35:13 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City3:35:22 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City3:35:22 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City

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4:16:20 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:16:43 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:16:43 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:17:15 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:17:15 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:17:51 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:17:51 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:18:07 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:18:07 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:20:53 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:20:53 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:21:29 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:21:29 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:23:37 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:23:37 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:24:28 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:24:28 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:26:09 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:26:09 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:26:54 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:26:54 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:27:27 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:27:27 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:27:41 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:27:41 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:29:10 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:29:11 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:29:44 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:29:44 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:30:29 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:30:29 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 New York City4:31:39 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 New York City4:31:39 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:34:04 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:34:04 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:34:09 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:34:09 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:36:29 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:36:29 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:38:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:38:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:39:29 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:39:30 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:40:54 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:40:54 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:41:15 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:41:15 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:42:09 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:42:09 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:43:37 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:43:37 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:44:11 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:44:11 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:45:41 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:45:41 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:46:35 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:46:35 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:46:55 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:46:55 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:47:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:47:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:47:28 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:47:28 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:48:33 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:48:33 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:48:53 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:48:53 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:50:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:50:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:50:48 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:50:48 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:50:59 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:50:59 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:51:01 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:51:01 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:51:47 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:51:47 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:52:24 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:52:24 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:52:38 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City4:52:38 PM XXXXXXX XXXXXX AANNNNNA 0 1 New York City4:54:00 PM XXXXXXX XXXXXX AANNNNNA 1 0 New York City

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4:06:17 PM XXXXXXX XXXXXX AANNNNNA 1 0 Oneida4:06:17 PM XXXXXXX XXXXXX AANNNNNA 0 1 Oneida4:13:09 PM XXXXXXX XXXXXX AANNNNNA 1 0 Oneida4:13:09 PM XXXXXXX XXXXXX AANNNNNA 0 1 Oneida8:44:27 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga8:44:27 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga9:03:41 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga9:03:41 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga9:43:57 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga9:43:57 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga9:44:11 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga9:44:11 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga9:47:18 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga

11:30:56 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga11:30:56 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga11:32:30 AM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga11:32:30 AM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:10:05 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:10:05 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:10:21 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:10:21 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:27:32 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:27:32 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:34:55 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:34:55 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:39:44 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:39:44 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga12:41:12 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga12:41:12 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga1:03:05 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga1:03:05 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga1:05:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga1:05:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga2:14:16 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga2:14:16 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga3:18:46 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga3:18:46 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga3:31:30 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga3:31:30 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga3:37:30 PM XXXXXXX XXXXXX AANNNNNA 0 1 Onondaga3:37:30 PM XXXXXXX XXXXXX AANNNNNA 1 0 Onondaga1:03:57 PM XXXXXXX XXXXXX AANNNNNA 1 0 Ontario1:03:57 PM XXXXXXX XXXXXX AANNNNNA 0 1 Ontario

10:00:25 AM XXXXXXX XXXXXX AANNNNNA 1 0 Orange10:00:25 AM XXXXXXX XXXXXX AANNNNNA 0 1 Orange10:17:37 AM XXXXXXX XXXXXX AANNNNNA 1 0 Orange10:17:37 AM XXXXXXX XXXXXX AANNNNNA 0 1 Orange4:13:10 PM XXXXXXX XXXXXX AANNNNNA 1 0 Orange4:13:10 PM XXXXXXX XXXXXX AANNNNNA 0 1 Orange9:00:30 AM XXXXXXX XXXXXX AANNNNNA 1 0 Oswego9:00:30 AM XXXXXXX XXXXXX AANNNNNA 0 1 Oswego1:48:03 PM XXXXXXX XXXXXX AANNNNNA 1 0 Oswego1:48:03 PM XXXXXXX XXXXXX AANNNNNA 0 1 Oswego9:45:47 AM XXXXXXX XXXXXX AANNNNNA 1 0 Putnam9:45:47 AM XXXXXXX XXXXXX AANNNNNA 0 1 Putnam

10:49:22 AM XXXXXXX XXXXXX AANNNNNA 1 0 Putnam10:49:22 AM XXXXXXX XXXXXX AANNNNNA 0 1 Putnam9:58:30 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rensselaer9:58:30 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rensselaer

10:32:45 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland10:32:45 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland10:50:08 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland10:50:08 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland11:15:33 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland11:15:33 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland11:16:53 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland11:16:53 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland11:21:42 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland11:21:42 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland11:57:49 AM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland11:57:49 AM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland1:42:37 PM XXXXXXX XXXXXX AANNNNNA 1 0 Rockland1:42:38 PM XXXXXXX XXXXXX AANNNNNA 0 1 Rockland9:18:50 AM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga9:18:50 AM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga

11:03:12 AM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga11:03:12 AM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga1:05:00 PM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga1:05:00 PM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga1:09:55 PM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga1:09:55 PM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga1:50:39 PM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga

1:50:39 PM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga2:22:07 PM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga2:22:07 PM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga3:10:48 PM XXXXXXX XXXXXX AANNNNNA 1 0 Saratoga3:10:48 PM XXXXXXX XXXXXX AANNNNNA 0 1 Saratoga2:43:26 PM XXXXXXX XXXXXX AANNNNNA 1 0 Schenectady2:43:26 PM XXXXXXX XXXXXX AANNNNNA 0 1 Schenectady4:56:02 PM XXXXXXX XXXXXX AANNNNNA 1 0 Seneca4:56:02 PM XXXXXXX XXXXXX AANNNNNA 0 1 Seneca

11:37:14 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence11:37:14 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence11:40:29 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 St. Lawrence11:40:29 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence11:55:31 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 St. Lawrence11:55:31 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence1:11:44 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 St. Lawrence1:11:44 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence2:03:06 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 St. Lawrence2:03:06 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence2:06:33 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 St. Lawrence2:06:33 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 St. Lawrence9:01:32 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:01:32 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk9:16:30 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:16:30 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk9:27:23 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:27:23 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk9:41:47 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:41:47 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk9:45:12 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:45:12 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk

10:20:04 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk12:15:54 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk12:15:54 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk12:32:49 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk12:32:49 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk1:52:35 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk1:52:35 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk2:54:31 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk2:54:31 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk3:22:38 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk3:22:38 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk3:25:02 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk3:25:02 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk3:26:04 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk3:26:04 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk3:32:08 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Suffolk3:32:08 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Suffolk9:27:32 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan9:27:32 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan

11:06:06 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan11:06:06 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan11:07:53 AM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan11:07:53 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan12:10:43 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan12:10:43 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan2:18:09 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan2:18:09 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan2:33:48 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Sullivan2:33:48 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Sullivan3:59:44 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Tioga3:59:44 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Tioga9:44:18 AM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Tompkins9:44:18 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins

10:01:55 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins10:01:55 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins10:08:11 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins10:08:11 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins11:00:02 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins11:00:02 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins11:30:21 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins11:30:21 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins11:36:28 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins11:36:28 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins11:45:53 AM XXXXXXX XXXXXX AANNNNNA 0 1 Tompkins11:45:53 AM XXXXXXX XXXXXX AANNNNNA 1 0 Tompkins10:10:00 AM XXXXXXX XXXXXX AANNNNNA 0 1 Ulster10:10:00 AM XXXXXXX XXXXXX AANNNNNA 1 0 Ulster10:49:58 AM XXXXXXX XXXXXX AANNNNNA 0 1 Ulster10:49:58 AM XXXXXXX XXXXXX AANNNNNA 1 0 Ulster3:06:17 PM XXXXXXX XXXXXX AANNNNNA 0 1 Ulster3:06:17 PM XXXXXXX XXXXXX AANNNNNA 1 0 Ulster

2:25:03 PM XXXXXXX XXXXXX AANNNNNA 0 1 Warren2:25:03 PM XXXXXXX XXXXXX AANNNNNA 1 0 Warren2:44:54 PM XXXXXXX XXXXXX AANNNNNA 0 1 Warren2:44:54 PM XXXXXXX XXXXXX AANNNNNA 1 0 Warren3:37:15 PM XXXXXXX XXXXXX AANNNNNA 0 1 Warren3:37:15 PM XXXXXXX XXXXXX AANNNNNA 1 0 Warren

11:04:57 AM XXXXXXX XXXXXX AANNNNNA 0 1 Washington11:04:57 AM XXXXXXX XXXXXX AANNNNNA 1 0 Washington4:14:22 PM XXXXXXX XXXXXX AANNNNNA 0 1 Washington4:14:22 PM XXXXXXX XXXXXX AANNNNNA 1 0 Washington

10:13:23 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wayne10:13:23 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wayne10:14:40 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wayne10:14:40 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wayne10:39:38 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wayne10:39:39 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wayne11:48:58 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wayne11:48:58 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wayne11:58:21 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wayne11:58:21 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wayne9:27:49 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester9:27:49 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester9:32:10 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester9:32:10 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester9:34:13 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester9:34:13 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester9:38:22 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester9:38:22 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester

10:46:36 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester10:46:36 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester11:42:40 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester11:42:40 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester11:55:12 AM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester11:55:12 AM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester12:49:56 PM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester12:49:56 PM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester2:34:45 PM XXXXXXX XXXXXX AANNNNNA 1 0 Westchester2:34:45 PM XXXXXXX XXXXXX AANNNNNA 0 1 Westchester3:13:13 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Westchester3:13:14 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Westchester4:21:17 PM XXXXXXX XXXXXX NNNNNNNNNN 1 0 Westchester4:21:17 PM XXXXXXX XXXXXX NNNNNNNNNN 0 1 Westchester9:59:24 AM XXXXXXX XXXXXX AANNNNNA 1 0 Wyoming9:59:25 AM XXXXXXX XXXXXX AANNNNNA 0 1 Wyoming12:39:09 PM XXXXXXX XXXXXX AANNNNNA 1 0 Wyoming12:39:09 PM XXXXXXX XXXXXX AANNNNNA 0 1 Wyoming

Total 1762 896 866

District Name District Number

District Visibility POC Name POC Email POC Phone Delivery Address City State Zip

15 Char 2 Char. 10 Char 25 Char. 45 Char. 10 40 Char 20 Characters 2 9 Char

Vault Card System Re-Order Points Of Contact By District

Above data required to poulate the table will be provided by OTDA during system build out.

Exhibit 12

Exhibit 13

Return Codes and Error Response Definitions

Return Code Description

0 Success

-1 Failure, Service not available

5 CIN required or invalid

7 Card Number required or invalid

8 Case required or invalid

9 Name required or invalid

12 Card Code required or invalid

13 Sex required or invalid

15 Card delivery code required or invalid

16 District Code required or invalid

17 Void Date required or invalid

23 Temp CIN or App Reg line number is required or invalid

27 Add card request failed - record already exists

34 Referral number required or invalid

66 Mailing address required or invalid

67 User transaction not allowed in production

68 Environment required or invalid

100 Internal Database error. Treat as if server is down until resolved

Exhibit 14: Card Mailing Requirements

NYS-OTDA requires that mailed card requests are processed so that cards are in the United States Post

Office (USPO) mail stream within two (2) Business Days (Saturday is considered a Business Day) after

receipt of all data required to print the card as follows:

a. Monday card request, in the mail on Wednesday or earlier.

b. Tuesday card request, in the mail on Thursday or earlier.

c. Wednesday card request, in the mail on Friday or earlier.

d. Thursday card request, in the mail on Saturday or earlier.

e. Friday card request, in the mail on Monday or earlier. **

f. Saturday card request, in the mail on Tuesday. **

g. Sunday card request, in the mail on Tuesday or earlier.

** In weeks with a Monday holiday:

The Friday/ Saturday card schedule will receive 1 additional day to have the cards in the mail for

the following Monday (observed) holidays.

Monday Holidays recognized by NYS/OTDA:

1. Washington’s Birthday (President’s Day)

2. Memorial Day

3. Martin Luther King Jr’s Birthday

4. Columbus Day

5. Labor Day

Non- Monday Holidays recognized by NYS/OTDA

1. New Year’s Day

2. July 4th

3. Veterans Day

4. Thanksgiving Day

5. Christmas Day

It will be the card vendor’s responsibility to adjust production schedules for non-Monday holidays

to assure adherence to the mailing schedule above.

* For this contract requirement, Sunday processing is not normally required. Saturday is

considered a business day. OTDA reserves the right though to initiate Sunday card production if

circumstances require, i.e. disasters, system failures, mass card issuance requirements, etc.

1

Exhibit 15: Card Standards

Production of the New York State CBIC (Common Benefit Issuance Card) cards must adhere to ISO, ANSI, IEC and INCITS standards for financial cards. All card stock and personalized cards proposed for the state CBIC project must pass all required tests listed below.

Card Testing and Certification: Full ISO , ANSI and IEC testing as well as Durability testing (Reference: ANSI/INCITS 322; 2015) will be required for the card certification process at the start of the CBIC contract and at any time the card vendor changes plastic providers, or materials used in the construction of NY State CBIC card bodies. Appropriate testing will also be performed if the card vendor changes or modifies the printing and encoding methods previously tested and approved, by acceptable tests results from a certified testing facility. Test facility TBD by OTDA. The card vendor must also certify that the materials used in the card body construction will meet the required standards listed in section 2.2 of the CBIC RFP by submitting proposed CBIC card plastic for Durability Standards testing according to INCITS. The card vendor should also take into consideration the requirement of applying protective polyester patches to CBIC cards produced at the states Over the Counter card facilities when considering the card construction. The card vendor will be required to provide documentation of all materials used in construction of the CBIC card bodies for all required card types.

Vault Card Testing: Tests will be performed on personalized vault card plastic at start up, and at every card vendor stock re-supply order. Cards must pass testing before any initial order or supplemental order is approved by the OTDA. Vault Cards may be subject to quarterly testing to assure compliance with the below requirements. Vendor is responsible for establishing a testing schedule to address the requirements of the certification, durability, and quarterly testing of CBIC cards.

Durability testing: Durability testing will be performed as part of the card certification process before start up and anytime the card vendor switches plastic stock manufacturers and/or plastic types (i.e. PVC/PET laminated card bodies vs Standard PVC card construction) Change of plastic types without consideration to certain card production processes can cause issues ,i.e. when applying the laminate overlay used in OTC Card production, usage of the cards in financial environments such as POS and ATM devices, etc. It is the intention of New York State to eliminate card quality issues by requiring extensive testing to assure the cards that the state are purchasing are of the highest quality and comply with ISO/ANSI/IEC standards set forth in this document

Quarterly testing: Quarterly testing will be required on all types of CBIC permanent cards (Client and Authorized Representative cards). A series of cards produced on current card production hardware (Mailed and OTC hardware) will be produced and submitted to a 3rd party testing facility to be tested according to the Quarterly Testing requirements listed below. Test facility TBD by OTDA.

Standards: Standards referenced here as follows: ISO 7810-2003+A1:2009 ISO 7811-6: 2008 ISO 7813 and 7813-6 ISO/IEC 10373-2: 2006 ANSI/INCITS 322: 2015 Card Vendor and/or card producer should be in possession of these above documents. It will be the responsibility of the card vendor to obtain these documents for reference purposes

Next: Section 1: CBIC Client Cards

2

Exhibit 15: Card Standards: Card Testing Requirements

Section 1: CBIC Client Card

**Quarterly Testing Requirements listed at the bottom of this document.

1. Test Parameters for Non-Personalized CBIC Client Cards: Certification Testing,2. Additional ISO/ANSI Test Requirements for Personalized CBIC Client Cards.3. Additional testing required for CBIC Client Over The Counter Cards4. Durability testing for CBIC Client Card is required.

1. ISO/ANSI Test Requirements for Non Personalized CBIC Client Cards.1. Card warpage: ISO/IEC 7810:2003; Section 8.112. Dimensions of Card including corners: ISO/IEC 7810:2003; Section 5.03. Peel strength ISO/IEC 7810:2003; Section 8.84. Resistance to chemicals (Artificial Perspiration Solution Test) ISO/IEC 7810:2003; Section 8.45. Card Dimensional Stability and Warpage Related to Temperature and Humidity ISO/IEC 7810:2003; Section 8.56. Adhesion or blocking: ISO/IEC 7810:2003; Section 8.97. Bending stiffness: ISO/IEC 7810:2003; Section 8.18. Dynamic Bending Stress Test ( up to 1,000 cycles) ISO/IEC 7810:2003/Amd 1:2009 E Section 9.29. Dynamic Torsional Stress Test ( up to 1,000 cycles): ISO/IEC 7810:2003/Amd 1:2009 E Section 9.310. Opacity : ISO/IEC 7810:2003/Amd 2:2012 E Section 8.1011. Resistance to heat: ISO/IEC 7810:2003; Section 8.1212. Flammability: ISO/IEC 7810:2003; Section 8.213. Ultraviolet (UV) Light Exposure INCITS 322:2015: Section 5.1414. Surface Distortions: ISO/IEC 7810:2003+A1:2009

2. ISO/ANSI Test Requirements for Personalized CBIC Client Cards.1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.10

3. ISO/ANSI Test Requirements for Personalized CBIC Over The Counter Client Cards. (Non Personalized CBIC Client Plastic)1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.107. Card warpage: ISO/IEC 7810:2003; Section 8.11

4. Durability Testing Requirements: Reference: ANSI/INCITS 322; 20151. Flexing Axis A & B : ANSI/INCITS 322; 2015: Section 5.32. Magnetic stripe abrasion: ANSI/INCITS 322; 2015: Section 5.103. Surface abrasion: ANSI/INCITS 322; 2015: Section 5.84. Delamination crosshatch tape: ANSI/INCITS 322; 2015: Section 5.25. Card Body Xenon Arc: ANSI/INCITS 322; 2015: Section 5.156. 90 degree peel: ANSI/INCITS 322; 2015: Section 5.17. Linear Dimensional Change at Elevated Temperature Axis A & B: ANSI/INCITS 322; 2015 Section 5.7

Next: Section 2: Authorized Representative Cards

3

Section 2: Authorized Representative Card

**Quarterly Testing Requirements listed at the bottom of this document. 1. ISO/ANSI Test Requirements for Non Personalized Authorized Representative Cards.2. Additional Test Requirements for Personalized CBIC Authorized Representative Cards3. Additional testing required for CBIC Personalized Authorized Representative Over The Counter Cards4. Durability testing for CBIC Authorized Representative Cards is required.

1. ISO/ANSI Test Requirements for Non Personalized CBIC Authorized Representative Cards1. Card warpage: ISO/IEC 7810:2003; Section 8.112. Dimensions of Card including corners: ISO/IEC 7810:2003; Section 5.03. Peel strength ISO/IEC 7810:2003; Section 8.84. Resistance to chemicals (Artificial Perspiration Solution Test) ISO/IEC 7810:2003; Section 8.45. Card Dimensional Stability and Warpage Related to Temperature and Humidity ISO/IEC 7810:2003; Section 8.56. Adhesion or blocking: ISO/IEC 7810:2003; Section 8.97. Bending stiffness: ISO/IEC 7810:2003; Section 8.18. Dynamic Bending Stress Test ( up to 1,000 cycles) ISO/IEC 7810:2003/Amd 1:2009 E Section 9.29. Dynamic Torsional Stress Test ( up to 1,000 cycles): ISO/IEC 7810:2003/Amd 1:2009 E Section 9.310. Opacity : ISO/IEC 7810:2003/Amd 2:2012 E Section 8.1011. Resistance to heat: ISO/IEC 7810:2003; Section 8.1212. Flammability: ISO/IEC 7810:2003; Section 8.213. Ultraviolet (UV) Light Exposure ANSI/INCITS 322:2015: Section 5.1414. Surface Distortions: ISO/IEC 7810:2003+A1:2009

2. Additional Test Requirements for Personalized CBIC Mailed Authorized Representative Cards.1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.10

3. Additional ISO/ANSI Test Requirements for Personalized CBIC OTC Authorized Representative Cards.1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.107. Card warpage: ISO/IEC 7810:2003; Section 8.11

4. Durability Testing Requirements: Reference: ANSI/INCITS 322; 2015 (Non Personalized CBIC Auth Rep Plastic)1. Flexing Axis A & B : ANSI/INCITS 322; 2015: Section 5.2. Magnetic stripe abrasion: ANSI/INCITS 322; 2015: Section 5.103. Surface abrasion: ANSI/INCITS 322; 2015: Section 5.84. Delamination crosshatch tape: ANSI/INCITS 322; 2015: Section 5.25. Card Body Xenon Arc: ANSI/INCITS 322; 2015: Section 5.156. 90 degree peel: ANSI/INCITS 322; 2015: Section 5.17. Linear Dimensional Change at Elevated Temperature Axis A & B: ANSI/INCITS 322; 2015 Section 5.7

Next: Section 3: Vault Cards

4

Section 3: Vault Cards Test parameters for Vault Cards Durability testing for Vault Cards not required.

ISO/IEC/ANSI Test Requirements for Non Personalized Vault Cards.

• Card Dimensions ISO/IEC 7810:2003; Section 5.0• Card Warpage ISO/IEC 7810:2003; Section 8.11• Card Corners ISO/IEC 7810:2003; Section 5.0• Card Dimensional Stability with Temp and Humidity ISO/IEC 7810:2003; Section 8.5• Bending Stiffness ISO/IEC 7810:2003; Section 8.1• Resistance to chemicals (Artificial Perspiration Solution Test) ISO/IEC 7810:2003; Section 8.4

These tests will be performed on Non Personalized vault card plastic at start up and at every card vendor stock re-supply order (per requirement in Section 6 of the CBIC RFP). If card vendor is having card production and personalization done by a 3rd party vendor, the prime contractor will be responsible for coordinating the testing requirements with the 3rd party vendor and providing the results to OTDA for approval. Results from the testing will be sent directly to the OTDA from the test facility.

ISO/IEC/ANSI Test Requirements for Personalized Vault Card Stock.

Note: The below tests are to be performed only on vault card stock that passed the above testing criteria for Non-Personalized vault card stock.

• Signal Amplitude & Jitter ISO/IEC 7811-2, -6, -7:2008 Section 7-12• Character Decode ISO/IEC 7811-2, -6, -7:2008 Section 7-12• Location of Encoded Tracks ISO/IEC 7811-2, -6, -7:2008 Section 7-12• Location of First One Bit (start sentinel) ISO/IEC 7811-2, -6, -7:2008 Section 7-12• Location of Last One Bit (end sentinel) ISO/IEC 7811-2, -6, -7:2008 Section 7-12

These tests will be performed on Personalized vault card plastic at start up and at every card vendor stock re-supply order (per requirement in Section 6 of the CBIC RFP). If card vendor is having card production and personalization done by a 3rd party vendor, the prime contractor will be responsible for coordinating the testing requirements with the 3rd party vendor and providing the results to OTDA for approval. Results from the testing will be sent directly to the OTDA from the test facility. Cards may be subject to quarterly testing to assure compliance with the above requirements.

Next: Section 4: Quarterly Testing Requirements

Section 4: Quarterly Testing Requirements (Authorized Representative and Client CBIC cards)

Mailed Card Testing: 10 Card Requirement (7 Client CBICs and 3 Auth Rep CBIC’s)

1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.10

5

Quarterly Testing Requirements (Authorized Representative and Client CBIC cards)

Over The Counter Card Testing (Personalized Cards) 10 Card Requirement (5 from each OTC location)

1. ISO/IEC 7813 Section 7.2 Table 2 Track 2 Data Structure and Information2. Signal Amplitude & Jitter ISO/IEC 10373-2: 2006 Section 5.53. Character Decode : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.104. Location of Encoded Tracks : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.105. Location of First One Bit (start sentinel) : ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.106. Location of Last One Bit (end sentinel): ISO/IEC 10373-2: 2006 Section(s) 5.6, 5.9 and 5.107. Card warpage: ISO/IEC 7810:2003; Section 8.11

The above tests will be performed on a quarterly basis to ensure that the CBIC’s being produced are meeting the standards required. The quarterly testing schedule will be established by the card vendor at start up and must meet the OTDA’s approval. It will be the responsibility of the card vendor to supply verified test results to the OTDA from the tests performed according to the agreed to testing schedule. All tests will be performed on production card stock using current production hardware. Results from the quarterly test will be sent directly to the OTDA from the test facility.

Introduction: As a requirement of the CBIC RFP, the contractor is required to provide a Vault Card Issuance

Tracking and Inventory Control system. The required system will be a two part system. The primary function is as an Inventory Tracking System responsible for maintaining an accurate inventory of all the states Vault Cards from the Master Inventory maintained and distributed by the CBIC card vendor to the daily “on hand” inventories of each district throughout New York State and New York City. The daily on hand quantities will reflect the issuance of vault cards from each district by the reduction in each districts specific inventory counts.

The second part of the system is an Administrative System. The administrative system must provide access by authorized OTDA and District users to monitor their inventories and inquire on the issuance of the CBIC Vault cards that have occurred in their district. The following documentation identifies the requirements for the system the OTDA requires.

Section 1: Inventory Component Section 2. Issuance Tracking Component Section 3 System Access and Security Section 4 Exception Reporting Section 5 Additional Requirements

NEW YORK STATE

Exhibit 16 New York State CBIC Vault Card Issuance Tracking

and Inventory Control SystemRequirements

Section 1: Card Vendor Inventory System Component

The purpose of the Vault Card Inventory component of the Vault Card system is to: 1. Maintain and report out the daily Vault Card inventory levels for each district statewide, including New York City , which for the purpose of this document will be considered a district . 2. Initiate and provide a card re-order process to the districts and NYC, driven by predefined

card quantities provided by the OTDA 3. Provide supplemental orders of Vault Cards during emergencies and/or disasters.

The District card inventory starting levels are pre-defined by the OTDA using the most recent card activation volumes (per district) available to define the required volume of cards to be supplied to each district. As vault cards are activated within the districts or NYC, the inventory levels in each district are decremented to reflect each vault card activation (by district) therefore being reflected in the O/H (on hand) inventory level, required to be displayed for each district (See below). Upon activation/issuance of vault cards, the OTDA’s CBIC system will send to the card contractor a Vault Card activation record for use in the Vault Card Inventory and Issuance Tracking system. The card data being transmitted will be in a standard card request format the same as a permanent CBIC card request is. The vendors system will require the ability to know a vault card activation from a permanent card request. The Vault Card record is unique in that the card number in the record will display a “2” in the 7th position and will end with “00” in the 18th and 19th

position of the card number. These records when received will be used in the Vault Card system to follow the inventory levels per district. The inventory tracking process must begin from the date that the new CBIC contractors system goes on line and will be required to maintain current inventory levels, re-ordering , emergency ordering processes and user access for the life of the contract.

1.1 Re-Supply Notifications: The vendor will be required to have a notification process in place . The process must provide re-supply notifications to be sent to a district when they have reached the “re-order trigger point” explained below. The process should consist of a series of email contacts to a district representative defined in the vault card system as the district P.O.C. (Point Of Contact). Each district will have at least one P.O.C but multiple P.O.C’s and additional users must be supported. This should be considered during the development of the admin section of the system. A current P.O.C. contact list is provided in Exhibit 14 of the CBIC RFP. The current notification process consists of three notification e-mails to the district P.O.C that occur at 1 (one) week intervals. If no response is received by the card vendor at the end of the week in which the third notice was sent, the system automatically processes the required order and ships it to the district. Notification is then made to the OTDA so that a follow up inquiry with the district can be made to alert them of the order placement. Processing of card orders and the time to ship orders must be defined and meet OTDA approvals. The initial inventory will include any and all transferred inventory (if OTDA chooses to migrate the existing inventory if any remains) as listed in Section 2.5.3.4 of the CBIC RFP.

1.2 District inventory levels, re-order trigger points and quantities: Initial Inventory levels and Re-Order trigger points are defined by the OTDA and will be provided to the vendor to populate their database. It will be the vendors responsibility to assure accurate inventory control. The ability to modify the initial inventory levels, re-order trigger points and re-order quantities needs to be considered when designing the database that supports this system. The re-order trigger points and shipment quantities must be capable of being modified at no additional cost if the state so requests at any time throughout the term of the contract.

1.3 Disaster Vault Card Inventory: The standard Vault Card Inventories housed in each district are also used as the states disaster card inventory. The district inventory re-order levels are adjusted to represent an overhead of cards above the normal district inventory levels to provide additional cards that may be required for issuance during disasters. This basically maintains an overhead in district inventories above what would be required for normal daily/monthly issuance. The expectation of the OTDA is that this amount, above normal inventory use, would supply a district with approx. 7-10 days of emergency card issuance in the case of a disaster. Each inventory level (for all districts) is based on the overall population densities as well as client participation in existing NYS benefit services within each district. In the event of a disaster, whether localized or of large scale, the card vendor is required to have an emergency ordering process in place to support supplemental and emergency orders of vault cards. This process is required during the localized or wide spread disaster when additional inventory(s) of cards may be required. This process must provide a method for a local district or the OTDA to make contact with the card vendor at any time (24/7/365) to implement an emergency order of vault cards to be overnight shipped to either the standard delivery location or another location which may differ from the standard delivery address for regular vault card orders. This requirement is necessary to address the possible complete loss of the regular district location and / or to support a site location closer to the affected geographic area. The vendor will be required to display their proposed solution(s) for this during their presentation(s). Any solution will be subject to OTDA approval before system implementation. A screenshot of the current inventory control screen with required additional modifications is provided below for reference purposes. 1.4 Special Requirements: AT System Card Activation: All Districts (Including NYC) The vault card activation process can occur in 2 ways. The first way is through the states CBIC application which is the standard method. There exists a secondary activation system controlled by the states EBT vendor that allows for the activation of a vault card through the EBT vendors “Admin System”. This system which does not currently allow for the transfer of card activation data back to the states CBIC system renders the vault card activation records unavailable to the vendor housed Vault Card tracking system when activated through this system, known as the EBT AT system. In order to add these records to the appropriate district inventory the vendor will be required to develop a method of processing a file or multiple files of these activation records (delivery method TBD). The file format will be supplied during the design phase of the Inventory Control System. Possible SFTP scheduled file transfers or real time on demand file transfer methods should be considered. 1.5 Data Display Requirements: Inventory Component: All Districts (Including NYC)

The system will present the following information to authorized district and OTDA personnel:

District Specific Data:

1. Current On Hand Inventory (running total of cards issued against district inventory) 2. Date of last shipment received. 3. District Vault card coordinator contact information (updateable) 4. Emergency Vault card order process. Established request and delivery protocols (Contact Information

required to initiate an immediate order of cards in case of emergency that is expected to deplete the card inventory quicker than normal.

Section 2. Card Issuance Tracking Component All Districts (Including NYC)

As stated in the introduction, this required system is a two part system. Part two of the Vault Card System is the issuance tracking component. The purpose of the Vault Card Issuance Tracking component is to allow for state and district user’s to search on activated vault cards and the associated information on vault cards that have been activated in their districts or throughout New York State.

Upon issuance of vault cards, the OTDA’s CBIC system will send to the card contractor a Vault Card activation record for use in the Vault Card Inventory and Issuance Tracking system. The card data being transmitted will be in a standard card request format the same as a permanent CBIC card request is (**see note in section 2.1). The contractors database will use this information for inventory control and issuance tracking and reporting from the vault card system. The record search should be capable of displaying the below listed data to the individual performing the search. The search function for a basic district user role is a “district specific” role. District level users are not allowed cross district searching of activated card records and inventory information. The system must assure that parameters exist that allow only the records issued within the district performing the search to be viewed. Elevated user roles which will be made available to authorized users, will provide a broader search range as is required by the CBIC RFP Section: 2.5.3.3.

2.1 The proposed data to be viewable from the contractors Vault Card Issuance Tracking and Inventory Control System: All Districts (Including NYC)

1. Vault card Number 2. Activation Date 3. Client CIN # / App-Reg# 4. Client Name : Last Name 5. Client Name : First Name /MI 6. Client Address from card activation record 7. Issuing User ID : ** **To facilitate the this requirement, the Issuing “UserID” is sent in the “Case#” Field of the card activation record. This should be used to fulfill the above requirement of displaying the Issuing User ID. 8. District ID (from card vendor if not available from CBIC) All cards being activated require linking to the correct issuing LSSD to enable accurate inventory levels and tracking controls used in the Vault Card Issuance Tracking and Inventory Control System. Additional data may be required (TBD during system build out). 2.2 Data Display and Search Options: Card Issuance Tracking Component: Admin System/Vault Card System: All Districts (Including NYC) The tracking component should allow the authorized user the following search options. 1. Search via CIN# 2. Search via Case # 3. Search via App-Reg # 4. Search via card number 5. Date Range Search: from real-time through historical. 6. Name Search: Last or First, Last and First MI

Section 3: Security/System Access All Districts (Including NYC)

The proposed system will be a secured “User Role” based system using defined access roles that will be assigned to personnel requiring access to various levels of the system. The same requirements for the vendor supplied CBIC Admin system can be utilized. The Vault Card system can be a subsystem of the required Admin system as long as access requirements to specific data only, can be enforced. All roles suggested by the vendor will be reviewed by OTDA before acceptance. Section 4: Exception Reporting All Districts (Including NYC)

The vault card system will require the ability to supply OTDA with “exception” reporting. The context of the reports should include, for example: Vault Cards issued but not in vendor inventory. i.e. possible cards from a previous inventory not migrated to the system. Cross district vault card activations: Example: Vault card corresponding to inventory in district A is activated in district C. This will requires the vendor to enter card ranges to be supplied to a specific district on initial load and each subsequent order of vault card stock. The data to accompany the reports should include all above listed data in section 1 for all exception reports. Section 5: Additional Card Vendor Requirements:

5A Upon termination of the contract the contractor will be required to provide a migration/conversion process of the data to the new CBIC card contractor. The migration process will be documented and will require approval by the OTDA before contract start date. 5B System Design :Current System Examples (screenshots below): The below are being provided to display the existing system which is a functional and efficient web based access portal . OTDA recommends modeling of the replacement portal, provide , at a minimum, the same level of usability and familiarity that exists in the current system design.

Inventory Control Screen

Card Issuance Tracking System Vault Card System Search: Note: Access should be restricted to the inquiring district ONLY. Specific roles to be defined for access levels. Only elevated Admin level roles will be able to have cross district search capabilities. Search Parameter Screen.

Additional requirements for this screen will be the Emergency Contact and supplemental delivery parameters. Screen will require an emergency order portal that can be accessed by OTDA designated personnel to be able to initiate an emergency order if required due to a disaster. Screen will also display current district Vault Card contact (POC) information. And date of last vault card order received.

Emergency Information

Vault card POC information

Date Last Shipment Rec. 00/00/0000

Search Parameter Screen displaying date range search option . Additional search options are available (screen as shown in the above screen displayed. (screen displayed for reference purpose only)

Date range search defined (screen displayed for reference purpose only)

Search Return Screen (screen displayed for reference purpose only)

Individual Record search from search return screen. (screen displayed for reference purpose only)

Individual Record Search return screen. A template of the NY State vault card is used to display the exact information contained in the corresponding record. To the right is the additional data contained in the activation record (screen displayed for reference purpose only)

(Rev. 9/17)

APPENDIX Y

Service Disabled Veteran Owned Businesses (SDVOB) Participation Requirements for NYS Office of Temporary and Disability Assistance Contracts

Article 17-B of the New York State Executive Law provides for more meaningful participation in public procurement by certified Service-Disabled Veteran-Owned Businesses (“SDVOB”), thereby further integrating such businesses into New York State’s economy. OTDA recognizes the need to promote the employment of service-disabled veterans and to ensure that certified service-disabled veteran-owned businesses have opportunities for maximum feasible participation in the performance of OTDA contracts.

In recognition of the service and sacrifices made by service-disabled veterans and in recognition of their economic activity in doing business in New York State, Bidders are expected to consider SDVOBs in the fulfillment of the requirements of the Contract. Such participation may be as subcontractors or suppliers, as protégés, or in other partnering or supporting roles.

I. Contract Goals

A. OTDA hereby establishes an overall goal of 6% for SDVOB participation, based on thecurrent availability of qualified SDVOBs. For purposes of providing meaningfulparticipation by SDVOBs, the Bidder/Contractor should reference the directory of NewYork State Certified SDVOBs found at:https://ogs.ny.gov/veterans/Docs/CertifiedNYS_SDVOB.pdf. Questions regardingcompliance with SDVOB participation goals should be directed to the OTDA DesignatedContacts. Additionally, following Contract execution, Contractor is encouraged tocontact the Office of General Services’ Division of Service-Disabled Veterans’ BusinessDevelopment at 518-474-2015 or VeteransDevelopment@ogs.ny.gov to discussadditional methods of maximizing participation by SDVOBs on the Contract.

B. Contractor must document “good faith efforts” to provide meaningful participation bySDVOBs as subcontractors or suppliers in the performance of the Contract (see clauseIV below).

II. SDVOB Utilization Plan

A. In accordance with 9 NYCRR § 252.2(i), Bidders are required to submit a completedSDVOB Utilization Plan on Form SDVOB 100 with their bid.

B. The Utilization Plan shall list the SDVOBs that the Bidder intends to use to perform theContract, a description of the work that the Bidder intends the SDVOB to perform tomeet the goals on the Contract, the estimated dollar amounts to be paid to an SDVOB,or, if not known, an estimate of the percentage of Contract work the SDVOB will perform.By signing the Utilization Plan, the Bidder acknowledges that making falserepresentations or providing information that shows a lack of good faith as part of, or inconjunction with, the submission of a Utilization Plan is prohibited by law and may resultin penalties including, but not limited to, termination of a contract for cause, loss ofeligibility to submit future bids, and/or withholding of payments. Any modifications orchanges to the agreed participation by SDVOBs after the Contract award and during the

(Rev. 9/17)

term of the Contract must be reported on a revised SDVOB Utilization Plan and submitted to OTDA.

C. OTDA will review the submitted SDVOB Utilization Plan and advise the Bidder/Contractor of OTDA acceptance or issue a notice of deficiency within 20 days of receipt.

D. If a notice of deficiency is issued, Bidder/Contractor agrees that it shall respond to the notice of deficiency, within seven business days of receipt, by submitting to OTDA a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by OTDA to be inadequate, OTDA shall notify the Bidder/Contractor and direct the Bidder/Contractor to submit, within five business days of notification by OTDA, a request for a partial or total waiver of SDVOB participation goals on SDVOB 200. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal.

E. OTDA may disqualify a Bidder’s bid or proposal as being non-responsive under the following circumstances: (a) If a Bidder fails to submit an SDVOB Utilization Plan; (b) If a Bidder fails to submit a written remedy to a notice of deficiency; (c) If a Bidder fails to submit a request for waiver; or (d) If OTDA determines that the Bidder has failed to document good faith efforts.

F. If awarded a Contract, Contractor certifies that it will follow the submitted SDVOB Utilization Plan for the performance of SDVOBs on the Contract pursuant to the prescribed SDVOB contract goals set forth above.

G. Contractor further agrees that a failure to use SDVOBs as agreed in the Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, OTDA shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsibility.

III. Request for Waiver

A. Prior to submission of a request for a partial or total waiver, Bidder/Contractor shall speak to the designated contacts at OTDA for guidance.

B. In accordance with 9 NYCRR § 252.2(m), a Bidder/Contractor that is able to document

good faith efforts to meet the goal requirements, as set forth in clause IV below, may submit a request for a partial or total waiver on Form SDVOB 200, accompanied by supporting documentation. A Bidder may submit the request for waiver at the same time it submits its SDVOB Utilization Plan. If a request for waiver is submitted with the SDVOB Utilization Plan and is not accepted by OTDA at that time, the provisions of clauses II (C), (D) & (E) will apply. If the documentation included with the Bidder’s/Contractor’s waiver request is complete, OTDA shall evaluate the request and issue a written notice of acceptance or denial within 20 days of receipt.

C. Contractor shall attempt to utilize, in good faith, the SDVOBs identified within its SDVOB

Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract award may be

(Rev. 9/17)

made at any time during the term of the Contract to OTDA, but must be made no later than prior to the submission of a request for final payment on the Contract.

D. If OTDA, upon review of the SDVOB Utilization Plan and Monthly SDVOB ComplianceReport (SDVOB 101) determines that Contractor is failing or refusing to comply with thecontract goals and no waiver has been issued in regards to such non-compliance, OTDAmay issue a notice of deficiency to the Contractor. The Contractor must respond to thenotice of deficiency within seven business days of receipt. Such response may include arequest for partial or total waiver of SDVOB contract goals. Waiver requests should besent to OTDA.

IV. Required Good Faith Efforts

In accordance with 9 NYCRR § 252.2(n), Contractors must document their good faith efforts toward utilizing SDVOBs on the Contract. Evidence of required good faith efforts shall include, but not be limited to, the following:

(1) Copies of solicitations to SDVOBs and any responses thereto.

(2) Explanation of the specific reasons each SDVOB that responded toBidders/Contractors’ solicitation was not selected.

(3) Dates of any pre-bid, pre-award or other meetings attended by Contractor, if any,scheduled by OTDA with certified SDVOBs whom OTDA determined were capable offulfilling the SDVOB goals set in the Contract.

(4) Information describing the specific steps undertaken to reasonably structure theContract scope of work for the purpose of subcontracting with, or obtaining suppliesfrom, certified SDVOBs.

(5) Other information deemed relevant to the waiver request.

V. Monthly SDVOB Contractor Compliance Report

In accordance with 9 NYCRR § 252.2(q), Contractor is required to report Monthly SDVOB Contractor Compliance to OTDA during the term of the Contract for the preceding month’s activity, documenting progress made towards achieving the Contract SDVOB goals. This information must be submitted using form SDVOB 101 available on the OTDA website and should be completed by the Contractor and submitted to OTDA, by the 7th day of each month during the term of the Contract, for the preceding month’s activity to the contract’s designated Contract/Program Manager at OTDA.

(Rev. 1/18)

1

Appendix Z

Minority and Women-Owned Business Enterprise (MWBE) participation requirements for all NYS Office of Temporary and Disability Assistance Contracts

I. General Provisions

A. The OTDA is required to implement the provisions of New York State Executive Law Article15-A and Parts 140-145 of Title 5 of the New York Codes, Rules and Regulations (“NYCRR”)for all State contracts, as defined therein, with a value (1) in excess of $25,000 for labor,services, equipment, materials, or any combination of the foregoing or (2) in excess of$100,000 for real property renovations and construction.

B. The contractor to the subject contract (the “Contractor” and the “Contract,” respectively)agrees, in addition to any other nondiscrimination provision of the Contract and at no additionalcost to OTDA, to fully comply and cooperate with OTDA in the implementation of New YorkState Executive Law Article 15-A and the regulations promulgated thereunder. Theserequirements include equal employment opportunities for minority group members and women(“EEO”) and contracting opportunities for New York State-certified minority and women-ownedbusiness enterprises (“MWBEs”). The Contractor’s demonstration of “good faith efforts”pursuant to 5 NYCRR § 142.8 shall be a part of these requirements. These provisions shall bedeemed supplementary to, and not in lieu of, the nondiscrimination provisions required by NewYork State Executive Law Article 15 (the “Human Rights Law”) and other applicable federal,state, and local laws.

C. Failure to comply with all of the requirements herein may result in a finding of non-responsiveness, non-responsibility and/or a breach of contract, leading to the assessment ofliquidated damages pursuant to Section VII of this Appendix and such other remedies areavailable to OTDA pursuant to the Contract and applicable law.

II. Contract Goals

A. For purposes of this Contract, OTDA hereby establishes an overall goal of 30% for MWBE participation, 15% for New York State-certified minority-owned business enterprise (“MBE”) participation and 15% for New York State-certified women-owned business enterprise (“WBE”) participation (collectively, “MWBE Contract Goals”) based on the current availability of MBEs and WBEs.

B. For purposes of providing meaningful participation by MWBEs on the Contract and achieving the MWBE Contract Goals established in Section II-A hereof, the Contractor should reference the directory of MWBEs at the following internet address: https://ny.newnycontracts.com. Additionally, the Contractor is encouraged to contact the Division of Minority and Women’s Business Development at (212) 803-2414 to discuss additional methods of maximizing participation by MWBEs on the Contract.

(Rev. 1/18)

2

C. The Contractor understands that only sums paid to MWBEs for the performance of acommercially useful function, as that term is defined in 5 NYCRR § 140.1, may be appliedtowards the achievement of the applicable MWBE participation goal. [FOR CONSTRUCTIONCONTRACTS – The portion of a contract with an MWBE serving as a supplier that shall bedeemed to represent the commercially useful function performed by the MWBE shall be 60%of the total value of the contract. The portion of a contract with an MWBE serving as a brokerthat shall be deemed to represent the commercially useful function performed by the MWBEshall be the monetary value for fees, or the markup percentage, charged by the MWBE]. [FORALL OTHER CONTRACTS - The portion of a contract with an MWBE serving as a broker thatshall be deemed to represent the commercially useful function performed by the MWBE shallbe 25% of the total value of the contract]

D. The Contractor must document “good faith efforts,” pursuant to 5 NYCRR § 142.8, to providemeaningful participation by MWBEs as subcontractors and suppliers in the performance of theContract. Such documentation shall include, but not necessarily be limited to:

1. Evidence of outreach to MWBEs;2. Any responses by MWBEs to the Contractor’s outreach;3. Copies of advertisements for participation by MWBEs in appropriate general circulation,

trade, and minority or women-oriented publications;4. The dates of attendance at any pre-bid, pre-award, or other meetings, if any, scheduled

by OTDA with MWBEs; and,5. Information describing specific steps undertaken by the Contractor to reasonably

structure the Contract scope of work to maximize opportunities for MWBE participation.

III. Equal Employment Opportunity (“EEO”)

A. The provisions of Article 15-A of the Executive Law and the rules and regulations promulgatedthereunder pertaining to equal employment opportunities for minority group members andwomen shall apply to the Contract.

B. In performing the Contract, the Contractor shall:

1. Ensure that each contractor and subcontractor performing work on the Contract shallundertake or continue existing EEO programs to ensure that minority group members andwomen are afforded equal employment opportunities without discrimination because of race,creed, color, national origin, sex, age, disability or marital status. For these purposes, EEOshall apply in the areas of recruitment, employment, job assignment, promotion, upgrading,demotion, transfer, layoff, or termination and rates of pay or other forms of compensation.

2. The Contractor shall submit an EEO policy statement to OTDA within seventy-two (72)hours after the date of the notice by OTDA to award the Contract to the Contractor.

3. If the Contractor, or any of its subcontractors, does not have an existing EEO policystatement, OTDA may require the Contractor or subcontractor to adopt a model statement

(Rev. 1/18)

3

(see Form OTDA-4970 Minority and Women-owned Business Enterprise – Equal Employment Opportunity Policy Statement).

4. The Contractor’s EEO policy statement shall include the following language:

a. The Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability, or marital status, will undertake or continue existing EEO programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force.

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

c. The Contractor shall request each employment agency, labor union, or authorized

representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union, or representative will not discriminate on the basis of race, creed, color, national origin, sex age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein.

d. The Contractor will include the provisions of Subdivisions (a) through (c) of this Subsection 4 and Paragraph “E” of this Section III, which provides for relevant provisions of the Human Rights Law, in every subcontract in such a manner that the requirements of the subdivisions will be binding upon each subcontractor as to work in connection with the Contract.

C. Form OTDA-4934 - Staffing Plan

To ensure compliance with this Section, the Contractor shall submit a staffing plan to document the composition of the proposed workforce to be utilized in the performance of the Contract by the specified categories listed, including ethnic background, gender, and Federal occupational categories. The Contractor shall complete the staffing plan form and submit it as part of their bid or proposal or within a reasonable time, as directed by OTDA.

D. Form OTDA-4971 - Workforce Utilization Report

To ensure compliance with this Section, the Contractor shall do the following:

1. Complete a Workforce Utilization Report, and shall require each of its subcontractors to

submit a Workforce Utilization Report, in such form as shall be required by OTDA on a QUARTERLY basis during the term of the Contract.

(Rev. 1/18)

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2. Separate forms shall be completed by the Contractor and any subcontractors.

3. Pursuant to Executive Order #162, contractors and subcontractors are also required to report the gross wages paid to each of their employees for the work performed by such employees on the contract on a quarterly basis.

E. The Contractor shall comply with the provisions of the Human Rights Law, and all other State

and Federal statutory and constitutional non-discrimination provisions. The Contractor and its subcontractors shall not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

IV. MWBE Utilization Plan

A. The Contractor represents and warrants that the Contractor has submitted an MWBE Utilization Plan, or shall submit an MWBE Utilization Plan at such time as shall be required by OTDA, through the New York State Contract System (“NYSCS”), which can be viewed at https://ny.newnycontracts.com, provided, however, that the Contractor may arrange to provide such evidence via a non-electronic method to OTDA, either prior to, or at the time of, the execution of the contract.

B. The Contractor agrees to adhere to such MWBE Utilization Plan in the performance of the

Contract.

C. The Contractor further agrees that failure to submit and/or adhere to such MWBE Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, OTDA shall be entitled to any remedy provided herein, including but not limited to, a finding that the Contractor is non-responsive.

V. Waivers

A. If the Contractor, after making good faith efforts, is unable to achieve the MWBE Contract Goals stated herein, the Contractor may submit a request for a waiver through the NYSCS, or a non-electronic method provided by OTDA. Such waiver request must be supported by evidence of the Contractor’s good faith efforts to achieve the maximum feasible MWBE participation towards the applicable MWBE Contract Goals. If the documentation included with the waiver request is complete, OTDA shall evaluate the request and issue a written notice of approval or denial within twenty (20) business days of receipt.

B. If OTDA, upon review of the MWBE Utilization Plan, quarterly MWBE Contractor Compliance

Reports described in Section VI, or any other relevant information, determines that the Contractor is failing or refusing to comply with the MWBE Contract Goals, and no waiver has been issued in regards to such non-compliance, OTDA may issue a notice of deficiency to the Contractor. The Contractor must respond to the notice of deficiency within seven (7) business

(Rev. 1/18)

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days of receipt. Such response may include a request for partial or total waiver of MWBE Contract Goals.

VI. Quarterly MWBE Contractor Compliance Report The Contractor is required to submit a quarterly MWBE Contractor Compliance Report through the NYSCS, provided, however, that the Contractor may arrange to provide such report via a non-electronic method to OTDA by the 10th day following the end of each quarter during the term of the Contract. VII. Liquidated Damages - MWBE Participation

A. Where OTDA determines that the Contractor is not in compliance with the requirements of this Appendix and the Contractor refuses to comply with such requirements, or if the Contractor is found to have willfully and intentionally failed to comply with the MWBE participation goals, the Contractor shall be obligated to pay to OTDA liquidated damages.

B. Such liquidated damages shall be calculated as an amount equaling the difference between:

1. All sums identified for payment to MWBEs had the Contractor achieved the contractual

MWBE goals; and

2. All sums actually paid to MWBEs for work performed or materials supplied under the Contract.

C. In the event a determination has been made which requires the payment of liquidated damages and such identified sums have not been withheld by OTDA, the Contractor shall pay such liquidated damages to OTDA within sixty (60) days after they are assessed. Provided, however, that if the Contractor has filed a complaint with the Director of the Division of Minority and Women’s Business Development pursuant to 5 NYCRR § 142.12, liquidated damages shall be payable only in the event of a determination adverse to the Contractor following the complaint process.