RFP 17-100
Financial Institution Data Match Services
Exhibits
Exhibits Page 4 of 79
Table of Contents
Exhibit A - Contractor Sales Tax Certification Forms 3
Exhibit B – State Consultant Services – Contractor’s Planned Employment – Form A 9
Exhibit C – Contractor’s Annual Employment Report – Form B 10
Exhibit D – New York State Office of the State Comptroller Substitute Form W-9 11
Exhibit E – Preliminary Base Contract 13
Exhibit F – Minority and Women-Owned Business Enterprises – Equal Employment Opportunity Policy Statement 56
Exhibit G - Work Force Employment Utilization 58
Exhibit H - Request For Waiver Form 59
Exhibit I – MWBE Quarterly Report 61
Exhibit 1 – NYS Tax Law, Article 36 § 1701 63
Exhibit 2 – FIDM Reports 65
Exhibit 3 – Security, Confidentiality and Integrity of Data 70
Exhibit 4 - Request File Layout 75
Exhibit 5 - Return File Layout 77
Exhibit A - Contractor Sales Tax Certification Forms
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Exhibit B – State Consultant Services – Contractor’s Planned Employment – Form A
New York State Consultant ServicesContractor's Planned Employment
From Contract Start Date Through the End of the Contract Term
State Agency Name: NYS Department of Taxation and Finance
State Agency Department ID: 3850000 / Agency Business Unit: TAX01
Contractor Name: / Contract Number:
Contract Start Date: // / Contract End Date: //
Employment Category / Number of Employees / Number of hours to be worked / Amount Payable Under the Contract
Total this page / 0 / 0 / $ 0.00
Grand Total
Name of person who prepared this report:
Title: / Phone #:
Preparer's Signature:
Date Prepared://
(Use additional pages, if necessary) / Page of
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Exhibit C – Contractor’s Annual Employment Report – Form B
New York State Consultant ServicesContractor’s Annual Employment Report
Report Period: April 1, to March 31,
Contracting State Agency Name: NYS Department of Taxation and Finance
Contract Number: / Agency Business Unit: TAX01
Contract Term: // to // / Agency Department ID: 3850000
Contractor Name:
Contractor Address:
Description of Services Being Provided:
Scope of Contract (Choose one that best fits):
Analysis Evaluation Research Training
Data Processing Computer Programming Other IT consulting
Engineering Architect Services Surveying Environmental Services
Health Services Mental Health Services
Accounting Auditing Paralegal Legal Other Consulting
Employment Category / Number of Employees / Number of
Hours Worked / Amount Payable Under the Contract
Total this page / 0 / 0 / $ 0.00
Grand Total
Name of person who prepared this report:
Title: / Phone #:
Preparer's Signature:
Date Prepared://
(Use additional pages, if necessary) / Page of
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Exhibit D – New York State Office of the State Comptroller Substitute Form W-9
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Exhibit E – Preliminary Base Contract
THIS AGREEMENT made this XX day of XXX by and between the New York State Department of Taxation and Finance, located at Building 9, W.A. Harriman State Office Campus, Albany, New York 12227 (hereinafter referred to as the “Department” or “DTF”) and [Contactor Name], with principal place of business located at [Contractor Address] (hereinafter referred to as the “Contractor”). The Department and the Contractor are collectively referred to herein as the “Parties.”
WHEREAS, the Department issued Request for Proposals (RFP) 17-100 on November 3, 2017, seeking proposals for Financial Institution Date Match (FIDM) Services; and
WHEREAS, the Contractor timely submitted a responsive proposal to provide the Services set forth in RFP 17-100 and the Department has determined the Contractor is responsible; and
WHEREAS, pursuant to Section 7 of said RFP, the Contractor was determined to have provided the best value proposal and has been determined capable of providing the Services; and
WHEREAS, the Contractor is prepared to undertake performance of Financial Institution Data Match Services per the terms of this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants and conditions herein set forth, the Parties hereto agree as follows:
Article I. Definitions
The following terms when used herein shall have the specified meanings:
Agreement means this Contract C4007XX, which includes all documents identified in Article II, Order of Precedence.
Attorney General or AG means the Office of the New York State Attorney General, or his/her designee.
Base Contract means that portion of the Agreement preceding the signatures of the Parties.
Commissioner means the Commissioner of the New York State Department of Taxation and Finance, or his/her designee.
Contractor means [successful Bidder’s name to be inserted here].
Cure Period means the period of time during which Contractor may have the opportunity to cure a Deficiency or a Material Breach.
Deficiency means any failure by Contractor to meet requirements in providing the Services pursuant to this Agreement.
Dispute Resolution means the process set forth in Article X for resolving disputes arising under this Agreement.
Material Breach means the failure to perform an obligation that the Contractor is bound to perform under this Agreement which significantly impacts the Department or is so fundamental to the Agreement that the Contractor’s failure to perform defeats its purpose. See Article XIV for examples of Material Breach.
Notice of Deficiency or NOD means a written notice which may be issued by DTF in its sole discretion to set forth a Deficiency.
OSC - the New York State Office of the State Comptroller.
Proposal - the bid submitted by Contractor in response to RFP 17-100.
Services – all functions and work to be performed by the Contractor, including but not limited to routine services, required to be performed by Contractor in accordance with RFP 17-100, and this Agreement, as modified through any Change Procedures, if applicable
Article II. Order of Precedence
The entire Agreement shall consist of the documents listed below. Conflicts between these documents shall be resolved in the following order of precedence:
Appendix A of the RFP, “Standard Clauses for NYS Contracts”, dated January 2014;
Attachment 12 – DTF-202, Agreement to Adhere to the Secrecy Provisions of the Tax Law and the Internal Revenue Code, dated December 2014;
Attachment 13 – Acknowledgement of Confidentiality of IRS Tax Return Information and Internal Revenue Code Selected Confidentiality Provisions Pertaining to Contractors (Technology Services);
Base Contract;
Any Amendments and Clarifications to RFP 17-100, including Questions and Answers, as follows; [List by Title and/or Date]
RFP 17-100 (including all attachments to the RFP), but excluding Appendix A, Attachment 12, Attachment 13, all Amendments and Clarifications, and all Questions and Answers;
Contractor’s Proposal Clarifications, as follows; [List by Title and/or Date] and
Contractor’s Proposal, excluding Contractor’s Proposal Clarifications.
Article III. Contractor Responsibilities
In addition to the Contractor’s responsibilities set forth elsewhere in the Agreement, the Contractor shall:
· Provide and perform all Services as required by the RFP 17-100 and in the Contractor’s Proposal in response to RFP 17-100;
· Warrant and affirm that the terms of this Agreement do not violate any contract or agreement to which it is a party and that its other contractual obligations will not adversely influence its capabilities to perform under this Agreement;
· Comply with the Secrecy requirements set forth in Article VII herein;
· Maintain insurance as set forth in RFP 17-100 and this Agreement;
· Maintain accurate records;
· Accept Department oversight, and keep the Department informed of any problems encountered in providing Services;
· Ensure Subcontractor compliance with all responsibilities under this Agreement, as applicable;
· Meet Minority and Women-Owned Business Enterprise (MWBE) goals as outlined in Article XIV.ii of this Agreement;
· Pay, at its sole expense, all applicable permits, licenses, tariffs, tolls, and fees and give all notices and comply with all federal, state, and local laws, ordinances, rules, and regulations of any governmental entity in conjunction with the performance of obligations under the Agreement;
· Not to disclose the data provided by the Department to any other individual or entity except as expressly provided by law. The data provided, while in the custody of the Contractor, must be kept confidential, and the Contractor must take all reasonable and prudent steps to ensure the data is fully protected and secured;
· Immediately notify the Department in the event of any unauthorized disclosure of Tax Debtor information;
· Work in good faith with the Department to accommodate any system enhancements. See RFP Financial Requirement 5.C.;
· Make good faith efforts to follow any recommendations made by the Department regarding the performance of the Agreement;
· Notify the Department in writing whenever non-material deviation from any of the Requirements contained in the Agreement is necessary. Such notification shall specify the reason strict adherence to a Requirement is not possible and the specific time period(s) during which such adherence is not possible. Written approval from the Department is required to release the Contractor from strict adherence to Requirements and procedures. Material deviations are not permitted and may be considered a Material Breach of this Agreement;
· Ensure that Contractor team members observe the Department work rules while working on the Department premises;
· Require all staff assigned to provide the Services required in this Agreement, including Subcontractors, to complete the Department’s Annual Security Awareness Training on the Department’s website;
· Immediately notify the Department of any instance of employee discipline or termination(s) related to misconduct in the performance of the Services required in this Agreement; and
· The Contractor accepts sole and complete responsibility for the timely accomplishment of all activities required under this Agreement. The Contractor shall:
1. Identify a Project Manager who will be responsible for directing work to be done under this Agreement. The Department will appoint a Project Manager to work with the Contractor’s Project Manager. The Department’s Project Manager and the Contractor’s Project Manager will hold meetings in such form and at the time and place and at a frequency specified by the Department’s Project Manager.
2. Provide for normal day-to-day communications through the Contractor’s Project Manger, who shall be responsible for maintaining the level of liaison and cooperation with the Department necessary for proper performance of all contractual responsibilities. The Contractor's Project Manager will be expected to communicate through and meet with the person so designated by the Department, when requested by the Department’s Project Manager or the designated Department employee. The purposes of such communications or meetings include, but are not limited to, resolving FIDM related issues and ensuring the timely delivery of FIDM related materials.
3. Staff the project with personnel assigned to the positions as identified in the Contractor’s proposal. The personnel assigned to the positions identified in the Contractor’s proposal are considered to be essential to this project. Prior to diverting any of the personnel assigned to the positions to other projects, the Contractor shall notify the Department reasonably in advance and shall submit justification, including proposed substitutions in sufficient detail to permit evaluation of the impact on the project. The Contractor may, subject to the written consent of the Department, substitute personnel of equal or superior qualifications in the event that circumstances necessitate the replacement of previously assigned personnel. Any such substitution shall be made only after consultation with and the written consent of the Department’s Project Administrator and after written documentation of the circumstances requiring the changes has been provided to the Department. The Department shall respond to any such substitutions in a reasonable and timely manner in order to avoid delays to the Project schedule. The Department reserves the right to review the resumes, interview and perform reference checks on proposed personnel. If the Contractor reassigns an employee to another project without the written consent of the Department, all previous charges for that individual's time will be credited back to the Department.
4. Replace any employee whose continued presence would be detrimental to the success of the project for work related causes with an employee of equal or better qualifications. The Department’s Project Manager will exercise exclusive judgment in this matter and will be required to make such a request in writing to the Contractor’s Project Manger.
5. Notify the Department in writing of any changes in the person(s) designated to bind the Contractor.
6. Ensure that all contacts by Contractor personnel with other external organizations, to fulfill the objectives of this Agreement, are cleared and coordinated by the Department’s Project Manager. The Department will fulfill this role promptly, so as not to impede the Contractor’s timely performance hereunder.
7. Notify the Department within twenty-four (24) hours of each problem that threatens the successful completion of the project, including a recommendation for resolution whenever possible.
8. Agree that no aspect of Contractor performance under this Agreement will be contingent upon State personnel or the availability of Department resources with the exception of a) all proposed actions of the Contractor specifically identified in this Agreement as requiring Department acquisition, approval, policy decisions, or policy approvals; or b) the normal cooperation which can be expected in such a contractual relationship. Such actions by the Department will not be unreasonably delayed.
9. Cooperate with any other Contractor who may be engaged by the Department to carry out responsibilities associated with this Agreement and immediately take into account changes mandated by the Department due to changes in policies, guidelines, rules, regulations, statutes or judicial interpretations.
10. Recognize and agree that any and all work performed outside the scope of this Agreement shall be deemed by the Department to be gratuitous and not subject to charge by the Contractor.