Schedule of Events Issuance of RFP 6/28/2013 Deadline for filing Offerer Understanding of, and Compliance with, Procurement Lobbying Guidelines 7/8/2013 by 2pm EDT Deadline for Submission of Round 1 Questions 7/8/2013 by 2pm EDT Department Response to Bidder Round 1 Questions 7/15/2013 Deadline for Submission of Round 2 Questions 7/22/2013 by 2pm EDT Department Response to Bidder 2 Questions 7/29/2013 Deadline for Submission of Notification of Intent to Bid 8/5/2013 Proposals Due 8/12/2013 by 2pm EDT Notification of Intent to Award 9/13/2013 Deadline for Contract Signature 10/14/2013 Program Implementation 1/2/2014
Designee(s) and OSC legible copies of all debit/credit memos for each unique ICL file transmission source and Manual Deposit account and paper copies of all IRD/Physical Check(s) for all dishonored pay adjust transactions. proposed of providing copies of all debit/credit memos.
Cash Management Requirements This section contains the specific service and response requirements criteria. The Cash Management Requirements are critical to successful project implementation. Responses to these critical requirements are mandatory. Each Bidder’s response will be evaluated to determine if it meets these Cash Management Requirements. Therefore, Bidders must provide the Department with all of the information requested to establish they meet the minimums identified in the Cash Management Requirements. Failure to provide sufficient detail to the Cash Management Requirement topics of this section will result in the Bidder being deemed non-responsive and removed from further consideration. REQUIREMENT RESPONSE 1.0 Undertaking for Bank Deposits and Assignment of Securities The Contractor must agree and sign (subsequent to award and prior to implementation) the Undertaking for Bank Deposits and Assignment of Securities agreement (see Exhibit H). 1.1 Affirm understanding of, and agreement to comply with, this requirement. 2.0 Funds Processing and Availability 2.1 The Bidder must provide their standard banking and/or service agreement(s). Submission of such agreement(s) is for informational purposes. The Bidder must be willing to negotiate the terms of such agreement(s). 2.1 The Contractor must affirm understanding of, and agreement to comply with, this requirement. Provide any standard banking and/or service agreement(s) with the proposal response. 2.2 The Contractor must agree that, at a minimum: Funds availability provided to DTF is equivalent to the funds availability provided to a Commercial Bank, by the Federal Reserve for checks processed through the Federal Reserve; and Funds availability to DTF is equivalent to the funds availability provided to the 2.2 Affirm understanding of, and agreement to comply with, this requirement.
2.5 Fail Safe/Disaster Recovery/Business Continuity The Contractor must implement and maintain the agreed upon Fail Safe/Disaster Recovery/Business Continuity procedures articulated in its technical proposal response throughout the duration of the Contract, and execute the procedures when necessary, utilizing an agreed upon communication plan. Reimbursement to the Department and/or Taxpayer for any expenses, loss of revenue, etc. for failure to meet the standard; and /or Liquidated Damages of $5,000 for each failure to maintain the agreed upon Fail Safe/Disaster Recovery/Business Continuity operations procedures which impact the Services. 2. 6 Procedures Documentation The Contractor must develop, implement, maintain and document all procedures in accordance with the agreed upon requirements. Complete and accurate documentation must be maintained throughout the duration of the Contract. Liquidated damages of $500 for each failure to meet the standard. Corrective action and a timetable will be specified by the Department for each violation. 3.0 Performance Monitoring Performance Audits – 100% 3. 1 Performance Monitoring The Contractor must cooperate with DTF and the Office of State Comptroller, and/or their designee(s) for all performance monitoring audits and reviews. Liquidated damages of $1,000 per day for each failure to meet this standard. 4.0 Processing 4. A. Timeliness of Processing 4.A.1 ICL Transmissions All ICL transmissions must be acknowledged within the timeframes specified in the Functional Requirements of this RFP. A flat fee of $100 per day for each ICL transmission that is not appropriately acknowledged; and/or
Implementation Plan Contractor shall carry out and perform the final Implementation Plan, which shall be attached hereto as ________, in a timely and efficient manner. The dates set forth in the Implementation Plan may be modified only by mutual written agreement between the Parties. The Department, in its sole discretion, may declare a Material Breach of the Agreement in the event that Contractor fails to meet a certification or implementation date as set forth in the Implementation Plan. Article VI. Performance Standards Contractor agrees to comply with the Performance Standards as set forth in Appendix __. The Performance Standards establish minimum levels at which the Services are to be performed by the Contractor. Performance Audits will be conducted by the Department to determine the Contractor’s level of compliance with the Performance Standards. Liquidated Damages and Reimbursements may be imposed by the Department for the Contractor’s failure to perform in accordance with a Performance Standard. Certain Performance Standards are a result of statutory requirements and Department rules, regulations, policies and procedures. Future mandated changes that alter the processing systems may require that the Performance Standards be adjusted accordingly, or result in the imposition of new standards. Any changes to Performance Standards or new Performance Standards, whether or not so mandated, shall be proposed, evaluated and implemented in accordance with the Change Control Procedure. Article VII. Maintenance and Enhancements Contractor agrees to perform Maintenance and Enhancement Services, for the duration of this Agreement for no additional compensation, unless otherwise agreed to in writing by the Parties. The prior written authorization of a Department Change Control Representative, identified in the Communications Matrix in Attachment __ attached hereto, is required prior to Contractor performing Maintenance which is specific to the Services. An activity otherwise constituting Maintenance which Contractor performs generally for other customers receiving products or services that are part of the Services shall not require any such prior written authorization. Article VIII. Program Management Site Resources
Change Category Maintenance Enhancement Information Services (1) (components include: computer and end-user hardware, Proprietary Software, Licensed Software, data communications, etc.) Transaction, Report, etc., (2) N/A Changes necessary to achieve existing Performance Standards. Change impacts captured data elements for program transactions, returns/payment document and file formats or new transaction or report. Standards and Requirements (2) Existing Changes necessary to achieve existing Performance Standard. N/A Modified Changes necessary to implement modified Performance Standard modification is initiated by Contractor and approved by the Department. Changes necessary to implement modified Performance Standard initiated by the Department. New N/A Changes necessary to implement new Performance Standard. Program Software (2) All changes to Program software necessary to achieve existing Performance Standards or modifications initiated by Contractor and approved by the Department. Changes necessitated by modifications to Licensed Software. All changes to Program software to support the capture of new data fields or new business functionality. Reporting (2) Existing Reports Development and implementation of modifications to existing reports when initiated by Contractor with Department approval. Significant changes to existing reports initiated by the Department. New Reports N/A Development and implementation of a new report or inquiry created from either existing or newly captured data elements.
Fee Negotiation N/A Enterprise Services Bureau negotiates final development and/or operations fees per Fee Change Procedure (see Section C below). Development/ Implementation Upon sign off of Change Analysis, development and implementation commences in accordance with an accepted system development methodology. TO IMPLEMENTATION, Contractor updates all related documentation in accordance with the Performance Standards. Department may require that development/ implementation of legislatively mandated enhancements proceed to agreement of fee change or agreement to any other Agreement element subject to renegotiation. (Same as Maintenance.) Update Administrative Documentation CCR’s maintain files of Change Plans (CR, CA and all related documents). CR, CA and any attachments and other related documents become official documentation. Enterprise Services Bureau and CCR’s maintain files of Change Plans (CR, CA and all related documents). CR, CA and any attachments and other related documents become official documentation. C. Fee Change Procedure Maintenance Enhancement Contractor Submits Fee Request Package to Director, Enterprise Services Bureau Change request package must include: Identification of factor(s) necessitating fee change, including, as applicable, Change Control number, and/or statement of change in cost of providing Services or extraordinary circumstances. For development fees (for Enhancement, as applicable): Development/Implementation functions/tasks, including systems development, testing, etc. (Same as Maintenance.)
Attachment 16 – Financial Response Form Attachment 16-A - Direct Fees Annual Check Processing Fee (Check 21) Operation Fees AFP Code Years 1-3 Tier 1 1-3,000,000 (IRD’s per year) Tier 2 3,000,001-5,000,000 (IRD’s per year) Tier 3 5,000,001 + (IRD’s per year) Check 21 fees Image Replacement Documents 100229 Operation Fees AFP Code Cost ICL Transmission – Monthly Fee per Account 100209 Adjustments Dishonorments 1004XX ACH Originated 2501XX ACH Received 2502XX Deposit Corrections 100500 Manual Deposit Fees Manual Deposit Fees AFP Code Cost Deposited 002XX Fees Miscellaneous Fees AFP Code Cost Deposit – pass through fee 100840 Courier/Deposit Bags/Boxes – Pass through fee 1008XX Courier Service Albany 101020 Binghamton 101020 Kingston 101020 Wire Transfer Fee(s) 350XXX Monthly Maintenance Fee(s) 010000
Attachment 16 – B - Compensating Balance Annual Processing Fees (Check 21) Operation Fees AFP Code Years 1-3 Tier 1 1-3,000,000 (IRD’s per year) Tier 2 3,000,001-5,000,000 (IRD’s per year) Tier 3 5,000,001 + (IRD’s per year) Check 21 fees Image Replacement Documents 100229 Operation Fees AFP Code Cost ICL Transmission – Monthly Fee per Account 100209 Adjustments Dishonorments 1004XX ACH Originated 2501XX ACH Received 2502XX Deposit Corrections 100500 Manual Deposit Fees Manual Deposit Fees AFP Code Cost Deposited Items 1002XX Fees Miscellaneous Fees AFP Code Cost Deposit Slips – pass through fee 100840 Courier/Deposit Bags/Boxes – Pass through fee 1008XX Courier Service Albany 101020 Binghamton 101020 Kingston 101020 Wire Transfer Fee(s) 350XXX Monthly Maintenance Fee(s) 010000