RFP Number: TA-01 (Archived/Bidding Closed)


Evaluation of New York State interventions in Persistently Lowest Achieving (PLA)/Schools Under Registration Review (SURR) Schools and Differentiated Accountability (DA) System


The New York State Education Department (NYSED) is seeking proposals to evaluate the statewide implementation of school intervention models and the impact on student achievement from implementation of improvement approaches in identified Persistently Lowest Achieving (PLA)/Schools Under Registration Review (SURR) schools. The Department is also seeking services to evaluate the statewide implementation of interventions in Differentiated Accountability Improvement, Corrective Action and Restructuring phases and categories of the State accountability system and the impact on student achievement and implementation of improvement approaches in identified schools.

The eligible applicants are any not-for-profit organization, for-profit organization, or public or private institution of higher education with extensive experience in designing and conducting statewide program evaluations, and overseeing evaluation projects in Local Educational Agencies (LEAs).

Subcontracting will be limited to forty percent (40%) of the annual contract budget. Subcontracting is defined as non-employee direct personal services and related incidental expenses, including travel. Bidders are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) participation goals. The goals are 17% Minority Business Enterprise (MBE) and 12% Women-Owned Business Enterprise (WBE). Please see the section on M/WBE Mandatory Requirements for information regarding NYSED’s Minority/Women-Owned Business Enterprise Procurement Policy.

NYSED will award one (1) contract pursuant to this RFP. The contract resulting from this RFP will be for a term beginning September 1, 2011 and ending September 23, 2014.

Service Area: Statewide

Mandatory Requirements: See Mandatory Requirements section of the RFP.

Components contained in RFP # TA-01 are as follows:

  1. Description of Services to be Performed
  2. Submission
  3. Evaluation Criteria and Method of Award
  4. Assurances
  5. Submission Documents

Questions and Answers are now posted.

Contact Information for Questions

Program Matters

Fiscal Matters

M/WBE Matters

Marilyn Tobias

Sandra Herndon

Lynn Caruso Joan Ramsey

EVALPLASURDA@mail.nysed.gov

EVALPLASURDA@mail.nysed.gov

EVALPLASURDA@mail.nysed.gov

The following documents must be submitted in separately sealed envelopes and be received at NYSED no later than June 1, 2011 by 3:00 PM:

  1. Technical Proposal labeled Technical Proposal - RFP # TA-01, Do Not Open
  2. Cost Proposal labeled Cost Proposal - RFP # TA-01, Do Not Open
  3. M/WBE Documents labeled M/WBE Documents - RFP # TA-01 Do Not Open

The mailing address for all the above documentation is:

NYS Education Department
Bureau of Fiscal Management
Attention: Lynn Caruso
Contract Administration Unit, RFP #TA-01
89 Washington Avenue, Room 505W EB
Albany, NY 12234

Facsimile copies of the proposals are NOT acceptable.

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Section 1 – Description of Services to be Performed

Work Statement and Specifications

This section of the bid package details the services and products to be acquired.  Please note that the contract process also includes general New York State administrative terms and conditions, as well as terms and conditions required by New York State law.  These terms and conditions address issues related to both the submission of bids and any subsequent contract; they are included separately in this bid package for your information.  Please review all terms and conditions.

MANDATORY REQUIREMENTS

The eligible bidder must agree to the Mandatory Requirements found below and must submit the Mandatory Requirements Certification Form located in 5.) Submission Documents, signed by a person authorized to execute that entity’s contract agreement.

  1. Vendors must bid on all aspects of the implementation and impact evaluations of PLA/SURR schools and DA system.
  2. A Project Director must be assigned to manage the project.
  3. Any proprietary materials considered confidential by the bidder must specifically be so identified, and the basis for such confidentiality must be specifically set forth in the proposal.
  4. For those activities that will be subcontracted, vendor names, M/WBE status, specific services, and costs must be specifically indicated on the Subcontracting Form located in the Submission Documents section of this RFP.
  5. The bidder must include with the submission of the technical proposal, at least three current professional references to substantiate qualifications. Current shall mean references for whom the vendor has performed work within the last three years. Do not use NYSED staff as references.
  6. All bidders must sign and return the Mandatory Requirements Certification located in 5.) Submission Documents.” Proposals that do not include the signed Mandatory Requirements Certification will be disqualified and removed from further consideration.
  7. All of the evaluations for the implementation and impact must be in accordance with the guidelines described in this RFP.
  8. The vendor shall reproduce, use, display, and include copies of NYSED’s trademarks, trade name, logos, copyrights, and other intellectual property (collectively, the “Marks”) on all copies of materials produced for NYSED. The vendor acknowledges that the Marks are owned solely and exclusively by NYSED, and nothing contained in the resulting contract shall give the vendor any ownership right or interest in such Marks.
  9. All vendors must adhere to NYSED’s security protocols regarding the transmission of secure materials (Attachment 1). Electronic transfer via e-mail, Internet, or facsimile (FAX) of information is not permitted unless authorized by NYSED.
  10. All materials are to be held strictly confidential and must not be copied, duplicated, or disseminated in any manner or discussed with anyone other than persons authorized by NYSED.
  11. The vendor and all of its subcontractors performing work on the contract resulting from this RFP must sign a Non-Disclosure Agreement (Attachment 2) provided by NYSED, assuring the confidentiality of all work and discussions carried out under this contract after the contract is awarded. These signed agreements must be submitted to NYSED with the signed contracts. Additionally, this agreement must be completed and sent to NYSED by all employee/subcontractors hired after start of the contract, prior to any work being done by them on the contract.
  12. All invoices submitted for payment must include dates of services and an itemized list of activities and costs consistent with the approved Schedule of Deliverables contained in the executed contract. Payment(s) for subcontractor(s) must list the subcontractor’s name(s), payment amount(s), and nature of services provided separately on the invoice submitted. Invoices with incomplete information will be returned to the vendor.
  13. The vendor must retain and update records and accounts on a monthly basis and must be able to prepare and submit statistical, narrative, and/or financial summaries related to this contract as requested by NYSED.
  14. The vendor agrees to cooperate with NYSED with respect to any questions regarding the analysis of the data.
  15. All draft technical reports and other deliverables must be subject to careful and complete editing by the contractor’s editors and proofreaders before the vendor submits them to NYSED for review and approval.
  16. Any vendor staff travel must be in accordance with the approved NYS rates. New York State rates are available at: http://www.gsa.gov/ external link icon
  17. Bidders must comply with NYSED’s M/WBE requirements. See following section.

Minority and Women-Owned Business Enterprise (M/WBE) Mandatory Requirements

The bidder is required to use New York State certified Minority and Women-Owned Business Enterprise (M/WBE) for an amount greater or equal to seventeen percent (17%) Minority Business Enterprise (MBE) and twelve percent (12%) Women-Owned Business Enterprise (WBE) of the total dollar amount of the contract. Bidders are required to comply with NYSED’s Minority and Women-Owned Business Enterprise goals by completing and submitting M/WBE 100, Utilization Plan, M/WBE 102, Notice of Intent to Participate and EEO 100, Staffing Plan. These forms can be found at http://www.oms.nysed.gov/fiscal/MWBE/forms.html. All firms utilized must be certified with the NYS Division of Minority and Women Business Development before beginning any work on this contract. For additional information and a listing of currently certified M/WBEs, see http://www.nylovesmwbe.ny.gov external link icon.

Minority and Women-Owned Business Enterprise (M/WBE) participation includes any and all services, materials and supplies purchased from New York State certified minority and women owned firms. Utilizing Minority and Women-Owned firms will be applied toward the goals.

All payments to Minority and Women-Owned Business Enterprise subcontractor(s) must be reported to NYSED M/WBE Program Unit using M/WBE 103 Quarterly M/WBE Compliance Report. This report must be submitted on a quarterly basis and can be found at http://www.oms.nysed.gov/fiscal/MWBE/forms.html.

Background

In cooperation with the United States Department of Education (USED), NYSED is participating in Race To The Top (RTTT), which includes a component relating to Persistently Lowest Achieving (PLA)/ Schools Under Registration Review (SURR) schools and a Differentiated Accountability (DA) pilot under No Child Left Behind (NCLB). The timing of evaluation services for the statewide intervention, implementation and impact in PLA/SURR schools and the Differentiated Accountability System is critical to support increased student academic achievement and increasing graduation rates in the State’s lowest performing districts and schools. The implementation of these interventions and the evaluation of their effectiveness in reversing chronic failure and improving student outcomes are priorities established by the New York State Board of Regents.

Project Description

The purpose of this Request For Proposal (RFP) is to acquire the services of an evaluation organization. Services will be provided to evaluate the statewide implementation of school intervention models, and the impact of these intervention models on student achievement and on implementation of improvement approaches in identified Persistently Lowest Achieving (PLA) /Schools Under Registration Review (SURR) schools. Services will also be provided to evaluate the statewide implementation of interventions in schools in Improvement, Corrective Action and Restructuring phases and categories under Differentiated Accountability and the impact on student achievement and implementation of improvement approaches in identified schools.

In the 2009-2010 school year, 489 elementary, middle and high schools and 35 districts statewide were identified for improvement under the federal No Child Left Behind Act (including 57 designated as PLA/SURR schools). PLA and SURR categories were merged in 2010. In 2010-2011, there were 532 schools and 35 districts identified, including 67 PLA/SURR schools. It is anticipated that there will be a significant increase in the number of schools identified for improvement in the 2011-2012 school year.

Information about PLA/SURR and DA and the identified schools and districts may be found at the following websites:

http://www.p12.nysed.gov/irs/accountability/designations/home.html
http://www.oms.nysed.gov/press/attacha_jan2010.html
http://www.oms.nysed.gov/press/PersistentlyLowestAchievingAndSURRDec2010.html
http://www.p12.nysed.gov/irs/pressRelease/20101104/home.html

The Evaluation Organization will be expected to be fully knowledgeable about the following SED documents and websites:

New York State Race To The Top Application Phase 2 - Selection Criteria and Competition Priorities and related documents found at http://usny.nysed.gov/rttt/application/

New York State Education Department Proposal to Participate in the NCLB Differentiated Accountability Pilot Program, including especially Section VI: Annual Evaluation Plan, pages 37 – 39, and all related documents found at:

http://www.p12.nysed.gov/accountability/APA/Differentiated_Accountability/DA16toUSED.pdf
[This RFP replaces the Memorandum of Understanding (MOU) referred to in the DA pilot.]
http://www.p12.nysed.gov/accountability/APA/Differentiated_Accountability/DA_home.html
http://www.p12.nysed.gov/part100/pages/1002.html#p

In particular, candidates must be knowledgeable about all sections focusing on:

The PLA/SURR school intervention models including: Turnaround Model, Restart Model, Transformation Model, and School Closure Model and Commissioner’s Regulation 100.2(p) found at

http://www.oms.nysed.gov/press/PersistentlyLowAchiev2010.html
http://www.regents.nysed.gov/meetings/2010Meetings/June2010/0610monthmat.html
http://www.p12.nysed.gov/accountability/APA/SURR/SURR_home.html
http://www.p12.nysed.gov/part100/pages/1002.html#p

The Differentiated Accountability Improvement, Corrective Action, and Restructuring phases and categories and the corresponding review teams and/or team leaders and members assigned to support these interventions: School Quality Review (SQR) Teams, External School Curriculum Audits (ESCA), Joint Intervention Teams (JIT) and Commissioner’s Regulation 100.2(p) found at:

http://www.regents.nysed.gov/meetings/2009Meetings/November2009/1109monthmat-new.html
http://www.p12.nysed.gov/part100/pages/1002.html#p

The State achievement data which can be found in the State Data Repository and the nySTART website.

Evaluation Elements
This RFP addresses several interrelated but distinct evaluation components and assessments including: 1) the implementation of school intervention models, the effectiveness of interventions and improvement approaches, and the impact on student achievement in PLA/SURR schools; 2) the implementation of DA phase and category requirements, the effectiveness of interventions and improvement approaches and the impact on student achievement in identified schools in New York State; 3) annual formative and summative assessments of implementation in these schools and districts, and 4) a three-year trend analysis for all outcome measures.

NYSED will coordinate and review the work of the evaluation organization via quarterly progress reports, communications and 13 meetings (6 in Albany and 7 in NYC) with the lead evaluator who may or may not be the Project Director but must be the individual responsible for the work being performed.

The Contractor will:

  • Collect data from all districts in which there are identified PLA/SURR schools and also conduct at least one site visit to all 57 original PLA schools identified in 2009-2010 during the first year of the contract and a sample from each cohort, each year thereafter, weighted towards schools implementing a model, with a minimum of 25 visited at least once each year.
  • Collect data from all districts in which there are schools identified in the Differentiated Accountability Improvement, Corrective Action and Restructuring phases and categories and also conduct at least one on-site visit to a sample of DA schools annually that must include 30 that have School Quality Reviews (SQR), 20 that are undergoing External School Curriculum Audits, and 20 that have Joint Intervention Teams (JIT).  By mutual agreement, the number of visits to be made each year may be modified based upon initial findings.
  • Interview SED staff involved in PLA/SURR schools and in DA phase activities.
  • Submit all reports to SED as required on a timely basis, including initial, quarterly and annual evaluation reports.
  • Provide a statement of assurance that the vendor will support all evaluation requirements for these initiatives statewide, as defined by SED.

For both the implementation and impact evaluations, vendors must utilize appropriate quantitative and qualitative methodologies. 

Implementation Evaluation

Description

For PLA/SURR, the vendor is required to provide an implementation evaluation of the schools and districts adopting one of the four models.  This evaluation will include a description of the models, the performance contracts, and the leading indicators adopted by districts and schools and the extent and quality of implementation each year.  It will address the following questions: What were the qualities and characteristics of the schools and districts or other factors that allowed for successful implementation of an intervention model, the performance contract plan and improvement in leading indicators? What were the qualities and characteristics or other factors which hampered the successful implementation of PLA/SURR intervention models, the performance contract plan and improvement in leading indicators?

For DA districts and schools, the vendor is required to provide an implementation evaluation of the required interventions. This evaluation will include a description of the interventions used by districts and schools in each phase and category of the Differentiated Accountability system.  What were the qualities and characteristics of the schools and districts or other factors that allowed for the implementation of a required intervention in DA districts and schools with fidelity? What were any qualities or characteristics or other factors which hampered implementation of an intervention in DA districts and schools with fidelity?

Describe in the proposal how consistency, quality control, validity, and reliability in the evaluation study will be ensured.

The vendor must provide a description of the context within which the interventions are being implemented in each district and school (e.g. school improvement grant plans and or school improvement plans).  The vendor should include a descriptive profile of the demographic characteristics of the district and schools.

Methodology

The bidder must propose a study design that includes a description of the proposed sample for data collection, a discussion of the proposed data collection instruments, procedures for collecting and managing the full spectrum of data, the proposed data analysis plan and an explanation of how the data will be used to answer the evaluation questions.  The proposed study design should include the types of data to be collected and from whom and how the vendor will measure the extent and quality of the implementation of intervention models for PLA/SURR schools and the required interventions in DA districts and schools.  The vendor must also show how the study will measure the quality of the district and school improvement plans that districts and schools have filed as a first step in implementation in PLA/SURR intervention requirements. The vendor will incorporate into the evaluation, the previously completed statewide surveys conducted on Differentiated Accountability SQR, ESCA and JIT. (These results are in the Office of Accountability.)  The results of the surveys are not required to respond to the RFP.  During the course of the contract, the OA will make the information available to the successful bidder.   For informational purposes, the Differentiated Accountability Improvement, Corrective Action, and Restructuring phases and categories, the corresponding teams and interventions and CR 100 can be found at:

http://www.regents.nysed.gov/meetings/2009MeetingsNovember2009/1109monthmat-new.html
and http://www.p.12.nysed.gov/part100/pages/1002.html#p.

The implementation evaluation should use a mixture of both qualitative and quantitative methodologies.  These may include but are not limited to the following: 1) on-site interview protocols; 2) quantitative data analysis; 3) multidisciplinary research approaches and; 4) assessment of the quality of implementation and outcomes of all identified districts and schools annually.  The vendor is expected to describe the procedures for managing the full spectrum of data collection in the proposal.

Impact Evaluation

Description

The impact evaluation should determine what effects implementation of intervention models has had on increasing student achievement in PLA/SURR districts and schools.  The vendor must propose a study design that includes description of data collection procedures and instruments, proposed measures, a detailed analysis plan, and an explanation of how the analysis plan will enable the vendor to assess the impact of the intervention models on the proposed outcomes. The evaluation should incorporate the nine leading indicators described in the U.S. Department of Education’s guidance for School Improvement Grants (see pp. 62-63 at http://www2.ed.gov/programs/sif/sigguidance11012010.pdf external link icon) and indicators from school performance contracts. The impact evaluation should determine what effects implementation of the four intervention models in PLA/SURR schools and districts and implementation of DA phase and category requirements have had on increasing student achievement.  The evaluation should also include assessment of differences in the quality and the extent of interventions across schools and how these differences are associated with changes in student achievement. The vendor will describe in the proposal how it will ensure the validity and reliability of the measures, the validity of the findings, and quality and consistency in each stage in the evaluation study.

Annual measures of student outcomes should include baseline historical student performance levels, high school graduation rates and proficiency levels, changes in high school graduation rates, student performance levels and growth toward proficiency, changes in identification rate in each phase and category in DA and removal from the PLA/SURR list, and changes in the number of districts and schools making AYP each year.  Outcomes for all of the above should also include a three-year trend analysis.

Methodology

The vendor must propose an impact evaluation design that will permit reasonable inferences about the effects of the interventions and implementation strategies on student achievement.  The assessment tools used in the evaluation must be valid and reliable and permit comparisons across
community/district type and grade levels.  The vendor must utilize multiple methodologies (qualitative and quantitative) for collecting and analyzing the data.  Through collection and analysis  of both quantitative and qualitative data (for example, on-site interviews with stakeholders and oral histories), the research should gauge the strengths, weaknesses, and improvement opportunities in the system.  The vendor will incorporate into the evaluation, the previously completed statewide surveys conducted on Differentiated Accountability SQR, ESCA and JIT. (These results are in the Office of Accountability.) The results of the surveys are not required to respond to the RFP.  During the course of the contract, the OA will make the information available to the successful bidder.  For informational purposes, the Differentiated Accountability Improvement, Corrective Action, and Restructuring phases and categories, the corresponding teams and interventions and CR 100 can be found at: http://www.regents.nysed.gov/meetings/2009MeetingsNovember2009/1109monthmat-new.html
and http://www.p.12.nysed.gov/part100/pages/1002.html#p

While the context of the evaluation prohibits causal analysis using experimental or quasi-experimental research designs, the vendor should employ multidisciplinary methods to assess, to the extent possible, how the PLA/SURR models and DA phases and categories have affected student outcomes.  Additionally, the evaluation should identify factors moderating the interventions’ effects on student outcomes, including the choice of PLA/SURR models, the performance contracts, and leading indicators, and the quality and extent of implementation.

Deliverables

  1. Detailed 12 month initial evaluation plan with timeline, study methodology, data collection instruments and plan, and analysis and reporting plans to implement the evaluation and finalize the work plan provided in the project narrative and work plan sections of the bidders response.  The final plan will be due within one month of the awarding of the RFP.
  2. Detailed work plan/time table of study milestones, updated as needed. This work plan/time table will be due quarterly in each contract year, beginning in 2011 and should include, for example, work towards:1) annual preliminary evaluation findings of implementation models adopted by PLA/SURR districts and schools and required interventions in DA; 2) Preliminary analysis of effects of implementation of intervention models on student achievement of PLA/SURR districts and schools; and 3) effects of implementation of intervention of DA phase and category requirements on student achievement.
  3. Annual reports that include:
    1. Initial 12-month preliminary evaluation findings that will provide an overview of the research conducted during the first 12 months of the contract.  The evaluation must contain an analysis of the models adopted by PLA/SURR districts and schools, including the qualities and characteristics that allowed for or hampered implementation of the model.  The vendor must also describe the context within which the intervention is being implemented in each district and school and include a profile of demographic characteristics.  The formative analysis of the 2011-2012 school year data will be due fourteen months after awarding of the contract and every year thereafter. The preliminary final report will be due the next January and the Final report will be due in March and every year thereafter.
    2. Initial 12-month preliminary evaluation findings that will provide an overview of the research conducted during the first 12 months of the contract.  The evaluation must contain an analysis of the implementation of required interventions in DA, including the qualities and characteristics that allowed for or hampered implementation of the interventions.  The vendor must also describe the context within which the intervention is being implemented in each district and school and include a profile of demographic characteristics.  The formative analysis of the 2011-2012 school year data will be due fourteen months after the awarding of the contract and every year thereafter. The preliminary final report will be due the next January and the final report will be due in March and every year thereafter.
    3. Determine the quality of the district and school improvement plans that districts and schools have filed as a first step in implementation in PLA/SURR and DA intervention requirements.
    4. A report outlining the specific methodologies and strategies used to collect and analyze data (qualitative and quantitative) collected through the first 12 months of the contract. This report will be due one year after awarding of the contract.
    5. An analysis of the effects implementation of intervention models had on student achievement in PLA/SURR districts and schools.  Annual measures of outcomes must include baseline historical student performance levels and growth toward proficiency, changes in high school graduation rates (where applicable) and changes in performance levels among the subgroups after implementation of intervention models, removal from the PLA/SURR list, and changes in the number of districts and schools making AYP each year. The formative analysis will be due fourteen months after the awarding of the contract and every year thereafter.  The preliminary report will be due the next January and the final report will be due in March and every year thereafter.
    6. An analysis of the effects implementation of intervention of DA phase and category requirements had on student achievement.  Annual measures of outcomes must include baseline historical student performance levels and growth toward proficiency, changes in high school graduation rates (where applicable) and changes in performance levels among the subgroups after implementation of intervention, changes in identification rate in each phase and category in Differentiated Accountability and changes in the number of districts and schools making AYP each year.  The formative analysis will be due fourteen months after the awarding of the contract and every year thereafter. The preliminary final report will be due the next January and the final report will be due in March and every year thereafter.  Any districts with approved waivers for DA sequence of SQR, ESCA, or JIT must also be analyzed as above.
  1. A cumulative report will be due August 1, 2014 and a three-year trend analysis, which includes all data collected, will be due September 1, 2014.  The report should include an analysis of lessons learned and recommendations for sustainability and transportability of improvements.
  2. Quarterly face-to-face meetings with NYSED and/or the Board of Regents to review the progress of the evaluation.  The vendor will be expected to provide verbal, visual (such as graphics, PowerPoint etc.) and electronic presentations of the major evaluation findings to NYSED. The vendor will be expected to share their impressions about PLA/SURR and DA interventions and preliminary recommendations based upon the findings to date.  These 13 meetings will be held in (6) Albany and (7) New York City and will be one full day in duration, except by mutual agreement, the number and venue of the meetings may be revised.
  3. Executive summaries of each annual evaluation report, the cumulative report, and the four-year trend analysis.
  4. Recommendations for possible areas of improvement districts and schools may make within the course of the evaluation study that could have a positive impact on student achievement, equity and accountability.

Payments and Reports

The contractor will be required to submit quarterly progress reports as well as annual reports. The reports are due in accordance with the deliverables schedule noted on the preceding pages.  The quarterly progress reports will be due on the last day of November, February, May and August of each contract year.  The first annual report should summarize implementation and impact findings during the first contract year. Beginning in year two, annual reports should summarize implementation and impact findings for each subsequent contract year, integrating cumulative data from prior year data collection activities. Where appropriate, the report should integrate findings from analysis that investigate the linkage between implementation and impact. A cumulative report will be due August 1, 2014 and a three-year trend analysis, which includes all data collected, will be due September 1, 2014. The final report should summarize major findings and offer specific recommendations for improving the intervention and improvement approaches.

The winning bidder will submit quarterly invoices to NYSED for services provided. Invoices will be compared to quarterly progress reports as well as required reports noted in the deliverables section to determine the appropriateness of charges.  Failure to submit all required reports and perform all required deliverables may result in the suspension of future payments.

Subcontracting Limit

Subcontracting will be limited to forty percent (40%) of the annual contract budget. Subcontracting is defined as non-employee direct personal services and related incidental expenses, including travel.

If the vendor proposes to change subcontractors during the contract period, NYSED must be notified prior to the change. NYSED reserves the right to reject any replacement subcontractors proposed by the vendor and reserves the right to approve all changes in subcontractors. The Subcontracting Form located in the Submission Documents must be updated annually and submitted to NYSED. Using this form, the vendor must also report to NYSED, on an annual basis, actual expenditures incurred for all subcontractors and indicate which subcontracting costs are associated with M/WBE.

Consultant Staff Changes

The Contractor will maintain continuity of the Consultant Team staff throughout the course of the contract. All changes in staff will be subject to NYSED approval.  The replacement Consultant(s) with comparable skills will be provided at the same or lower hourly rate.

Contract Period

NYSED will award one (1) contract pursuant to this RFP.  It is anticipated that the contract resulting from this RFP will be for a term beginning September 1, 2011 and ending September 23, 2014.

Electronic Processing of Payments

In accordance with a directive dated January 22, 2010 by the Director of State Operations - Office of Taxpayer Accountability, all state agency contracts, grants, and purchase orders executed after February 28, 2010 shall contain a provision requiring that contractors and grantees accept electronic payments.  Additional information and authorization forms are available at the State Comptroller’s website at http://www.osc.state.ny.us/epay/index.htm external link icon.

M/WBE AND EQUAL EMPLOYMENT OPPORTUNITIES REQUIREMENTS CONTRACTOR REQUIREMENT AND OBLIGATION UNDER NEW YORK STATE EXECUTIVE LAW, ARTICLE 15-A (PARTICIPATION BY MINORITY GROUP MEMBERS AND WOMEN WITH RESPECT TO STATE CONTRACTS)

In an effort to eradicate barriers that have historically impeded access by minority group members and women in State contracting activities, Article 15-A, of the New York State Executive Law §310-318, (Participation By Minority Group Members and Women With Respect To State Contracts) was enacted to promote equality of economic opportunities for minority group members and women.

The New York State Education Department (“NYSED”) has enacted its policies Equal Opportunity, Non-Discrimination and Affirmative Action and on Minority and Women-Owned Business Enterprise Procurements, consistent with the requirements as set forth under the provisions of Article 15-A (the “Article”) incorporated by reference, requiring Contracting Agencies to implement procedures to ensure that the “Contractor” (as defined under Article 15-A, §310.3 shall mean an individual, a business enterprise, including a sole proprietorship, a partnership, a corporation, a not-for-profit corporation, or any other party to a state contract, or a bidder in conjunction with the award of a state contract or a proposed party to a state contract, complies with requirements to ensure Equal Employment Opportunities for Minority Group Members and Women, in addition to providing Opportunities for Minority and Women-Owned Business Enterprises on all covered state contracts.

In keeping with the intent of the Law, it is the expectation of the Commissioner and the responsibility of all contractors participating in and/or selected for procurement opportunities with NYSED, to fulfill their obligations to comply with the requirements of the Article and its implementing regulations.

In accordance with these requirements, the contractor hereby agrees to make every good faith effort to promote and assist the participation of certified Minority and Women-Owned Business Enterprises (“M/WBE”) as subcontractors and suppliers on this project for the provision of services and materials in an amount at least equal to the M/WBE goal (Included in the procurement document) as a percentage of the total dollar value of this project. In addition, the contractor shall ensure the following:

  1. All state contracts and all documents soliciting bids or proposals for state contracts contain or make reference to the following provisions:
    1. The contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status 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.

      For purposes of the Article, affirmative action shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff or termination and rate of pay or other forms of compensation.
    2. 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, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status and that such union or representative will affirmatively cooperate in the implementation of the contractor’s obligation herein.
    3. 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, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status.
  2. The contractor will include the provisions of subdivision one of this section in every subcontract as defined under §310.14, except as provided under §312.6 of the Article, in such a manner that the provisions will be binding upon each subcontractor as to work in connection with the State contract.
  3. Contractors or subcontractors shall comply with the requirements of any federal law concerning equal employment opportunity, which effectuates the purpose of this section.
  4. Contractors and subcontractors shall undertake programs of affirmative action and equal employment opportunity as required by this section. In accordance with the provision of the Article, the bidder will submit, with their proposal, Staffing Plan (EEO 100). Notice – Contractors are provided with notice herein, NYSED may require a contractor to submit proof of an equal opportunity program after the proposal opening and prior to the award of any contract. In accordance with regulations set forth under Article 15-A §312.5, contractors and/or subcontractors will be required to submit compliance reports relating to the contractor’s and/or subcontractor’s program in effect as of the date the contract is executed.
  5. Certified businesses (as defined under Article 15-A, §310.1 means a business verified as a minority or women-owned business enterprise pursuant to §314 of the Article) shall be given the opportunity for meaningful participation in the performance of this contract, to actively and affirmatively promote and assist their participation in the performance of this contract, so as to facilitate the award of a fair share of this contract to such businesses. Should the contractor identify a firm that is not currently certified as an M/WBE, it should request that the firm submit a certification application to the NYSED M/WBE Program Unit by the deadline for submission of proposals for eligibility determination. NYSED will work with ESD to expedite the application, however, it is the responsibility of the contractor to ensure that a sufficient number of certified M/WBE firms have been identified in response to this procurement, in order to facilitate full M/WBE participation.
  6. Contractor shall make a good faith effort to solicit active participation by enterprises identified in the Empire State Development (“ESD”) directory of certified businesses, which can be viewed at: http://www.nylovesmwbe.ny.gov external link icon
  7. Contractor shall agree, as a condition of entering into said contract, to be bound by the provisions of Article 15-A, §316.
  8. Contractor shall include the provisions set forth in paragraphs (6) and (7) above, in every subcontract in a manner that the provisions will be binding upon each subcontractor as to work in connection with this contract.
  9. Contractor shall comply with the requirements of any federal law concerning opportunities for M/WBEs which effectuates the purpose of this section.
  10. Contractor shall submit M/WBE Utilization Plan (M/WBE 100) as part of their proposal in response to NYSED procurement. A Utilization Plan, as defined under Article 15-A, shall mean a plan prepared by a contractor and submitted in connection with a proposed state contract. In developing the Utilization Plan bidders should consider the goals and established time frames needed to achieve results which could reasonably be expected by putting forth every good faith effort to achieve the overall prescribed M/WBE participation percentage (%) goals as set forth under the procurement.
  11. The percentage goals established for this RFP are based on the overall availability of M/WBEs certified in the particular areas of expertise identified under this RFP. These goals should not be construed as rigid and inflexible quotas which must be met, but as targets reasonably attainable by means of applying every good faith effort to make all aspects of the entire Minority and Women-Owned Business Program work.
  12. Contractor shall ensure that enterprises have been identified (M/WBE 102) within the Utilization Plan, and the contractor shall attempt, in good faith, to utilize such enterprise(s) at least to the extent indicated in the plan, as to what measures and procedures contractor intends to take to comply with the provisions of the Article.
  13. Contractor shall upon written notification from NYSED M/WBE Program Unit as to any deficiencies and required remedies thereof, the contractor, within the period of time specified, will submit compliance reports documenting remedial actions taken and other information relating to the operation and implementation of the Utilization Plan.
  14. Where it appears that a contractor cannot, after a good faith effort, comply with the M/WBE participation requirements, contractor may file a written application with NYSED M/WBE Program Unit requesting a partial or total waiver (M/WBE 101) of such requirements setting forth the reasons for such contractor’s inability to meet any or all of the participation requirements, together with an explanation of the efforts undertaken by the contractor to obtain the required M/WBE participation.

For purposes of determining a contractor’s good faith efforts to comply with the requirements of this section or be entitled to a waiver, NYSED shall consider at the least the following:

  1. Whether the contractor has advertised in general circulation media, trade association publications and minority-focused and women-focused media and, in such event;
    1. Whether or not the certified M/WBEs which have been solicited by the contractor exhibited interest in submitting proposals for a particular project by attending a pre-bid conference; and
    2. Whether certified businesses solicited by the contractor responded in a timely fashion to the contractor’s solicitations for timely competitive bid quotations prior to the contracting agency’s deadline for submission of proposals.
  2. Whether there has been written notification to appropriate certified M/WBEs that appear in the Empire State Development website, found at: http://www.nylovesmwbe.ny.gov external link icon

All required Affirmative Action, EEO, and M/WBE forms to be submitted along with bids and/or proposals for NYSED procurements are attached hereto. These forms are to be submitted without change to goals specified in the RFP. All M/WBE firms are required to be certified by Empire State Development (ESD) or must be in the process of obtaining certification from ESD.

Failure to comply with the requirements of Article 15-A as set forth under this procurement and in conjunction with the corresponding contract, will result in the withholding of associated funds and other enforcement proceedings set forth under Article 15-A.

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Section 2 – Submission

Documents to be submitted with this proposal

This section details the submission document or documents that are expected to be transmitted by the respondent to the State Education Department in response to this RFP.  New York State Education Department shall own all materials, processes, and products (software, code, documentation and other written materials) developed under this contract.  Materials prepared under this contract shall be in a form that will be ready for copyright in the name of the New York State Education Department.  Any sub-contractor is also bound by these terms.  The submission will become the basis on which NYSED will judge the respondent’s ability to perform the required services as laid out in the RFP.  This will be followed by various terms and conditions that reflect the specific needs of this project.

Project Submission:

The proposal submitted in response to this RFP must include the following documents:

  1. Technical Proposal  Six (6) copies (one bearing an original signature in blue ink)
  2. Cost Proposal—Three (3) copies (one bearing an original signature in blue ink)
  3. Microsoft Word (CD format)—One (1) electronic version with both the technical and cost proposals.
  4. M/WBE Documents—Three (3) copies (one bearing an original signature in blue ink)

The proposal must be received by June 1, 2011 by 3:00 PM at NYSED in Albany, New York.

Proposals should be prepared simply and economically, avoiding the use of elaborate promotional materials beyond those sufficient to provide complete presentation. If supplemental materials are a necessary part of the proposal, the bidder should reference these materials in the technical proposal, identifying the document(s) and citing the appropriate section and page(s) to be reviewed.

The proposal must communicate an understanding of the deliverables of the RFP, describe how the tasks are to be performed and identify potential problems in the conduct of the deliverables and methods to identify and solve such problems.

Bidders should specify all details and dates required to evaluate the technical proposal and should limit aspects of the project plan which are to be determined only after the award of a contract. No optional deliverables to be provided only at an additional cost should be included and will not be considered in the evaluation of the technical proposal. Contractual terms, conditions and assumptions are inappropriate for inclusion in the proposal.

Any proprietary material considered confidential by the bidder must specifically be so identified, and the basis for such confidentiality must be specifically set forth in the proposal.

Technical Proposal (70 Points)

The original plus five copies of the completed Technical Proposal must be mailed in a separate envelope labeled RFP #TA-01-Technical Proposal-Do Not Open and must follow the format outlined on Attachment 3 and include the following:

  1. Response Sheet for Bids
  2. All Forms and Assurances located in Submission Documents including original signatures where necessary
  3. Mandatory Requirements Certification Form Signature Required
  4. Project Narrative (describing the vendor’s approach in completing the services described in section 1.)Description of Services to be Performed
  5. Applicant Profile (Including History, Experience, References)
  6. Staffing Plan (including resumes for all professional staff)
  7. Sample Work Plan for Year One (provide a detailed sample workplan that describes how you will complete the work in the first year)
  • Project Narrative – 40 points

The narrative should be a comprehensive description of how the vendor will design and conduct the implementation and impact studies in the format listed in Attachment 3. Including a description of the protocols for maintaining confidentiality of all data relating to students and teachers through the work related to this RFP.

The narrative must include the specific evaluation design and criteria for measuring each of the implementation and impact questions.  The bidder must include a description of the data collection procedures and analysis techniques.  The vendor must include a detailed description of the scope of the reporting plans, including meeting the deliverables. The Project Narrative must include:

    1. Detailed work plan/time table of study milestones.
    2. Development and identification of measurement instruments to be used which are consistent with the evaluation plan.
    3. Development and identification of ancillary data collection material (e.g., explanatory packets/letters prepared for evaluation participants).
    4. Development and identification of an instrument that can be used to determine the quality of PLA/SURR and DA interventions.
    5. Development and identification of measures to determine the extent of implementation of the original intervention model intention and design in PLA/SURR schools and the impact on increasing student achievement.
    6. Development and identification of measures to determine the extent of implementation of the original DA phase and category requirements and DA interventions and the impact on increasing student achievement.
  • Applicant Profile – 10 points

The applicant profile should provide information on the relevant work experiences of the vendor, addressing the skills required to provide the work of this RFP. Scope of experience should be demonstrated by including a list of recent—within the past three years—similar projects or projects that require similar functional capacitiesPlease include three references relating to evaluation services completed within the last three years and two examples of executive summaries of the completed projects. References must include name, title, company name, address, phone number, and e-mail address. Do not use NYSED staff as references.

  • Staffing Plan – 10 points

The staffing plan should include the names and titles of all key personnel who will work on the project, together with their areas of responsibility and scope of involvement measured in days or percent of time. The experience, qualifications, and technical expertise of the project staff in such areas as research design, interviewing, analysis and report writing will be carefully considered. Any plans to use consultants or sub-contractors must be identified in the staffing plan.. The assigned Project Director should have sufficient experience in designing and conducting statewide program evaluations, and overseeing evaluation projects in LEAs. Resumes for all professional staff should be included in the bid proposal.  This includes resumes of any subcontractors. The vendor organization and the lead professional staff should have at a minimum, five years experience in large-scale program evaluations on a statewide and/or national level.

  • Work Plan – 10 points

The sample work plans for the first year will provide a full explanation of how the organization will meet the requirements for the deliverables including proposed timeline and staff persons responsible for completion of deliverables.

The proposal length for sections 4-7—i.e., Project Narrative, Applicant Profile, Staffing Plan, and Work Plan—should NOT exceed 50 double spaced pages.  Additional pages of supplemental information, including resumes and sample work products that distinguish the vendor from other interested parties, may be submitted.

Cost Proposal (30 Points)

The original plus two (2) copies of the completed Cost Proposal must be mailed in a separate envelope labeled RFP #TA-01-Cost Proposal-Do Not Open and must include the following:

Cost information needed as described within #18 and #19

  1. Detailed Budgets for Years 1, 2 and 3
  2. Three Year Budget Summary Signature Required
  3. Subcontracting Form
  4. Budget Narrative

Budget Narrative (0 Points)

The budget narrative must show how the funds will be used to support the work outlined in the RFP. Information should be included for each budget category of the cost proposal.

The Financial Criteria portion of the RFP will be scored based upon the grand total of the three year budget summary.

M/WBE Documents

The original plus two (2) copies of the completed M/WBE Documents must be mailed in a separate envelope labeled RFP #TA-01-M/WBE Documents-Do Not Open.   Each set must include the following:

  1. M/WBE Cover Letter Signature Required
  2. M/WBE 100 Utilization Plan
  3. M/WBE 102 Notice of Intent to Participate
  4. EEO 100 Staffing Plan

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Section 3 – Evaluation Criteria and Method of Award

This section begins with the criteria the agency will use to evaluate bids, and closes with the “method of award” or how the contractor will be selected.  This will be followed by various terms and conditions that reflect the specific needs of this project as well as New York State contract guidelines and requirements.

Criteria for Evaluating Bids

All complete proposals received by the deadline will be reviewed using the following criteria and ratings. Applicants must ensure that all components of this application request have been addressed, the required number of copies has been provided, all forms and assurances have been completed, and the original signatures in blue are included as required.

An evaluation committee will complete a review of all proposals submitted. The committee will review each proposal to determine compliance with the requirements described in the RFP. NYSED retains the right to determine whether any deviation from the requirements of this RFP is substantial in nature and may reject in whole or in part any and all proposals, waive minor irregularities and conduct discussions with all responsible bidders through appropriate contacts as listed on page 2.

Proposals receiving at least sixty percent (60%) of the points available for the Technical Proposal (a total of 42 out of 70 points) will move on to the next step of the process, scoring of the cost proposal. Proposals with a score of less than 42 points in the Technical Proposal section will be eliminated from further consideration.

Technical Criteria (70 Points)

  1. Project Narrative: Rigor of evaluation design, specificity of criteria, quality of data collection, analysis, and reporting procedures. (40 Points)
    1. The rigor of the evaluation design. (10 points)
    2. The specificity of the evaluation criteria for measuring each of the implementation and impact questions. (10 Points)
    3. The suitability of the data collection procedures and the appropriateness of the analysis techniques. (10 points)
    4. The scope and clarity of the reporting plans, including meeting the deliverables. (10 Points)
  1. Applicant Profile: Relevant work experiences of vendor, including three references and two examples of executive summaries of completed projects. (10 Points)
  2. Staffing Plan: Names, titles, responsibilities, qualifications, and experience of all proposed project staff. (10 Points)
  3. Work Plan: Project tasks, time lines, and staff responsible for task completion. (10 Points)

Financial Criteria (30 Points)

The Financial Criteria portion of this RFP will be scored based upon the grand total for the three year budget summary.

  • The financial portion of the proposal represents thirty (30) points of the overall score and will be awarded up to thirty (30) points pursuant to a formula. This calculation will be computed by the Contract Administration Unit upon completion of the technical scoring by the technical review panel.
  • The agency reserves the right to request best and final offers.
  • The submitted budget will be awarded points pursuant to a formula which awards the highest score of thirty (30) points to the budget that reflects the lowest overall cost. The remaining budgets will be awarded points based on a calculation that computes the relative difference of each proposal against the lowest budget submitted. The resulting percentage is then applied to the maximum point value of thirty (30) points.

Method of Award

The aggregate score of all the criteria listed will be calculated for each proposal received.

The contract issued pursuant to this proposal will be awarded to the vendor whose aggregate technical and cost score is the highest among all the proposals rated.

In the event that more than one proposal obtains the highest aggregate score, the contract will be awarded to the vendor in that group of highest aggregate scores whose budget component reflects the lowest overall cost.

NYSED’s Reservation of Rights

NYSED reserves the right to: (1) reject any or all proposals received in response to the RFP; (2) withdraw the RFP at any time, at the agency’s sole discretion; (3) make an award under the RFP in whole or in part; (4) disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP; (5) seek clarifications of proposals; (6) use proposal information obtained through site visits, management interviews and the state’s investigation of a bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the bidder in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFP; (7) prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available; (8) prior to the bid opening, direct bidders to submit proposal modifications addressing subsequent RFP amendments; (9) change any of the scheduled dates; (10) eliminate any mandatory, non-material specifications that cannot be complied with by all of the prospective bidders; (11) waive any requirements that are not material; (12) negotiate with the successful bidder within the scope of the RFP in the best interests of the state; (13) conduct contract negotiations with the next responsible bidder, should the agency be unsuccessful in negotiating with the selected bidder; (14) utilize any and all ideas submitted in the proposals received; (15) unless otherwise specified in the solicitation, every offer is firm and not revocable for a period of 90 days from the bid opening; (16) require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offerer’s proposal and/or to determine an offerer’s compliance with the requirements of the solicitation; (17) to request best and final offers.

Post Selection Procedures

Upon selection, the successful bidder will receive a proposed contract from NYSED.  All terms set forth in the selected bidder's technical proposal will be final.  The selected bidder may be given an opportunity to reduce its cost proposal in accordance with the agency's right to request best and final offers.  The contents of this RFP, any subsequent correspondence during the proposal evaluation period, and such other stipulations as agreed upon may be made a part of the final contract prepared by NYSED.  Successful bidders may be subject to audit and should ensure that adequate controls are in place to document the allowable activities and expenditure of State funds.

Debriefing Procedures

All unsuccessful bidders may request a debriefing within five (5) business days of receiving notice from NYSED.  Bidders may request a debriefing letter on the selection process regarding this RFP by submitting a written request to the Fiscal Contact person at:

NYS Education Department
Contract Administration Unit
89 Washington Avenue
Room 505W EB
Albany, NY 12234

The Fiscal Contact person will make arrangements with program staff to provide a written summary of the proposal’s strengths and weaknesses, as well as recommendations for improvement.  Within ten (10) business days, the program staff will issue a written debriefing letter to the bidder.

Contract Award Protest Procedures

Bidders who receive a notice of non-award may protest the NYSED award decision subject to the following:

  1. The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED.
  2. The protest must be filed within ten (10) business days of receipt of a debriefing letter. The protest letter must be filed with:

    NYS Education Department
    Contract Administration Unit
    89 Washington Avenue
    Room 505W EB
    Albany, NY 12234

  3. The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED’s Office of Counsel, CAU, and the Program Office. The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied. Counsel’s Office will provide the bidder with written notification of the review team’s decision within seven (7) business days of the receipt of the protest. The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was filed.
  4. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts.

Vendor Responsibility

State law requires that the award of state contracts be made to responsible vendors. Before an award is made to a not-for-profit entity, a for-profit entity, a private college or university or a public entity not exempted by the Office of the State Comptroller, the Department must make an affirmative responsibility determination. The factors to be considered include: legal authority to do business in New York State; integrity; capacity- both organizational and financial; and previous performance. Before an award of $100,000 or greater can be made to a covered entity, the entity will be required to complete and submit a Vendor Responsibility Questionnaire.  School districts, Charter Schools, BOCES, public colleges and universities, public libraries, and the Research Foundation for SUNY and CUNY are some of the exempt entities.  For a complete list, see: http://www.osc.state.ny.us/vendrep/documents/vrdocrules.pdf external link icon.

Vendors are invited to file the required Vendor Responsibility Questionnaire online via the New York State VendRep System or 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 at: http://www.osc.state.ny.us/vendrep/systeminit.htm external link icon or go directly to the VendRep System online at https://portal.osc.state.ny.us/wps/portal external link icon.  Vendors should also refer to the VendRep System checklist, which can be found at http://www.osc.state.ny.us/vendrep/documents/checklist.pdf external link icon.

For direct VendRep System user assistance, the OSC Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at helpdesk@osc.state.ny.us

Vendors opting to file a paper questionnaire can obtain the appropriate questionnaire from the VendRep website: http://www.osc.state.ny.us/vendrep/templates.htm external link icon or may contact the State Education Department or the OSC Help Desk for a copy of the paper form.

Note: Bidders must acknowledge their method of filing their questionnaire by checking the appropriate box on the Response Sheet for Bids (5. Submission Documents).

Procurement Lobbying Law

Pursuant to State Finance Law §§139-j and 139-k, this solicitation includes and imposes certain restrictions on communications between the New York State Education Department (“NYSED”) and an Offerer/bidder during the procurement process.  An Offerer/bidder is restricted from making contacts from the earliest notice of the solicitation through final award and approval of the Procurement Contract by NYSED and, if applicable, Office of the State Comptroller (“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, is identified below.  NYSED employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the Offerer/bidder pursuant to these two statutes.  Certain findings of non-responsibility can result in rejection for contract award and in the event of two findings within a four year period, the Offerer/bidder is debarred from obtaining governmental Procurement Contracts.  Further information about these requirements can be found at the following web link:  http://www.oms.nysed.gov/fiscal/cau/PLL/procurementpolicy.htm.

Designated Contacts for NYSED
Program Office – Marilyn Tobias and Sandra Herndon
Contract Administration Unit – Lynn Caruso
M/WBE Unit – Joan Ramsey

Consultant Disclosure Legislation

Effective June 19, 2006, new reporting requirements became effective for State contractors, as the result of an amendment to State Finance Law §§ 8 and 163.  As a result of these changes in law, State contractors will be required to disclose, by employment category, the number of persons employed to provide services under a contract for consulting services, the number of hours worked and the amount paid to the contractor by the State as compensation for work performed by these employees. This will include information on any persons working under any subcontracts with the State contractor.

Chapter 10 of the Laws of 2006 expands the definition of contracts for consulting services to include any contract entered into by a State agency for analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal, or similar services.

To enable compliance with the law, State agencies must include in the Procurement Record submitted to OSC for new consultant contracts, the State Consultant Services Contractor’s Planned Employment From Contract Start Date Through the End of the Contract Term (Form A external link icon - see link below). The completed form must include information for all employees providing service under the contract whether employed by the contractor or a subcontractor. Please note that the form captures the necessary planned employment information prospectively from the start date of the contract through the end of the contract term.

Form A: http://www.osc.state.ny.us/agencies/gbull/g226forma.doc external link icon

Chapter 10 of the Laws of 2006 mandates that State agencies must now require State contractors to report annually on the employment information described above, including work performed by subcontractors. The legislation mandates that the annual employment reports are to be submitted by the contractor to the contracting agency, to OSC and to the Department of Civil Service.  State Consultant Services Contractor’s Annual Employment Report (Form B external link icon - see link below) is to be used to report the information for all procurement contracts above $15,000.  Please note that, in contrast to the information to be included on Form A, which is a one-time report of planned employment data for the entire term of a consulting contract on a projected basis, Form B will be submitted each year the contract is in effect and will capture historical information, detailing actual employment data for the most recently concluded State fiscal year (April 1 – March 31).

Form B: http://www.osc.state.ny.us/agencies/gbull/g226formb.doc external link icon

For more information, please visit the OSC web site for G-Bulletin 226 at: http://www.osc.state.ny.us/agencies/gbull/g-226.htm external link icon.

Public Officer’s Law Section 73

All bidders must comply with Public Officer’s Law Section 73 (4)(a), as follows:

4. (a) No statewide elected official, state officer or employee, member of the legislature, legislative employee or political party chairman or firm or association of which such person is a member, or corporation, ten per centum or more of the stock of which is owned or controlled directly or indirectly by such person, shall (i) sell any goods or services having a value in excess of twenty-five dollars to any state agency, or (ii) contract for or provide such goods or services with or to any private entity where the power to contract, appoint or retain on behalf of such private entity is exercised, directly or indirectly, by a state agency or officer thereof, unless such goods or services are provided pursuant to an award or contract let after public notice and competitive bidding. This paragraph shall not apply to the publication of resolutions, advertisements or other legal propositions or notices in newspapers designated pursuant to law for such purpose and for which the rates are fixed pursuant to law.

  1. The term "state officer or employee" shall mean:
    1. heads of state departments and their deputies and assistants other than members of the board of regents of the university of the state of New York who receive no compensation or are compensated on a per diem basis;
    2. officers and employees of statewide elected officials;
    3. officers and employees of state departments, boards, bureaus, divisions, commissions, councils or other state agencies other than officers of such boards, commissions or councils who receive no compensation or are compensated on a per diem basis; and
    4. members or directors of public authorities, other than multistate authorities, public benefit corporations and commissions at least one of whose members is appointed by the governor, who receive compensation other than on a per diem basis, and employees of such authorities, corporations and commissions.

Public Officer’s Law Section 73 can be found at http://www.nyintegrity.org/law/ethc/POL73.html external link icon.

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Section 4 – Assurances

Appendix A – Standard Clause for all New York State Contracts will be included in the contract that results from this RFP. Vendors who are unable to complete or abide by these assurances should not respond to this request.

The documents listed below are included in Submission Documents, which must be signed by the Chief Administrative Officer. Please review the terms and conditions. Certain documents will become part of the resulting contract that will be executed between the successful bidder and the NYS Education Department.

Appendix A – Standard Clause for all New York State Contracts contains the following three (3) certifications:

  • Non-Collusion Certification
    (Signature Required - the form is included in Submission Documents)
  • MacBride Certification
    (Signature Required - the form is included in Submission Documents)
  • Certification-Omnibus Procurement Act of 1992
    (Signature Required - the form is included in Submission Documents)

Certification Regarding Lobbying; Debarment and Suspension; and Drug-Free Workplace Requirements (Signature Required - the form is included in Submission Documents)

Offerer Disclosure of Prior Non-Responsibility Determinations (Signature Required - the form is included in Submission Documents)

M/WBE Documents – the forms below are included in Submission Documents). Each set must include the following:

  1. M/WBE Cover Letter (Signature Required)
  2. M/WBE 100 Utilization Plan
  3. M/WBE 102 Notice of Intent to Participate
  4. EEO 100 Staffing Plan

Appendix A - Standard Clauses for NYS Contracts

Appendix A-1

Appendix A-2

Appendix A-2

American Recovery and Reinvestment Act of 2009 (ARRA)
ADDITIONAL CONTRACT RECORD KEEPING REQUIREMENTS

This contract, is funded, in whole or in part, by the American Recovery and Reinvestment Act of 2009 (ARRA). The United States Office of Management and Budget (OMB) has released, “Implementing Guidance for Reports on Use of Funds Pursuant to the American Recovery and Reinvestment Act of 2009.” (M-09-21)  This guidance provides detailed information on reporting requirements included in Section 1512 of the Recovery Act.

Recipient vendors receiving ARRA funding will be required to submit quarterly information which will include at a minimum the following information:

  • Vendor name and zip code of Vendor headquarters;
  • Expenditures (per quarter and cumulative);
  • Expenditure description; and
  • Estimates on jobs created or retained via the expenditure of these funds by the Vendor.

Additional data may be required from vendors as a result of guidance issued by OMB.

Vendors will be required to submit the ARRA data in a form and format to be determined by the New York State Education Department (NYSED).  NYSED anticipates that the reporting information will be provided to Vendors no later than August 30, 2009.  There will be no additional compensation for this reporting activity and it is anticipated that the Quarterly Reporting forms will be required in both paper and electronic formats.

An employee of any non-federal employer receiving ARRA funds may not be discharged, demoted, otherwise discriminated against as a reprisal for disclosing to law enforcement and other officials information that the employee reasonably believes is evidence of:

  • Gross mismanagement;
  • Gross waste of covered funds;
  • A danger to public health and safety;
  • An abuse of authority; or
  • A violation of law.

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Section 5 – Submission Documents

  • Submission Documents: PDF PDF icon (237 KB) | Word Word document icon (529 KB)

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Attachments

  • Attachment 1: Security Guidelines for the NYS Education Department Office of Accountability: PDF PDF icon (10 KB) | Word Word document icon (22 KB)
  • Attachment 2: Non-disclosure Agreement: PDF PDF icon (14 KB) | Word Word document icon (33 KB)
  • Attachment 3: Submission Format for Project Narrative: PDF PDF icon (10 KB| Word Word document icon (21 KB)

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Last Updated: February 7, 2014 1:52 PM