Components of RFP Proposal #08-035 are as follows:

1. Description of Services to be Performed
2. Submission
3. Evaluation Criteria, Method of Award, and Terms and Conditions
4. Assurances
5. Submission Documents (separate Word document)
6. Appendices
7. Attachments

Questions regarding this RFP must be submitted by E-mail to EMSCGRADES3_8RFP@mail.nysed.gov no later than the close of business June 5, 2009.  Questions regarding this RFP should be identified as either Program or Fiscal. A Questions and Answers Summary will be posted to:  http://www.emsc.nysed.gov/compcontracts/compcontracts.htm no later than June 17, 2009.

Eight (8) copies of each technical proposal (one bearing an original signature in blue ink) AND three (3) copies of each cost proposal (one bearing an original signature in blue ink) AND one (1) electronic version in Microsoft Word (CD format) of both the technical and cost proposal must be received no later than:

(Facsimile copies of the proposals are NOT acceptable)

Submit Proposals in a sealed envelope labeled

Bid proposal-RFP #08-035 - Do Not Open.

Submit Cost Proposal in a separate sealed envelope labeled

Cost Proposal-RFP #08-035 Do Not Open.

Description of Services

Work Statement

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.

Background Information

The New York State Board of Regents, which is responsible for setting educational policy, standards, and rules, has published learning standards in seven curricular areas: Mathematics, Science, and Technology; English Language Arts; The Arts; Languages Other Than English; Health, Physical Education, Family and Consumer Sciences; Social Studies; and Career Development and Occupational Studies. These standards are the foundation for a rigorous system of assessment designed to:

• evaluate the achievement of the knowledge and skills delineated by the learning standards and their constituent key ideas and performance indicators;

• provide information that helps teachers adapt instruction to students' strengths and needs;

• provide useful information to students, parents, educators, and the general public about what students know and can do; and

• serve as the basic source of data for a rigorous school, district, and State accountability system.

In January 1999, New York State administered the Elementary English Language Arts (ELA 4) examination for the first time. In June 1999, the Intermediate English Language Arts (ELA 8), Elementary Mathematics (Mathematics 4), and Intermediate Mathematics (Mathematics 8) tests were administered. Each of these tests provided information on the proficiency of each student with respect to the learning standards for those subject areas. These proficiencies are gauged in scale scores demarcated into four levels ranging from Level 1 (Basic) to Level 4 (Advanced); achievement Levels 3 or 4 denote proficiency in achieving the learning standards.

In January and March of 2006, New York State administered the English Language Arts and Mathematics Tests for Grades 3—8. These tests are designed to determine whether each student is making adequate progress in attaining the skills and knowledge expected of students in their grade level, as outlined in the New York State Core Curriculum.

Listening

In the Listening selection of the English Language Arts Tests, students will listen to a passage and apply the skills and knowledge that they gained in the classroom to answer comprehension questions. The questions are designed to assess student understanding of the passages.

Listening sections will represent a variety of genres. Literary passages may include short stories, folk tales, poetry, or other forms of literary writing; informational passages may include articles, excerpts from biographies or autobiographies, essays, or other forms of informational writing.

The listening passages that appear on the test are similar to the kinds of materials students read and hear in the classroom. Listening passages are carefully selected for grade-level appropriate vocabulary and content.

Writing

In the Writing section, the tests for Grades 4, 6, and 8 will be composed of two extended response questions. One extended response question will be in the Listening section of the test (Book 2) and the other will be found in the Reading/Writing section of the test (Book 3).  In addition to contributing to the Listening and Reading cluster scores, the two extended response pieces will be scored holistically for writing mechanics. The students will be required to demonstrate knowledge of three types of writing: narrative, persuasive, and informative. Students will write from a variety of prompts and for many different audiences. Student writing will be evaluated on how well it communicates to the reader.

In the Writing section, the tests for Grades 3, 5, and 7 will include an editing task that consists of a paragraph containing errors in capitalization and punctuation (Grade 3) or in capitalization, punctuation, grammar, and usage (Grades 5 and 7).  The student completes the task by identifying and correcting the errors.  The student is asked to cross out the error and write the correction directly above the error.  Using proofreading marks to correct errors is acceptable, provided the marks are made accurately and clearly correct the errors. The nature of the errors do not require the student to do any extensive rewriting of the paragraph.  In each test, the teacher guides the students through a sample editing paragraph just prior to the students’ completing this task on their own.

Technical specifications:

1. Adhere strictly to the performance indicators included in New York State’s Core Curriculum.

2. Field test at least twice the number of items needed per operational test.

3. Develop items and field test items that will cover both extremes of the testing pool—easy and difficult.

4. Develop at least ten multiple choice items per passage.

5. Obtain a large diversity of material to bring to passage review; most genres should be included yearly.

6. Write items that are clear and age/grade appropriate for each test.

7. Build an item bank that contains 10% more items than needed each year during operational content selection so that the best possible selection of items is possible. Provide the item bank to SED after each yearly selection of items has been made from the bank for the operational tests.

8. Produce student papers for the entire range of difficulty contained in the rubrics.

9. Produce rubrics and specific rubrics that are appropriate for each test.

10. Produce data that provides all customary classical and IRT statistics for field tested items.

11. Produce scoring material annotations that are clear and provide direction to scorers.

12. Provide a Helpline for scorers during the entire duration of the scoring window.

13. For a complete description of the test specifications, see Attachment J.

Reading Passages

• A variety of material must be used on the ELA tests. Approximately 30 percent of the reading passages may be commissioned pieces and approximately 70 percent of the reading passages must be authentic literature on each test.
• The material must be of general interest, have a familiarity to most students, have characters that are portrayed as positive role models, have a positive message, and be well written.
• Illustrations or photographs that accompany passages and other text should be used to the extent possible. The authentic published literature used on each ELA test must come from a variety of books and magazines for each test.
• The authentic pieces may only be abridged from longer pieces with the permission of the author prior to the item being field tested.
• All pieces must have the permission of the author or copyright holder for use prior to items being written. NYSED staff will review and approve passages to be used for passage review. A committee of educators will advise NYSED on the suitability of passages being considered for testing.  For the second year of field testing the vendor must also have permission of the author or copyright holder for passage to be posted on the NYSED web site as most of the test following the test administrations.
• NYSED will have the final authority over passages selected for use on these tests.

Items

• NYSED prefers that items be written by individuals with a minimum of a Bachelors degree as well as a degree in the ELA content area, knowledge of appropriate questions for the target audience, experience in writing and editing items, and knowledge and training in the New York State Learning Standards.
• For all teacher committees, the vendor must, send out invitations to teachers to participate at least two months in advance to allow sufficient time for teachers to plan accordingly, especially during the school year.
• Items and item types should reflect the best educational research available at the time. Items should match the cognitive demands defined for each standard and be clear to the reader.
• Multiple-choice questions should have four choices, and they should be organized using an A B C D pattern. The use of “none of the above” or “all of the above” may not be used. Items having negative words such as “not” should be used only when necessary. There must be only one correct answer choice for each question.
• Constructed-responses should clearly define the expectations of the students, such as the necessity of providing details from a story or other piece of literature as support.

Passage Review Committees

• Passage Review Committees must be composed of teachers from all parts of the State, be diverse in terms of race, gender, etc., and be composed of a mixture of both experienced and new reviewers. The vendor will keep a list of names of teachers, selected by NYSED, to be used on the committees. New names will be added by NYSED. A waiting list of teachers for each event should be created in case of last-minute problems with attendance.
• This committee will review passages to make recommendations about their use in testing. Their recommendations will be based on classroom experience that has given them knowledge of current and effective educational practices, instructional materials currently being used in the classroom, and what is age and grade appropriate for students.
• A sensitivity review of the material will be done concurrently with the recommendations of the passages for content. Each committee should be composed of teachers that are diverse in gender, ethnicity, and State geographic region. Each committee should also strive to include teachers that have diverse education backgrounds and professional experience working with children in rural, urban, and suburban schools.
• A minimum of eight teachers must compose each committee in each two-grade band (see Attachment D-1 or D-2: Teachers Committee Charts) in order to achieve the desired diversity. NYSED will submit names of teachers to the vendor for inclusion on these committees, and NYSED will have the final approval of teachers selected for all committees.
• The tests should be of such difficulty that students, who are adequately prepared, should be able to perform at the proficient level on the test based on the clearly identified and prioritized student outcomes for the grade level being tested.
• The tests should be standards-based tests, with a high degree of precision around the proficiency level cut scores. Since the tests are administered in January of the school year, the content tested should be that expected of proficient students at that point in time of the school year. The tests are designed to assess knowledge and skills contained in the learning standards, and therefore are unspeeded.
• The committees do not select items but instead advise the vendor and NYSED on which items to include in the field tests.

Requests for Permission

Requests for Permission obtained by contractors from copyright holders to use their copyrighted works and materials (“Permissionable Materials”) on any NYSED ELA operational tests administered under this contract must include explicit permission from the author for NYSED to use the copyrighted work in NYS operational tests, whether or not developed by the Contractor.  Permission must also be obtained for NYSED to post at least 75% of the copyrighted works on NYSED’s web site for at least three years from the date of its use on an operational test.

Mathematics

The test must be developed for Grades 3–8 Mathematics to assess the five content strands and five process strands in the New York State 3–8 mathematics core curriculum. Bidders are to assume development of questions with increasing problem solving and higher cognitive demands with the increasing cognitive maturity of the student. The detailed specifications for these tests are provided in Attachment J. Additional information about these tests can be found in the Technical Report available at:http://emsc32.nysed.gov/osa/pub/gr3-8math08report.pdf.

Question Formats for Mathematics Tests

1. The Mathematics Tests contain questions in the following formats: multiple choice, short response, and extended response.
2. For all multiple-choice questions, students select the correct response from four answer choices.

ELA and Mathematics Test Construction

1. Test construction includes production of test items (writing, editing, and field testing); development of scoring processes, scoring rubrics, and scoring training materials for field tests, including scoring practice and anchor sets (annotated); and administrators’ manuals and informational brochures.
2. Bidders must propose to assemble field tests that will include items consistent with the current test specifications.
3. Bidders may also propose to include items in field tests taken from an existing item bank that the vendor may have and that are consistent with the current New York State Learning Standards, but must understand that these items become the property of NYSED. Items must be field tested with New York State students in the target grade within the last five years before being included in operational tests.
4. The bidder must describe how each field test and related materials will be constructed, submit a timeline for each test, and suggest designs for configuring forms with multiple-choice and constructed-response items as appropriate to the test design. This description must include a timeline that provides specifics on major events, phases, and deliverables.
5. Final operational test forms will be determined based on field test results and NYSED approval.
6. The vendor must cooperate with the Regional Information Centers (RICs) and the Big Five city school districts (Buffalo, New York City, Rochester, Syracuse, Yonkers) scanning centers to facilitate the development by the RICs/Big Five city districts scanning centers of the most appropriate student operational test answer sheets. RICs are data processing centers operated by twelve Boards of Cooperative Educational Services (BOCES) that provide answer sheets and scanning services for schools outside the five large-city school districts. The vendor must also work cooperatively with New York State’s Student Information Repository System (SIRS) to facilitate the transfer of statewide student operational test data. NYSED will provide the vendor with contact information for the RICs, Big Five city school district scanning centers, and the SIRS.
7. For both ELA and Mathematics, the vendor will maintain a full staff consisting at a minimum of three content specialists, one for each grade band (Grades 3–4, 5–6, 7–8), for a total of six, and at least one development supervisor for the duration of the contract.

Field Testing and Research for ELA and Mathematics Tests

The vendor will conduct field testing for ELA and Mathematics in New York State in 2010, and 2011, to assess the difficulty, fairness, and appropriateness of the items for proposed operational tests. The vendor must develop a plan for the field tests by no later than thirty days after the awarding of the contract. The field test studies must include a sufficient number (minimum of 2,000) of students at each grade level tested, on each item, appropriate for the equating model used, and to ensure that the data drawn from each study has sufficient reliability across the student population of the State and within student sub-populations required for accountability under the No Child Left Behind Act (NCLB). Spanish translations of test items in mathematics must be field tested.

Item Review Committees must be convened by the vendor for each of the tests, to review test items before field testing, to ensure their quality, and to advise NYSED to accept, reject, or modify test items based on both content and sensitivity. All judgments made by committee members must be consistent with criteria documented in Standards for Educational and Psychological Testing (published by American Education Research Association, American Psychological Association, and National Council on Measurement in Education).

The vendor must print all field test materials. All secure materials distributed to schools as part of the field tests must be serialized. The vendor’s records and the shipping manifest must indicate the range of serial numbers shipped to schools. The vendor must also account for each individualized secure item in checking returned materials and must conduct follow-up correspondence and phone contact with each school concerning non-returned field test materials. Follow-up correspondence must include the serial number of the missing materials.

The following are the activities required around field testing:

• The vendor must collect a minimum of 2,000 usable field test answer papers per field test form. Since field test participation in NYS is not mandated, the vendor must over sample in order to achieve the target of 2,000 answer papers written for each field test form.
• The vendor must develop a method for soliciting schools to participate in field testing. The solicitation by the vendor for schools to participate in field tests must be explicit as to the grade levels and subject for which the school is asked to participate and must be approved by NYSED.
• All schools that respond affirmatively to the field test solicitation must be provided by the vendor with the appropriate quantities of field test materials for that grade(s) and subject even if it appears to the vendor that more than the target number of answer papers will be achieved.
• Field tests are all in mini-forms such that students can generally complete the form in a 40-minute class period.
• Field tests are administered by New York State public schools (including charter schools) and nonpublic schools.
• The field test item pool is also required to be large enough so that the operational test forms needed can be developed using “successfully” field tested items, and so those items found unusable for an immediate operational test can be revised and reworked in order to be used in future field test cycles, thus building an item bank for NYSED’s use.
• At least two weeks prior to the established deadline for responding to field test solicitation, the vendor is required to send notification to schools selected for field test participation that have failed to submit their enrollments for participation.
• The field tests must be administered within one month of the administration of the operational examination.

• The vendor will be responsible for the development, printing, and shipping of field tests, teacher directions, student test booklets, and answer sheets and directions for administering and returning the tests to the vendor.
• For field testing, the vendor must provide each participating school with an easy-to-follow set of instructions that explains only how to administer a field test in that grade band and subject assigned to that school. Therefore, the instructions need to be provided in separate booklets by grade band and subject.
• The vendor is responsible for paying the shipping costs for schools to return the tests to the vendor.
• The vendor is responsible for assuring that all field tests and related materials are returned in a timely and secure manner, and notifying schools repeatedly, if necessary, that do not return materials by the due date. The vendor must provide a list of school districts, charter, and non-public schools to NYSED that have failed to return materials within 2 weeks after the due date and again after the vendor has made multiple, concerted efforts to effect their return.
• The vendor must provide notice to schools on each page of the field test forms and administration directions that photocopying materials and any reference to test content is strictly prohibited. The notice should read as follows:

Secure materials. All rights reserved. No part of this booklet may be reproduced or transmitted by any means. Use of these materials is expressly limited to the New York State Education Department.

• The vendor must score the field tests, verify the results, forward the score results to NYSED in a mutually agreed-upon format, and produce a Field Test Technical Report for each year of field testing.
• NYSED does not require that New York State teachers be used for the actual scoring of the field test items. However, scorers hired by the vendor for these field tests must have at least a bachelor’s degree and nine college credits in English and/or Mathematics and/or Education.
• The vendor must design and print the field test answer sheets or use scannable field test booklets for students to record their responses.
• In collaboration with NYSED, the vendor will select the schools to participate in field testing and notify the selected schools of the field tests based on NYSED’s sample design. (See Attachment G)
• The field test items and tests must remain secure.
• Field tests must be matched by student to their operational test results to permit common scaling of all field test items to the operational scale.

Range Finding

In the first and second years of the contract, the vendor must convene range finding committees for selection of student responses for inclusion by the vendor in scoring materials for constructed response questions. For these committees, the vendor must use NYS teachers that have ELA and Mathematics scoring experience. It is not required that New York State teachers be used for the actual scoring of the field tests.

NYSED will provide a list of names of New York State teachers for the vendor to contact and to make arrangements for participation.

Scoring Rubrics

The vendor will develop two levels of scoring rubrics for constructed-response items. The first level of rubric, which will be public, is a generic rubric applicable to all questions with the same possible score range, (e.g., 0–3). Generic rubrics will communicate how point values will be assigned for each level of response in terms of the general competency displayed.

The second level of rubric is an item-specific rubric. These rubrics are considered secure until the operational test forms to which they apply are scored. Item specific rubrics detail how the scoring principles expressed in the generic rubrics are applied to the specific responses for each constructed-response question.

Annually, the vendor must convene ELA and Mathematics Final Eyes Committees, comprised of five to ten teachers for each grade band (3–5 & 6–8), who represent the state demographically and geographically, to review the proposed final form of each test before printing. At the conclusion of the Final Eyes Committees, the vendor must conduct debriefings with NYSED to resolve any concerns raised by the committees. (See Attachment D-1 and D-2 for charts of specifications for teacher committees.)

Teacher Committees

For all teacher committees the vendor is required to:

• Arrange, convene, and conduct these meetings and pay for all related participant expenses at State approved rates;
• Contact the teachers recommended by NYSED to participate on the various committees to inform them of the logistics around their participation;
• Arrange and pay for the meeting space within 20 miles of the NYSED building;
• Notify NYSED in advance of all committee meetings and provide all committees with the information needed to analyze and review assessment objectives and items; and
• Record and summarize the recommendations of these committees, the result of those recommendations, and report this information in writing to NYSED; and
• Provide evaluation forms for teachers to submit providing feedback of quality of vendor’s session.

NYSED will select the New York State teachers to participate in the various committees. (See Attachment D-1 and D-2 for charts of specifications for teacher committees.)

Field Test Sample Design

A stratified random sampling design will be used for the Grades 3–8 ELA and Mathematics field tests. All public, private, and charter schools with grades 3–8 enrollment will be required to participate in the annual field tests. Each school will be asked to administer only one mini-field test form in one grade.

A two-year field test schedule is designed to accommodate all New York State elementary and intermediate school field tests in 2009–2010 and 2010–2011 school years (see Matrix in Attachment G). The Matrix contains 10 pre-selected elementary school samples (ES1 to ES10) and eight Intermediate school samples (MS1 to MS8). Every school with Grades 3–8 enrollment will be assigned to one field test sample but not more than one sample. All samples represent stratified random samples that are representative of New York State schools. Schools that are assigned to the field test samples (called strands) will remain in the same strands for the duration of the two-year field test schedule. However, their field test assignments will be rotated from year to year.

NYSED will provide the vendor a complete list of New York State schools and related demographic variables for sample selection. The vendor is responsible for selecting the stratified random samples. Vendor must ensure that all samples are representative of the New York State schools with regard to number of schools and students n counts by grade, distribution across the Need/Resource Categories, ethnic composition, school type, and mean scale scores in Grades 3–8 ELA and Mathematics Tests. The sample file should be submitted to NYSED for review and approval.

Analysis of Field Tests

The vendor will provide statistical analyses for the field test administration. The analyses should include, but not be limited to, the following:

• Analyses of field test participation rates;
• Evaluate the field test sample representativeness;
• Analyses of classical item statistics;
• Analyses of IRT item parameter estimate including the item difficulty and discrimination;
• Evaluate the item fit and model fit statistics;
• Evaluate the classical and IRT DIF results;
• Overall statistical indices of field test forms reliability;
• Reliability and validity information; and
• Inter-rater reliability.

The Mantel-Haenszel process for selected-response questions, a derivative process for constructed-response questions, or an IRT-derived process for both item types, must be used to evaluate Differential Item Functioning (DIF) on field test items for males and females and for population focal groups, identified by NYSED, of sufficient size. DIF analysis will also be conducted on the field test versions of mathematics test items in English compared to Spanish. All high DIF items will be evaluated by NYSED for suitability for inclusion in operational test forms. A copy of each research file containing all field test item responses must be provided to NYSED after each field testing.

Field Test Technical Report

The vendor will develop and submit to NYSED a technical report for each field test administration that will include, but not be limited to, the following information:

• Field test design
• Field test and operational data match
• Classical analysis (item analysis, inter-rater reliability, and DIF analysis)
• IRT Scaling (item calibration, item equating, item fit evaluation and IRT DF)
• Item flag summary and research guild for item selection

Forms Equating

IRT 3-Parameter Logistic Model must be used to calibrate, equate, and scale the field test and operational test forms. The equating process must allow for year-to-year comparisons for each test through the development of a common scale across years. Bidders must propose the most appropriate equating methodology.

The field test forms can be equated using the equivalent group and the common item design. Bidders must develop a (or multiple) secure anchor form(s) that can be administered in the field test every year and the items

 would not be included for operational tests. The field test forms and item parameters must be placed onto the operational scale through the secure anchor form which is a miniature version of the operational test with regard to the test contents and statistical specifications.

The field tests can be administered in a spiral design. In this design, equivalent groups of students are administered the various mini-field test forms including the anchor form.  Operational test items can be selected from the equated field test item bank based on content coverage and statistical specifications. Operational test data must be used for item calibrations and equating and for creating the operational conversion tables. Vendor must submit to NYSED the data file used for equating and calibration for review and verification.

Operational Test Technical Report

Vendor must submit a comprehensive technical report after each operational test administration. The technical report should include, but not be limited to, all the technical information such as test design, test development, scoring, test reliability and validity, and analysis of the operational test data.

All research files must be submitted to NYSED containing complete student item-level data as well as scale scores and the demographic information necessary to replicate all analysis.

The New York State Grades 3–8 ELA and Mathematics operational tests administered in 2011 and 2012 will continue to use the vertically moderated scale design and cut scores established with the 2006 tests.  No new standard setting will be conducted during the years that operational tests are administered under the contract resulting from this RFP.

Required Technical Information for Research

The vendor will provide a comprehensive technical report for each test (see Attachment H), which will include:

• Disaggregating test results at various levels;
• All psychometric and statistical data;
• Reliability data, including internal consistency and decision reliability, and validity data;
• Documentation of item linkages to the standards;
• Intercorrelations by content-specific sections and item types;
• Generalizability analyses must be provided; and
• Item-level data must also be provided.

Cooperation with Other NYSED Contractors

NYSED will be preparing RFPs in addition to this one for certain test-related activities that are associated with the Grades 3–8 ELA and Mathematics Tests. These are likely to include re-scoring of a sample of students’ responses to constructed response questions and the development of individual student score reports.  In the event that any of the related RFPs result in the awarding of contract(s) to other vendors, the vendor awarded the contract tied to this RFP must cooperate fully and in a timely manner with those vendor(s) providing other services to NYSED associated with these examinations.

Test Administration and Training for Local Scoring

Operational Forms Preparation

1. The vendor must provide to NYSED for its approval a style guide for the Grades 3–8 ELA and Mathematics Tests delineating the content specific terminology, phrases, graphics, symbols, and grammatical style.  In addition, the vendor must refer to the Core Curricula, the Instructional Recommendations for Elementary and Intermediate Mathematics Instruction, and the Lists of Suggested Mathematics Vocabulary for Grades 3–8 for guidance on terminology.

2. Materials to be produced shall include all print ready test booklets, including those in large type, and translated mathematics editions and Braille copies for ELA and Mathematics; technical manuals, teacher directions and school administrator’s manuals; dictation copies; print-ready scoring guides for local scoring; and any other examination-related materials necessary for valid administration.

3. The vendor must provide the NYSED with both camera-ready and PDF format files with all fonts imbedded in the PDF file. All pages should be single sided and numbered. The PDF files must be in gray scale with no colors and at 600 dpi. The vendor will be responsible for verifying the requirements at the time of delivery. This requirement applies in all instances of this RFP where the term "camera-ready" is used.

4. The vendor will provide a toll-free number which is staffed from 7:30 A.M.–4:30 P.M. EST each business day to handle all test-related questions for the full duration of the scoring period, which begins after each testing period ends. In addition, the vendor will ensure that a toll-free FAX number, with a minimum of three dedicated FAX machines, shall be operational 24 hours a day.

5. Mathematics tests will be translated by the vendor into Chinese (traditional), Haitian Creole, Korean, Russian, and Spanish. All translated editions must be back translated. The Spanish edition will be assembled from the items field tested in Spanish. The ELA assessments are not translated. Camera-ready files must be prepared for NYSED to print.

6. Grade and subject designations, as well as New York State Testing Program must appear on all test materials. Grades appropriate graphics, content, style, typeface, and font size must be determined by the vendor and approved by NYSED. Each test session must be in a separate test booklet.

7. The vendor will provide to NYSED the materials noted in this section prior to the date of test administration in compliance with a schedule to be determined by NYSED. All products and procedures proposed by the contractor will be reviewed and approved in draft and final form by NYSED, within a schedule mutually agreed upon by NYSED and the vendor. Materials to be provided to NYSED for approval will be prepared by the vendor in a finished form and in the style prescribed by NYSED.

8. Vendor must periodically update the Style Guide with approval from NYSED.

9. The vendor will prepare and ship to NYSED the quantities that schools request of Braille of each of the sessions plus an additional 25 Braille copies of each test booklet. The Braille editions must be copied and accurately labeled.   The large-type editions must be prepared in camera-ready format for NYSED to print.  (See Attachment E:  Specifications for Contractor/Subcontractor Transcribing Braille and Attachment F:  Specifications for Large Type.)

10. It is expected that the vendor will be required to provide a total of 125 booklets to NYSED in Braille for each test.

Local Scoring of Operational Tests

• The vendor will provide rubrics, student paper exemplars at each score point, practice sets for scorer training, and Consistency Assurance Sets.

• The vendor will prepare camera-ready scoring guides that NYSED will print and disseminate to schools.

• The vendor must provide web-based audio/visual training for the scoring of each operational test.

• All multiple-choice questions will be scanned by the Regional Information Centers (RICs) and the Big Five city school districts. All operational constructed-response questions will be scored by New York State teachers. ELA and Mathematics constructed-response questions for the operational exams will be scored by the district teachers in regional or district-level groups and scanned at the RICs, including the Big Five city school districts. New York State is allowing local districts to choose regional scoring at sites identified by the BOCES and the Big Five city school districts, or choose district-level scoring. Bidders must propose a plan to collect data and provide quality control for all data records. In this plan, all student answer documents must be scanned at the RICs where both the multiple choice and open-ended questions are added to an electronic file. These electronic records are sent to a central location known as the State Repository for aggregation into one data file. This file is then provided to the vendor for scoring and scaling analysis. The vendor will share a copy of a research file containing statewide item level responses for each examination with NYSED.

Operational Testing

The vendor must describe how each test will be prepared, submit a timeline for each test and suggest designs for configuring forms with multiple-choice and constructed-response items as appropriate. The description will include a timeline that provides specifics on major events, phases, deliverables, carefully edited copies of all test items, teacher directions and scoring materials that must be made available for NYSED review and approval approximately five months before the administration date. The vendor will provide clear, complete, and specific field test instructions for teachers and administrators in operational manuals for local schools to use. Whenever possible, the directions across grade levels and within content areas should be consistent.

The vendor will also provide clear, complete, and specific scoring guides that are derived from the vendor-prepared field test scoring materials. Camera-ready scoring materials must be delivered to NYSED by the first week in October for ELA and the first week in November for mathematics.

Project Management

The vendor must submit documentation demonstrating personnel experiences and expertise congruent with staff assignments for all aspects of the tasks outlined in the RFP. The vendor shall provide plans and procedures for ensuring that staffing is commensurate with the project’s scope of work throughout the duration of the contract and immediately notify NYSED of any changes in staffing including any subcontractors. NYSED reserves the right to review and approve staffing and/or subcontractors. Detailed and sufficient information should be presented to lead evaluators to the efficacy of the proposed staffing solutions for this project and organizational arrangements of the same. This information must include:

• An organizational diagram that indicates staffing arrangements for this project.
• The time commitments of the proposed staff. Time commitments must be described in terms of projected hours per week devoted exclusively to the NYSED project.
• Provide a detailed description of responsibilities for all proposed staff.
• Detailed resumes for all staff members associated with this project.

The bidder must identify two project managers, one for ELA and one for Mathematics, to be the central points of contact with NYSED for this contract. The project manager and all other key personnel of the vendor must be identified by name and experience in writing to NYSED and approved by NYSED. Current resumes must be included as part of the proposal. Bidders are expected to demonstrate that the individuals identified as managers have sufficient authority across departments within the organization to ensure that the work of the contract has the necessary priority to be completed with the highest quality and on time. The skills and requirements for the project manager are as follows: Educational Requirements

• Successful completion of a Bachelor’s Degree from an accredited college or university. Master’s Degree or beyond is preferred.
• Project management certification through the Project Management Institute (PMI) as a Project Management Professional (PMP), or other recognized project management certification is preferred.

Project Management Requirements

• The vendor project managers for this contract must not have primary responsibility for any other contract with NYSED or for a large scale testing program for another state.
• A detailed resume and two (2) professional references that can attest to the individual’s qualifications and experience.
• At least three years of experience managing large assessment projects from conception through completion following industry recognized project management methodology.
• Previous experience in a 3–8 public education project.
• Possess a demonstrated knowledge of testing procedures and strong organizational, managerial, and communication skills are required.

Project Manager Duties

The Project Managers will:

• Coordinate and participate in quarterly review meetings and monthly conference calls to discuss the status report and any issues related thereto.
• Maintain accurate, up-to-date information of the current status of all vendor and subcontractor(s) work on the project, and timely communicate such information to NYSED.
• Develop and submit an annual detailed project plan to NYSED for review and approval. The purpose of the plan is to provide NYSED with an overall analysis of the methods the vendor will utilize to perform all aspects of the RFP and contract in the required timeframe. The vendor will not perform work on the project until NYSED has approved the vendor’s project plan. (See Attachments A-1 and A-2:  Schedule of Deliverables)
• Submit all deliverables and other work products to NYSED in the manner designed by NYSED for review and approval prior to any release or distribution by the vendor. All materials must be provided error-free. The project manager must submit materials to NYSED according to a mutually agreed upon timeline to allow for appropriate review.
• Submit monthly status reports updating NYSED on all phases of the development and implementation of the project and progress made in accordance with the detailed project plans, RFP and contractual requirements. Such monthly reports must include the following:
• A current detailed listing of all work and activities completed and in progress with corresponding dates;
• A detailed list of upcoming work;
• A list of all information needed from NYSED in order to proceed with work;
• External dependencies, if any, which may effect the schedule, and the variance by which it would affect the schedule; and
• All dates must correspond to all timelines and schedules for deliverables.
• Oversee the development and implementation of changes as necessary to ensure that the projects remain within specified scope and are within time, cost, and quality objectives.
• The project managers will be required to travel to New York State at least four times a year to meet with NYSED program staff in Albany. A start-up meeting is required to be held in Albany at the beginning of each contract year.

Notification Procedures

In the event that a problem or potential problem arises with regard to the quality, timeliness, or any other issue with respect to deliverables and services at any time during the contract term, regardless of when the problem arises, the project manager must immediately notify Steven Katz, Director of State Assessment via telephone and in writing of the issue and the vendor’s proposed solution and shall also include the issue and the NYSED approved solution on any subsequent report(s).

References and Qualifications

Bidders must document experience in the development of large-scale high stakes assessment programs. Qualifications for field testing, test development, scoring, research, and administration must also be documented as appropriate for each content area. Professional references to substantiate qualifications are required and will be checked by NYSED. A minimum of three (3) current professional references to substantiate qualifications is required. References must include name, title, company name, address, phone number, and e-mail address. Do not use NYSED staff as references.

Bidders should demonstrate the capacity to complete this project using their own hardware and software.

Work Plan

The bidder must submit a valid, complete, and comprehensive three-year detailed work plan with a time line that provides an in-depth description of how the activities required in the RFP will be conducted. The work plan must be aligned with a detailed timeline for each year of the contract.

Contract Period

The contract resulting from this RFP will be for a single award with a term of three years. The contract will begin on November 1, 2009 and end on October 31, 2012.

At the end of any contract term otherwise provided for herein, if a replacement contract has not yet been approved in accordance with State law, any contract awarded hereunder may be extended unilaterally by the State, upon notice to the contractor, at the same terms and conditions, including all contract pricing, for a period of one month, if funding is available and/or services are needed.  Additionally, this extension may be for a period of up to three months with the concurrence of the contractor.  However, any extension will terminate immediately upon approval of the replacement contract except where a period for transition of contractors has been previously provided for.

Subcontracting Limit

Subcontracting will be limited to thirty percent (30%) 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 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 Minority/Women-Owned Business Enterprises as well as Small Business Enterprises.

When subcontracting work under this contract, the contractor must, on an annual basis, use Minority/Women-Owned Business Enterprises or Small Business Enterprises for a minimum of 10% of their subcontracting needs. For a listing of such providers, see: www.nylovesmwbe.ny.gov.

New York State Education Department’s Minority/ Women-Owned Business Enterprise Procurements Policy

It is the policy of the New York State Education Department to provide certified minority or women-owned business enterprises and small business enterprises with equal opportunity to Department procurements. Article 15-A of the NYS Executive Law, and Section 163 (6) of the NYS Finance Law were enacted to promote fairness in, and greater access to, the procurement process. The Board of Regents and the Commissioner are committed to a workforce that is representative of the many communities we serve, and to business practices which likewise reflect this commitment. Integral to the achievement of these goals is the increased utilization of women and minority-owned enterprises (M/WBEs) as vendors of the goods and services purchased/contracted by the Department.  In doing so, we will further support our mission “To raise the knowledge, skill and opportunity of all the people in New York.

Every Department employee involved in the procurement process is responsible for ensuring both compliance with the above referenced laws and the maximum possible use of M/WBEs consistent with procedures developed jointly by the Office of Fiscal Management and the Office for Diversity, Ethics and Access.

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 rate.

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. The 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 that is used is also bound by these terms. The submission of these documents will become the basis on which NYSED will judge the respondent’s ability to perform the required services as specified in the RFP. This will be followed by various terms and conditions that reflect the specific needs of this project.

Project Submission:

Each proposal submitted in response to this RFP should contain eight (8) copies of each technical proposal (one bearing an original signature), three (3) copies of each cost proposal (one bearing an original signature), and one (1) electronic version in Microsoft WORD (CD format) of both the technical and cost proposal. All proposals must be received by July 7, 2009.

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.

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

Technical Proposal                                                                                             (140 Points)

Technical Proposal for ELA                                                                                                            (70 Points) Technical Proposal for Mathematics                                                                                               (70 Points)

Your Technical Proposals should include the following:

• Response Sheet for Bids                                                     Signature Required
• All Forms and Assurances located in Submission Documents including original signatures where necessary
• Mandatory Requirements Certification Form                 Signature Required
• Attachment I—Non-Disclosure Agreement                     Signature Required
• Project Description for ELA for your ELA Technical Proposal as outlined below:
• Project Description for Mathematics for your Mathematics Technical Proposal as outlined below:

The Technical Component for each content are should be organized in a binder and clearly labeled with tabs by individual sections (i.e. 1a, 1b, 2a, 2b) in the following order:

Ownership

• All examinations (including field and operational test items in both print and computer file format) and examination-related materials are the exclusive property of NYSED and cannot be used by the vendor or any subcontractor for any purpose other than what is defined in the contract.

• NYSED is the sole owner of outputs resulting from the work proposed in the RFP, including, but not limited to: item banks, technical documents, test questions developed for field tests, operational tests, all scoring materials, test samplers, manuals, scoring rubrics, score scales and all guides, booklets, papers and reports generated under this contract. The vendor should be prepared to deliver all or part of these outputs to NYSED at any point during the term of the contract. These materials can only be used by NYSED. Ownership rights are more fully set forth in Appendix A-1 which appears in the contract.
• All such outputs are to be turned over to the State in print/or electronic form, as specified by NYSED, prior to the final payment to be issued under this agreement. The State may accordingly, at its discretion, make public, and may publish on its website, all examinations and related materials noted in the preceding paragraph after administration of the operational examination. The vendor may use such publicly disclosed materials in the same manner as any other party in accordance with the terms posted on NYSED’s web site.
• All materials are to be delivered, as appropriate, in copyright form. Where original works are included in the body of the material, an acknowledgment statement should be included, setting forth the copyright information with respect to such original works.
• All materials written or revised under this Agreement are to be held strictly confidential and may not be copied, duplicated, or disseminated in any manner other than as authorized in writing by NYSED.
• Contractor (and its employees, agents, consultants, or subcontractors arising out of this contract) will not disclose any information pertaining to NYSED's test content, specifications, or development to any person(s) or entity that does not need to know such information for the purpose of carrying out the tasks specified by the contract.
• If Contractor also develops or publishes textbooks or practice tests for adoption within the State of New York, Contractor agrees that, when promoting to New York State customers such textbooks, ancillary materials, and/or practice tests, Contractor will not make any reference to Contractor having been awarded the contract or Contractor's performance of the services for NYSED contemplated by the contract.
• If the Contractor is under ownership with another entity that develops or publishes textbooks or practice tests for adoption within the State of New York: a) ("Related Publisher"), Contractor reiterates the restriction against disclosure  as stated in A above; b) the Related Publisher is restricted from providing any information to Contractor pertaining in any way to content uses, or proposed to be used, in the Related Publisher's development of textbooks or practice tests for adoption within the State of New York; and c) the Related Publisher is restricted, when promoting to New York State customers, the Related Publisher's practice tests and/or textbooks developed for adoption within the State of New York, from making any reference to the common ownership of the Related Publisher and Contractor or any reference to Contractor's performance.

Terms and Conditions

• All tests and test-related materials submitted to NYSED pursuant to this proposal are required to be original materials developed solely by the bidder for use in satisfaction of this contract.
• All tests items, test forms, and test related materials developed under the contract resulting from this proposal become the sole property of NYSED.
• All materials written or revised are to be held strictly confidential and must not be copied, duplicated, disseminated, or discussed, unless authorized by NYSED.
• NYSED may amend the specifications of the proposal after its release with appropriate notice to all bidders.
• NYSED may waive or request a modification of minor irregularities in the proposals received after notification to the bidder(s).
• NYSED will contact references to check a bidder’s qualifications.
• All deliverables must be submitted within the timelines specified by NYSED in the RFP.
• Payment to the vendor will be based upon invoices that may be submitted to NYSED after the activity is completed and/or deliverables have been submitted to NYSED. Payments will be made based upon receipt of deliverables that have been approved by NYSED.
• All deliverables must use language appropriate for New York State students (i.e., readability, sensitivity) that is linguistically acceptable and prescribed by NYSED.

Considerations and Other Issues

Upon completion or termination of the contract awarded as a result of this RFP, the vendor will use its best efforts to assist NYSED in completing a seamless transition to any successive vendor and/or NYSED. This shall include, but not be limited to, assisting NYSED in developing and implementing a feasible transition plan in advance of the anticipated expiration, cancellation, or termination of the contract. The vendor agrees to cooperate fully with any successive vendor and NYSED and refrain from any activity that would interfere with the successful implementation of the transition plan and a seamless transition.  The vendor shall provide (a) all items, reports, materials, data, and equipment owned by NYSED in the vendor’s possession, and (b) any information reasonably useful to and requested by NYSED in developing a Request for Proposal for a successive vendor, prior to the expiration, cancellation, or termination of the contract. The vendor will work with NYSED to determine the optimum format for providing data and information that will optimize the reuse of this data and information by any successive vendor. The vendor will also provide NYSED with a list of all computer programs and software tools necessary to allow an end user to read and export any data provided by the vendor under this contract.

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 5.) 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 two (2) certifications:

MacBride Certification                         (Signature Required - the form is included in 5.) Submission Documents)

                        Certification-Omnibus Procurement Act of 1992                         (Signature Required - the form is included in 5.) Submission Documents)

            Appendix A-1 – NYSED Contract Clauses

Certification Regarding Lobbying; Debarment and Suspension; and Drug-Free Workplace Requirements (Signature Required - the form is included in 5.) Submission Documents)

Offerer Disclosure of Prior Non-Responsibility Determinations (Signature Required - the form is included in 5.) Submission Documents)

Appendix A STANDARD CLAUSES FOR NYS CONTRACTS The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor, lessee or any other party):

1.  EXECUTORY CLAUSE.  In accordance with Section 41 of the State Finance Law, the State shall have no liability under this contract to the Contractor or to anyone else beyond funds appro­priated and available for this contract.

2. NON-ASSIGNMENT CLAUSE.  In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the State's written consent are null and void.  The Contractor may, however, assign its right to receive payment without the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law.

3. COMPTROLLER'S APPROVAL.  In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office.  Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6.a).

4.  WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law.

5.  NON-DISCRIMINATION REQUIREMENTS.  To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status.  Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin:  (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract.  If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability:  (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract.  Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation.

6.  WAGE AND HOURS PROVISIONS.  If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department.  Furthermore, Contractor and its subcontractors must pay at least the prevail­ing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law.

7. NON-COLLUSIVE BIDDING CERTIFICATION.  In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at indepen­dently and without collusion aimed at restricting competition.  Contractor further affirms that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION.  In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participa­ting, or shall participate in an international boycott in viola­tion of the federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations thereunder.  If such Contractor, or any of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the contract's execution, such contract, amendment or modification thereto shall be rendered forfeit and void.  The Contractor shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR 105.4).

9. SET-OFF RIGHTS.  The State shall have all of its common law, equitable and statutory rights of set-off.  These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commenc­ing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto.  The State shall exercise its set-off rights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller.

10.  RECORDS.  The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records").  The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter.  The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspec­tion, auditing and copying.  The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Offi­cers Law (the "Statute") provided that:  (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable.  Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION.  (a) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER.  All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number, i.e., the seller's or lessor's identification number.  The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers.  Failure to include this number or numbers may delay payment.  Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers.

(b) PRIVACY NOTIFICATION.  (1)  The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law.  Disclosure of this information by the seller or lessor to the State is mandatory.  The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance.  The information will be used for tax administration purposes and for any other purpose authorized by law.  (2)  The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease.  The information is maintained in New York State's Central Accounting System by the Director of Accounting Operations, Office of the State Comptroller, 110 State Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN.  In accordance with Section 312 of the Executive Law, if this contract is:  (i) a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then:

(a)  The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination.  Affirmative action shall mean recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termina­tion and rates of pay or other forms of compensation;

(b)  at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the contractor's obligations herein; and

(c)  the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status.

Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor.  Section 312 does not apply to:  (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking services, insurance policies or the sale of securities.  The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section.  The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict.  Contractor will comply with all duly promulgated and lawful rules and regulations of the Governor's Office of Minority and Women's Business Development pertaining hereto.

13. CONFLICTING TERMS.  In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control.

14. GOVERNING LAW.  This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise.

15. LATE PAYMENT.  Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article 11-A of the State Finance Law to the extent required by law.

16. NO ARBITRATION.  Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS.  In addition to the methods of service allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested.  Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as refused or undeliverable.  Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made.  Service by the State to the last known address shall be sufficient.  Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond.

18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifica­tions and provisions of State Finance Law §165. (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualifica­tion for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State.

In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the State.

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES.  In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles.

20.  OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize oppor­tunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:

NYS Department of Economic Development Division for Small Business 30 South Pearl St -- 7th Floor Albany, New York  12245 Telephone:  518-292-5220 Fax:  518-292-5884 http://www.empire.state.ny.us

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

NYS Department of Economic Development Division of Minority and Women's Business Development 30 South Pearl St -- 2nd Floor Albany, New York  12245 Telephone:  518-292-5250 Fax:  518-292-5803 http://www.empire.state.ny.us

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

(a)  The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements.  The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and

(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts.

21.  RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain.  NOTE:  As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii.  Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision.

22. PURCHASES OF APPAREL. In accordance with State Finance Law 162 (4-a), the State shall not purchase any apparel from any vendor unable or unwilling to certify that: (i) such apparel was manufactured in compliance with all applicable labor and occupational safety laws, including, but not limited to, child labor laws, wage and hours laws and workplace safety laws, and  (ii) vendor will supply, with its bid (or, if not a bid situation, prior to or at the time of signing a contract with the State), if known, the names and addresses of each subcontractor and a list of all manufacturing plants to be utilized by the bidder.

June, 2006

APPENDIX A-1

Payment and Reporting

• In the event that Contractor shall receive, from any source whatsoever, sums the payment of which is in consideration for the same costs and services provided to the State, the monetary obligation of the State hereunder shall be reduced by an equivalent amount provided, however, that nothing contained herein shall require such reimbursement where additional similar services are provided and no duplicative payments are received.

• Variations in each budget category not exceeding ten percent (10%) or One Thousand Dollars ($1,000.00) of such category, whichever is greater, may be approved by the Commissioner of Education.  Any such variations shall be reflected in the final expenditure report and filed in the Office of the State Comptroller.

• For each individual for whom costs are claimed under this agreement, the contractor warrants that the individual has been classified as an employee or as an independent contractor in accordance with 2 NYCRR 315 and all applicable laws including, but not limited to, the Internal Revenue Code, the New York Retirement and Social Security Law, the New York Education Law, the New York Labor Law, and the New York Tax Law.  Furthermore, the contractor warrants that all project funds allocated to the proposed budget for Employee Benefits represent costs for employees of the contractor only and that such funds will not be expended on any individual classified as an independent contractor.

Terminations

• The State may terminate this Agreement without cause by thirty (30) days prior written notice.  In the event of such termination, the parties will adjust the accounts due and the Contractor will undertake no additional expenditures not already required.  Upon any such termination, the parties shall endeavor in an orderly manner to wind down activities hereunder.

B.   SED reserves the right to terminate this Agreement in the event it is found that the certification by the Contractor in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete.  Upon such finding, SED may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this Agreement.

Property

A.  The Contractor shall maintain a complete inventory of all realty, equipment and other non-expendable assets including, but not limited to, books, paintings, artifacts, rare coins, antiques and other collectible items purchased, improved or developed under this agreement.  The Contractor shall submit a copy of the inventory in a form identical to or essentially similar to, Exhibit A annexed hereto.  The term "non-expendable assets" shall mean for the purposes of this agreement any and all assets which are not consumed during the term of this agreement and which have a cost of One Thousand Dollars ($1,000) or more.

Inventories for non-expendable assets must be submitted with the final expenditure report.  In addition to or as part of whatever rights the State may have with respect to the inspection of the Contractor, the State shall have the right to inspect the inventory without notice to the Contractor.       The Contractor shall not at any time sell, trade, convey or otherwise dispose of any non-expendable assets having a market value in excess of Two Thousand Dollars ($2,000) at the time of the desired disposition without the express permission of the State.  The Contractor may seek permission in writing by certified mail to the State.

The Contractor shall not at any time use or allow to be used any non-expendable assets in a manner inconsistent with the purposes of this agreement.

B.   If the Contractor wishes to continue to use any of the non-expendable assets purchased with the funds available under this agreement upon the termination of this agreement, it shall request permission from the State in writing for such continued use within twenty-five (25) days of the termination of this agreement.  The Contractor's request shall itemize the non-expendable assets for which continued use is sought.  The State may accept, reject or accept in part such request.  If the request for continued use is allowed to any degree, it shall be conditioned upon the fact that said equipment shall continue to be used in accordance with the purposes of this agreement.

If after the State grants permission to the Contractor for "continued use" as set forth above the non-expendable assets are not used in accordance with the purposes of this agreement, the State in its discretion may elect to take title to such assets and may assert its right to possession upon thirty (30) days prior written notice by certified mail to the Contractor.  The State upon obtaining such non-expendable assets may arrange for their further use in the public interest as it in its discretion may decide. 

C.   Upon termination of this agreement, the State in its discretion may elect to take title and may assert its right to possession of any non-expendable assets upon thirty (30) days prior written notice by certified mail to the Contractor.  The State's option to elect to take title shall be triggered by the termination of this agreement or by the State's rejection of continued use of non-expendable assets by the Contractor as set forth herein.  The State upon obtaining such non-expendable assets may arrange for their further use in the public interest as it in its discretion may decide.

D.  The terms and conditions set forth herein regarding non-expendable assets shall survive the expiration or termination, for whatever reason, of this agreement.

Safeguards for Services and Confidentiality

• Any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New York State Education Department.  The material prepared under the terms of this agreement by the Contractor shall be prepared by the Contractor in a form so that it will be ready for copyright in the name of the New York State Education Department.  Should the Contractor use the services of consultants or other organizations or individuals who are not regular employees of the Contractor, the Contractor and such organization or individual shall, prior to the performance of any work pursuant to this agreement, enter into a written agreement, duly executed, which shall set forth the services to be provided by such organization or individual and the consideration therefor.  Such agreement shall provide that any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New York State Education Department and that such work shall be prepared in a form ready for copyright by the New York State Education Department.  A copy of such agreement shall be provided to the State.

• All reports of research, studies, publications, workshops, announcements, and other activities funded as a result of this proposal will acknowledge the support provided by the State of New York.

• This agreement cannot be modified, amended, or otherwise changed except by a writing signed by all parties to this contract.

• No failure to assert any rights or remedies available to the State under this agreement shall be considered a waiver of such right or remedy or any other right or remedy unless such waiver is contained in a writing signed by the party alleged to have waived its right or remedy.

• Expenses for travel, lodging, and subsistence shall be reimbursed at the per diem rate in effect at the time for New York State Management/Confidential employees.

• No fees shall be charged by the Contractor for training provided under this agreement.

• Nothing herein shall require the State to adopt the curriculum developed pursuant to this agreement.

• This agreement, including all appendices, is, upon signature of the parties and the approval of the Attorney General and the State Comptroller, a legally enforceable contract.  Therefore, a signature on behalf of the Contractor will bind the Contractor to all the terms and conditions stated therein.

• The parties to this agreement intend the foregoing writing to be the final, complete, and exclusive expression of all the terms of their agreement.

Certifications

• Contractor certifies that it has met the disclosure requirements of State Finance Law §139-k and that all information provided to the State Education Department with respect to State Finance Law §139-k is complete, true and accurate.

• Contractor certifies that it has not knowingly and willfully violated the prohibitions against impermissible contacts found in State Finance Law §139-j.

• Contractor certifies that no governmental entity has made a finding of nonresponsibility regarding the Contractor in the previous four years.

• Contractor certifies that no governmental entity or other governmental agency has terminated or withheld a procurement contract with the Contractor due to the intentional provision of false or incomplete information.

• Contractor affirms that it understands and agrees to comply with the procedures of the STATE relative to permissible contacts as required by State Finance Law §139-j (3) and §139-j (6)(b).

• Contractor certifies that it is in compliance with NYS Public Officers Law, including but not limited to, §73(4)(a).

Notices

Any written notice or delivery under any provision of this AGREEMENT shall be deemed to have been properly made if sent by certified mail, return receipt requested to the address(es) set forth in this Agreement, except as such address(es) may be changed by notice in writing.  Notice shall be considered to have been provided as of the date of receipt of the notice by the receiving party.

Miscellaneous

• Contractor shall comply with the provisions of the New York State Information Security Breach and Notification Act (General Business Law Section 889-aa; State Technology Law Section 208). Contractor shall be liable for the costs associated with such breach if caused by Contractor’s negligent or willful acts or omissions, or the negligent or willful acts or omissions of Contractor’s agents, officers, employees or subcontractors.

• If required by the Office of State Comptroller (“OSC”) Bulletin G-226 and State Finance Law §§ 8 and 163, Contractor agrees to submit an initial planned employment data report on Form A and an annual employment report on Form B.  State will furnish Form A and Form B to Contractor if required.

The initial planned employment report must be submitted at the time of approval of this Agreement.  The annual employment report on Form B will be submitted each year the contract is in effect and will detail actual employment data for the most recently concluded State fiscal year (April 1 – March 31). The first report will be filed no later than May 15, 2010.  Thereafter, Form B will be filed no later than May 15th of each succeeding year.  Copies of the report will be submitted to the NYS Education Department, OSC and the NYS Department of Civil Service at the addresses below.

By mail:                 NYS Office of the State Comptroller                               Bureau of Contracts                               110 State Street, 11th Floor                               Albany, NY 12236                               Attn:  Consultant Reporting By fax:                  (518) 474-8030 or (518) 473-8808

Reports to DCS are to be transmitted as follows:

By mail:                 NYS Department of Civil Service                               Alfred E. Smith Office Building                               Albany, NY 12239                               Office of Counsel

Reports to NYSED are to be transmitted as follows:

By mail:                 NYS Education Department                               Contract Administration Unit                               Room 505 W EB                               Albany, NY 12234 By fax:                  (518) 408-1716

C.   Consultant Staff Changes.  If this is a contract for consulting services, Contractor will maintain continuity of the consultant team staff throughout the course of the contract.  All changes in staff will be subject to STATE approval.  The replacement consultant(s) with comparable skills will be provided at the same or lower hourly rate.