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new york state dmv
C000812
23000
C000812
STATE OF NEW YORK
DEPARTMENT OF MOTOR VEHICLES
REQUEST FOR PROPOSALS
FOR
AUTOMATED KNOWLEDGE TESTING SYSTEM
March 10, 2014
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
January 31, 2014
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TABLE OF CONTENTS
1
INTRODUCTION AND GENERAL REQUIREMENTS............................................................................... 5
1-1
1-2
1-3
1-4
1-5
1-6
1-7
1-8
1-9
1-10
1-11
1-12
1-13
1-14
1-15
1-16
1-17
1-18
1-19
2
GENERAL FUNCTIONAL REQUIREMENTS ........................................................................................... 14
2-1
2-2
2-3
2-4
2-5
2-6
3
GENERAL TECHNICAL SPECIFICATIONS .................................................................................................. 26
TEST STATION HARDWARE............................................................................................................. 28
DATA REQUIREMENTS....................................................................................................................... 29
ACCEPTANCE TESTING ............................................................................................................................ 30
MAINTENANCE AND SUPPORT ................................................................................................................. 31
4-1
4-2
4-3
4-4
5
SYSTEM REQUIREMENTS ......................................................................................................................... 14
TESTING FUNCTIONALITY ..................................................................................................................... 16
EXAMINER FUNCTIONALITY.............................................................................................................. 17
ADMINISTRATIVE FUNCTIONALITY..................................................................................................... 20
REMOTE FUNCTIONALITY .............................................................................................................. 21
REPORTS .............................................................................................................................................. 22
TECHNICAL REQUIREMENTS................................................................................................................... 26
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3-2
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3-4
4
OBJECTIVE ................................................................................................................................................ 5
DESIGNATED CONTACT PERSON(S): ............................................................................................... 6
CONTENTS OF THIS RFP ..................................................................................................................... 6
ACTION DATES ..................................................................................................................................... 6
QUESTIONS AND ANSWERS .............................................................................................................. 7
SUBMISSION OF PROPOSALS ............................................................................................................ 7
MULTIPLE PROPOSALS....................................................................................................................... 8
AMENDMENT OF PROPOSALS........................................................................................................... 8
WITHDRAWL OF PROPOSAL PRIOR TO PROPOSAL OPENING .................................................... 8
REJECTION OF PROPOSALS ............................................................................................................... 8
PROPOSALS REMAIN OPEN ............................................................................................................... 9
CONFIDENTIALITY .................................................................................................................................... 9
CONFLICT OF TERMS ........................................................................................................................ 10
CONTRACT PAYMENTS .................................................................................................................... 10
ELECTRONIC PAYMENT OF CONTRACTOR’S BILLING INVOICES .......................................... 11
NON-ENDORSEMENT......................................................................................................................... 11
REQUEST FOR DEBRIEFING: .................................................................................................................... 11
PROTEST OF CONTRACT AWARD:............................................................................................................ 12
IRREVOCABLE DOCUMENTARY LETTER OF CREDIT................................................................ 13
SYSTEM/SOFTWARE MAINTENANCE ........................................................................................................ 31
TEST STATION MAINTENANCE & REPAIR ...................................................................................... 31
APPLICATION SUPPORT ........................................................................................................................... 33
SYSTEM UPGRADES AND UPDATES ........................................................................................................... 33
SECURITY REQUIREMENTS ...................................................................................................................... 34
5-1
SYSTEM SECURITY ............................................................................................................................... 34
5-2
SYSTEM BACKUP AND DISASTER RECOVERY PLAN ................................................................................ 35
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DOCUMENTATION AND TRAINING ......................................................................................................... 35
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7
IMPLEMENTATION ...................................................................................................................................... 37
7-1
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MINIMUM QUALIFICATIONS ........................................................................................................... 39
PROPOSAL CONTENT AND EVALUATION............................................................................................. 39
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MANAGEMENT PLAN ............................................................................................................................... 37
EXPERIENCE AND EXPERTISE ................................................................................................................. 39
8-1
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TRAINING ................................................................................................................................................ 35
COMPLETE BIDS .................................................................................................................................. 39
BID REQUIREMENT DETAIL ............................................................................................................. 40
ORAL PRESENTATIONS / DEMONSTRATIONS ........................................................................................... 43
EVALUATION OF PROPOSALS AND CONTRACT AWARD ......................................................... 43
DMV’S RESERVED RIGHTS .............................................................................................................. 44
SECURITY REVIEW ............................................................................................................................ 45
CONTRACT NEGOTIATION AND EXECUTION ............................................................................................ 45
CONTRACT TERMS AND CONDITIONS .................................................................................................. 45
10-1 TITLE TO SOFTWARE ................................................................................................................................... 45
10-2 INTELLECTUAL PROPERTY LICENSE ........................................................................................................ 46
10-3 ESCROW FOR SOFTWARE SOURCE CODE .................................................................................... 46
10-4 CONTRACT AMENDMENT................................................................................................................ 46
10-5 CONTRACTOR INDEMNIFICATION AND LIABILITY .................................................................. 46
10-6 SAVINGS/FORCE MAJEURE ............................................................................................................. 48
10-7 SEVERABILITY ................................................................................................................................... 49
10-8 RIGHT TO AUDIT ................................................................................................................................ 50
10-9 TERMINATION .................................................................................................................................... 50
10-10 SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT LOBBYING ...................... 51
10-11 PART N OF CHAPTER 60 OF THE LAWES OF 2004 ......................................................................... 51
10-12 MACBRIDE FAIR EMPLOYMENT PRINCIPLES ............................................................................. 51
10-13 STATEMENT OF NON-COLLUSION ................................................................................................. 51
10-14 CONSULTANT CONFIDENTIALITY AND NON-DISCLOSURE .................................................... 52
10-15 VENDOR RESPONSIBILITY .............................................................................................................. 52
10-16 SUBCONTRACTING ........................................................................................................................... 53
10-17 COMPLIANCE WITH LAWS............................................................................................................... 53
10-18 INSURANCE ......................................................................................................................................... 53
10-19 PRESS RELEASES ............................................................................................................................... 54
10-20 CURE & COVER ................................................................................................................................... 55
10-21 STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS ..................................................................... 55
10-22 POLICY STATEMENT ON MINORITY AND WOMEN-OWNED BUSINESS DEVELOPMENT ... 55
10-23 IRAN DIVESTMENT ACT ................................................................................................................... 56
10-24 CONTRACTOR CERTIFICATION ................................................................................................................ 56
10-25 DATA SECURITY ..................................................................................................................................... 57
10-26 USE OF DMV LOGOS .......................................................................................................................... 57
10-27 JURISDICTION .......................................................................................................................................... 57
APPENDIX-A: STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS ............................... 58
APPENDIX-B: COST PROPOSAL ......................................................................................................................... 68
APPENDIX-C: DMV’S POLICY AND PROCEDURES CONCERNING COMPLIANCE WITH
“PROCUREMENT LOBBYING LAW” (STATE FINANCE LAW §§139-J AND 139-K) ............................... 69
APPENDIX-C-1: AFFIRMATION AND DISCLOSURES CONCERNING STATE FINANCE LAW §§139-J
AND 139-K ................................................................................................................................................................. 72
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APPENDIX-C-2: COMPLIANCE OR NON-APPLICABILITY TO § 5-A OF THE NYS TAX LAW ............ 73
APPENDIX-C-3: NON-DISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND “MACBRIDE
FAIR EMPLOYMENT PRINCIPLES” .................................................................................................................. 74
APPENDIX-C-4: 139.D STATEMENT OF NON-COLLUSION IN BIDS TO THE STATE ............................ 75
APPENDIX-D: BUSINESS EXPERIENCE AND REFERENCE FORMS ......................................................... 76
APPENDIX-E: HARDWARE & SOFTWARE TECHNICAL SUMMARY ....................................................... 78
APPENDIX- F: DMV KNOWLEDGE TEST WORKFLOW ............................................................................... 80
APPENDIX-G: LICENSE AND ENDORSEMENT TEST VOLUMES .............................................................. 81
APPENDIX-H: STATE AND COUNTY DMV OFFICE ADDRESSES .............................................................. 82
APPENDIX-I: KNOWLEDGE TESTS ADMINISTERED BY NYS DMV ......................................................... 86
APPENDIX-J: REQUIREMENT COMPLIANCE TABLE ................................................................................. 88
APPENDIX K: ST-220-CA ..................................................................................................................................... 103
APPENDIX L: ST-220-TD...................................................................................................................................... 105
APPENDIX-M: NEW YORK STATE DEPARTMENT OF MOTOR VEHICLES STANDARD SECURITY
CLAUSES FOR SHARING DATA WITH EXTERNAL ENTITIES ................................................................ 110
APPENDIX-N: CONSULTANT DISCLOSURE LEGISLATION FORMS ..................................................... 113
APPENDIX-O: CONTRACTOR REQUIREMENTS AND PROCEDURES FOR BUSINESS
PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED MINORITY AND
WOMEN-OWNED BUSINESS ENTERPRISES, AND EQUAL EMPLOYMENT OPPORTUNITIES FOR
MINORITY GROUP MEMBERS AND WOMEN .............................................................................................. 115
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Request for Proposal (RFP)
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1
INTRODUCTION AND GENERAL REQUIREMENTS
1-1
OBJECTIVE
The New York State Department of Motor Vehicles (hereinafter referred to as “DMV”) seeks the
services of a highly qualified Contractor to provide a contractor-owned, managed, and maintained
integrated solution for the State’s use, which will permit automated commercial and noncommercial driver license knowledge tests to be given in State and county issuing offices. There
are currently 91 offices operated by County Clerks in 51 of New York’s 62 counties, all of which
administer the driver license knowledge exam, commercial driver license (CDL) core knowledge
exam and CDL endorsement exams Appendix-F provides an overview of the current testing
process in DMV offices.
DMV’s current efforts to prevent cheating and deter fraud and malfeasance include: more secure
test rooms, additional staffing when available, audit reviews, printing CDL on demand
(randomized tests), and additional training. This project is intended to eliminate the effect of the
high volume of tests given, limited staffing and manual scoring, on the proper evaluation of drivers
on our roadways. Average test volumes in State run offices is included as Appendix-G.
DMV wants the contractor-provided automated testing system (the System) to be independent of
DMV’s network, and to provide secure testing stations that are accessed directly by examinees in
State and county issuing offices. The System’s test interface must be easy to use for both
examinees and DMV staff, in order to increase examinee satisfaction and facilitate use by DMV’s
staff. In addition, the System must be fully upgradable by the Contractor to accommodate
additional types of tests required by DMV in the future. DMV will require a minimum of 200 test
stations to be provided by Contractor in response to this solicitation.
Remote Functionality: In addition, the System must permit DMV the option to elect to incorporate
a web-based application that generates knowledge tests that can be remotely accessed by students
using a PC connected to the Internet. A similar system is currently in use in high schools around
the State, which enables students to take their Class “D” and Class “M” knowledge tests in Spanish
and English. Schools decide whether to provide this service to their students. Bidders must propose
a solution for this remote functionality application with separate pricing indicated in the proposal,
and must provide DMV with the option to purchase such application at any time during the term
of the Contract. Such application must conform with all requirements in this RFP, including
Section 2-5 (Remote Functionality), which applies ONLY to this application.
The proposed solutions must be designed to improve efficiency in our test environments and
reduce the use of resources specific to the administration of paper tests.
The term of the Contract awarded as a result of this RFP shall begin upon OSC approval of the
Contract, and continue for a period of five (5) years, and shall include five (5) 1-year extensions
on the same terms and conditions at DMV’s option.
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1-2
DESIGNATED CONTACT PERSON(S):
Until this Contract is executed by the New York State Office of State Comptroller (OSC), all
communications between DMV and the bidders, or anyone acting on behalf of a bidder, which
relate to this procurement must be directed to the Department’s Contract Administration Unit,
Justin O’Connor (the “designated contact” person), or his alternate, Maureen Younkin, as follows:
Justin O’Connor
Contract Management Specialist
NYS Department of Motor
Vehicles
6 Empire State Plaza, Room 528B
Albany, NY 12228
(518) 473-7628 (Phone)
(518) 486-4541 (Fax)
Justin.O’[email protected]
1-3
Or his
alternate:
Maureen Younkin
Director, Procurement
NYS Department of Motor Vehicles
6 Empire State Plaza, Room 528B
Albany, NY 12228
(518) 402-2441 (Phone)
(518) 486-4541 (Fax)
CONTENTS OF THIS RFP
The information and instructions contained in the RFP are intended to provide bidders with the
information needed to prepare and submit proposals and required accompanying materials.
This RFP contains:
a) the requirements for proposals that are submitted in response to this RFP;
b) the format in which the proposal must be submitted, and specifications for the materials to be
included in the proposal;
c) the requirements bidders must meet to be eligible for consideration for contract award;
d) the methods to be employed by the Evaluation Team to evaluate the proposals and select a
contractor;
e) general terms of the Contract to be awarded from this solicitation.
Amendment of the terms of this RFP may only be made by DMV, in writing. Only written
communications from DMV’s designated contact persons will be binding upon the Department.
Oral representations are not binding upon the Department.
1-4
ACTION DATES
This solicitation will be governed by the following action dates specified below. DMV will publish
addenda to this RFP in the event that DMV deems it necessary to change any of the specified
action dates (excepting dates specified as “estimated”).
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EVENT
DATE
RFP Release Date
Deadline for receipt of bidders’ questions
March 10, 2014
March 24, 2014, 4:30pm
EDT
April 7, 2014
May 1, 2014, 2:30pm
EDT
June 11, 2014
Response to written questions mailed to bidders
Proposals due; Evaluation begins
Contractor Selection / Notice of Award (“estimated” date)
Contract negotiations end; NYS Control Agency review
begins (“estimated” date)
Contract Approval by Office of State Comptroller (OSC)
and Office of Attorney General (AG) (“estimated” date)
1-5
June 26, 2014
October 27, 2014
QUESTIONS AND ANSWERS
Bidders are encouraged to submit questions if they require clarification of any portion of this RFP.
All initial questions regarding this RFP must be received in writing, or by fax, or email, by no later
than 4:30 PM, EDT, on March 24, 2014. DMV will publish to all bidders, no later than April 7,
2014, all bidders’ questions received by the March 24, 2014 deadline, with a written response to
each question.
All questions must be submitted in writing either by mail, FAX, or email to Justin O’Connor at
the addresses provided above in Section 1-2.
It is the Bidder’s responsibility, if desired, to verify timely receipt of questions; no automatic
acknowledgement will be provided.
Bidders seeking to prevent the disclosure of alleged proprietary information contained in their
questions must mark such questions as "CONFIDENTIAL", and must provide a detailed
justification for treating such information as confidential. DMV will review all questions
submitted, and reserves the right and sole discretion to make the final determination as to which
questions will be treated as Confidential. DMV reserves the right to rephrase questions to protect
information that is deemed Confidential, prior to disclosing to all other bidders a bidder’s
confidentially raised question and DMV’s answer.
1-6
SUBMISSION OF PROPOSALS
ALL PROPOSALS MUST BE RECEIVED BY DMV ON OR BEFORE 2:30 PM (E.S.T.),
ON MAY 1, 2014.
PROPOSALS MUST BE SUBMITTED TO JUSTIN O’CONNOR AT THE ADDRESS
PROVIDED IN SECTION 1-2.
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The outside packaging of your proposal must clearly indicate “Proposal Enclosed for RFP
#C000812”.
Bidders are responsible for ensuring the timely submission of their proposals.
Bidders acknowledge that the State is not liable for bidders’ costs incurred incident to the
preparation or submission of proposals.
Proposals received after the above scheduled date and time may be rejected as “late” (See, Section
1-10 hereof, entitled “Rejection of Proposals”).
1-7
MULTIPLE PROPOSALS
Bidders who wish to submit alternate solutions in response to this RFP must do so in separate
proposals, in order to facilitate the evaluation of each proposed solution. Multiple proposals from
a Bidder will be permitted, however each proposal must fully conform to the requirements for
proposal submission. Each such proposal must be separately submitted and labeled on each page
as “Proposal Number One”, “Proposal Number Two”, etc.
1-8
AMENDMENT OF PROPOSALS
Bidders may only amend submitted proposals prior to the proposal due date. Amended proposals
must be submitted in packaging which clearly indicates on the outside “Amended Proposal for
RFP #C000812”. Amended proposals must be signed by an individual who is duly authorized to
amend the Bidder’s proposal (preferably the individual who signed the original proposal).
The Department will not accept amended proposals sent by fax or e-mail. Amended proposals
must either be mailed, or sent by overnight delivery, or delivered in person, to DMV at the address
indicated in Section 1-2 hereof.
Amended proposals received by DMV after the proposal due date and time may be rejected as
“late” (See, Section 1-10 hereof, entitled “Rejection of Proposals”).
1-9
WITHDRAWL OF PROPOSAL PRIOR TO PROPOSAL OPENING
A proposal may be withdrawn at any time prior to the proposal due date and time. If multiple
proposals are submitted by the same bidder, the Bidder must clearly indicate the proposal to which
the withdrawal applies (e.g., “Proposal Number One”, “Proposal Number Two”, etc.).
1-10
REJECTION OF PROPOSALS
The Department reserves the right to reject any or all bids, in whole or in part, and to waive
technicalities, irregularities, and omissions if, in its sole judgment, such action will be in the best
interest of the State. In the event that there are no satisfactory bids, which fully comply with the
bid specifications, the Department reserves the right to consider late or non-conforming bids. The
Department will only award a Contract to a “responsible” and “responsive” bidder (as defined by
State Finance Law, Section 163(9)(f)), that DMV determines to be qualified to satisfy the terms
and conditions of this solicitation. The Department reserves the right and sole discretion to qualify
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a bidder as responsible and responsive. Neither the Department nor the State of New York shall
be liable for any costs incurred by bidders in preparation for, or prior to approval of, an executed
contract.
1-11
PROPOSALS REMAIN OPEN
DMV reserves the right to award a contract to a successful bidder within ninety (90) days after the
date of proposal opening, during which period proposals must remain open and cannot be
withdrawn. If, however, an award is not made within the ninety (90) day period, proposals shall
continue to remain open until the Bidder delivers written notice of the withdrawal of its proposal
to DMV’s Contract Administrator. Any proposal that expressly states therein that acceptance must
be made within a shorter specified time, may be accepted or rejected at the sole discretion of the
Department.
1-12
CONFIDENTIALITY
All proposals, documents and materials submitted with a bid/proposal shall become the
property of DMV.
DMV will notify all bidders if and when a Contract has been tentatively awarded by DMV to the
winning bidder. Contracts let by DMV are considered to be tentatively awarded, and non-binding
upon the State, until approved and executed by the NYS Office of State Comptroller (OSC). Prior
to issuing notification of contract award, DMV will not disclose the content of any bids/proposals,
correspondence, working papers, or any other medium submitted to DMV in response to this
solicitation (excepting the dissemination of bidders’ questions to all bidders as described in this
solicitation).
After DMV issues notification of contract award, all bids/proposals and contracts in DMV’s
possession are considered agency records pursuant to New York State’s “Freedom of Information
Law” (FOIL) (See, Public Officers Law, Article 6).
Agency records are generally available to the public upon request. However, pursuant to Public
Officers Law, Section 87(2)(d), DMV may “deny access to records or portions thereof that: are
trade secrets or are submitted to [DMV] by a commercial enterprise or derived from information
obtained from a commercial enterprise and which if disclosed would cause substantial injury to
the competitive position of the subject enterprise.”
In order for bidders to claim the exemption from disclosure provided by this provision of law,
bidders must mark as “CONFIDENTIAL” any proprietary information contained in their
bids/proposals that they wish to protect from further disclosure or dissemination.
BY THE ACT OF SUBMITTING A BID/PROPOSAL IN RESPONSE TO THIS
SOLICITATION, BIDDERS ACKNOWLEDGE THAT (1) THE SUBMISSION OF THE
BIDDER’S BID/PROPOSAL SHALL BE THE BIDDER’S SOLE OPPORTUNITY TO
CLAIM SUCH EXEMPTION FROM DISCLOSURE OR DISSEMINATION OF
INFORMATION CONTAINED IN THEIR BID/PROPOSAL, AND (2) FAILURE TO
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MARK SUCH INFORMATION AS “CONFIDENTIAL” WILL CONSTITUTE A
WAIVER OF CONFIDENTIALITY, AND WILL RELEASE DMV AND THE STATE
FROM ANY LIABILITY FOR DISCLOSURE OR DISSEMINATION THEREOF.
DMV is charged with making the final determination concerning any exemption from disclosure
claimed by bidders. In addition to so marking the information, bidders must provide DMV with a
detailed written justification for classifying the information as “CONFIDENTIAL”.
Undocumented and unexplained claims for exemption from disclosure or dissemination shall not
be binding upon DMV or the State. A conclusory declaration that disclosure would be injurious
will not suffice. Bidders must assert that disclosure of claimed proprietary information, their
written justification for exemption, or any portion thereof would be injurious, and must provide
sufficient detail to support their claim for exemption from disclosure or dissemination under FOIL.
Bidders acknowledge that DMV may be required to release any such information if so ordered by
a court of competent jurisdiction. In such event, the Bidder will be notified of the commencement
of legal action to compel disclosure, and the Bidder must either participate in the defense of such
action or waive its claim of confidentiality. Failure to participate in the defense of such action shall
be deemed a waiver of any claim of confidentiality.
1-13
CONFLICT OF TERMS
The Contract awarded from this RFP will incorporate by reference the terms of the following
documents. Any conflicts between the terms contained in the main body of the Contract and the
terms of such other documents shall be resolved in the following order of precedence, with
Appendix-A being highest in order of priority:
1. Appendix-A, “Standard Clauses for New York State Contracts”;
2. The Contract;
3. Request for Proposals (RFP) #C000812, including Appendices-B, C, D, E, F, G, H, I, J, K, L,
M, N, and O (except Appendix-A), and any amendments of this RFP;
4. Contractor’s proposal in response to Request for Proposals #C000812.
1-14
CONTRACT PAYMENTS
The terms of payment, including periodic payment intervals will be defined in the final Contract.
In order to receive payment, Contractor must submit invoices for payment to DMV’s designated
payment office, as follows:
New York State Department of Motor Vehicles
Attention: Laura Roylance
6 Empire State Plaza
Procurement Services, Room 528B
Albany, NY 12228
Payment of such invoices shall be made in accordance with the provisions of Article XI-A of the
New York State Finance Law, and under the following terms and conditions:
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a.
Payment shall be made in consideration of the Contractor’s satisfactory performance of its
obligations described in the Contract. The Department will pay Contractor upon receipt of
conforming performance and receipt of an invoice which conforms to the Department’s policies,
procedures and directives.
b.
As an executive agency of the State of New York, the Department shall not be liable for
the payment of any taxes incident to provision of goods and/or services under the Contract.
1-15
ELECTRONIC PAYMENT OF CONTRACTOR’S BILLING INVOICES
Contractor shall provide complete and accurate billing invoices to the Agency in order to receive
payment. Billing invoices submitted to the DMV must contain all information and supporting
documentation required by the Contract, the DMV and the State Comptroller.
DMV shall make electronic payment for invoices submitted by the Contractor, unless payment by
paper check is expressly authorized by the Commissioner, in the Commissioner’s sole discretion,
due to extenuating circumstances.
Such electronic payment shall be made in accordance with regular State procedures and practices.
The Contractor shall comply with the State Comptroller’s procedures to authorize electronic
payments.
Authorization forms are available at the State Comptroller’s website at
www.osc.state.ny.us/epay/index.htm, by email at [email protected] , or by telephone at 518474-4032.
Contractor acknowledges that it will not receive payment on any invoices submitted under this
Contract if it does not comply with the State Comptroller’s electronic payment procedures, except
where the Commissioner has expressly authorized payment by paper check as set forth above.
1-16
NON-ENDORSEMENT
By selecting a Bidder to provide goods or services to DMV, DMV is neither endorsing nor
representing that the selected Bidder's goods or services are the best or only solution for meeting
DMV’s requirements. Bidders and the Contract shall refrain from making any reference to DMV,
this procurement, or the resulting contract in any literature, promotional material, brochure, sales
presentation, press release, or the like without the express prior written consent of DMV.
1-17 REQUEST FOR DEBRIEFING:
Notice of contract award will be provided to all bidders who submit a bid/proposal in response to
this solicitation. Such notice will be provided to bidders by email with hard copy to follow.
In accordance with State Finance Law, Section 163(9)(c), as amended by Section 3 of Chapter 137
of the Laws of 2008, DMV will, upon request, provide a debriefing to any bidder that submitted a
bid/proposal in response to this solicitation and was not selected for an award of contract.
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Debriefings are not provided as a forum for unsuccessful bidders to elicit evidence of wrongdoing
by DMV. Debriefings are provided for the purpose of assisting the unsuccessful bidder in
becoming a more viable competitor for the provision of goods and services to the State of New
York. To fulfill that objective, the scope of debriefings will be limited to the following:
1. the strengths and weaknesses of the bidder’s bid/proposal;
2. the provision of information concerning the ranking of the bidder’s bid/proposal in each of the
major evaluation categories described in the solicitation document;
3. ranking of the bidder’s bid/proposal in both the technical and cost components of the
evaluation; and
4. identification of any areas in the bid/proposal which DMV found to be deficient.
Debriefings will also address the method employed by the Bid Evaluation team for numerically
scoring the bidder’s bid/proposal. However DMV will not discuss information concerning
competitors’ bids/proposals. Such information may be obtained subject to New York “Freedom of
Information Law” (FOIL) (Public Officers Law § 89), by filing a request with DMV’s FOIL office.
In the event that any entity provides an unsatisfactory reference for the bidder, DMV will disclose
the nature of the unsatisfactory reference but will not identify the entity.
Bidders must submit a written request for debriefing to DMV’s Procurement Services unit within
ten (10) days from notice of contract award.
1-18
PROTEST OF CONTRACT AWARD:
BIDDERS TAKE NOTICE: Unsuccessful bidders may not attempt to misuse the protest
process to delay implementation of the contract awarded from this solicitation, by raising
issues in their protest which were known to the Bidder but not timely brought to the attention
of DMV during the Question & Answer period provided by DMV for this solicitation. By the
act of submitting a proposal in response to this solicitation, Bidders acknowledge and agree
that their failure to timely raise questions of law or fact or objections concerning issues
known to the Bidder, prior to the termination of the Question & Answer period provided by
DMV for this solicitation, shall serve as a complete waiver and bar to that Bidder raising any
such question or objection in a subsequent protest of the tentative award of a contract let
hereunder.
After DMV has awarded the contract to a successful bidder, an interested party* may file an initial
protest of contract award with the New York State Office of State Comptroller (OSC) in
conformance with OSC’s “Contract Award Protest Procedure For Contract Awards Subject to The
Comptroller’s Approval”. A copy of such procedure may be obtained from DMV, upon request,
or may be obtained directly from OSC’s website at:
http://www.osc.state.ny.us/agencies/gbull/attachments/contractawardprotestprocedure.pdf
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Such protest must be made in writing, within ten (10) days from notice of contract award; and an
initial protest may be made where the facts that give rise to the protest are not known to, and could
not have been reasonably known to, an interested party.
If the interested party is not provided with notice of the contract award, the interested party may
file a protest with OSC at any time after contract award and prior to OSC’s approval of the
Contract.
The protest to the OSC Bureau of Contracts must contain specific factual and/or legal allegations
setting forth the basis upon which the protesting party challenges the contract award by DMV. The
protest must be filed with OSC at the following address:
Charlotte Breeyear, Director
Bureau of Contracts
New York State Office of the State Comptroller
110 State Street, 11th Floor
Albany, NY 12236
The protesting party must simultaneously deliver a copy of the protest to DMV and the successful
bidder, if the protesting party does know the identity of the successful bidder, and must attach to
its protest an affirmation in writing as to such delivery. If the protesting party does not know the
identity of the successful bidder, the protesting party shall state so in its affirmation and the OSC
Bureau of Contracts shall provide the successful bidder with a copy of the protest. Any filing
deadlines may be waived by the OSC Bureau of Contracts in its sole discretion.
*An “interested party” means a participant in the procurement process, and those whose
participation in the procurement process has been foreclosed by the actions of DMV.
1-19
IRREVOCABLE DOCUMENTARY LETTER OF CREDIT
Upon execution of the Contract by OSC, Contractor must provide surety for the faithful
performance of the Contract in the form of an irrevocable documentary letter of credit, in the
amount of $250,000.00. Such letter of credit must be issued by a sound and reputable bank which
is authorized to do business in the State of New York. Contractor shall, bearing all costs and
expenses, obtain and maintain such letter of credit in effect for the term of the Contract and any
extensions thereto, and for a further sixty (60) days after Contract’s expiration, by termination or
otherwise.
a) The letter of credit shall state as beneficiary the State of New York, Department of Motor
Vehicles, to be invoked for the benefit of the State of New York, Department of Motor
Vehicles, upon delivery of a sworn statement by DMV to the issuing bank that the
Contractor has failed to perform pursuant to the terms and conditions of the Contract with
the State of New York, Department of Motor Vehicles; and
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b) the letter of credit shall state that, in the event of default by Contractor through its failure
to perform under the terms of the Contract of delivery by a specified delivery date, then
Contractor will forfeit three (3) percent of the total amount of the letter of credit for each
day of delay, until the total amount of the letter of credit shall be forfeited.
2
GENERAL FUNCTIONAL REQUIREMENTS
This Section includes mandatory general function requirements of the System.
Item Number
2-1 SYSTEM REQUIREMENTS
2-1.1
2-1.2
2-1.3
2-1.4
2-1.5
2-1.6
2-1.7
Requirement Description
The proposed System must include DMV-provided English and Spanish versions of the following
CDL knowledge tests, unless otherwise noted: CDL General Knowledge, Combination Vehicles,
Air Brakes, Passenger Transport, Double/Triples, Tank Vehicles, Escort, Tow Truck, Hazardous
Materials (Hazmat test is only English, no audio), Metal Coil and School Bus (See Appendix-I).
These versions must be available on screen, printed, and in audio.
The proposed System must include the DMV-provided Class “D” and “M” test questions in the
following languages (translations provided by Contractor): English, Albanian, Arabic, Bosnian,
Chinese, French, Greek, Hebrew, Italian, Japanese, Korean, Polish, Russian, and Spanish. (See
Appendix-I). These versions must be available on screen, printed, and in audio.
The proposed System must have the ability to incorporate additional question pools provided by
DMV at any time during the term of the Contract. The Contractor shall be responsible for
modifying the testing System to incorporate these additional DMV-provided question pools, as
may be directed by DMV at any time during the term of the Contract. The Bidder’s proposal must
explain how these changes will be implemented, including the typical lead time required.
The Contractor must provide translation services for translating test questions from English to the
required foreign languages. The Bidder’s proposal must outline the method by which new language
versions will be added to the existing System, at no additional cost to DMV. Quality control
measures must be utilized to ensure the accuracy of the transactions and the quality control
measures must be described.
The System shall have three types of functionalities: (1) a testing functionality that the examinee
uses to complete the exams, accessible on the individual test station units; (2) a web-based
examiner/proctor functionality that allows DMV office staff to administer the tests in offices and
generate reports for that office; and (3) a web-based administrative functionality that allows
specific DMV staff members to control various features of the testing process and access all reports.
DMV must have the ability to grant appropriate access for specific DMV staff members.
The Bidder’s proposal must describe how their proposed solution will deter fraud and malfeasance.
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2-1.8
2-1.9
2-1.10
2-1.11
2-1.12
2-1.13
2-1.14
2-1.15
Requirement Description
The Contractor shall be responsible for adding new tests to the System, and updating or revising
all existing question pools, in all required languages, at no additional cost. The proposal must
clearly describe how the proposed System will accommodate this requirement.
The proposed System must be expandable beyond the implementation parameters specified in this
RFP. The proposal must explain the proposed System’s scalability, and the extent to which a system
expansion would require new system hardware and/or software.
The proposed System must immediately transmit test results to DMV, upon the examinee’s
completion of a test session. In the event of a service interruption, the proposed system must
securely retain individual test results so they can be transmitted to DMV without intervention by
DMV staff when service is re-established. The Bidder’s proposal must detail the process that will
be used to meet this requirement, and must describe measures that ensure the reliability of their
process.
The proposed System shall not reside on DMV’s wide area network (WAN). All network/internet
connectivity required for testing system operation is the responsibility of the Contractor. The
Bidder’s solution must employ bandwidth adequate for the operation of the proposed System, and
must accommodate the fact that the number of testing stations in each office may vary. The
proposed solution for examiner and administrative access must be web-based so the solution(s) can
be accessed from existing DMV office personal computers (PCs). Bidder’s proposal must describe
a strategy for establishing and maintaining the internet connectivity required for System operation
in each office.
The proposed solution must permit completion of transactions on average within three (3) seconds
and a maximum of ten (10) seconds. For the purposes of this requirement, a “transaction” is defined
as a user-initiated event, the time from which the User clicks the mouse or presses “enter” until the
time when a response is returned to the User, or the System permits the User to perform another
action.
The System must specifically perform at an effectiveness level of 99% or more, during any thirty
(30) day period. The effectiveness level is the percentage of scheduled production time during
which the System is fully operational.
The proposed System must include a remote testing functionality (See, RFP Section 2-5) that is
optional to DMV. The remote testing functionality must be a Contractor-hosted, web-based
application that generates unique randomized tests that can be accessed using a PC connected to
the Internet. All business rules contained in this RFP that relate to Class “D” and “M” knowledge
tests must be incorporated into the proposed remote testing functionality. If DMV chooses to
exercise this option, DMV will grant access to the application to approved entities, such as schools.
For the duration of the Contract term, following “acceptance testing” (Section 3.4), the Contractor
shall guarantee that all Software and Hardware Products provided and/or developed under the
Contract shall operate in accordance with the requirements and specifications set forth in this RFP
and the subsequent Contract.
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Item Number
2-2
TESTING FUNCTIONALITY
Requirement Description
Each test station unit shall require no more than ten (10) minutes per day to perform any routine
system management tasks, or to return to full functionality in the event of a network outage or
2-2.1
power failure.
The testing functionality interface must be intuitive and examinee-friendly. The interface must be
2-2.2
easy to use for examinees who are unfamiliar with technology. The Bidder’s proposal must
describe how the proposed System’s interface will be intuitive and easy to use.
2-2.3
The System must allow an examinee to take all available tests during a single session.
The testing functionality must include a secure sign-in feature, requiring input from the examinee
to verify his/her identity before permitting the examinee to take an exam. The System must require
2-2.4
that an examinee enter his/her date of birth, and/or zip code for verification purposes. Secure signin will again be required if a user or test is inactive for a specified amount of time.
The testing functionality must display an informational screen to the examinee before a test begins.
2-2.5
DMV will determine the content during system development.
The testing functionality must display simple instructions for examinees that clearly and succinctly
describe the steps required for taking a test. These instructions must include one sample question
2-2.6
for the examinee to complete before starting the test, and the sample question must be in the same
language as the test.
All test questions and answers must be randomized for each test, in order to ensure that no two
2-2.7
tests are exactly the same. However, the System must ensure that certain answer offerings are
logically sound (such as not having as the first listed answer, “all of the above”).
The System must provide the ability for DMV to identify specific questions that must be answered
correctly in order for the examinee to pass a test; and for DMV to designate a subset of specific
2-2.8
questions, of which a certain number must be answered correctly in order to pass (For example, a
group of three (3) questions on a certain topic must be answered and two (2) must be answered
correctly in order to pass).
The examinee taking an audio test in any language other than English must have the ability to
2-2.9
switch to English and back to the originally chosen language, at any time during the test, without
assistance from DMV staff.
The sound for audio tests must be clear and easy to understand, with volume control(s) provided
to adjust the sound level, and must be ADA-compliant for the purpose of assisting persons with
2-2.10
hearing disabilities. The volume level must return to a default level when an examinee completes
his/her exam(s). Audio must only be available using headphones.
The testing functionality must provide the option for the examinee to review each question and
2-2.11
answer choice, and to change answers following the review and prior to submission.
The testing functionality must allow the examinee to skip questions. Skipped questions will display
2-2.12
after all other questions have been answered to allow examinee to answer skipped questions.
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2-2.13
2-2.14
2-2.15
2-2.16
2-2.17
2-2.18
2-2.19
2-2.20
Requirement Description
‘Quick fail’ (as further described in Section 2-4.9 hereof) must prevent display of skipped
questions.
At the completion of the exam, the testing functionality must display the examinee’s test results
directly to him/her.
In the event of a total system failure, power outage, or other service interruption, the examinee’s
current exam must be saved so that it may be completed within the next five (5) calendar days at
any test station in the same office. Upon restarting the exam, the testing functionality must begin
at the point where the examinee left off. The Bidder’s proposal must provide a detailed description
of the method that will be employed to fulfill this requirement.
All test screens and instructions must be concise, quick to navigate, and must not require scrolling.
The Bidder’s proposal must include sample screen captures that show the Bidder’s proposed test
screen layout.
The testing functionality must allow examinees taking the test to increase or decrease the font size
at any time during the test.
All test screens must be uniform in appearance with “Help” buttons, answer choices, volume
control, etc., located in the same area on each successive screen.
The testing functionality must include an educational demo/screen saver that will serve as an attract
loop, which is activated when a test station is unattended for an amount of time specified by DMV
during system development. DMV will determine the content that will be displayed.
The testing functionality must utilize digital photos provided by DMV to depict driving/traffic
situations.
The testing functionality must permit the examinee to enlarge any relevant photos to full-screen
size for enhanced viewing.
Item Number
2-3 EXAMINER FUNCTIONALITY
2-3.1
Requirement Description
The System must include an examiner functionality, accessible by DMV staff on any PC within a
particular issuing office, which permits DMV office staff to administer the tests in, and generate
reports for, that office. The Examiner functionality must require no more than ten (10) minutes to
prepare for test administration (e.g., to provide for system updates), or to return to full functionality
in the event of a network outage or power failure.
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2-3.2
2-3.3
2-3.4
2-3.5
2-3.6
2-3.7
2-3.8
2-3.9
2-3.10
Requirement Description
There must be two levels of privileges provided to DMV staff who are granted the right to access
the Examiner functionality (i.e., examiners). The First will be available to all Motor Vehicle
Representatives (MVRs) and the Second will be provided to Supervising Motor Vehicle
Representatives (SMVRs). SMVRs will have all the privileges of MVRs, plus additional
capabilities. The System must provide DMV with the ability to allocate specific access rights to
specific individuals. There must be no limit to the number of examiners who can log in at any
office.
Examiners must have the ability to print and manually score a written test. The written test
questions must correspond, word-for-word, with the test questions that appear on screen. The
Examiner functionality must permit examiners to either (1) manually enter each answer into the
testing system and submit the test on behalf of the examinee, or (2) to enter only a pass/fail
indicator. The Bidder’s proposal must include a detailed process for this requirement.
SMVR’s approval must be required to generate a written test. The System must require a reason be
provided by the examiner before a written test can be printed. DMV will provide a list of acceptable
reasons during system development. The Bidder must describe how this functionality will be
incorporated into the System.
The examiner must be able to print an answer key with each written test, for the purpose of
manually scoring the test.
SMVRs must have the ability to manually correct scores for completed written tests. The SMVR
must log any corrections made, and the SMVR must enter a reason for the correction in a note-field
that is saved with the corresponding test.
When there is a photo on file at DMV, the Examiner functionality must display the examinee’s
driver license photo/image for DMV staff to review during the test session.
The Examiner functionality must translate error messages into user-friendly messages for display.
The final wording of these user-friendly messages will be determined by DMV during system
development with input from the Contractor.
The Examiner functionality must permit an examiner to enter the examinee’s client identification
number (CID), if available, in order to interface with DMV for the purpose of retrieving data that
is pertinent to the examination process and recording of test results (‘pass/fail’ and/or a numerical
score). If no CID is available (i.e., no CID exists) the Examiner functionality must allow an
examiner to enter the examinee’s client identification information in the form of name and date of
birth. The data to be retrieved will be determined by DMV during the System development process
with input from the Contractor. The Bidder’s proposal must explain how the proposed System will
incorporate this functionality, using examples.
The examiner functionality must allow an examiner to select or configure certain testing options
including:
1. Test type;
2. Language;
3. Audio on or off;
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2-3.11
2-3.12
2-3.13
2-3.14
2-3.15
2-3.16
2-3.17
Requirement Description
4. Paper or computer.
The Bidder’s proposal must explain how the proposed System will incorporate these
functionalities, using examples.
The Examiner functionality must display a history of all exams taken by an examinee, and must
provide the ability to expand the history to include suspended and incomplete exams. Any test that
was suspended or not completed must be displayed first, and must be completed or canceled before
any other exam can be taken by the examinee. The Bidder’s proposal must explain how the System
will incorporate these functionalities, using examples.
The Examiner functionality must allow an examiner to assign an examinee to a specific test station.
The Examiner functionality must provide examiners with the ability to monitor all examinees
taking tests, and must display each examinee’s progress. At a minimum, this display must include
the following data:
1. Identifying information for the examinee;
2. Test currently being taken;
3. Time elapsed;
4. Number of questions answered correctly;
5. Number of questions answered incorrectly;
6. Other tests assigned but not started;
7. Other tests assigned and already completed (including pass/fail indicator);
8. Assigned testing station.
The Bidder’s proposal must explain how the proposed System will incorporate these
functionalities, using examples.
The Examiner functionality must provide examiners with the ability to suspend or pause an
examinee’s current exam.
The Examiner functionality must provide examiners with the ability to suspend or pause all exams
in a single office. This would be used in the case of an unforeseen emergency requiring a testing
room or office to be evacuated, such as a fire alarm. Upon resumption of testing, examiners must
be able to reassign suspended tests so the examinee can resume a test from any of the test stations
in the office.
The Examiner functionality must provide examiners with the ability to cancel an examinee’s
current exam. Canceling the exam will stop the examinee from completing the exam and will
prevent him/her from resuming the exam again at any office. The System must require a reason to
be provided by the examiner before a test can be cancelled. DMV will provide a list of acceptable
reasons during system development.
The Examiner functionality must permit an examiner to look at completed exams taken in their
office, and print a Results page(s) that can be given to an examinee. The Results page(s) must
contain the following:
1. Examinee’s name and date of birth;
2. CID (if available);
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Requirement Description
3. Date/Time the Test was taken;
4. The type of the Test taken;
5. Grade for the Examinee;
6. Language of test;
7. Number of questions answered correctly/incorrectly;
8. A reference where the correct answers can be found (to be provided by DMV) .
Specified data elements must also be encoded in a barcode. The System must allow for printing of
duplicate Results pages.
Item Number
2-4
2-4.1
2-4.2
2-4.3
2-4.4
2-4.5
2-4.6
2-4.7.
ADMINISTRATIVE FUNCTIONALITY
Requirement Description
The DMV staff granted rights to the Administrative functionality (i.e., administrators) shall be
determined by DMV. There shall be two levels of privileges within the Administrative module:
the First with permission to only access reports; and the Second will give complete access to the
full Administrative functionality. The Bidder must describe how this will be accomplished.
The Administrative functionality must allow administrators to modify, remove, or add test
questions, and to designate certain questions as “mandatory” so they appear for every test. The
Bidder’s proposal must provide a detailed description of how these tasks will be completed in their
proposed System, and must describe the manner and degree of ease with which DMV will be able
to complete the tasks.
The Administrative functionality must allow administrators to configure individual tests to include
weighted questions.
The Administrative functionality must allow administrators to set system-wide settings, including
adding, editing, or removing testing sites or test stations.
All settings specified in the Administrative functionality must override any settings for an office
that have been set by the Examiner functionality. The Administrative functionality must allow an
administrator to control settings in an individual office. The Bidder must describe how this will be
accomplished.
The Administrative functionality must allow the administrator to specify the default time for
inactivity before a test station is locked during a session. Once the test station is locked, the
examinee must complete the secure sign-in again in order to continue.
The Administrative functionality must translate error messages returned by DMV into user-friendly
messages for display. The final wording of the user-friendly messages will be determined by DMV
during system development with input from the Contractor.
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2-4.8
2-4.9
2-5
Requirement Description
The Administrative functionality must allow administrators to control whether audio will be
automatically enabled for all tests.
The Administrative functionality must allow the administrator to activate a “quick pass” and “quick
fail” option for all tests given in a particular office. The “quick pass” and “quick fail” function
must stop a test when an examinee reaches a predetermined threshold for correct or incorrect
answers.
REMOTE FUNCTIONALITY
Item Number
This set of mandatory requirements applies only to the optional web-based application that will be used in
non-DMV facilities. All other RFP requirements shall also apply to this Remote Functionality option.
Bidders must provide a separate cost for this optional application. DMV reserves the right to exercise this
option at any time during the term of the contract and any extensions thereof.
2-5.1
2-5.3
2-5.4
2-5.5
2-5.6
2-5.7
2-5.8
Requirement Description
The Remote application must be useable on a wide variety of browsers. The Contractor will not be
required to provide hardware for remote users. The Bidder must provide the minimum technical
requirements for accessing and running the Remote application, and any compatibility with mobile
devices (smart phone, tablet, etc.)
The Remote application must accommodate up to 500 concurrent users, and be scalable so that
additional users can be added if necessary. Bidders must detail the number of concurrent users that
its proposed System can accommodate.
A Proctor will possess all examiner privileges in non-DMV facilities. The Proctor must generate
unique credentials for each examinee in their facility.
The System must verify the examinee’s credentials at sign on. Examinees’ credentials will expire
after 20 minutes of inactivity. New credentials must be generated after expiration.
The Contractor will provide in-person training for the use of the Remote functionality to the DMV
System administrators.
Training materials and supporting documentation must be electronically provided by the
Contractor, and must be directly accessible from the System. Such materials and documentation
are subject to DMV’s approval. Any changes to the materials required by DMV must be
automatically updated by the Contractor. In-person training will not be required for Proctors.
Notifications of any System or training updates must be provided and viewable on the System,
upon administrator and Proctor sign-on.
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2-5.9
2-5.10
2-5.11
tem Number
2-6
2-6.1
2-6.2
2-6.3
2-6.4
2-6.5
Requirement Description
The Examiner functionality shall only display a history of all exams taken by examinees at the
Proctor’s assigned facility. The Bidder’s proposal must explain how the proposed System will
incorporate these functionalities, using examples.
The examiner must have the ability to enter an e-mail address in order to send test results (as
described in Section 2.3-17) (including barcode).
The Remote functionality must have the ability to restrict users by date of birth.
REPORTS
Requirement Description
The System must include user-friendly reporting tools accessible to users of both the Examiner and
Administrative functionalities. Authorized users of the Examiner functionality (MVRs, SMVRs,
and Proctors) must only have the ability to generate reports for their office. Authorized users of the
Administrative functionality must have the ability to generate all reports for specific offices, a
combination of offices, and the System as a whole.
The System must include the ability to restrict or permit access to reports specified by DMV.
The System must have the ability to generate reports on-demand, as frequently as desired by DMV,
with report generation having no impact on System performance.
Reports must be customizable by DMV. The System must permit authorized users to add or exclude
fields on individual reports, and to specify the time period covered by the report. The Bidder’s
proposal must provide a detailed description of the functionality of their reporting tools, and must
describe how it meets this requirement.
The System must display reports in a printer-friendly web format, and must be exportable to
multiple formats including, but not limited to, MS Excel worksheets, Crystal reports, and PDFs.
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The testing System must generate a standard set of reports and permit queries. The Bidder’s
proposal must describe the proposed System’s standard set of reports, and must describe how it
will incorporate reports listed below. Bidders may propose additional reports that the proposed
System can include, which may be beneficial to DMV. Such additional reports must be fully
described in the Bidder’s proposal, with an explanation of the intended benefit to DMV.
Test activity at a specific office, includes the following data elements:
1. Office (name/code);
2. Test name (CDL general knowledge, CDL passenger, Class D and M, etc.);
3. Test type (on-screen, audio, written);
4. Language;
5. Time period covered by report;
6. Date of report;
7. Number of tests taken;
8. Number and percentage of tests passed;
9. Number and percentage of tests failed;
10. Number and percentage of tests cancelled;
11. Average time to complete each test type.
Test activity for specified period of time, includes the following data elements:
1. Office (name/code);
2. DMV Employee User ID assigning test;
3. Time period covered by report;
4. Date and time of report;
5. Examinee Client Identification Number (CID);
6. Date of test;
7. Start and end time;
8. Test station ID;
9. Test name;
10. Test type;
11. Paper or Computer;
12. Language;
13. Test score;
14. Test outcome (pass, fail, cancel, etc.).
Hourly test volume, includes the following data elements:
1. Office (name/code);
2. Time period covered by report;
3. Hourly breakdown of number of tests taken by test name.
Hourly test station volume, includes the following data elements:
1. Office (name/code);
2. Test station ID;
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Requirement Description
3. Hourly breakdown of number of tests taken at each test station;
4. Hourly breakdown of number of written tests printed.
Individual test history, includes the following data elements:
1. Examinee name;
2. Examinee CID;
3. Test name;
4. Test type;
5. Test start/end time;
6. Office (name/code);
7. Test station ID;
8. DMV Employee User ID assigning test;
9. Language;
10. Questions on each test;
11. Number of questions answered correct for each test;
12. Test score for each test;
13. Test outcome (pass, fail, cancel, etc.).
Question Analysis, includes the following data elements:
1. Question ID;
2. Display associated pictures (if applicable);
3. Percentage of times question used;
4. Percentage of times each answer choice was selected;
5. Percentage of times questions answered incorrectly;
6. Average time taken to answer question;
7. Percentage of times questions skipped.
Audit report of system changes made via Examiner and Administrative functions, includes the
following data elements:
1. Office (name/code);
2. DMV Employee User ID;
3. Change made (e.g., quick pass enabled, test edited, test created, etc.);
4. Date and time of change.
Audit report of test activity for specific System users over a specified period of time, includes the
following data elements:
1. Office (name/code);
2. Date and time of report;
3. DMV Employee User ID;
4. Tests assigned;
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Requirement Description
5.
6.
7.
8.
9.
Examinee CID for each test assigned;
Test name;
Test type;
Test score;
Test results (pass, fail, cancel, etc.).
Audit report for corrected written tests (See, RFP Section 2-3.3), includes the following data
elements:
1. Date and time of report;
2. User ID of DMV employee that made correction;
3. Examinee CID;
4. Date and time of test;
5. Old score with pass/fail indicator;
6. New score with pass/fail indicator;
7. Count of answers changed.
Audit report for corrected written test details, includes the following data elements:
1. Date and time of report;
2. DMV Employee User ID;
3. Examinee CID;
4. Question ID;
5. Old answer;
6. Corrected answer;
7. Reason for change.
Written Test Report, including:
1. Office (name/code);
2. Examiner user ID;
3. SMVR initials;
4. Reason for generating written test (See RFP Section 2-3.4);
5. Examinee CID;
6. Test name(s) (short name);
7. Date written test was generated.
Workstation Utilization Report, includes the following data elements:
1. Office (name/code);
2. Date;
3. Percentage of time each workstation is idol vs. in session (15 minute intervals);
4. Number of tests taken at each workstation.
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3
TECHNICAL REQUIREMENTS
Section 3 includes the mandatory Technical requirements of the System.
3-1
GENERAL TECHNICAL SPECIFICATIONS
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
26
Item Number
C000812
23000
3-1.1
3-1.2
3-1.3
3-1.4
3-1.5
3-1.6
3-1.7
3-1.8
3-1.9
3-1.10
3-1.11
Requirement Description
The proposed System must not reside on DMV’s network. The Contractor’s network used for
the System must be secure, and must be in compliance with NYS Information Security Standards
(See, Section 1-14). Bidders must provide, in as much detail as possible, a description of the
hardware and software that will be part of the proposed System (See, Appendix-E hereof).
Bidders must identify in their proposals all software to be used, by name and version number,
and must describe how the software meets the requirements of the RFP. The acquisition and
maintenance of all required software licenses are the responsibility of the Contractor, and the
cost for such licenses, if any, shall be borne by the Contractor.
The System must integrate with DMV, using DMV’s web-services platform. DMV will provide
the Contractor with interface specifications for these services during System development. Test
stations must not be connected directly to DMV’s web services gateway.
Prior to System implementation, the Contractor must provide to DMV detailed technical System
documentation, detailed System design specifications, descriptions of all proposed testing
station hardware and software, operating instructions, footprints, power and environmental
requirements, model numbers, makes, serial numbers, electrical and grounding requirements,
temperature and humidity ranges, software components and features, and related information.
The Contractor must ensure that the System architecture is scalable and designed to easily
accommodate changes resulting from DMV business rules and workflows.
All communications with the DMV web services platform must be initiated from a defined set
of Contractor’s IP addresses.
All network communication with the DMV must be over the internet, and must be secured via
appropriate encryption that meets or exceeds industry-standards.
The testing System must comply with the Americans with Disabilities Act (ADA). The Bidder’s
proposal must specify how the proposed testing station will be compliant with the ADA.
The Contractor is responsible for all back-up and recovery on testing stations. (See, RFP Section
5-3)
The Contractor must maintain, update and provide any and all customized System
documentation, including detailed design specifications made during the term of the Contract.
The DMV shall have the right to use and copy all documentation for the purpose of operating
the System.
The Contractor must install updates to the System, as needed. System updates will be the sole
responsibility of the Contractor. (See, RFP Section 4-4.1)
Equipment and software furnished by the Contractor must be capable of withstanding
continuous operation, between the hours of 7:00 AM to 8:00 PM, 365 days a year.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
27
C000812
23000
Item Number
3-2
3-2.1
3-2.2
3-2.3
3-2.4
3-2.5
3-2.7
3-2.8
3-2.9
3-2.10
TEST STATION HARDWARE
Requirement Description
The Contractor must install, maintain and support all supplied test station hardware in
accordance with the requirements as specified in this RFP. Any wiring required for the test
System at county or State issuing offices must be approved by DMV. The Contractor is
responsible for providing and maintaining the connectivity to each test station. The state and
county issuing offices will supply all necessary electrical power.
The Contractor must provide all electrical equipment to operate on regular 120 volt, 60 hertz, AC
power, and be “UL” or equivalently listed, and be certified by a Nationally Recognized Testing
Laboratory to be compliant with the FCC regulations.
The Contractor must provide testing stations designed to be of a standalone style for all types of
locations. The testing station must not be rendered inoperable by spilled liquid.
At a minimum, the display must meet the following specifications:
1. Standard: XGA;
2. 17 inches diagonal;
3. 1024 x 768 resolution.
The Contractor must provide a display screen that is highly durable and impervious to surface
damage, which has a scratch resistant surface that will endure heavy usage in a public environment.
The Contractor must not visibly place any company names, logos, or decals, except for those
provided by DMV, upon the test station hardware or within the testing station interface.
The Contractor must maintain an inventory of all physical assets related to the testing System
for State and federal audit purposes. This information must promptly be made available to the
State or federal government upon request.
The Contractor must set up and deploy all test stations as specified by DMV. This includes
relocation of test stations, as directed by DMV.
Upon expiration of the term of the Contract, by termination or otherwise, Contractor must
remove all hardware deployed throughout the State, as directed by DMV.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
28
C000812
23000
Item Number
3-3
3-3.1
3-3.2
3-3.3
3-3.4
3-3.5
DATA REQUIREMENTS
Requirement Description
The System must capture and record all data that is required to produce the reports required
pursuant to RFP Section 2-6.
The Contractor must maintain all test data for the term of the contract and any extensions thereof,
in conformance with record retention period provided in in Appendix-A.
Upon completion of the term of the Contract including any extensions thereof, the Contractor
must promptly provide DMV with all data residing on the System applications, in format that is
acceptable to DMV.
The Bidder’s proposal must explain in detail how the proposed System’s database(s) will
maintain, at a minimum, the following information for each examinee during a test session
(additional fields may be designated during development by DMV with input from Contractor):
1. Name;
2. CID, if available;
3. Gender;
4. Date of birth;
5. Photo image of driver, if available.
The System must provide an audit trail of tests taken and database updates that include, at a
minimum, the following information for each test taken (additional fields may be designated by
DMV during system development):
1. Examinee CID, if available;
2. Office (name/code; supplied by DMV);
3. Date of test;
4. Test start time;
5. Test end time (elapsed time);
6. Test language;
7. Test name;
8. Test short name;
9. Test type(s);
10. Total number of questions;
11. Total number of questions answered correctly;
12. Total number of questions skipped;
13. Test score;
14. Test outcome (pass, fail, cancel, etc.);
15. DMV’s Test Station ID;
16. DMV employee user ID assigning test.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
29
Item Number
C000812
23000
3-3.6
3-3.7
3-3.8
Item Number
3-4
3-4.1
3-4.2
3-4.3
3-4.4
3-4.5
Requirement Description
For each test item taken the audit trail must include the following:
1. Question ID;
2. Choice selected;
3. Correct Choice;
4. Average time taken to answer question;
5. Rate at which questions are being answered incorrectly;
6. Percentage of time each answer choice is selected for each question;
7. Total question usage;
8. Display associated pictures (if applicable).
The Contractor must maintain a log of transactions sent to and from DMV, for diagnostic
purposes.
Database backups must be regularly scheduled and performed by the Contractor to ensure proper
and uninterrupted System performance.
The Contractor must provide both an ERD (Entity Relationship Diagram) and a data dictionary
for the database.
ACCEPTANCE TESTING
Requirement Description
The Contractor must provide at least 2 properly functioning acceptance testing stations to DMV
for the purpose of conducting internal System testing and quality assurance throughout the term
of the Contract.
Prior to implementation, all Contractor-provided applications shall be required to pass
acceptance testing conducted by DMV staff. DMV reserves the right and sole discretion to deem
applications to have passed DMV’s acceptance testing. The Contractor must provide DMV with
prototypes for all changes that will affect the display and flow throughout the development
process. Contractor-provided acceptance test plans shall be created during System development
in cooperation with DMV, and are subject to DMV’s approval.
Any subsequent changes made by the Contractor to the testing System shall be required to pass
the same acceptance test conducted by DMV.
The Contractor must provide DMV with test plans prior to the release of each software version
and must obtain acceptance sign-off from DMV prior to the implementation of each release.
Any known defects in the released software provided by the Contractor must be disclosed to
DMV, and any software update designed to correct such defect is subject to DMV’s approval
prior to the implementing update.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
30
Item Number
C000812
23000
3-4.6
3-4.7
4
Requirement Description
All changes to the application must be migrated to the acceptance testing stations prior to
deployment on the production testing stations.
All application changes migrated to the acceptance testing stations must be accompanied by
release notes, and are subject to DMV’s approval prior to deployment.
MAINTENANCE AND SUPPORT
Item Number
4-1
4-1.1
4-1.2
4-1.3
Item Number
4-2
4-2.1
4-2.2
SYSTEM/SOFTWARE MAINTENANCE
Requirement Description
The Contractor must provide all necessary maintenance for the testing System during the term
of the Contract and any extensions thereof, including the operating system and supporting
software security patches.
The Contractor shall be responsible for tracing, reporting, troubleshooting and fixing all bugs
and defects discovered by Contractor or DMV.
The proposal must describe the Bidder’s proposed System maintenance support, including any
regular hours of required downtime to perform routine maintenance.
TEST STATION MAINTENANCE & REPAIR
Requirement Description
The Contractor must ensure that all maintenance and repairs are performed in a manner which
permits uninterrupted operation of the testing stations at all locations. Unless specified otherwise,
for the purpose of this section, “Maintenance” refers to both regularly scheduled “preventative
maintenance” and “remedial maintenance” (i.e., repairs).
The Contractor must schedule preventive maintenance work to minimize the impact on the
regular business operations at each test station location. Preventive maintenance must be
performed at a time that is acceptable to DMV.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
31
Item Number
C000812
23000
4-2.3
4-2.4
4-2.5
4-2.6
Requirement Description
DMV reserves the right to require the Contractor to promptly provide a replacement testing
station, if any testing station remains inoperable for more than 48 hours, or DMV deems, in its
sole discretion, that a testing station is performing unreliably.
DMV reserves the right require the Contractor to promptly provide a replacement testing station,
if any testing station is the subject of more than three (3) service calls placed within any
consecutive thirty (30) day period due to Contractor-provided equipment malfunctions.
The Contractor must develop a detailed maintenance plan with input from, and subject to
approval by DMV, which addresses both preventive and remedial maintenance/repairs. Bidders
must submit a draft maintenance plan as part of their proposal.
The plan must include:
1. A description of all preventative maintenance tasks;
2. A schedule of all tasks (including frequency of performance);
3. The time required to perform each task;
4. The method used to coordinate maintenance calls with DMV;
5. The method of contact for the DMV to submit remedial maintenance requests;
6. The number, and location of all available service representatives;
7. Maximum response time for acknowledgement of a remedial maintenance request;
8. Maximum response time for the service representative to arrive onsite for a remedial
maintenance request;
9. Maximum completion time for a remedial maintenance request;
10. The format for a monthly report that the Contractor will deliver to DMV on all
maintenance performed;
11. A description of how parts supply and back up equipment availability will be ensured for
all locations.
Appropriate Contractor staff must be available to receive maintenance requests and make
maintenance calls during DMV’s hours of operation, between 7 a.m. and 7 p.m., Monday through
Friday, throughout the term of the Contract. Contractor must accommodate reasonable changes
in DMV’s hours of operation.
The Contractor must provide the service requestor with a written confirmation of receipt of a
maintenance request within two (2) hours. Contractor’s service representative must be on site by
no later than the next business day to make required repairs. The Contractor must deliver an
incident report to DMV, upon responding to a remedial maintenance request, which describes
specific actions that were taken to rectify the problem, and the status of the repair.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
32
C000812
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Item Number
4-3
APPLICATION SUPPORT
Requirement Description
4-3.1
The Contractor must provide DMV with a toll-free telephone number for the purpose of
contacting the Contractor’s call center or Help desk. Proposals must describe the proposed call
center or Help desk procedures for reporting, tracking, and obtaining status on problems, and
how service staff will be dispatched. Contractor must provide primary (Level 1 and Level 2)
technical support for the System, and must cooperate with DMV to develop a formal support plan
for incident management that is acceptable to DMV. The support plan is subject to DMV’s
approval, and will designate the approved requestors, and documented processes for escalating
repair incidents.
4-3.2
The Bidder must provide a detailed description of the support plan, including emergency and
escalation procedures, for the proposed testing System. This description must include the
procedures that will be followed upon an application or system error. The Contractor shall be
responsible for responding to phone calls from all testing locations, concerning system error
messages.
Item Number
4-4
4-4.1
4-4.2
4-4.3
SYSTEM UPGRADES AND UPDATES
Requirement Description
Contractor must provide all available testing System software upgrades (new versions, security
patches, service packs, etc.), during the term of the Contract and any extensions thereof. The
Bidder’s proposal must explain how such software upgrades will be implemented.
Contractor must provide DMV with a minimum of six (6) months to prepare for any major, nonemergency upgrades. Service packs and/or security patches do not constitute major, nonemergency upgrades.
The Contractor must provide prototypes of all system software enhancements or updates during
the term of the Contract. DMV reserves the right to require Contractor make changes to
prototypes.
Any Contractor-proposed change to the System of any scale, including release management, will
be facilitated by the Contractor with prior notification to and approval by DMV. All software
and hardware updates to the testing System solution shall require prior approval by DMV. All
changes will require validation by DMV staff in a non-production environment prior to release.
Access to the test environment at DMV’s office shall be limited to DMV’s regular business hours.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
33
C000812
23000
5
SECURITY REQUIREMENTS
Item Number
5-1
5-1.1
5-1.2
5-1.3
5-1.4
5-1.5
5-1.6
5-1.7
SYSTEM SECURITY
Requirement Description
The Contractor must secure personal identifying information on the System, and in transit
to and from DMV (e.g., by Secure Sockets Layer (SSL).
The Contractor must adhere to all security standards set forth in Appendix-M (“Standard
Security Clauses for Sharing Data with External Entities”) hereof. The Proposal must
include a detailed description of the System’s security features.
The Bidder’s proposal must detail how their System is resistant to malware such as key
loggers; and appropriate security software must be included in the design (e.g., antimalware software is required if Windows desktop software is used as the Operating System
(OS)). Security/malware countermeasures shall be documented by the Contractor, and such
countermeasures are subject to approval by DMV for implementation. The test station
itself must include a mechanism to lock down and secure the test station to prevent an
examinee from booting directly into the native OS or BIOS, as well as exiting the
application to access the OS. The Bidder’s proposal must explain in detail how this will
be accomplished. All software/firmware used for the testing System must be maintained at
manufacturer-supported levels.
The Contractor must implement network and System access controls on all facets of the
testing System.
The Contractor must incorporate an automatic time-out function into the testing station
design to log off examinees who have not responded to the testing station prompts for a
specified amount of time (duration to be determined by DMV).
All access to the System and all system transactions must be logged. . Log data must be
classified as “restricted.” These logs must be retrievable through clearly defined
procedures, and must be maintained for the term of the Contract, and the subsequent record
retention period, for audit, legal, and recovery purposes. Contractor must clearly establish
requirements for logging data, as System architectural, technical or network designs are
developed.
The System must provide security controls to permit DMV to designate specific levels of
access to the System. The System must also include a unique authentication mechanism.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
34
C000812
23000
Item Number
5-2
5-2.1
5-2.2
5-2.3
5-2.4
5-2.5
5-2.6
5-2.7
6
SYSTEM BACKUP AND DISASTER RECOVERY PLAN
Requirement Description
The Contractor must provide for disaster recovery services, in the event of a major
disruption or shut down of the operation of the System, which will ensure continuity
of the System and restore full operation within 48 hours from disruption of services.
The Bidder’s proposal must provide a sample Disaster Recovery Plan, and must
describe how the plan meets the requirements of this section. Contractor must
develop the Disaster Recovery Plan, in cooperation with DMV, during System
development. The final plan is subject to DMV’s approval. Prior to System
implementation, recovery procedures must be documented, tested and proven to the
satisfaction of DMV. Changes to the Disaster Recovery Plan made during System
development must be completed at no cost to DMV.
The Disaster Recovery Plan must describe the plan for meeting the required
availability metric (See, RFP Section 2-1.12).
The Disaster Recovery Plan must detail how all functions of the testing System will
be restored in the event of disruption.
The Disaster Recovery Plan must include recovery of necessary hardware, operating
systems, System software, network connectivity, and databases from backups.
The Disaster Recovery Plan must include a procedure for testing the restored
System.
The Disaster Recovery Plan must at all times remain current in order to adequately
respond to new and developing vulnerabilities. The Contractor must update the
Disaster Recovery Plan, as required, and at least once per year, to account for any
new security vulnerabilities, and must annually certify that the Disaster Recovery
Plan meets the requirements hereof.
DOCUMENTATION AND TRAINING
Item Number
6-1
6-1.1
TRAINING
Requirement Description
Contractor must provide training to the DMV trainers in the use of testing stations.
This DMV trainer-training must include both Administrative and Examiner
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
35
Item Number
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23000
6-1.2
6-1.3
6-1.4
6-1.5
6-1.6
Requirement Description
functionalities. Five (5) training sessions shall be performed in various locations
throughout the State, at dates, times, and locations determined by DMV.
The Bidder’s proposal must include three (3) samples of training manuals, which
will be evaluated by DMV for ease of use and readability.
The Contractor must update all training materials on an as-needed basis, after
enhancements or changes to the System. DMV shall own and have the right to
reproduce all documentation.
The Contractor shall deliver on-site, instructor-led training to the staff at each
issuing office where the System is installed. The training session shall, at a
minimum, include the following:
1. An overview of the System;
2. An overview of the test station hardware;
3. An overview of the examiner functionality;
4. How to troubleshoot issues;
5. How to utilize the reporting functionality;
6. How to train new employees.
The Bidder’s proposal must describe in detail any additional training that will be
made available for DMV office staff.
The Contractor must provide at least one instructor-led training session to DMV
administrative staff at DMV’s Central Office in Albany, New York. The training
session must, at a minimum, include the issuing office training topics outlined in
Section 6-1.4, and:
1. An overview of the administrative functionality;
2. Maintaining and editing tests, answer choices and related;
pictures/graphics/videos and corresponding audio;
3. Creating new tests;
4. Utilizing administrative reports;
5. Monitoring all office test activity, remotely.
The Contractor must deliver a user-friendly screen-oriented training manual that
contains all operating instructions necessary for DMV staff to successfully operate
the System. The Contractor must provide training manuals to each issuing office in
which the testing System is deployed, and to any Central Office staff trained in the
use of the testing System, and as may be required by DMV. The Contractor must
provide at least 200 paper copies of the training manual to offices as directed by
DMV.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
36
C000812
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7
IMPLEMENTATION
Item Number
7-1
7-1.1
MANAGEMENT PLAN
Requirement Description
The Bidder’s proposal must include a detailed project schedule describing how the
Contractor will implement this project on behalf of DMV. The project schedule, at
a minimum, must describe the logical progression of the project as planned by the
Bidder, and must include planned phases and milestones, and the dates when such
milestones will be reached.
The Bidder must state the project management tool or technique that will be used
to track the progress of this project, and must include Gantt and critical path types
of charts that describe all of the steps and time estimates.
7-1.2
7-1.3
7-1.4
7-1.5
The major phases of the project are described herein, below. The project schedule
must include periodic review checkpoints, including written status/progress reports
for review by DMV technical and operations staff. The design of each of the major
phases of the project, as well as the database designs and network diagram, are
subject to approval by DMV.
PHASE I: System Development
The project shall begin with project meetings between the Contractor and DMV, at
DMV’s central offices in Albany, New York, to further define the requirements and
business rules of this RFP. The Contractor shall then work with DMV staff to
develop a System that meets all requirements. The Contractor shall provide a
prototype in Albany to permit the System to undergo acceptance testing, as defined
in Section 3.4 herein.
PHASE II: Pilot
The Contractor shall deploy the full testing System in at least three (3) offices listed
in Appendix-H, as determined by DMV. Contractor must provide the required
number of test stations, and must provide required training to DMV staff. DMV
will operate the System in the designated offices to evaluate and develop
procedures and policies to govern its use. Upon completion of the Pilot, DMV will
evaluate the performance of the System, based on criteria developed with input
from the Contractor.
PHASE III: County Offices
The Contractor must assist DMV staff, as required by DMV, in the deployment of
the testing System to the county offices (See, Appendix-H).
PHASE IV: State Offices
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
37
Item Number
C000812
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7-1.6
7-1.7
7-1.8
7-1.9
7-1.10
7-1.12
7-1.13
Requirement Description
The Contractor must assist DMV staff, as required by DMV, in the deployment of
the testing System to expand DMV’s existing automated testing capacity already
deployed in State offices (See Appendix-H). Quantities of testing stations will be
determined in consultation with DMV.
The Bidder must indicate the number of its management staff that will be devoted
to this project, including their roles and titles.
The Bidder must provide the names, titles, and locations, as well as an
organizational chart, for all key personnel. The Bidder must describe the amount of
time and specific functions of each key person who will be dedicated to this project.
In the event that the Contractor will hire employees or retain the services of
subcontractors to work on this project, the qualifications and hiring of this staff
must be detailed. The Bidder’s local or sub-offices that will be involved in this
project must be described, including location and participating staff members.
The Bidder must provide a matrix which details a complete staffing plan for the
project identifying (1) all staff and subcontractors, (2) their responsibilities and
qualifications, and (3) how they will be applied to the various components, tasks,
and functional areas of the project plan. Where sub-contractors are identified, the
Bidder must also describe how their participation improves meeting project
objectives. The Bidder must describe the specific role of, and the amount of time
that is projected to be dedicated to the project by, each staff member, including
timing of hiring of each new staff member. The Bidder must describe all
assumptions it makes in the planning, staffing, and management of this project,
including the estimation methodology employed.
The Bidder must describe the roles and activities required of DMV staff and the
time commitment required.
The Bidder must indicate the performance measures required to evaluate the
effectiveness of this project.
The Change Request process must include the procedures that must be followed by
DMV to request System changes. The Bidder must describe its Change Request
process; and must identify any specific System modifications that may be required
to be performed by the Contractor which would not require a Change Request. The
Contractor must keep an electronic Change log in a location that is accessible to
both the Contractor and DMV, which details all changes made to the System. All
changes must be approved in advance by DMV. Any change which exceeds the
scope of work must be done by formal amendment of the Contract, signed by both
parties, and approved by the NYS Attorney General and the NYS Office of the
State Comptroller.
The Bidder must describe its Defect Management process, including a detailed
explanation of the procedures that must be followed by DMV to report and request
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Requirement Description
notification of System defects. The Contractor must maintain an electronic Defect
log in a location that is accessible to both the Contractor and DMV, which details
all defects in the System. Contractor must provide DMV with status updates on the
defects on a weekly basis; or on a periodic basis mutually agreed upon between the
Contractor and DMV.
8
EXPERIENCE AND EXPERTISE
8-1
MINIMUM QUALIFICATIONS
In order to qualify to submit a bid proposal in response to this RFP, Bidders must have at least five
(5) years of verifiable experience creating, implementing, and operating a testing system.
The Proposal must contain the Bidder's Experience Statement (Appendix-D), which illustrates
experience with providing similar testing systems. The Experience Statement must cite five (5)
current or recently completed projects that are similar in nature, size and scope to the project
described in this RFP. The Experience Statement must demonstrate the Bidder's, and any proposed
subcontractor’s, ability to meet the terms of this RFP, emphasizing the time constraints and quality
of performance.
Subcontractors must meet the minimum qualifications related to the scope of work being
performed. DMV will evaluate the experience composite of both the Bidder and its subcontractors.
DMV reserves the right to disqualify any bidder who provides an Experience Reference that is
unsatisfactory to DMV.
References deemed “Unsatisfactory” by DMV include, but are not limited to, the following: a
reference indicating service was inadequate, or that substandard performance was provided;
DMV’s inability to confirm satisfactory references within five (5) business days of trying to
contact references; the supplied references are not able to attest to the Bidder's competency or fully
conforming performance; or any information that negatively impacts DMV’s assessment of a
bidder's responsibility.
9
PROPOSAL CONTENT AND EVALUATION
9-1
COMPLETE BIDS
Bidders must submit a complete bid, which addresses every element of the RFP.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
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C000812
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Bids must include the following items:
1.
2.
3.
4.
5.
6.
7.
Introductory Cover Letter (See, Section 9-2.1);
Requirement Compliance Table (See, Section 9-2.2);
Bidder’s Technical Proposal (See, Section 9-2.3);
Bidder’s Cost Proposal (See, Section 9-2.4);
Financial Information (See, Section 9-2.5);
References (See, Section 8-1); and
Completed Appendices B, C-1, C-2, C-3, C-4, D, E, J, K, L, N, and O.
Bidders must provide five (5) hard copies of Sections Nos. 1 through 5 of their proposal, and
one (1) electronic copy on a CD-ROM disc (in WORD or any other text-searchable format).
9-2
BID REQUIREMENT DETAIL
9-2.1 Introductory Cover Letter
All bids must include a cover letter, signed on behalf of the Bidder by a duly authorized
officer or agent of the Bidder, which contains the following:
Identification of the Bidder, including the company’s name, address, phone number,
federal identification number; and the name, title and phone number of the person
authorized to accept notices and other communications from DMV, and to respond to
inquiries from DMV, concerning this RFP;
 Confirmation that the bid is submitted in response to RFP #C000812;
 Identification of the various parts of the bid (by Section); and
 The Bidder may provide other concise introductory information; however such
information will not be subject to evaluation.
 Identification of any and all subcontractors, including a description of how their
participation improves meeting project objectives.
9-2.2 The Bidder must provide a completed Requirement Compliance Table (See,
Appendix-J), specifying the location in the bid where each RFP requirement is
addressed.
9-2.3 Bidder’s Technical Proposal
Bidders must submit a comprehensive Technical proposal that provides sufficient
detail to permit the Evaluation Team to assess the Bidder’s degree of understanding
of the requirements and deliverables. Proposals that do not address all of the
mandatory requirements and deliverables of this RFP will be disqualified as “nonresponsive”.
NOTE: THE TECHNICAL PROPOSAL MUST FOLLOW THE
SEQUENCE OF SECTIONS 2-7 OF THE RFP, AND MUST INCLUDE A
RESTATEMENT OF EACH DMV REQUIREMENT (INCLUDING THE
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DMV REQUIREMENT NUMBER PROVIDED IN THE RFP) FOLLOWED
BY THE BIDDER’S RESPONSE. PROPOSALS THAT FAIL TO FOLLOW
THIS DIRECTIVE MAY BE DEEMED “NON-RESPONSIVE” BY THE
DEPARTMENT.
Bidders may offer additional alternatives to the mandatory requirements. However,
such alternatives may only be provided in addition to responses that address the
required mandatory requirement. Proposals that only offer an alternative to a
mandatory requirement will be deemed non-responsive.
9-2.4 Bidder’s Cost Proposal
9-2.4.1 General Instructions for submitting a cost proposal:
The cost proposal must be submitted on the Cost Proposal Form (Appendix-B) in a
sealed envelope. This envelope must be separate from the other components of the
proposal. Bidders may NOT propose alternative pricing structures.
9-2.4.2 Per Unit Cost
The proposed per unit cost must include all up-front development, software
licensing, supplied hardware, ongoing maintenance, system updates and testing,
network, training, manuals, and Help Desk and support services during the initial
five (5) year term of the Contract.
9-2.4.3 Hourly Programming Rate
The Bidder must provide one figure for the cost of hourly programming for any
billable DMV-requested modifications. Variable costs will not be accepted.
9-2.4.4 Optional Remote Functionality
DMV may choose to purchase the optional Remote Functionality for the proposed
System. The Bidder’s proposed solution must provide the option of Remote
Functionality. The Bidder must indicate the monthly cost for this functionality,
separately from the cost charged for the overall System (See, Section 2.5 hereof for
the remote functionality specifications).
9-2.5 Financial Information
By the act of submitting a proposal in response to this RFP, the Bidder acknowledges
and agrees that DMV is authorized to do the following:


Make inquiry into and research the Bidder’s financial history and condition by
any means DMV deems reasonably necessary; and
Evaluate the financial history and condition of the Bidder to whom a contract
is tentatively awarded. Any findings which DMV in its sole discretion deems
to be adverse may result in disqualification of the proposal.
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Bidders must submit a copy of following information with their proposal, in the
event their business is organized as a corporation, a limited liability company (LLC),
or a partnership:

Corporate/LLC information required, including (where applicable):
o Ticker Symbol of the Bidder, under which the company is traded;
o Exchange on which company stock is traded;
o Authorization for DMV to obtain financial and/or credit reports on the
company
o from commercial sources;
o DUNS Number.

A copy of the Bidder’s Certificate of Incorporation, LLC Articles of
Organization, or the Partnership Certificate on file in the State in which the
Bidder is principally located, and a letter from the Secretary of State’s office
stating the corporation/LLC/partnership is in good standing with the State in
which it is principally located.
o If the Bidder is a partnership comprised of two or more corporations, then
a copy of each partner’s Certificate of Incorporation, and a copy of the
partnership papers, must be provided.
o If the Bidder is not a New York corporation, or LLC, the Bidder must
provide a copy of documents demonstrating that it is authorized to do
business in NYS.
o If the Bidder is a partnership comprised of non-corporate partners, the
Bidder must provide a copy of its Certificate of Partnership, and, if
applicable, LLC articles of organization.

A list identifying all corporate officers/LLC managing members, and the firm’s
legal counsel.

Financial Statements
Bidders must provide with their proposals evidence of their financial capacity
to perform their contractual obligations arising under the terms of the awarded
contract, as specified in this RFP. Bidders must provide audited financial
statements for the last three (3) years of operations. In the event that a bidder is
not required by law to have independent audits performed, the Bidder must
provide a statement to that effect, and other verifiable evidence of the Bidder’s
financial capacity, with its Cost Proposal. DMV will consider other verifiable
evidence such as annual financial statements for the last three (3) years; a report
by a third party service (e.g., Dun and Bradstreet); statements from a bank
confirming the average daily account balances for the last year; or similar
documentation. If audited financial statements are available, they must be
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submitted even if proprietary information is contained therein (bidders must
notify DMV if proprietary information is contained).
All proof of financial capacity is subject to review by DMV, and acceptance or
rejection thereof will be subject to the sole discretion of DMV.
9-3
ORAL PRESENTATIONS / DEMONSTRATIONS
All Bidders will be required to make an oral presentation and/or demonstration to help the
evaluation team understand representations made in the Technical Proposal. Oral presentations
and/or demonstrations will be considered in the scoring of the related sections of the Technical
Proposal. Bidders will be expected to demonstrate the required System functionality described in
this RFP. A prototype of the hardware solution should be included in the presentation. The Bidders
will also be expected to describe the proposed System architecture. DMV may also use these as an
opportunity to clarify and/or verify representations made in the written Proposal. DMV will make
every attempt to schedule a time for each oral presentation and/or demonstration at a time that is
agreeable to the Bidder. Presentations/demonstrations shall be conducted at DMV’s offices at
South Swan Street, in Albany, New York. DMV reserves the right to reject the proposals of
bidders who fail to provide any oral presentation or demonstration when requested.
9-4
EVALUATION OF PROPOSALS AND CONTRACT AWARD
An Evaluation Team, consisting of several DMV employees with varied relevant backgrounds will
evaluate each proposal using the same evaluation criteria. The Evaluation Team will select a
winning Bidder based upon the highest score achieved. A formal notice of tentative contract award
will subsequently be sent to all Bidders informing them of the identity of the successful bidder.
Immediately upon notification of tentative contract award, the successful bidder must identify the
staff member(s) authorized to negotiate terms of the Contract with DMV. Contracts awarded by
DMV are tentatively awarded, and are not binding upon the state, until approved and executed by
the NYS Office of State Comptroller (OSC).
Proposals will be reviewed to determine whether all “mandatory requirements” have been met.
Mandatory items are indicated by the presence of terms such as “must”, “shall”, “will”, or “is (are)
required” in a statement. All Contractor requirements included in Section 10 “Contract Terms and
Conditions” are “mandatory”.
Proposals will be evaluated utilizing the following criteria.
9-4.1
TECHNICAL/PROGRAMMATIC (40%)
The Technical and Programmatic Requirements evaluation will review how
effectively the Bidder’s response meets the goals and objectives of DMV.
Specifically, this includes a review of how well the proposed system meets the
mandatory features as outlined in RFP, Sections 2 through 6.
9-4.2
IMPLEMENTATION/DEPLOYMENT (20%)
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The Implementation and Deployment evaluation will review the Bidder’s proposed
management plan, project schedule, staffing, and approach to the phased
deployment of the proposed solution. Specifically, this includes a review of how
well the proposed system meets the mandatory features as outlined in RFP, Section
7.
9-4.3 COST (25%)
A cost proposal form is included with this RFP (See, Appendix-B). Bidders must
submit with their bid a completed cost proposal form in a separate sealed
envelope, labeled “Cost Proposal”. The cost proposal will comprise 25% of the
total evaluation score.
9-4.4 EXPERIENCE AND EXPERTISE (15%)
The Experience and Expertise evaluation will review bidder-supplied references as
defined in the Minimum Qualifications (See, Section 8-1). DMV will contact the
Bidder’s customer references, as well as references for key staff members.
References will be asked questions limited to their experience with the Bidder and
staff. They will also be asked to verify experience claimed by the Bidder.
9-5
DMV’S RESERVED RIGHTS
DMV reserves the right to:
• Reject any or all proposals received in response to the RFP;
• Withdraw the RFP at any time, at the agency’s sole discretion;
• Make an award under the RFP in whole or in part;
• Disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of
the RFP;
• Seek clarifications and revisions of proposals;
• Use proposal information obtained through site visits, management interviews and the State’s
investigation of a bidder’s qualifications, experience, ability or financial standing, and any
material or information submitted by the Bidder in response to DMV’s request for clarifying
information in the course of evaluation and/or selection under the RFP;
• Prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to
supply additional information, as it becomes available;
• Prior to the bid opening, direct bidders to submit proposal modifications addressing
subsequent RFP amendments;
• Change any of the scheduled dates;
• Eliminate any mandatory, non-material specifications that cannot be complied with by all of
the prospective bidders;
• Waive any requirements that are not material;
• Negotiate with the successful bidder within the scope of the RFP in the best interests of the
state;
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• Conduct contract negotiations with the next responsible bidder, should the agency be
unsuccessful in negotiating with the selected bidder;
• Accept a newer version of any product specified in the RFP, or a comparable product to that
specified, if DMV determines that so doing would be in the best interests of the State;
• Require clarification at any time during the procurement process and/or require correction of
arithmetic or other apparent errors for the purpose of assuring a full and complete
understanding of a proposal and/or to determine a bidder’s compliance with the requirements
of the solicitation.
9-6
SECURITY REVIEW
DMV reserves the right to perform a review of the awarded Contractor’s system and/or facility.
DMV will notify Contractor 30 days prior to an audit of the Contractor system and/or facility. The
Contractor shall pay all costs for travel and lodging incurred by the Department of Motor Vehicles
in connection with all security reviews, including re-inspections performed due to a previous failed
inspection. The purpose and scope of the security review is to determine whether adequate controls
are in place to protect the availability of the System and the integrity and confidentiality of the
information. It includes, but is not limited to:






9-7
Description of the System including a listing of hardware and software;
The sensitivity of data that is stored or transmitted;
A diagram of the System including System components, data stores, and connections.
Physical and logical vulnerabilities and associated security controls;
External vulnerability/penetration scan. Scans may be performed by DMV or an
independent entity subject to DMV’s approval;
Determination that DMV resources and data in a shared environment (such as the
Contractor’s server farm) are be properly segregated and protected from the other
components of the environment.
CONTRACT NEGOTIATION AND EXECUTION
The Bidder selected for this project must promptly enter into contract negotiations with DMV to
finalize outstanding terms and conditions of the Contract to DMV’s satisfaction. DMV reserves
the right to disqualify the Bidder and to negotiate a contract with the second highest scoring Bidder,
if contract negotiations are not concluded to DMV’s satisfaction within thirty (30) calendar days
from the date of the tentative award of the Contract to the successful bidder
10 CONTRACT TERMS AND CONDITIONS
10-1 TITLE TO SOFTWARE
Contractor warrants and represents that it is the sole owner of any and all software, or, if not the
owner, that Contractor possesses the legal authority to license the use of such software to DMV
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for the purpose of the Contract; and that the use of such software in accordance with the terms of
the Contract will not violate or infringe upon the intellectual property rights of another.
10-2
INTELLECTUAL PROPERTY LICENSE
Contractor will grant DMV a perpetual, worldwide, non-exclusive, nontransferable license to use
the System, including all software provided to DMV under the terms hereof (the Licensed
Product). The grant of such license shall be solely for the business purposes described herein, and
in connection with any services obtained from Contractor, and not for any other purposes. Without
limiting the foregoing, DMV shall not create derivative works, or sell, license, or otherwise
transfer or distribute to unauthorized third parties, or commercialize in any respect whatsoever,
any Contractor technology.
10-3
ESCROW FOR SOFTWARE SOURCE CODE
Upon award of the Contract, the Contractor must promptly enter an Escrow Agreement with a
designated third-party Escrow Agent, identified to and approved by DMV, at Contractor’s sole
expense, under which the Escrow Agent will hold the Escrowed Materials (including Software
Source Code for the System).
Under the terms of the Escrow Agreement, which terms are subject to the approval of DMV, (a)
the Escrow Agent shall be instructed by DMV to release the Escrowed Materials to DMV in the
event of a material breach of Contract committed by Contractor which prevents the intended use
of the software products provided hereunder, and (b) upon release of the Escrowed Materials to
DMV, DMV shall have the right to use the Escrowed Materials for the sole purpose of using and
maintaining such software for the remainder of the Contract term.
Acts constituting a material breach of the Contract by Contractor shall include, but not be limited
to, acts constituting Contractor’s breach for which DMV may terminate the Contract for Cause
(See, Section 10-10(a) hereof); cessation of Contractor’s business operations; and the voluntary or
involuntary filing of a petition in Bankruptcy, where such filing impairs Contractor’s ability to
perform its contractual obligations under the terms of the Contract.
The Contractor must establish and maintain, at its expense, an established escrow agreement in
effect for the term of the Contract and any extensions thereof for the source code of the proprietary
software delivered under the Contract.
10-4
CONTRACT AMENDMENT
The Contract may only be amended by written consent of the Parties, and subject to approval by
the Offices of the New York State Attorney General and State Comptroller.
10-5
CONTRACTOR INDEMNIFICATION AND LIABILITY
Contractor’s obligation of indemnification and holding harmless specified hereunder shall survive
the expiration of the Contract by termination or otherwise. Contractor shall remain primarily liable
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for the actions of its employees, officers, agents and subcontractors in the performance of the
services hereunder.
A. Personal Injury, Property Damage, Wrongful Death, Violation of Intellectual Property Rights:
Contractor shall indemnify, keep and hold harmless the State of New York, its agents, officials
and employees, from any and all claims for injury or damage to person or property, deaths, losses,
damages, suits arising out of the service to be performed under the Contract, including negligence,
active or passive, or wrongful or improper conduct of the Contractor, its officers, employees,
agents, or sub-contractors, including infringement of any third-party’s patents or copyrights.
Contractor shall remain liable, without monetary limitation, for direct, actual damages for personal
injury, death or damage to real property or tangible personal property, and intellectual property
attributable to the negligence or other tort of Contractor, its officers, employees or agents. The
Contractor will also indemnify and hold the DMV harmless from and against any and all damages,
expenses (including reasonable attorneys' fees), claims, judgments, liabilities and costs that may
be finally assessed against the DMV in any action for infringement of a United States Letter Patent,
or of any copyright, trademark, trade secret or other third party proprietary right except to the
extent such claims arise from the DMV’s gross negligence or willful misconduct, provided that
the State shall give Contractor: (i) prompt written notice of any action, claim or threat of
infringement suit, or other suit, (ii) the opportunity to take over, settle or defend such action, claim
or suit at Contractor's sole expense, and (iii) assistance in the defense of any such action at the
expense of Contractor.
If usage shall be enjoined for any reason or if Contractor believes that it may be enjoined,
Contractor shall have the right, at its own expense and sole discretion to take action in the following
order of precedence: (i) to procure for the DMV the right to continue Usage (ii) to modify the
service or Product so that Usage becomes non-infringing, and is of at least equal quality and
performance; or (iii) to replace said service or Product or part(s) thereof, as applicable, with noninfringing service or Product of at least equal quality and performance. If the above remedies are
not available, the parties shall terminate the Contract, in whole or in part as necessary and
applicable, provided the DMV is given a refund for any amounts paid for the period during which
Usage was not feasible.
The acceptance or approval by the Department of any order or procedure, method, structure or
equipment submitted or employed by Contractor shall not in any manner relieve Contractor of any
liability pertaining Contractor’s negligence in performing such order or procedure, method,
structure or providing equipment; provided, however, that if Contractor acts in strict accordance
with a specific requirement, specification, instruction, order, mandate (or the like) from the
Department, with respect thereto Contractor shall not have an indemnification obligation
hereunder.
B. Driver’s Privacy Protection Act & New York State Information Security Breach and
Notification Act: By signing the Contract, the Contractor acknowledges that all DMV records
containing personal information, as well as DMV-related processing information, is confidential
and is the property of the Department and the State of New York, and should such information
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be used improperly, or become compromised the Contractor may be held liable for violating the
federal Driver’s Privacy Protection Act of 1994 (DPPA) (18 U.S.C. §2721, et seq.), and the New
York State Information Security Breach and Notification Act (ISBNA) (General Business Law,
§899-aa; State Technology Law, §208), and may be required to indemnify DMV for any such
violation.
Contractor must report suspected or confirmed violations of the DPPA or ISBNA to the DMV
Information Security Office, within one (1) business day of discovering any such violation:
a. by email: [email protected]
b. or by telephone: (518) 402-2676
(1) DPPA. A person who knowingly violates the DPPA shall be subject to criminal fines and
liability for civil remedies. Contractor shall indemnify and hold harmless New York State, its
employees and agents, from and against any claims, demands, loss, damage or expense related
solely to a knowing violation of the DPPA committed by Contractor, its employees, officers,
agents or sub-contractors. Contractor shall indemnify the Department and the State of New
York even if Contractor did not have knowledge of such violation of the DPPA by its officers,
employees, agents, or sub-contractors at the time such violation occurred.
(2) ISBNA. Contractor shall be responsible for complying with the provisions of the ISBNA with
respect to any private information (as defined in the ISBNA) received by Contractor its
officers, employees, agents, or sub-contractors. In the event of a breach of security, Contractor
shall immediately commence an investigation, in cooperation with DMV, to determine the
scope of the breach, and Contractor shall assist DMV in restoring the security of the related
system in order to prevent any further breaches. Contractor shall notify DMV of any breach
of security immediately following discovery of such breach.
Under the ISBNA, DMV is required to notify any individuals whose records have been
accessed for unauthorized purposes from a system maintained by DMV.
In furtherance of the investigation of any breach of the ISBNA, the Contractor must receive
written authorization from DMV prior to providing notice of such breach to any other entity.
Contractor shall be responsible for all costs associated with providing notices required under
the ISBNA. The Contract shall not impair the authority of the New York State Office of the
Attorney General (OAG) to bring an action against Contractor to enforce the provisions of
the ISBNA, or limit Contractor’s liability for any violations of the ISBNA. Additional
information concerning the ISBNA and the notification process is available at:
http://www.cscic.state.ny.us/security/securitybreach.
10-6
SAVINGS/FORCE MAJEURE
A force majeure occurrence is an event or effect that cannot be reasonably anticipated or
controlled. Force majeure includes, but is not limited to, acts of nature, acts of war, acts of public
enemies, strikes, fires, explosions, actions of the elements, floods, or other similar causes beyond
the control of the Contractor or the DMV in the performance of the Contract which nonNYS DMV Automated Knowledge Testing
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performance, by exercise of reasonable diligence, cannot be prevented. Contractor shall provide
the Commissioner with written notice of any force majeure occurrence as soon as the delay is
known.
Neither the Contractor nor the DMV shall be liable to the other for any delay in or failure of
performance under the Contract due to a force majeure occurrence. Any such delay in or failure
of performance shall not constitute default or give rise to any liability for damages. The existence
of such causes of such delay or failure shall extend the period for performance to such extent as
determined by the Contractor and the Commissioner to be necessary to enable complete
performance by the Contractor if reasonable diligence is exercised after the cause of delay or
failure has been removed.
Notwithstanding the above, at the discretion of the Commissioner where the delay or failure will
significantly impair the value of the Contract to the State, the Commissioner may:
a. Accept allocated performance or deliveries from the Contractor. The Contractor,
however, hereby agrees to grant preferential treatment to DMV with respect to Product
subjected to allocation; and/or
b. Purchase from other sources (without recourse to and by the Contractor for the costs
and expenses thereof) to replace all or part of the Products which are the subject of the
delay, which purchases may be deducted from the Contract quantities without penalty
or liability to the State; or
c. Terminate the Contract or the portion thereof which is subject to delays, and thereby
discharge any unexecuted portion of the Contract or the relative part thereof.
In addition, the Commissioner reserves the right, in his/her sole discretion, to make an equitable
adjustment in the Contract terms and/or pricing should extreme and unforeseen volatility in the
marketplace affect pricing or the availability of supply. "Extreme and unforeseen volatility in the
marketplace" is defined as market circumstances which meet the following criteria: (i) the
volatility is due to causes outside the control of Contractor; (ii) the volatility affects the
marketplace or industry, not just the particular Contract source of supply; (iii) the effect on pricing
or availability of supply is substantial; and (iv) the volatility so affects Contractor's performance
that continued performance of the Contract would result in a substantial loss.
10-7
SEVERABILITY
Should any one or more terms of the Contract be determined by a court of competent jurisdiction
to be illegal or unenforceable, then such term(s) shall be conformed as required to so comply. If
the term(s) is of such a nature that it cannot be amended without altering the purpose or nature of
the Contract, then such term(s) shall be deleted from the Contract as if never included therein, and
the remaining terms of the Contract shall remain in full force and effect, unless the deletion of the
term(s) renders the Contract unenforceable or frustrates the purpose or intent of the Contract. In
which case, the Contract shall be terminable by mutual consent of the Parties. If an ambiguity or
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question of intent arises, this Agreement will be construed as if drafted jointly by the Parties and
no presumption or burden of proof will arise favoring or disfavoring either Party by virtue of
authorship of any of the provisions of this Agreement.
10-8
RIGHT TO AUDIT
The Contractor shall maintain accurate records and accounts of services performed under the
Contract and, as required by the Office of the State Comptroller or by the Department, shall furnish
or make available such records. Contractor shall keep such records for at least six (6) years
subsequent to date of final payment. The Parties acknowledge and consent to the extension of this
record retention obligation, which exceeds the minimum standard set forth in Appendix-A hereof.
10-9
TERMINATION
a. For Cause: The Commissioner may terminate the Contract, upon written notice to the
Contractor, in the event that any material breach thereof remains uncured for more than thirty
(30) days, or any other period specified by DMV. Such termination for cause shall be at the
Contractor’s expense in the event that the Contractor is incapable of performing its
contractual obligations or meeting any requirements or qualifications set forth in the Contract,
or for non-performance, or upon a determination that the Contractor is non-responsible or
non-responsive. Such termination shall be upon written notice to the Contractor. In such
event, the Commissioner may complete the contractual requirements in any manner it deems
advisable, and DMV may avail itself of all remedies provided by law.
b. For Convenience: The Contract may be terminated by DMV for convenience, at any time,
upon thirty (30) days written notice (or other period specified) to the Contractor, without
incurring any liability for breach of contract, or liability for payment of any charges beyond
payment for conforming goods and/or services accepted by DMV up to and including the date
of termination. Contractor shall use due diligence, and shall provide any outstanding
deliverables up to the date in which such termination shall be effective.
c. For Violation of the Sections 139-j and 139-k of the State Finance Law: The
Commissioner reserves the right to terminate the Contract in the event it is found that the
certification filed by the Contractor in accordance with Section 139-k of the State Finance
Law was intentionally false or intentionally incomplete. Upon such finding, the
Commissioner may exercise its termination right by providing written notification to the
Contractor in accordance with the written notification terms of the Contract.
d. Termination without prior Notice in the Event of a Security Breach: Notwithstanding
the foregoing, DMV reserves the right to immediately terminate this Contract in the best
interests of the State, without providing prior notice of termination to Contractor, in the
event the Commissioner determines that a breach of security occurred or that a breach is
imminent. In such event, DMV shall provide Contractor with written notice of cancellation
within a reasonable time. However, termination of this Agreement will not affect
Recipient’s liability for breach of the terms hereof.
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10-10 SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT
LOBBYING
In order to facilitate transparency in the procurement process, and pursuant to NYS Procurement
Lobbying Law (State Finance Law §§139-j and 139-k), this solicitation imposes certain restrictions
on communications between DMV and an Offerer/Bidder made during the procurement process.
An Offerer/Bidder is restricted to communicating with designated DMV staff (“designated
contacts”), during the portion of the procurement process known as the “restricted period”. The
restricted period runs from DMV’s earliest notice of its intent to solicit offers, through award of
the Procurement Contract by DMV, and where applicable, the final approval of the Contract by
the NYS Office of State Comptroller. Certain statutory exceptions are provided for in State Finance
Law §139-j(3)(a).
The Designated Contacts for this solicitation are identified in Section 1-2 hereof.
When contacted during the restricted period, DMV staff members are required to document
information, about the communication. .
DMV must also make a determination of the “responsibility” of the Offerer/Bidder. Certain
findings of non-responsibility can result in rejection of the Offerer/Bidder for contract award. In
the event of two findings of non-responsibility made within a 4-year period, the Offerer/Bidder
may be debarred from obtaining governmental Procurement Contracts.
Further information about the NYS Procurement Lobbying Law can be obtained from the Office
of General Services Website, at:
http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html.
DMV’s Policy and Procedures concerning compliance with NYS Procurement Lobbying Law is
attached hereto as Appendix-C. Bidders must complete and submit Appendix-C-1 with their bid.
10-11 PART N OF CHAPTER 60 OF THE LAWES OF 2004
Every bidder must complete and submit Appendix-C-2, “Certification of Compliance or Nonapplicability to § 5-a of the NYS Tax Law”. Please note that this form requires notarization of the
signatory.
10-12 MACBRIDE FAIR EMPLOYMENT PRINCIPLES
In accordance with the New York State Finance Law, bidders must submit a completed “MacBride
Fair Employment Principles Certification” with their proposal (See, Appendix-C-3 hereof).
10-13 STATEMENT OF NON-COLLUSION
In accordance with the New York State Finance Law, bidders must submit a completed “NonCollusive Bidding Certification” with their proposal (See, Appendix-C-4).
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10-14 CONSULTANT CONFIDENTIALITY AND NON-DISCLOSURE
As a condition of performing services to DMV under the terms of the contract awarded from this
solicitation, the consultant selected must execute a non-disclosure agreement provided by DMV
prior to performing any services (See, Appendix-N hereof).
10-15 VENDOR RESPONSIBILITY
Prior to awarding a contract, DMV must evaluate information provided in the Vendor
Responsibility Questionnaire which must be completed by each bidder. Bidders are invited to file
the required Vendor Responsibility Questionnaire online, via the New York State VendRep
System. Bidders may elect to submit a completed hard-copy questionnaire, in lieu of using this
electronic format.
To enroll in and use the New York State VendRep System, bidders should refer to the VendRep
System Instructions available at www.osc.state.ny.us/vendrep, or they may access the VendRep
System online, at https://portal.osc.state.ny.us. For assistance using the VendRep System, bidders
may contact the OSC Help Desk at 866-370-4672 or 518-408-4672, or by email at
[email protected] Bidders electing to file a hard-copy questionnaire can obtain the
questionnaire form at the VendRep website (www.osc.state.ny.us/vendrep), or they may contact
DMV or the Office of the State Comptroller to obtain a copy.
DMV reserves the right to verify all information provided by the bidder to whom an award of
contract is made. DMV reserves the right to disqualify a Bidder/Contractor as “not- responsible”,
in the event that the Bidder/Contractor has intentionally provided false or incomplete information,
or has intentionally failed to disclose pertinent information. DMV reserves the right to make
continuing responsibility determinations at any time during the term of the Contract.
The Contractor shall at all times during the Contract term remain responsible. The Contractor
agrees, if requested by the Commissioner or his or her designee, to present evidence of its
continuing legal authority to do business in New York State, integrity, experience, ability, prior
performance, and organizational and financial capacity.
Suspension of Work (for Non-Responsibility): The Commissioner or his or her designee, in his
or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any
time, when he or she discovers information that calls into question the responsibility of the
Contractor. In the event of such suspension, the Contractor will be given written notice outlining
the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with
the terms of the suspension order. Contract activity may resume at such time as Commissioner or
his or her designee issues a written notice authorizing the resumption of performance under the
Contract.
Termination (for Non-Responsibility): Upon written notice to the Contractor, and a reasonable
opportunity to be heard with appropriate DMV officials or staff, the Contract may be terminated
by Commissioner or his or her designee at the Contractor’s expense where the Contractor is
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determined by Commissioner or his or her designee to be non-responsible. In such event,
Commissioner or his or her designee may complete the contractual requirements in any manner he
or she may deem advisable and pursue available legal or equitable remedies for breach.
10-16 SUBCONTRACTING
Contractor shall not use subcontractors in the performance of its obligations under the Contract,
without prior written approval by DMV.
A subcontractor is any individual or legal entity who had entered into a contract, express or
implied, for the performance of a portion of a Contract with a Contractor. The Contractor's use of
subcontractors shall not diminish Contractor's primary responsibility for performing its obligations
in accordance with the terms of the Contract. The Contractor shall be primarily responsible for
the performance of its subcontractors, including controlling, coordinating, and assuming liability
for the work of its subcontractors.
All subcontractors employed by the Contractor in the performance of its obligations hereunder
must also comply with the applicable provisions of federal and New York State laws, rules and
regulations, and must meet the same criteria as if they were the primary Contractor. The Contractor
shall provide DMV with copies of contracts with its subcontractors employed for the purpose of
this Contract. The Contractor shall notify DMV if it intends to use any subcontractor. DMV
reserves the right to disqualify subcontractors who are unfit to perform state contracts. Contractor
is responsible for informing subcontractors of all terms, conditions and requirements of the
Contract.
10-17 COMPLIANCE WITH LAWS
In performing its obligations under the Contract, the Contractor shall comply with all applicable
federal, state, and local statutes, ordinances, regulations, and rules, including, but not limited to,
NYS printing law, laws regulating the terms and conditions of employment, building and fire
codes, zoning laws, privacy, public building requirements for use by the handicapped, and
occupational safety and health rules.
10-18 INSURANCE
Contractor must, at the Contractor’s expense, maintain in full effect any policy of insurance
required hereunder for the term of the Contract and any extensions thereof. Contractor’s failure to
maintain required insurance, or failure to provide DMV with satisfactory evidence thereof at any
time during the term of the Contract or any extension thereof, shall constitute a material breach of
contract for which DMV shall have the option to terminate the Contract without incurring any
liability for breach thereof.
The Contractor must provide the Department with evidence of such continuing insurance coverage,
as follows:
1. The Department of Motor Vehicles and the State of New York must be named as additional
insureds on policies providing General Liability coverage.
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2. All policies of insurance required hereunder must be issued by an insurance carrier licensed to
do business in New York State.
3. Contractor must provide DMV with copies of certificates of insurance as evidence of
insurance. However, DMV reserves the right and sole discretion to require further proof of
insurance at any time during the term of the contract. In such event, Contractor must cooperate
with such request and must promptly provide DMV with such other proof of insurance within
five (5) business days from Contractor’s receipt of DMV’s request.
In contemplation of such request, Contractor hereby authorizes the insurance carrier
named in the certificate of insurance issued hereunder to issue a copy of the Policy, or
such other proof as DMV may require, directly to DMV upon request.
4. Contractor must provide such evidence of insurance upon notice and acceptance of the award
of the Contract. Contractor is responsible for providing continuing proof of such insurance
coverage, within ten (10) business days from the renewal of each policy.
5. In the event of any change, lapse, or termination of coverage, including change of insurance
carrier, during the term of the Contract, Contractor must provide DMV with proof of coverage
acceptable to DMV within five (5) business days from the effective date of any such change.
6. Contractor must ensure that insurance carriers issuing policies of insurance required hereunder
directly notify DMV of any change, lapse, or termination of coverage.
7. Proof of insurance coverage must be provided to DMV at:
NYS Department of Motor Vehicles
Attn: Maureen Younkin, Director, Procurement Services
6 Empire State Plaza
Swan Street Bldg., Room 528B
Albany, New York 12228
8. Contractor must provide the following insurance coverage:
Bodily Injury and Property Damage Insurance:
Policies of Bodily Injury Liability and Property Damage Liability Insurance, of the types
specified herein each with limits of liability of not less than $500,000 for all damages arising
out of bodily injury, including death at any time resulting therefrom, sustained by one person
in any one accident, and, subject to that limit for each person, not less than $1,000,000 for all
damages arising out of bodily injury, including death at any time resulting therefrom, sustained
by two or more persons in any one accident, and not less than $1,000,000 for all damages arising
out of injury to or destruction of property in any one accident.
10-19 PRESS RELEASES
Contractor agrees that no brochure, news/media/press release, public announcement,
memorandum or other information of any kind regarding this contract shall be disseminated in any
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way to the public, nor shall any presentation be given regarding this contract without the prior
written approval by the Commissioner, which written approval shall be granted only in the sole
discretion of the Commissioner. However Contractor may make such disclosures as are required
by applicable law, or, in connection with its financial activities, to financial institutions for any
private or public offering.
10-20 CURE & COVER
In the event that that the Contractor’s performance fails to conform to the terms of the Contract,
the Department will provide Contractor with reasonable notice of such non-conformance, and will
permit Contractor to cure such defective performance within the time prescribed in the Contract,
or within any extension of such time which is expressly granted by DMV in its sole discretion. If
Contractor fails to timely cure its defective performance, then the Department shall have the option
to terminate the contract for Contractor’s breach; and DMV reserves the right to thereafter obtain
substitute performance (cover) from another vendor. In such event, Contractor shall reimburse the
Department for any additional costs incurred to obtain substitute performance from another
provider.
The Department reserves the right to collect such costs by adjusting invoices, and by any other
means available by law.
10-21 STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS
Contractor must comply with all provisions of Appendix-A hereof (“Standard Clauses for New
York State Contracts”). The terms of Appendix-A are non-negotiable and will not be amended
under any circumstances. Any attempt to modify the terms thereof may result in the Bidder’s
disqualification for an award of the Contract.
10-22 POLICY STATEMENT ON MINORITY AND WOMEN-OWNED BUSINESS
DEVELOPMENT
It is the policy of the State of New York to promote equality of economic opportunity for minority
and women-owned business enterprises (M/WBEs) in State contracting. In order to comply with
the State’s objectives, the Contractor must use “good faith efforts” to provide meaningful
participation by M/WBE subcontractors or suppliers in the performance of this contract.
Contractor must comply with the provisions of Appendix-O hereof, entitled “Contractor
Requirements and Procedures for Business Participation Opportunities for New York State
Certified Minority- and Women-Owned Business Enterprises, and Equal Employment
Opportunities for Minority Group Members and Women”.
Contractor must execute and submit MWBE Form-1 (attached hereto), as its EEO policy
statement, within seventy-two (72) hours after DMV issues written notice of award of the Contract
to the Contractor.
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10-23 IRAN DIVESTMENT ACT
As a result of the Iran Divestment Act of 2012 (Act), Chapter 1 of the 2012 Laws of New York, a
new provision has been added to the State Finance Law (SFL), § 165-a, effective April 12, 2012.
Under the Act, the Commissioner of the Office of General Services (OGS) will be developing a
list (prohibited entities list) of “persons” who are engaged in “investment activities in Iran” (both
are defined terms in the law). Pursuant to SFL § 165-a(3)(b), the initial list is expected to be issued
no later than 120 days after the Act’s effective date, at which time it will be posted on the OGS
website.
By submitting a bid in response to this solicitation or by assuming the responsibility of a Contract
awarded hereunder, Bidder/Contractor (or any assignee) certifies that once the prohibited entities
list is posted on the OGS website, it will not utilize on such Contract any subcontractor that is
identified on the prohibited entities list.
Additionally, Bidder/Contractor is advised that once the list is posted on the OGS website, any
Contractor seeking to renew or extend a Contract or assume the responsibility of a Contract
awarded in response to the solicitation, must certify at the time the Contract is renewed, extended
or assigned that it is not included on the prohibited entities list.
During the term of the Contract, should DMV receive information that a person is in violation of
the above-referenced certification, DMV will offer the person an opportunity to respond. If the
person fails to demonstrate that it has ceased its engagement in the investment which is in violation
of the Act within 90 days after the determination of such violation, then DMV shall take such
action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance,
recovering damages, or declaring the Contractor in default.
DMV reserves the right to reject any bid or request for assignment for an entity that appears on the
prohibited entities list prior to the award of a contract, and to pursue a responsibility review with
respect to any entity that is awarded a contract and appears on the prohibited entities list after
contract award.
10-24 CONTRACTOR CERTIFICATION
Contractors are required to complete and sign, under penalty of perjury, the “Contractor
Certification Form”, ST-220-TD (Appendix-L), in accordance with § 5-a of the NYS Tax Law.
Contractors must also submit a copy of the Certificate of Authority, if available, for itself, any
affiliates, any subcontractors and any affiliates of subcontractors required to register to collect state
sales and compensating use tax.
Pursuant to Tax Law Section 5-a, Contractors are required to complete and sign, under penalty of
perjury, the Contractor Certification Form ST-220-CA (Appendix-K) at time of contract execution.
Tax Law Section 5-a applies to all Agreements valued in excess of $100,000 for the sale of goods
or services as defined in Article XI of the State Finance Law, and/or tangible personal property or
taxable services as defined by the Tax Law.
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The Department of Motor Vehicles is not authorized to address questions regarding the Tax Law
or its interpretation. Any questions regarding the Law must be directed to the New York State
Department of Taxation and Finance.
A COMPLETED ST-220-CA MUST ACCOMPANY THE CONTRACT. IF REQUIRED,
THE CONTRACTOR IS RESPONSIBLE FOR FILING THE ST-220-TD WITH THE NYS
DEPARTMENT OF TAXATION & FINANCE.
10-25 DATA SECURITY
Contractor must fully comply with all applicable provisions of Appendix-M, “New York State
Department of Motor Vehicles Standard Security Clauses for Sharing Data with External Entities”.
10-26 USE OF DMV LOGOS
The Contractor will not use the DMV logos, or any official mark of NYS without prior approval
by DMV; and DMV reserves the right and sole discretion to withhold its approval. In the event
DMV does approve such use, then any use of the logos or official marks must strictly comply with
the terms and conditions of use mandated by DMV.
10-27 JURISDICTION
All controversies concerning this Contract must be resolved by a court of competent jurisdiction
in New York State.
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APPENDIX-A: STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS
APPENDIX A
STANDARD CLAUSES FOR NEW YORK STATE
CONTRACTS
PLEASE RETAIN THIS DOCUMENT FOR FUTURE REFERENCE.
January 2014
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TABLE OF CONTENTS
1.
Executory Clause
2.
Non-Assignment Clause
3.
Comptroller’s Approval
4.
Workers’ Compensation Benefits
5.
Non-Discrimination Requirements
6.
Wage and Hours Provisions
7.
Non-Collusive Bidding Certification
8.
International Boycott Prohibition
9.
Set-Off Rights
10.
Records
11.
Identifying Information and Privacy Notification
12.
Equal Employment Opportunities for Minorities and Women
13.
Conflicting Terms
14.
Governing Law
15.
Late Payment
16.
No Arbitration
17.
Service of Process
18.
Prohibition on Purchase of Tropical Hardwoods
19.
MacBride Fair Employment Principles
20.
Omnibus Procurement Act of 1992
21.
Reciprocity and Sanctions Provisions
22.
Compliance with New York State Information Security Breach and Notification Act
23.
Compliance with Consultant Disclosure Law
24.
Procurement Lobbying
25.
Certification of Registration to Collect Sales and Compensating Use Tax by Certain
State Contractors, Affiliates and Subcontractors
26.
Iran Divestment Act
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STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment or other agreement of any kind
(hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are
hereby made a part of the contract (the word "Contractor" herein refers to any party other than the State,
whether a contractor, licenser, licensee, lessor, lessee or any other party):
1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall
have no liability under this contract to the Contractor or to anyone else beyond funds appropriated and
available for this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this
contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred,
conveyed, sublet or otherwise disposed of without the State’s previous written consent, and attempts to do
so are null and void. Notwithstanding the foregoing, such prior written consent of an assignment of a
contract let pursuant to Article XI of the State Finance Law may be waived at the discretion of the
contracting agency and with the concurrence of the State Comptroller where the original contract was
subject to the State Comptroller’s approval, where the assignment is due to a reorganization, merger or
consolidation of the Contractor’s business entity or enterprise. The State retains its right to approve an
assignment and to require that any Contractor demonstrate its responsibility to do business with the State.
The Contractor may, however, assign its right to receive payments without the State’s prior written
consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State
Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if
this contract is with the State University or City University of New York, Section 355 or Section 6218 of
the Education Law), if this contract exceeds $50,000 (or the minimum thresholds agreed to by the Office
of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any
amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the
State agrees to give something other than money when the value or reasonably estimated value
of such consideration exceeds
$10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State
Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General
Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6-a).
However, such pre-approval shall not be required for any contract established as a centralized
contract through the Office of General Services or for a purchase order or other transaction issued under
such centralized contract.
4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance
Law, this contract shall be void and of no force and effect unless the Contractor shall provide and
maintain coverage during the life of this contract for the benefit of such employees as are required to be
covered by the provisions of the Workers' Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the
Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and
constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or
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applicant for employment because of race, creed, color, sex (including gender identity or expression),
national origin, sexual orientation, military status, age, disability, predisposing genetic characteristics,
marital status or domestic violence victim status. Furthermore, in accordance with Section 220-e of the
Labor Law, if this is a contract for the construction, alteration or repair of any public building or public
work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that
this contract shall be performed within the State of New York, Contractor agrees that neither it nor its
subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in
hiring against any New York State citizen who is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the performance of work under this contract. If
this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with
Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed,
color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen
who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee
hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person
per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract
and forfeiture of all moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the
Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subcontractors may be required or permitted to work more than the number of hours
or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in
prevailing wage and supplement schedules issued by the State Labor Department. Furthermore,
Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the
prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor
Department in accordance with the Labor Law. Additionally, effective April 28, 2008, if this is a public
work contract covered by Article 8 of the Labor Law, the Contractor understands and agrees that the
filing of payrolls in a manner consistent with Subdivision 3-a of Section 220 of the Labor Law shall be a
condition precedent to payment by the State of any State approved sums due and owing for work done
upon the project.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State
Finance Law, if this contract was awarded based upon the submission of bids, Contractor affirms, under
penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting
competition. Contractor further affirms that, at the time Contractor submitted its bid, an
authorized and responsible person executed and delivered to the State a non- collusive bidding
certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor
Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the Contractor
agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or
affiliated person, firm, partnership or corporation has participated, is participating, or shall participate
in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App.
Sections 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of
Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final
determination of the United States Commerce Department or any other appropriate agency of the United
States subsequent to the contract's execution, such contract, amendment or modification thereto shall be
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rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business
days of such conviction, determination or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of
set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of
set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the
State with regard to this contract, any other contract with any State department or agency, including any
contract for a term commencing prior to the term of this contract, plus any amounts due and owing to
the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or
monetary penalties relative thereto. The State shall exercise its set-off rights in accordance with normal
State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State
agency, its representatives, or the State Comptroller.
10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records,
documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter,
collectively, "the Records"). The Records must be kept for the balance of the calendar year in which
they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General
and any other person or entity authorized to conduct an examination, as well as the agency or agencies
involved in this contract, shall have access to the Records during normal business hours at an office of the
Contractor within the State of New York or, if no such office is available, at a mutually agreeable and
reasonable venue within the State, for the term specified above for the purposes of inspection, auditing
and copying. The State shall take reasonable steps to protect from public disclosure any of the Records
which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided
that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records
should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said
records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any
way adversely affect, the State's right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION.
(a) Identification
Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency
by a payee, for payment for the sale of goods or services or for transactions (e.g., leases, easements,
licenses, etc.) related to real or personal property must include the payee's identification number. The
number is any or all of the following: (i) the payee’s Federal employer identification number, (ii) the
payee’s Federal social security number, and/or (iii) the payee’s Vendor Identification Number assigned by
the Statewide Financial System. Failure to include such number or numbers may delay payment. Where
the payee does not have such number or numbers, the payee, on its invoice or Claim for Payment, must
give the reason or reasons why the payee does not have such number or numbers. (b) Privacy
Notification. (1) The authority to request the above personal information from a seller of goods or
services or a lessor of real or personal property, and the authority to maintain such information, is found
in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is
mandatory. The principal purpose for which the information is collected is to enable the State to identify
individuals, businesses and others who have been delinquent in filing tax returns or may have
understated their tax liabilities and to generally identify persons affected by the taxes administered by
the Commissioner of Taxation and Finance. The information will be used for tax administration purposes
and for any other purpose authorized by law. (2) The personal information is requested by the purchasing
unit of the agency contracting to purchase the goods or services or lease the real or personal property
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covered by this contract or lease. The information is maintained in the Statewide Financial System by the
Vendor Management Unit within the Bureau of State Expenditures, Office of the State Comptroller, 110
State Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In
accordance with Section 312 of the Executive Law and 5 NYCRR 143, if this contract is: (i) a written
agreement or purchase order instrument, providing for a total expenditure in excess of $25,000.00
whereby a contracting agency is committed to expend or does expend funds in return for labor,
services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or
rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00
whereby a contracting agency is committed to expend or does expend funds for the acquisition,
construction, demolition, replacement, major repair or renovation of real property and improvements
thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted
housing project is committed to expend or does expend funds for the acquisition, construction,
demolition, replacement, major repair or renovation of real property and improvements thereon for
such project, then the following shall apply and by signing this agreement the Contractor certifies and
affirms that it is Contractor’s equal employment opportunity policy that:
(a) The Contractor will not discriminate against employees or applicants for employment because of race,
creed, color, national origin, sex, age, disability or marital status, shall make and document its
conscientious and active efforts to employ and utilize minority group members and women in its work
force on State contracts and will undertake or continue existing programs of affirmative action to ensure
that minority group members and women are afforded equal employment opportunities without
discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;
(b) at the request of the contracting agency, the Contractor shall request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor union
or representative will not discriminate on the basis of race, creed, color, national origin, sex, age,
disability or marital status and that such union or representative will affirmatively cooperate in the
implementation of the Contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the
performance of the State contract, all qualified applicants will be afforded equal employment
opportunities without discrimination because of race, creed, color, national origin, sex, age, disability
or marital status.
Contractor will include the provisions of "a", "b", and "c" above, in every subcontract over $25,000.00 for
the construction, demolition, replacement, major repair, renovation, planning or design of real property
and improvements thereon (the "Work") except where the Work is for the beneficial use of the
Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii)
employment outside New York State. The State shall consider compliance by a contractor or
subcontractor with the requirements of any federal law concerning equal employment opportunity which
effectuates the purpose of this section. The contracting agency shall determine whether the imposition of
the requirements of the provisions hereof duplicate or conflict with any such federal law and if such
duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the
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extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful
rules and regulations of the Department of Economic Development’s Division of Minority and Women's
Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including
any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of
this Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except
where the Federal supremacy clause requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late
payment shall be governed by Article 11-A of the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach
thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must,
instead, be heard in a court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice
Law & Rules ("CPLR"), Contractor hereby consents to service of process upon it by registered or
certified mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual
receipt of process or upon the State's receipt of the return thereof by the United States Postal Service as
refused or undeliverable. Contractor must promptly notify the State, in writing, of each and every change
of address to which service of process can be made. Service by the State to the last known address shall
be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which
to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and
warrants that all wood products to be used under this contract award will be in accordance with, but not
limited to, the specifications and provisions of Section 165 of the State Finance Law, (Use of Tropical
Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the
State or any governmental agency or political subdivision or public benefit corporation. Qualification for
an exemption under this law will be the responsibility of the contractor to establish to meet with the
approval of the State
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
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Employment Principles (as described in Section 165 of the New York State Finance Law), and shall
permit independent monitoring of compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize
opportunities for the participation of New York State business enterprises, including minority and
women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.
Information on the availability of New York State subcontractors and suppliers is available from:
NYS Department of Economic Development
Division for Small Business
Albany, New York 12245
Telephone: 518-292-5100
Fax: 518-292-5884 email: [email protected]
A directory of certified minority and women-owned business enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business Development
633 Third Avenue
New York, NY 10017
212-803-2414
email: [email protected]
https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp
The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as
applicable, Contractors certify that whenever the total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to encourage the participation of New York State
Business Enterprises as suppliers and subcontractors, including certified minority and women-owned
business enterprises, on this project, and has retained the documentation of these efforts to be provided
upon request to the State;
(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as
amended;
(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents
of employment opportunities on this project through listing any such positions with the Job Service
Division of the New York State Department of Labor, or providing such notification in such manner as is
consistent with existing collective bargaining contracts or agreements. The Contractor agrees to
document these efforts and to provide said documentation to the State upon request; and
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(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign
countries as a result of this contract and agrees to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their
principal place of business is located in a country, nation, province, state or political subdivision that
penalizes New York State vendors, and if the goods or services they offer will be substantially produced
or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments
(Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would
otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this
provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii.
Contact NYS Department of Economic Development for a current list of jurisdictions subject to this
provision.
22. COMPLIANCE WITH NEW YORK STATE INFORMATION SECURITY BREACH AND
NOTIFICATION ACT. Contractor shall comply with the provisions of the New York State
Information Security Breach and Notification Act (General Business Law Section 899-aa; State
Technology Law Section 208).
23. COMPLIANCE WITH CONSULTANT DISCLOSURE LAW. If this is a contract for
consulting services, defined for purposes of this requirement to include analysis, evaluation, research,
training, data processing, computer programming, engineering, environmental, health, and mental health
services, accounting, auditing, paralegal, legal or similar services, then, in accordance with Section 163
(4-g) of the State Finance Law (as amended by Chapter 10 of the Laws of 2006), the Contractor shall
timely, accurately and properly comply with the requirement to submit an annual employment report for
the contract to the agency that awarded the contract, the Department of Civil Service and the State
Comptroller.
24. PROCUREMENT LOBBYING. To the extent this agreement is a "procurement contract" as defined
by
State Finance Law Sections 139-j and 139-k, by signing this agreement the contractor certifies and
affirms that all disclosures made in accordance with State Finance Law Sections 139-j and 139-k are
complete, true and accurate. In the event such certification is found to be intentionally false or
intentionally incomplete, the State may terminate the agreement by providing written notification
to the Contractor in accordance with the terms of the agreement.
25. CERTIFICATION OF REGISTRATION TO COLLECT SALES AND COMPENSATING
USE TAX BY CERTAIN STATE CONTRACTORS, AFFILIATES AND SUBCONTRACTORS.
To the extent this agreement is a contract as defined by Tax Law Section 5-a, if the contractor fails
to make the certification required by Tax Law Section 5-a or if during the term of the contract, the
Department of Taxation and Finance or the covered agency, as defined by Tax Law 5-a, discovers that the
certification, made under penalty of perjury, is false, then such failure to file or false certification shall be
a material breach of this contract and this contract may be terminated, by providing written notification to
the Contractor in accordance with the terms of the agreement, if the covered agency determines that such
action is in the best interest of the State.
26. IRAN DIVESTMENT ACT. By entering into this Agreement, Contractor certifies in accordance
with State Finance Law §165-a that it is not on the “Entities Determined to be Non-Responsive
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Bidders/Offerers pursuant to the New York State Iran Divestment Act of 2012” (“Prohibited Entities
List”) posted at:
http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf
Contractor further certifies that it will not utilize on this Contract any subcontractor that is identified on
the Prohibited Entities List. Contractor agrees that should it seek to renew or extend this Contract, it must
provide the same certification at the time the Contract is renewed or extended. Contractor also agrees that
any proposed Assignee of this Contract will be required to certify that it is not on the Prohibited Entities
List before the contract assignment will be approved by the State.
During the term of the Contract, should the state agency receive information that a person (as defined in
State Finance Law §165-a) is in violation of the above-referenced certifications, the state agency will
review such information and offer the person an opportunity to respond. If the person fails to demonstrate
that it has ceased its engagement in the investment activity which is in violation of the Act within 90 days
after the determination of such violation, then the state agency shall take such action as may be
appropriate and provided for by law, rule, or contract, including, but not limited to, imposing
sanctions, seeking compliance, recovering damages, or declaring the Contractor in default.
The state agency reserves the right to reject any bid, request for assignment, renewal or extension for an
entity that appears on the Prohibited Entities List prior to the award, assignment, renewal or extension of
a contract, and to pursue a responsibility review with respect to any entity that is awarded a contract and
appears on the Prohibited Entities list after contract award.
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APPENDIX-B: COST PROPOSAL
New York State Department of Motor Vehicles Cost Proposal Form
For Automated Knowledge Testing System
NOTE: Cost per unit must include but is not limited to all costs associated with, development,
delivery, licensing, deployment and installation, ongoing maintenance, use of the System for 5
years, and training of all system software and hardware including examiner and administrative
functionality.
COST PROPOSAL
Test Stations
Deployed
Cost Per
Station
1-200
$
201-above
$
Hourly Programming Rate
Hourly
$
Remote Testing Functionality
Monthly
$
Testing System
Test
Additional Services
Federal ID Number
Company/Bidder
(
Name (please print)
Official Title
/
Signature
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
)
Phone Number
/
Date
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APPENDIX-C: DMV’S POLICY AND PROCEDURES CONCERNING COMPLIANCE
WITH “PROCUREMENT LOBBYING LAW” (STATE FINANCE LAW §§139-J AND
139-K)
(Revised March 2012)
I. Policy:1
It is the policy of DMV to comply with the provisions of State Finance Law §§139-j and 139-k, and related
guidance offered by the Advisory Council on Procurement Lobbying and the Office of the State Comptroller.2
II. Procedure:3
The procedure set forth hereafter applies to “Governmental Procurements” let by DMV.
III. Definitions:
Capitalized terms used but not defined herein shall have the meaning ascribed to them in State Finance Law
§§139-j and 139-k (See, attached).
For the purpose of this procurement, the terms “Contact” and “Designated Contact” are ascribed the
following meanings:
“Contact” as used herein is defined as (1) any oral, written or electronic communication that is (2) made by
the Bidder, or a person acting on behalf of the Bidder, (3) to an employee of DMV or of a Governmental
Agency other than the DMV, (4) concerning the related Governmental Procurement, (5) where such
communication is made during the “Restricted Period”; and (6) where a reasonable person would infer that
such communication was made by the bidder with the intention of improperly influencing the related
Governmental Procurement [e.g., any violation of Public Officers Law §73(5) (offer of a gift of $75 or more),
or §74 (code of ethics for public officers and employees)].
The term “Contact” does not include permissible communications such as (1) submission of a written
proposal4, (2) submission of written questions5, (3) participation in a bidders’ conference6, (4) complaints7,
(5) contract negotiations subsequent to notice of a tentative award of contract8, (6) review of contract award9,
and (7) protests, appeals or other review proceedings10; (8) a communication described in Legislative Law
§1-t(e) which is (a) made by a bidder or subcontractor to a bidder qualified by education, training or
experience to provide technical services to explain, clarify or demonstrate the qualities, characteristics or
advantages of an article of procurement, who (b) provides information to a Designated Contact to assist the
Designated Contact in understanding and assessing the qualities, characteristics or anticipated performance
1
139-j (2)
139-j (5)
3
139-j (1); 139-k (1)
4
139-j (3)(a)(1)
5
139-j (3)(a)(2)
6
139-j (3)(a)(3)
7
139-j (3)(a)(4)
8
139-j (3)(a)(5)
9
139-j (3)(a)(6)
10
139-j (3)(a)(7)
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of such article of procurement and (c) who does not recommend or advocate contract provisions11; or a
communication by which the bidder seeks generally available information, including clarification and
interpretation, with respect to the solicitation documents or the Governmental Procurement process, including
the status or timing of steps in the process12.
“Designated Contact” as used herein is defined as one or more employees of DMV identified in the
solicitation for the related Governmental Procurement, or thereafter designated by the DMV’s Contract
Manager13.
IV. Solicitations:
DMV will include the following in every written solicitation for a Procurement Contract14:
(1) The name of each Designated Contact person, and a statement which substantially complies with in the
following form: “Prior to approval by DMV, or, if applicable, the Office of the State Comptroller, of the
contract for which this solicitation has been issued, bidders must direct all communications concerning this
solicitation to the person(s) identified as “Designated Contact(s)”15;
(2) A summary of DMV’s policy and procedures regarding “contacts”;
(3) A form (See, Appendix-C-1, attached) to be submitted by bidders, upon which each bidder affirms in
writing (a) its understanding of DMV’s procurement lobbying policy and procedures; and (b) that it will
comply with such policy and procedures; and (c) discloses whether it has been determined to be “nonresponsible” within the previous four (4) years for violating State Finance Law §139-j16, or for having
intentionally provided false or incomplete information17 to a Governmental Entity concerning its compliance
with State Finance Law §139-j; and (d) certifies that the bidder has provided accurate and complete
information concerning the bidder’s compliance with State Finance Law §§139-j and 139-k within the
previous four years18.
V. Contracts:
Each Procurement Contract will contain the following statement, substantially in the following form: “DMV
reserves the right to terminate this contract in the event that it is determined that the certification filed by the
Contractor in accordance with State Finance Law §§139-j and 139-k was intentionally false or intentionally
incomplete19. Upon such determination, DMV may terminate this Contract by providing written notification
to the Contractor, without incurring liability on the part of DMV or the State for breach of contract.” 20
VI. Records of Contacts:21
In the event that DMV employees who are not Designated Contacts are contacted by bidders, or persons
acting on the Bidder’s behalf, during the restricted period, the employee will make a record of such Contact
11
139-j (1), (3); 139-k (1)
139-j (3)
13
139-j (1), (2); 139-k (1)
14
139-j (2); 139-k (2)
15
139-j (6)
16
139-k (2)
17
Id.
18
Id.
19
139-j (10(b); 139-k (5)
20
Id.
21
139-j (8), (10)(b); 139-k (4)
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and will provide such record to the DMV’s Contract Administrator. DMV employees who become aware of
impermissible contacts made to another Governmental Entity concerning this procurement will also make
and provide records of any such contacts to Contract Administration. The DMV employee may make one (1)
record covering multiple Contacts that are made by the same person within a period of five (5) business days.
DMV will make all records of Contacts part of the procurement record22. Contracts Administration will
promptly provide records of impermissible Contacts to DMV’s Office of the Deputy Commissioner and
Counsel for review.
VII. Review and Investigation:23
Upon receipt of a record of an impermissible Contact, the Deputy Commissioner and Counsel or her or his
designee (“Reviewer”) will review and investigate, within fifteen (15) days from receipt of such
information24. The Reviewer will notify the Bidder that an investigation is ongoing; give notice of the
allegations of misconduct; and give the Bidder an opportunity to respond in writing, within ten (10) days
from receipt of notification of the alleged violation25. The Bidder will not be entitled to representation by
counsel. The Reviewer will determine whether the Bidder has willfully and knowingly made an
impermissible Contact. The Reviewer will advise the Bidder and the Contracts Manager, or employee
authorized for such purpose, of the final determination made26. In the event the Reviewer determines that
the Bidder has made an impermissible Contact with a Governmental Entity other than DMV, the Reviewer
will so notify the ethics officer27, inspector general or other appropriate official of such other Governmental
Entity28. In the event the Reviewer determines that, as the result of an impermissible Contact, an employee
of DMV has violated the provisions of Public Officers Law §73(5) [prohibition of acceptance of a gift of $75
or more] or §74 [code of ethics], the Reviewer will so advise the Commissioner of Motor Vehicles, the State
Ethics Commission and the Office of the Inspector General29.
VIII. Determinations of Non-Responsibility:30
The Reviewer, or employee authorized for such purpose, will determine whether a bidder has been
determined to be “non-responsible” because (1) the Bidder has willfully and knowingly made an
impermissible Contact31, or (2) the Bidder has intentionally failed to make accurate and complete disclosure
of prior findings of non-responsibility with respect to Governmental Procurements made within the previous
four (4) years32. Upon making a determination of non-responsibility, the Contracts Manager, or employee
authorized for such purpose, will so notify the Bidder and the Commissioner of Motor Vehicles33. A finding
of non-responsibility under this section shall result in DMV not awarding the contract to such bidder, unless
DMV determines that (1) the award of the contract is necessary to protect public property or public health or
safety, and (2) the bidder is the only source capable of supplying the required article of procurement within
the required time frame.
22
Id.
139-j (9)
24
Id.
25
139-j (10)(a)
26
139-j (10)(a)
27
139-j (8)(a), (c)
28
139-j (8)( c), (10(b)
29
Legislative Law: POL §73(5); §74 (Code of Ethics)
30
139-j (7)
31
139-j (10)(b)
32
139-j (10)(b); 139-k (5)
33
139-j (10)(a)
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APPENDIX-C-1: AFFIRMATION AND DISCLOSURES CONCERNING STATE
FINANCE LAW §§139-J AND 139-K
Procurement Description/ID No. C000812
Name of Bidder:
Address:
Name and Title of Person Submitting this Form: ___________________________
A.
Bidder affirms that it has received, reviewed and understands the Policy and Procedure of the Department of
Motor Vehicles (DMV), relating to State Finance Law §§139-j and 139-k, and agrees to comply with DMV’s procedure
relating to Contacts with respect to this procurement.
B.
Disclosures:
1.
Has a Governmental Entity, as defined in State Finance Law §139-j(1)(a), made a determination of nonresponsibility with respect to the Bidder within the previous four years where such finding was due to a violation of State
Finance Law §139-j or the intentional provision of false or incomplete information with respect to previous
determinations of non-responsibility?
No ___
Yes______
If yes, provide the following details:
Governmental Entity which made the finding:
Date of finding:
Basis of finding:
2.
Has a Governmental Entity terminated or withheld a procurement contract with the Bidder because of violations
of State Finance Law §139-j or the intentional provision of false or incomplete information with respect to previous
determinations of non-responsibility?
No ___
Yes______
If yes, identify the Governmental Entity, the date of termination or withholding, and related
procurement contract:
By: _______________________________
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APPENDIX-C-2: COMPLIANCE OR NON-APPLICABILITY TO § 5-A OF THE NYS
TAX LAW
[___]
Neither the bidding entity, nor any of its affiliates (nor any subcontractors’ affiliates) make sales
delivered by any means to locations within the state of tangible personal property or taxable
services having a value of more than $300,000.00.
-OR[___]
The bidding entity and any and all of its affiliates, subcontractors and subcontractors’ affiliates
hold, to the best of the bidder’s knowledge, a valid Certificate of Authority issued by the NYS
Department of Taxation and Finance.
-AND[___]
If awarded a contract arising out of this IFB, the bidder shall provide three (3) copies of the
Certificate of Authority held by it, its affiliates, its subcontractors’ and its subcontractors’ affiliates
performing services under the contract with the Department of Motor Vehicles at the time of
contract signature.
_____________________________
(Please Print Company Name)
By,
_______________________________________________
(Signature of Authorized Representative)
_______________________________________________
(Please Print Name of Authorized Representative)
______________________________
(Title)
NOTARY ACKNOWLEDGEMENT:
On the ___________day of _______________, 2014, before me personally came
_________________________________________, to me known, who being duly sworn, deposed and said
that (s)he resides in ________________, _______________________; that s/he is a duly authorized
representative of the bidding entity; that s/he did sign the foregoing instrument on behalf of, and with
authority to bind said entity.
_________________________
NOTARY
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APPENDIX-C-3: NON-DISCRIMINATION IN EMPLOYMENT IN NORTHERN
IRELAND “MACBRIDE FAIR EMPLOYMENT PRINCIPLES”
In accordance with section 165 of the State Finance Law, the bidder, by submission of this bid
certifies that it or any individual or legal entity in which the bidder holds a 10% or greater
ownership interest, or any individual or legal entity that holds a 10% or greater ownership in the
bidder, either: (answer yes or no to one or both of the following, as applicable),
(1) has business operations in Northern Ireland;
Yes ____ or, No ____ if yes;
(2) shall take lawful steps in good faith to conduct any business operations that it has in
Northern Ireland in accordance with the MacBride Fair Employment Principles relating to
nondiscrimination in employment and freedom of workplace opportunity regarding such
operations in Northern Ireland, and shall permit independent monitoring of their
compliance with such Principles.
Yes ____ or, No ____
Firm Name ___________________________________________
Signed_______________________________________________
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APPENDIX-C-4: 139.D STATEMENT OF NON-COLLUSION IN BIDS TO THE STATE
State of New York – Department of Motor Vehicles
139-d. STATEMENT OF NON-COLLUSION IN BIDS TO THE STATE
Every bid hereafter made to the state or any public department, agency or official thereof, where competitive
bidding is required by statute, rule or regulation, for work or services performed or to be performed or
goods sold or to be sold, shall contain the following statement subscribed by the bidder and affirmed by
such bidder as true under the penalties of perjury: Non-collusive bidding certification.
By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the
case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to
the best of his knowledge and belief: 1) The prices in this bid have been arrived at independently without
collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any
matter relating to such prices with any other bidder or with any competitor; 2) Unless otherwise required
by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and
will not knowingly be disclosed by the bidder prior to opening, directly or indirectly, to any other bidder or
to any competitor; and 3) No attempt has been made or will be made by the bidder to induce any other
person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition.
A bid shall not be considered for award not shall any award be made where (a) 1), 2), and 3) above have
not been complied with; provided however, that if in any case the bidder cannot make the foregoing
certification, the bidder shall so state and shall furnish with the bid a signed statement which sets forth in
detail the reasons therefore. Where (a) 1), 2), and 3) above have not been complied with, the bid shall not
be considered for award nor shall any award be made unless the head of the purchasing unit of the state,
public department or agency to which the bid is made, or his designee, determines that such disclosure was
not made for the purpose of restricting competition.
The fact that a bidder (a) has published price lists, rates, or tariffs covering items being procured, (b) has
informed prospective customer of proposed or pending publication of new or revised price lists for such
items, or (c) has sold the same items to other customer at the same prices being bid, does not constitute,
without more, a disclosure within the meaning of subparagraph (a).
Any bid hereafter made to the state or any public department, agency or official thereof by a corporate
bidder for work or services performed or to be performed or goods sold or to be sold, where competitive
bidding is required by statute, rule or regulation, and where such bid contains the certification referred to
in subdivision one of this section, shall be deemed to have been authorized by the board of directors of the
bidder, and such authorization shall be deemed to include the signing and submission of the bid and the
inclusion therein of the certificate as to non-collusion as the act and deed of the corporation.
Firm Name:
_________________________________________
By,
_________________________________________
Title:
_________________________________________
Date:
_________________________________________
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APPENDIX-D: BUSINESS EXPERIENCE AND REFERENCE FORMS
NYS Department of Motor Vehicles Business Experience and Reference
Instructions
DMV requires substantial experience and expertise, and bidders must demonstrate that experience through
verifiable references. The experience must be current, and must be for projects comparable, in scale and
scope, to the minimum requirements. Five projects must be described. If a subcontractor’s past
performances are used to meet a minimum requirement, it should be clear which company or individual
performed the work and at what company/entity the work was performed. This must be clearly indicated
on the project forms.
Detailed description of work performed for each of the 5 projects including:
Whether experience was for individual or company (clearly identify under “Name of Bidder”)
Number of staff involved (ongoing and peak levels)
Project Manager
Work accomplished
Performance standards used to measure contractor performance
Technical environment
All services provided
Attach additional pages as needed.
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NYS Department of Motor Vehicles Business Experience and Reference
Name of Bidder
Name of Business Entity That Received
Services
Address
Name of Contact Person
Phone Number of Contact Person
Fax Number of Contact Person
Email Address of Contact Person
Name of Project
Dates of Engagement
Brief Overview of Project:
Detailed Description of Work Performed (Clearly identify what work was performed by subcontractors):
(Attach additional pages as needed.)
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APPENDIX-E: HARDWARE & SOFTWARE TECHNICAL SUMMARY
HARDWARE & SOFTWARE TECHNICAL SUMMARY
Instructions: Bidders must indicate the hardware and system software that will be deployed as part of the
proposed solution. Use additional sheets as needed.
Section
or
Appendix
Hardware & Software Specified/Detailed
described in:
# Required
Software:
Version:
Purpose:
Hardware:
Processor:
Processing Speed:
Memory:
Storage Capacity:
Operating Software:
Other Features:
Software:
Version:
Purpose:
Hardware:
Processor:
Processing Speed:
Memory:
Storage Capacity:
Operating Software:
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Section
or
Appendix
Hardware & Software Specified/Detailed
described in:
# Required
Other Features:
Software:
Version:
Purpose:
Hardware:
Processor:
Processing Speed:
Memory:
Storage Capacity:
Operating Software:
Other Features:
Software:
Version:
Purpose:
Hardware:
Processor:
Processing Speed:
Memory:
Storage Capacity:
Operating Software:
Other Features:
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APPENDIX- F: DMV KNOWLEDGE TEST WORKFLOW
Illustration of the work steps leading up to, and after the DMV Knowledge test.
MVR checks
customer’s ID
MVR makes sure
the customer has
his Med Cert (if
needed).
Print a test
results
‘receipt’ at the
MVR station (Class D, M
and Hazmat
reciprocity)
MVR takes
customer’s photo.
Customer is
placed in a testing
queue.
Vendor
Solution
(CDL)
automatically
be graded and
posted to
license
record.
When customer is
called they go into
the test area with
their paperwork.
All paperwork
(photo, MV-44 and
all ID
documentation)
are kept at the
MVR station while
customer is
taking test.
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MVR Assigns
Applicant to a
Test Station
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APPENDIX-G: LICENSE AND ENDORSEMENT TEST VOLUMES
The table below outlines the test volumes for each state DMV office.
Office
ALBANY
BRONX LICENSING
COLLEGE POINT
CONEY ISLAND
GARDEN CITY
HARLEM
HAUPPAUGE
HERALD SQUARE
MASSAPEQUA
MEDFORD
NEW YORK OFFICE
NORTH SYRACUSE
PEEKSKILL
QUEENS (JAMAICA)
RICHMOND
RIVERHEAD
SPRINGFIELD GARDENS
SYRACUSE
WEST HAVERSTRAW
YONKERS
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
Total tests
from
8/16/1312/31/13
Total
#
General
Knowledge
from
8/16/13-1231/13
Total # of All
Endorsements
Since
from
8/16/1312/31/13
756
4203
2758
4919
2396
3653
2319
3300
3047
1948
2368
853
878
3448
3803
794
4941
692
1211
3582
203
1308
875
1586
840
1174
80
1148
1048
751
730
223
270
1183
1296
231
1549
217
401
1149
553
2895
1883
3333
1556
2479
2239
2152
1999
1197
1638
630
608
2265
2507
563
3392
475
810
2433
81
C000812
23000
APPENDIX-H: STATE AND COUNTY DMV OFFICE ADDRESSES
Below are the addresses for DMV offices throughout NYS, and referenced elsewhere in this RFP.
Office
Code
Location
County
Address
BRX
BXI
BRK
CYI
HLM
NYB
PPZ
NTC
NYC
YDO
CGP
JAM
SPG
RHD
HCK
NDO
BYS
Bronx DO*
Bronx License Center*
Brooklyn DO*
Coney Island*
Harlem*
Herald Square*
License X-Press*
Metro Training Center*
New York DO*
Yonkers*
College Point*
Jamaica*
Springfield Gardens*
Richmond
Bethpage*
Garden City*
Massapequa*
Bronx
Bronx
Kings
Kings
NY
NY
NY
NY
NY
NY
Queens
Queens
Queens
Richmond
Nassau
Nassau
Nassau
BTC
Nassau
SDO
HTN
Massapequa
Ctr.
Hauppauge*
Huntington*
MED
POJ
Medford*
Port Jefferson*
Suffolk
Suffolk
RVH
Riverhead*
Suffolk
BCN
MBK
PWL
PGK
Beacon
Millbrook
Pawling
Pougkeepsie
Dutchess
Dutchess
Dutchess
Dutchess
WFL
Wappingers Falls
Dutchess
MDL
NWB
Middletown
Newburgh
Orange
Orange
696 East Fordham Rd, Bronx NY, 10458
1350 Commerce Ave, Bronx NY, 10461
625 Atlantic Ave, Brooklyn NY, 11217
2875 W 8th St, Brooklyn NY, 11224
159 E. 125th St, 3rd Floor, New York NY, 10035
1293 Broadway, 8th Floor, New York NY, 10001
300 W 34th St, New York NY, 10001
19 Rector street,. NY, NY 10006
11 Greenwich St, New York NY, 10004
1 Larkin Plaza, Yonkers NY, 10701
30-56 Whitestone Expy, Flushing NY, 11354-1946
168-46 91st Ave, 2nd Floor, Jamaica NY, 11432
168-35 Rockaway Blvd, Jamaica NY, 11434-5233
1775 South Avenue, W. Shore Shopping Plz, SI 10314
4031 Hempstead Tpk, Bethpage NY, 11714-5607
801 Axinn Ave, Garden City NY, 11530
927 Carmans Road, Massapequa, NY 11758 Carmans
Plaza
927 Carmans Road, Massapequa, NY 11758 Carmans
Plaza
250 Veterans Mem. Hwy, Hauppauge NY, 11788-5501
Big H Shopping Center, 813 New York Ave, Huntington
NY, 11743
2799 Route 112, Medford NY, 11763-2535
3 Roads Plaza, 1055 Rte 112, Port Jefferson Station, NY
11776-3054
200 Old Country Rd (Route 58), Riverhead NY, 119012117
223 Main Street, Beacon, NY 12508
15 Merritt Ave, Millbrook, NY 12545
20 E Main St, Pawling, NY 12564
County Office Bldg, 22 Market Street Poughkeepsie, NY
12601
Hollowbrook Office Park Suite 3B, 29 Marshall Rd,
Wappingers Falls, NY 12590
12 King Street, Middletown, NY 10940
128 Broadway, Newburgh, NY 12550
Training
Suffolk
Suffolk
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
82
C000812
23000
Office
Code
Location
County
Address
PTJ
CRM
WHD
MTC
Port Jervis
Carmel
West Haverstraw
Monticello
Orange
Putnam
Rockland
Sullivan
PSK
HTC
WPD
ATC
ALB
PLT
Peekskill
Peekskill Training Center
White Plains
Albany Training Center
Albany DO*
Plattsburgh
Westchester
Westchester
Westchester
Albany
Albany
Clinton
HUD
ELZ
TIE
Hudson
Elizabethtown
Ticonderoga
Columbia
Essex
Essex
20 Hammond St, Port Jervis, NY 12773
1 Geneva Road, Carmel, NY 10512
50 Samsondale Plaza, W Haverstraw NY, 10993
Government Center 100 North Street, Monticello, NY
12701
1045 Park St, Peekskill NY, 10566
1045 Park St, Peekskill NY, Monticello, NY 10566
200 Hamilton Ave, White Plains NY, 10601
Room 311, 6 ESP Swan St Albany, NY 12228
224 South Pearl St, Albany NY, 12202
137 Margaret St, Plattsburg, NY 12901, Clinton Co Gov
Bldg
560 Warren St, Hudson, NY 12534
7559 Court St, Elizabeth, NY 12932
132 Montcalm St, Suite 3, Ticonderoga, NY 12883
JNS
CTK
FND
TRY
BLS
CLP
SPA
SCN
SCO
KGT
LGE
Johnstown
Catskill
Fonda
Troy
Ballston Spa
Clifton Park
Saratoga Springs
Schenectady
Schoharie
Kingston
Lake George
Fulton
Greene
Montgomery
Rensselaer
Saratoga
Saratoga
Saratoga
Schenectady
Schoharie
Ulster
Warren
FTE
AUB
CRT
MLN
SLK
LPL
HRK
OLF
FTD
Fort Edward
Auburn
Cortland
Malone
Saranac Lake
Lake Pleasant
Herkimer
Old Forge
Fort Drum
Washington
Cayuga
Cortland
Franklin
Franklin
Hamilton
Herkimer
Herkimer
Jefferson
WTT
Watertown
Jefferson
LWV
WMV
Lowville
Wampsville
Lewis
Madison
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
223 W Main St, Johnstown, NY 12095
411 Main St, Catskill, NY 12414
County Office Bldg, 64 Broadway, Fonda, NY 12068
1600 Seventh Avenue, Troy, NY 12180
40 McMaster Street, Ballston Spa, NY 12020
22 Clifton Country Center, Clifton Park, NY 12065
Wilton Mall, 3065 Route 50, Saratoga Springs, NY 12866
267 State St, 1st Fl, Schenectady, NY 12305
284 Main Street Suite 110, Schoharie, NY 12157
240 Fair Street, Kingston, NY 12401
1340 State Rte. 9, Lake George, NY 12845, Municipal
Center
383 Broadway, Fort Edward, NY 12828
160 Genesee St, Auburn, NY 13021, County Office Bldg
48 Greenbush St, Suite 101, Cortland, NY 13045
355 W Main St, Room 107 Malone, NY 12953
39 Main St, Suite 4, Saranac Lake, NY 12983
Rte 8, County Office Bldg, Lake Pleasant, NY 12108
109 Mary St, Suite 1111, Herkimer, NY 13350
183 Park Ave, Old Forge, NY 13420
10720 Mt Belvedere Blvd, Clark Hall Bldg. Room C134,
Fort Drum, NY 13603
175 Arsenal St, Watertown, NY 13601, County Bldg, 1st
Fl
7049 State Route 12, Lowville, NY 13367
138 N Court St, Bldg 4, Wampsville, NY 13163, County
Office Bldg
83
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Office
Code
Location
County
Address
Oneida
Oneida
Onondaga
Onondaga
Oswego
Oswego
Oswego
Otsego
Otsego
Seneca
St Lawrence
St Lawrence
St Lawrence
St Lawrence
Delaware
Delaware
Delaware
Delaware
Allegany
Broome
Broome
Broome
Cattaraugus
Cattaraugus
Cattaraugus
Chautauqua
Chautauqua
Chautauqua
Chemung
Chenango
Erie
Erie
Erie
Erie
301 West Dominick St, Rome, NY 13440
321 West Main St, Utica, NY 13501
4671 Onondaga Blvd, Suite 100B, Syracuse, NY 13219
5801 E Taft Rd, N. Syracuse, NY 13212
200 North Second St, Fulton, NY 13069
384 East River Rd, Oswego, NY 13126
2 Broad St, Pulaski, NY 13142
197 Main St, Cooperstown, NY 13326
16 South Main St, Oneonta, NY 13820
1 DiPronio Dr, Waterloo, NY 13165
80 State Highway 310, Suite 3, Canton, NY 13617
1227 US Highway 11, Gouverneur, NY 13642
37 D Water St, Massena, NY 13662
330 Ford St, Ogdensburg, NY 13669, City Hall
1 Courthouse Sq, Suite1 Delhi, NY 13753
3 Elm St, Deposit, NY 13754
21 Liberty St, Civic Center, Sidney, NY13838
Gottfried Bldg, 773 Main St, Margaretville, NY 12455
7 Court St, Belmont, NY 14813, Court House
181 Clinton St, Binghamton, NY 13905
44 Hawley St, Binghamton, NY 13902
124-132 Washington Ave, Endicott, NY 13760
1006 Main St, Delevan, NY 14042
303 Court St., Little Valley, NY 14755
1 Leo Moss Dr, Ste 1412 Olean, NY 14760
1170 Central Ave, Dunkirk, NY 14048
D&F Plaza
110 East 4th St, Jamestown, NY 14701
7 North Erie St, Mayville, NY 14757
425-477 Pennsylvania Ave, Elmira, NY 14902
5 Court St., Norwich, NY 13815 County Office Bldg
8787 Erie Rd, Rt. 5 Angola, NY 14006
170 Pearl St., Buffalo, NY 14203
2122 George Urban Blvd, Depew, NY 14043
Northtown Plaza MV,3095A Sheridan Ave. Amherst, NY
14226
4545 Transit Rd. Williamsville, NY 14221
ES6
Rome
Utica County
Syracuse
North Syracuse
Fulton
Oswego
Pulaski
Cooperstown
Oneonta
Waterloo
Canton
Gouverneur
Massena
Ogdensburg
Delhi
Deposit
Sidney
Margaretville
Belmont
Binghamton Co
Binghamton DO
Endicott
Delevan
Little Valley
Olean
Dunkirk
Jamestown
Mayville
Elmira
Norwich
Angola/Evans
Buffalo
Cheektowaga
Amherst - North Town
Plaza
Eastern Hills Mall/ECC
North
ECC South
BTV
Batavia
Genesee
ROM
UTC
SYD
SYS
FTN
OSW
PLK
CPS
ONE
WTL
CNT
GOU
MSN
OGD
DLH
DPT
SDY
MGV
BLM
BNG
BND
ENW
DLV
LVY
OLE
DUN
JMT
MYV
ELM
NRW
ES1
BUF
CHK
AMH
ES5
Erie
Erie
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
Erie Co Community College, S Campus,
Southwestern Blvd, Orchard Park, NY 14127
15 Main St, Batavia, NY 14020, County Bldg #1
84
4041
C000812
23000
Office
Code
Location
County
Address
DNS
Dansville
Livingston
GNS
GRC
RCH
Geneseo
Greece
Henrietta
Livingston
Monroe
Monroe
IRT
RTC
LCP
NTN
NGF
CND
GNV
ABN
WTG
BTH
CRN
HRN
OWG
ITH
LYN
WRS
PYN
Irondequoit
Rochester Training Ctr.
Lockport
North Tonawanda
Niagara Falls
Canandaigua
Geneva
Albion
Watkins Glens
Bath
Corning
Hornell
Owego
Ithaca
Lyons
Warsaw
Penn Yan
Monroe
Monroe
Niagara
Niagara
Niagara
Ontario
Ontario
Orleans
Schuyler
Steuben
Steuben
Steuben
Tioga
Tompkins
Wayne
Wyoming
Yates
14 Clara Barton St, Dansville, NY 14437, N Dansville
Town Hall
6 Court St, Room 204, Geneseo, NY 14454
152 Greece Ridge Center, Rochester, NY 14626
2199 E Henrietta Rd, Rochester, NY 14623 Suburban
Plaza
545 Titus Ave, Rochester, NY 14617 Hudson-Titus Mall
16 E Main St, Suite 500, Rochester, NY 14614
111 Main St, Lockport, NY 14094
500 Wheatfield St, N Tonawanda, NY 14120
1001 11th St, Niagara Falls, NY 14301, Trott Access Bldg
20 Ontario St, Canandaigua, NY 14424
83 Seneca St, Geneva, NY 14456
14016 Route 31W, Albion, NY 14411 (Main Street)
105 9th St, Unit 8 Watkins Glen, NY 14891
3 East Pulteney Sq, Bath, NY 14810
10 W First St, Suite 100, Corning, NY 14830
12 Allen St, Hornell, NY 14843
56 Main St, 1st fl., Owego, NY 13827
301 Third St, Ithaca, NY 14850
9 Pearl St, Lyons, NY 14489
6 Perry Ave, Warsaw, NY 14569
417 Liberty St, Suite 1067, Penn Yan, NY 14527
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
85
C000812
23000
APPENDIX-I: KNOWLEDGE TESTS ADMINISTERED BY NYS DMV
This appendix is an overview of the various knowledge tests administered by DMV. Each test is a multiple
choice format.
Table 1 is a list of CDL knowledge tests that must be included in the proposed system.
TABLE 1
Questions
Per Test
Test Type
Number
of
Total Number of Correct Answers
Questions in Pool to Pass
CDL General Knowledge
50
268
40
Hazardous Materials
30
88
24
Air Brakes
25
77
20
Combination Vehicles
20
73
16
Passenger Transport
20
60
16
Tank Vehicles
20
59
16
Doubles/Triples
20
57
16
School Bus
20
36
16
Metal Coil
20
39
16
Escort
20
60
14
Table 2 is a list of Non-CDL knowledge tests that DMV that must be included in the proposed system.
TABLE 2
Test Type
Operator
Knowledge
General
Questions
Per Test
Number
of
Total Number of Correct Answers
Questions in Pool to Pass
20
130
14
20
184*
14
Motorcycle
* The motorcycle test has 59 unique questions in the question pool. The other 125 questions are taken
from the operator general knowledge pool.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
86
C000812
23000
NOTE: The operator general knowledge and motorcycle tests include four (4)
road sign questions, two (2) of which must be answered correctly in order to pass.
The motorcycle test also features five (5) motorcycle questions, three (3) of which
must be answered correctly in order to pass.
Table 3 list the question rubrics for Class D. There are a total of 130 questions in the pool used to create a
class D test. Each question (with answers) contains approximately 215 characters (including spaces). Each
Class D test consists of 20 questions from seven rubrics with the following breakdown:
TABLE 3
1
2
3
4
5
6
7
Rubric
General Knowledge
Railroad Crossing
Road Rage
Work Zone Safety
Road Sign Relating To A Chart
Road Sign Without A Chart
Drug & Alcohol
Question Pool
69
5
6
5
15
8
22
Test Questions
6
1
1
1
3
1
7
Table 4 lists the question rubrics for Class M.
There are a total of 184 questions in the pool used to create a class M test. Each question (with answers)
contains approximately 215 characters (including spaces).
Each Class M test consists of 20 questions from eight rubrics with the following breakdown:
TABLE 4
1
2
3
4
5
6
7
8
Rubric
Motorcycle Knowledge
General Knowledge
Railroad Crossing
Road Rage
Work Zone Safety
Road Sign Relating To A Chart
Road Sign Without A Chart
Drug & Alcohol
Question Pool
54
69
5
6
5
15
8
22
Test Questions
5
1
1
1
1
3
1
7
Seven of the eight rubrics (all but Motorcycle Knowledge) use the same questions as the Class D rubrics.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
87
C000812
23000
APPENDIX-J: REQUIREMENT COMPLIANCE TABLE
This table, or a copy of it, must be filled out completely and submitted with all bids. Failing to do
so will be regarded as non-responsive.
2-1.1
2-1.2
2-1.3
2-1.4
2-1.5
Requirement Description
The proposed System must include DMV-provided English and Spanish versions of the following CDL
knowledge tests, unless otherwise noted: CDL General Knowledge, Combination Vehicles, Air Brakes,
Passenger Transport, Double/Triples, Tank Vehicles, Escort, Tow Truck, Hazardous Materials (Hazmat
test is only English, no audio), Metal Coil and School Bus (See Appendix-I). These versions must be
available on screen, printed, and in audio.
The proposed System must include the DMV-provided Class “D” and “M” test questions in the following
languages (translations provided by Contractor): English, Albanian, Arabic, Bosnian, Chinese, French,
Greek, Hebrew, Italian, Japanese, Korean, Polish, Russian, and Spanish. (See Appendix-I). These versions
must be available on screen, printed, and in audio.
The proposed System must have the ability to incorporate additional question pools provided by DMV at
any time during the term of the Contract. The Contractor shall be responsible for modifying the testing
System to incorporate these additional DMV-provided question pools, as may be directed by DMV at any
time during the term of the Contract. The Bidder’s proposal must explain how these changes will be
implemented, including the typical lead time required.
The Contractor must provide translation services for translating test questions from English to the required
foreign languages. The Bidder’s proposal must outline the method by which new language versions will
be added to the existing System, at no additional cost to DMV. Quality control measures must be utilized
to ensure the accuracy of the translations and the quality control measures must be described.
The System shall have three types of functionalities: (1) a testing functionality that the examinee uses to
complete the exams, accessible on the individual test station units; (2) a web-based examiner/proctor
functionality that allows DMV office staff to administer the tests in offices and generate reports for that
office; and (3) a web-based administrative functionality that allows specific DMV staff members to
control various features of the testing process and access all reports.
DMV must have the ability to grant appropriate access for specific DMV staff members.
2-1.6
2-1.7
The Bidder’s proposal must describe how their proposed solution will deter fraud and malfeasance.
2-1.8
The Contractor shall be responsible for adding new tests to the System, and updating or revising all
existing question pools, in all required languages, at no additional cost. The proposal must clearly describe
how the proposed System will accommodate this requirement.
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
88
Bidder Proposal
Page Number
Bidder Proposal
Section
Item Number
On this table, the Bidder must acknowledge each of the requirements listed, and annotate, giving
page and section designations, where in their proposal the bidder addresses that particular
requirement.
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23000
2-1.9
2-1.10
2-1.11
2-1-12
2-1.13
2-1.14
2-1.15
2-2.1
2-2.2
2-2.3
2-2.4
2-2.5
2-2.6
2-2.7
The proposed System must be expandable beyond the implementation parameters specified in this RFP.
The proposal must explain the proposed System’s scalability, and the extent to which a system expansion
would require new system hardware and/or software.
The proposed System must immediately transmit test results to DMV, upon the examinee’s completion
of a test session. In the event of a service interruption, the proposed system must securely retain individual
test results so they can be transmitted to DMV without intervention by DMV staff when service is reestablished. The Bidder’s proposal must detail the process that will be used to meet this requirement, and
must describe measures that ensure the reliability of their process.
The proposed System shall not reside on DMV’s wide area network (WAN). All network/internet
connectivity required for testing system operation is the responsibility of the Contractor. The Bidder’s
solution must employ bandwidth adequate for the operation of the proposed System, and must
accommodate the fact that the number of testing stations in each office may vary. The proposed solution
for examiner and administrative access must be web-based so the solution(s) can be accessed from existing
DMV office personal computers (PCs). Bidder’s proposal must describe a strategy for establishing and
maintaining the internet connectivity required for System operation in each office.
The proposed solution must permit completion of transactions on average within three (3) seconds and a
maximum of 10 seconds. For the purposes of this requirement, a “transaction” is defined as a user-initiated
event, the time from which the User clicks the mouse or presses “enter” until the time when a response is
returned to the User, or the System permits the User to perform another action.
The System must specifically perform at an effectiveness level of 99% or more, during any thirty (30) day
period. The effectiveness level is the percentage of scheduled production time during which the System
is fully operational.
The proposed System must include a remote testing functionality (See, RFP Section 2-5) that is optional
to DMV. The remote testing functionality must be a Contractor-hosted, web-based application that
generates unique randomized tests that can be accessed using a PC connected to the Internet. All business
rules contained in this RFP that relate to Class “D” and “M” knowledge tests must be incorporated into
the proposed remote testing functionality. If DMV chooses to exercise this option, DMV will grant access
to the application to approved entities, such as schools.
For the duration of the Contract term, following “acceptance testing” (Section 3.4), the Contractor shall
guarantee that all Software and Hardware Products provided and/or developed under the Contract shall
operate in accordance with the requirements and specifications set forth in this RFP and the subsequent
Contract.
Each test station unit shall require no more than ten (10) minutes per day to perform any routine system
management tasks, or to return to full functionality in the event of a network outage or power failure.
The testing functionality interface must be intuitive and examinee-friendly. The interface must be easy to
use for examinees who are unfamiliar with technology. The Bidder’s proposal must describe how the
proposed System’s interface will be intuitive and easy to use.
The System must allow an examinee to take all available tests during a single session.
The testing functionality must include a secure sign-in feature, requiring input from the examinee to verify
his/her identity before permitting the examinee to take an exam. The System must require that an
examinee enter his/her date of birth, and/or zip code for verification purposes. Secure sign-in will again
be required if a user or test is inactive for a specified amount of time.
The testing functionality must display an informational screen to the examinee before a test begins. DMV
will determine the content during system development.
The testing functionality must display simple instructions for examinees that clearly and succinctly
describe the steps required for taking a test. These instructions must include one sample question for the
examinee to complete before starting the test, and the sample question must be in the same language as
the test.
All test questions and answers must be randomized for each test, in order to ensure that no two tests are
exactly the same. However, the System must ensure that certain answer offerings are logically sound
(such as not having as the first listed answer, “all of the above”).
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
89
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23000
2-2.8
2-2.9
2-2.10
2-2.11
2-2.12
2-2.13
2-2.14
2-2.15
2-2.16
2-2.17
2-2.18
2-2.19
The System must provide the ability for DMV to identify specific questions that must be answered
correctly in order for the examinee to pass a test; and for DMV to designate a subset of specific questions,
of which a certain number must be answered correctly in order to pass (For example, a group of three (3)
questions on a certain topic must be answered and two (2) must be answered correctly in order to pass).
The examinee taking an audio test in any language other than English must have the ability to switch to
English and back to the originally chosen language, at any time during the test, without assistance from
DMV staff.
The sound for audio tests must be clear and easy to understand, with volume control(s) provided to adjust
the sound level, and must be ADA-compliant for the purpose of assisting persons with hearing disabilities.
The volume level must return to a default level when an examinee completes his/her exam(s). Audio must
only be available using headphones.
The testing functionality must provide the option for the examinee to review each question and answer
choice, and to change answers following the review and prior to submission.
The testing functionality must allow the examinee to skip questions. Skipped questions will display after
all other questions have been answered to allow examinee to answer skipped questions. ‘Quick fail’ (as
further described in Section 2-4.9 hereof) must prevent display of skipped questions.
At the completion of the exam, the testing functionality must display the examinee’s test results directly
to him/her.
In the event of a total system failure, power outage, or other service interruption, the examinee’s current
exam must be saved so that it may be completed within the next five (5) calendar days at any test station
in the same office. Upon restarting the exam, the testing functionality must begin at the point where the
examinee left off. The Bidder’s proposal must provide a detailed description of the method that will be
employed to fulfill this requirement.
All test screens and instructions must be concise, quick to navigate, and must not require scrolling. The
Bidder’s proposal must include sample screen captures that show the Bidder’s proposed test screen layout.
The testing functionality must allow examinees taking the test to increase or decrease the font size at any
time during the test.
All test screens must be uniform in appearance with “Help” buttons, answer choices, volume control, etc.,
located in the same area on each successive screen.
The testing functionality must include an educational demo/screen saver that will serve as an attract loop,
which is activated when a test station is unattended for an amount of time specified by DMV during system
development. DMV will determine the content that will be displayed.
The testing functionality must utilize digital photos provided by DMV to depict driving/traffic situations.
The testing functionality must permit the examinee to enlarge any relevant photos to full-screen size for
enhanced viewing.
The System must include an examiner functionality, accessible by DMV staff on any PC within a
particular issuing office, which permits DMV office staff to administer the tests in, and generate reports
2-3.1
for, that office. The Examiner functionality must require no more than ten (10) minutes to prepare for test
administration (e.g., to provide for system updates), or to return to full functionality in the event of a
network outage or power failure.
There must be two levels of privileges provided to DMV staff who are granted the right to access the
Examiner functionality (i.e., examiners). The First will be available to all Motor Vehicle Representatives
(MVRs) and the Second will be provided to Supervising Motor Vehicle Representatives (SMVRs).
2-3.2
SMVRs will have all the privileges of MVRs, plus additional capabilities. The System must provide DMV
with the ability to allocate specific access rights to specific individuals. There must be no limit to the
number of examiners who can log in at any office.
Examiners must have the ability to print and manually score a written test. The written test questions must
correspond, word-for-word, with the test questions that appear on screen. The Examiner functionality
2-3.3
must permit examiners to either (1) manually enter each answer into the testing system and submit the test
on behalf of the examinee, or (2) to enter only a pass/fail indicator. The Bidder’s proposal must include a
detailed process for this requirement.
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2-3.4
2-3.5
2-3.6
2-3.7
2-3.8
2-3.9
2-3.10
2-3.11
2-3.12
2-3.13
2-3.14
2-3.15
SMVR’s approval must be required to generate a written test. The System must require a reason be
provided by the examiner before a written test can be printed. DMV will provide a list of acceptable
reasons during system development. The Bidder must describe how this functionality will be incorporated
into the System.
The examiner must be able to print an answer key with each written test, for the purpose of manually
scoring the test.
SMVRs must have the ability to manually correct scores for completed written tests. The SMVR must log
any corrections made, and the SMVR must enter a reason for the correction in a note-field that is saved
with the corresponding test.
When there is a photo on file at DMV, the Examiner functionality must display the examinee’s driver
license photo/image for DMV staff to review during the test session.
The Examiner functionality must translate error messages into user-friendly messages for display. The
final wording of these user-friendly messages will be determined by DMV during system development
with input from the Contractor.
The Examiner functionality must permit an examiner to enter the examinee’s client identification number
(CID), if available, in order to interface with DMV for the purpose of retrieving data that is pertinent to
the examination process and recording of test results (‘pass/fail’ and/or a numerical score). If no CID is
available (i.e., no CID exists) the Examiner functionality must allow an examiner to enter the examinee’s
client identification information in the form of name and date of birth. The data to be retrieved will be
determined by DMV during the System development process with input from the Contractor. The Bidder’s
proposal must explain how the proposed System will incorporate this functionality, using examples.
The examiner functionality must allow an examiner to select or configure certain testing options including:
5. Test type;
6. Language;
7. Audio on or off;
8. Paper or computer.
The Bidder’s proposal must explain how the proposed System will incorporate these functionalities, using
examples.
The Examiner functionality must display a history of all exams taken by an examinee, and must provide
the ability to expand the history to include suspended and incomplete exams. Any test that was suspended
or not completed must be displayed first, and must be completed or canceled before any other exam can
be taken by the examinee. The Bidder’s proposal must explain how the System will incorporate these
functionalities, using examples.
The Examiner functionality must allow an examiner to assign an examinee to a specific test station.
The Examiner functionality must provide examiners with the ability to monitor all examinees taking tests,
and must display each examinee’s progress. At a minimum, this display must include the following data:
9. Identifying information for the examinee;
10. Test currently being taken;
11. Time elapsed;
12. Number of questions answered correctly;
13. Number of questions answered incorrectly;
14. Other tests assigned but not started;
15. Other tests assigned and already completed (including pass/fail indicator);
16. Assigned testing station.
The Bidder’s proposal must explain how the proposed System will incorporate these functionalities, using
examples.
The Examiner functionality must provide examiners with the ability to suspend or pause an examinee’s
current exam.
The Examiner functionality must provide examiners with the ability to suspend or pause all exams in a
single office. This would be used in the case of an unforeseen emergency requiring a testing room or office
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2-3.16
2-3.17
2-4.1
2-4.2
2-4.3
2-4.4
2-4.5
2-4.6
2-4.7.
2-4.8
2-4.9
2-5.1
to be evacuated, such as a fire alarm. Upon resumption of testing, examiners must be able to reassign
suspended tests so the examinee can resume a test from any of the test stations in the office.
The Examiner functionality must provide examiners with the ability to cancel an examinee’s current exam.
Canceling the exam will stop the examinee from completing the exam and will prevent him/her from
resuming the exam again at any office. The System must require a reason to be provided by the examiner
before a test can be cancelled. DMV will provide a list of acceptable reasons during system development.
The Examiner functionality must permit an examiner to look at completed exams taken in their office,
and print a Results page(s) that can be given to an examinee. The Results page(s) must contain the
following:
9. Examinee’s name and date of birth;
10. CID (if available);
11. Date/Time the Test was taken;
12. The type of the Test taken;
13. Grade for the Examinee;
14. Language of test;
15. Number of questions answered correctly/incorrectly;
16. A reference where the correct answers can be found (to be provided by DMV) .
Specified data elements must also be encoded in a barcode. The System must allow for printing of
duplicate Results pages.
The DMV staff granted rights to the Administrative functionality (i.e., administrators) shall be determined
by DMV. There shall be two levels of privileges within the Administrative module: the First with
permission to only access reports; and the Second will give complete access to the full Administrative
functionality. The Bidder must describe how this will be accomplished.
The Administrative functionality must allow administrators to modify, remove, or add test questions, and
to designate certain questions as “mandatory” so they appear for every test. The Bidder’s proposal must
provide a detailed description of how these tasks will be completed in their proposed System, and must
describe the manner and degree of ease with which DMV will be able to complete the tasks.
The Administrative functionality must allow administrators to configure individual tests to include
weighted questions.
The Administrative functionality must allow administrators to set system-wide settings, including adding,
editing, or removing testing sites or test stations.
All settings specified in the Administrative functionality must override any settings for an office that have
been set by the Examiner functionality. The Administrative functionality must allow an administrator to
control settings in an individual office. The Bidder must describe how this will be accomplished.
The Administrative functionality must allow the administrator to specify the default time for inactivity
before a test station is locked during a session. Once the test station is locked, the examinee must complete
the secure sign-in again in order to continue.
The Administrative functionality must translate error messages returned by DMV into user-friendly
messages for display. The final wording of the user-friendly messages will be determined by DMV during
system development with input from the Contractor.
The Administrative functionality must allow administrators to control whether audio will be automatically
enabled for all tests.
The Administrative functionality must allow the administrator to activate a “quick pass” and “quick fail”
option for all tests given in a particular office. The “quick pass” and “quick fail” function must stop a test
when an examinee reaches a predetermined threshold for correct or incorrect answers.
The Remote application must be useable on a wide variety of browsers. The Contractor will not be
required to provide hardware for remote users. The Bidder must provide the minimum technical
requirements for accessing and running the Remote application, and any compatibility with mobile
devices (smart phone, tablet, etc.)
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2-5.3
2-5.4
2-5.5
2-5.6
2-5.7
2-5.8
2-5.9
2-5.10
2-5.11
2-6.1
2-6.2
2-6.3
2-6.4
2-6.5
2-6.6
The Remote application must accommodate up to 500 concurrent users, and be scalable so that additional
users can be added if necessary. Bidders must detail the number of concurrent users that its proposed
System can accommodate.
A Proctor will possess all examiner privileges in non-DMV facilities. The Proctor must generate unique
credentials for each examinee in their facility.
The System must verify the examinee’s credentials at sign on. Examinees’ credentials will expire after 20
minutes of inactivity. New credentials must be generated after expiration.
The Contractor will provide in-person training for the use of the Remote functionality to the DMV System
administrators.
Training materials and supporting documentation must be electronically provided by the Contractor, and
must be directly accessible from the System. Such materials and documentation are subject to DMV’s
approval. Any changes to the materials required by DMV must be automatically updated by the
Contractor. In-person training will not be required for Proctors.
Notifications of any System or training updates must be provided and viewable on the System, upon
administrator and Proctor sign-on.
The Examiner functionality shall only display a history of all exams taken by examinees at the Proctor’s
assigned facility. The Bidder’s proposal must explain how the proposed System will incorporate these
functionalities, using examples.
The examiner must have the ability to enter an e-mail address in order to send test results (as described in
Section 2.3-17) (including barcode).
The Remote functionality must have the ability to restrict users by date of birth.
The System must include user-friendly reporting tools accessible to users of both the Examiner and
Administrative functionalities. Authorized users of the Examiner functionality (MVRs, SMVRs, and
Proctors) must only have the ability to generate reports for their office. Authorized users of the
Administrative functionality must have the ability to generate all reports for specific offices, a
combination of offices, and the System as a whole.
The System must include the ability to restrict or permit access to reports specified by DMV.
The System must have the ability to generate reports on-demand, as frequently as desired by DMV, with
report generation having no impact on System performance.
Reports must be customizable by DMV. The System must permit authorized users to add or exclude fields
on individual reports, and to specify the time period covered by the report. The Bidder’s proposal must
provide a detailed description of the functionality of their reporting tools, and must describe how it meets
this requirement.
The System must display reports in a printer-friendly web format, and must be exportable to multiple
formats including, but not limited to, MS Excel worksheets, Crystal reports, and PDFs.
The testing System must generate a standard set of reports and permit queries. The Bidder’s proposal must
describe the proposed System’s standard set of reports, and must describe how it will incorporate reports
listed below. Bidders may propose additional reports that the proposed System can include, which may
be beneficial to DMV. Such additional reports must be fully described in the Bidder’s proposal, with an
explanation of the intended benefit to DMV.
Test activity at a specific office, includes the following data elements:
12. Office (name/code);
13. Test name (CDL general knowledge, CDL passenger, Class D and M, etc.);
14. Test type (on-screen, audio, written);
15. Language;
16. Time period covered by report;
17. Date of report;
18. Number of tests taken;
19. Number and percentage of tests passed;
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20. Number and percentage of tests failed;
21. Number and percentage of tests cancelled;
22. Average time to complete each test type.
Test activity for specified period of time, includes the following data elements:
15. Office (name/code);
16. DMV Employee User ID assigning test;
17. Time period covered by report;
18. Date and time of report;
19. Examinee Client Identification Number (CID);
20. Date of test;
21. Start and end time;
22. Test station ID;
23. Test name;
24. Test type;
25. Paper or Computer;
26. Language;
27. Test score;
28. Test outcome (pass, fail, cancel, etc.).
Hourly test volume, includes the following data elements:
4. Office (name/code);
5. Time period covered by report;
6. Hourly breakdown of number of tests taken by test name.
Hourly test station volume, includes the following data elements:
5. Office (name/code);
6. Test station ID;
7. Hourly breakdown of number of tests taken at each test station;
8. Hourly breakdown of number of written tests printed.
Individual test history, includes the following data elements:
14. Examinee name;
15. Examinee CID;
16. Test name;
17. Test type;
18. Test start/end time;
19. Office (name/code);
20. Test station ID;
21. DMV Employee User ID assigning test;
22. Language;
23. Questions on each test;
24. Number of questions answered correct for each test;
25. Test score for each test;
26. Test outcome (pass, fail, cancel, etc.).
Question Analysis, includes the following data elements:
8. Question ID;
9. Display associated pictures (if applicable);
10. Percentage of times question used;
11. Percentage of times each answer choice was selected;
12. Percentage of times questions answered incorrectly;
13. Average time taken to answer question;
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14. Percentage of times questions skipped.
Audit report of system changes made via Examiner and Administrative functions, includes the following
data elements:
5. Office (name/code);
6. DMV Employee User ID;
7. Change made (e.g., quick pass enabled, test edited, test created, etc.);
8. Date and time of change.
Audit report of test activity for specific System users over a specified period of time, includes the
following data elements:
10. Office (name/code);
11. Date and time of report;
12. DMV Employee User ID;
13. Tests assigned;
14. Examinee CID for each test assigned;
15. Test name;
16. Test type;
17. Test score;
18. Test results (pass, fail, cancel, etc.).
Audit report for corrected written tests (See, RFP Section 2-3.3), includes the following data elements:
8. Date and time of report;
9. User ID of DMV employee that made correction;
10. Examinee CID;
11. Date and time of test;
12. Old score with pass/fail indicator;
13. New score with pass/fail indicator;
14. Count of answers changed.
Audit report for corrected written test details, includes the following data elements:
8. Date and time of report;
9. DMV Employee User ID;
10. Examinee CID;
11. Question ID;
12. Old answer;
13. Corrected answer;
14. Reason for change.
Written Test Report, including:
8. Office (name/code);
9. Examiner user ID;
10. SMVR initials;
11. Reason for generating written test (See RFP Section 2-3.4);
12. Examinee CID;
13. Test name(s) (short name);
14. Date written test was generated.
Workstation Utilization Report, includes the following data elements:
5. Office (name/code);
6. Date;
7. Percentage of time each workstation is idol vs. in session (15 minute intervals);
8. Number of tests taken at each workstation.
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3-1.1
3-1.2
3-1.3
3-1.4
3-1.5
3-1.6
3-1.7
3-1.8
3-1.9
3-1.10
3-1.11
3-2.1
3-2.2
3-2.3
3-2.4
3-2.5
3-2.7
The proposed System must not reside on DMV’s network. The Contractor’s network used for the System
must be secure, and must be in compliance with NYS Information Security Standards (See, Section 1-14).
Bidders must provide, in as much detail as possible, a description of the hardware and software that will
be part of the proposed System (See, Appendix-E hereof). Bidders must identify in their proposals all
software to be used, by name and version number, and must describe how the software meets the
requirements of the RFP. The acquisition and maintenance of all required software licenses are the
responsibility of the Contractor, and the cost for such licenses, if any, shall be borne by the Contractor.
The System must integrate with DMV, using DMV’s web-services platform. DMV will provide the
Contractor with interface specifications for these services during System development. Test stations must
not be connected directly to DMV’s web services gateway.
Prior to System implementation, the Contractor must provide to DMV detailed technical System
documentation, detailed System design specifications, descriptions of all proposed testing station
hardware and software, operating instructions, footprints, power and environmental requirements, model
numbers, makes, serial numbers, electrical and grounding requirements, temperature and humidity ranges,
software components and features, and related information.
The Contractor must ensure that the System architecture is scalable and designed to easily accommodate
changes resulting from DMV business rules and workflows.
All communications with the DMV web services platform must be initiated from a defined set of
Contractor’s IP addresses.
All network communication with the DMV must be over the internet, and must be secured via appropriate
encryption that meets or exceeds industry-standards.
The testing System must comply with the Americans with Disabilities Act (ADA). The Bidder’s proposal
must specify how the proposed testing station will be compliant with the ADA.
The Contractor is responsible for all back-up and recovery on testing stations. (See, RFP Section 5-3)
The Contractor must maintain, update and provide any and all customized System documentation,
including detailed design specifications made during the term of the Contract. The DMV shall have the
right to use and copy all documentation for the purpose of operating the System.
The Contractor must install updates to the System, as needed. System updates will be the sole
responsibility of the Contractor. (See, RFP Section 4-4.1)
Equipment and software furnished by the Contractor must be capable of withstanding continuous
operation, between the hours of 7:00 AM to 8:00 PM, 365 days a year.
The Contractor must install, maintain and support all supplied test station hardware in accordance with
the requirements as specified in this RFP. Any wiring required for the test System at county or State
issuing offices must be approved by DMV. The Contractor is responsible for providing and maintaining
the connectivity to each test station. The state and county issuing offices will supply all necessary
electrical power.
The Contractor must provide all electrical equipment to operate on regular 120 volt, 60 hertz, AC power, and
be “UL” or equivalently listed, and be certified by a Nationally Recognized Testing Laboratory to be
compliant with the FCC regulations.
The Contractor must provide testing stations designed to be of a standalone style for all types of locations.
The testing station must not be rendered inoperable by spilled liquid.
At a minimum, the display must meet the following specifications:
4. Standard: XGA;
5. 17 inches diagonal;
6. 1024 x 768 resolution.
The Contractor must provide a display screen that is highly durable and impervious to surface damage, which
has a scratch resistant surface that will endure heavy usage in a public environment.
The Contractor must not visibly place any company names, logos, or decals, except for those provided by
DMV, upon the test station hardware or within the testing station interface.
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3-2.8
3-2.9
3-2.10
3-3.1
3-3.2
3-3.3
3-3.4
3-3.5
The Contractor must maintain an inventory of all physical assets related to the testing System for State
and federal audit purposes. This information must promptly be made available to the State or federal
government upon request.
The Contractor must set up and deploy all test stations as specified by DMV. This includes relocation of
test stations, as directed by DMV.
Upon expiration of the term of the Contract, by termination or otherwise, Contractor must remove all
hardware deployed throughout the State, as directed by DMV.
The System must capture and record all data that is required to produce the reports required pursuant to
RFP Section 2-6.
The Contractor must maintain all test data for the term of the contract and any extensions thereof, in
conformance with record retention period provided in in Appendix-A.
Upon completion of the term of the Contract including any extensions thereof, the Contractor must
promptly provide DMV with all data residing on the System applications, in format that is acceptable to
DMV.
The Bidder’s proposal must explain in detail how the proposed System’s database(s) will maintain, at a
minimum, the following information for each examinee during a test session (additional fields may be
designated during development by DMV with input from Contractor):
6. Name;
7. CID, if available;
8. Gender;
9. Date of birth;
10. Photo image of driver, if available.
The System must provide an audit trail of tests taken and database updates that include, at a minimum,
the following information for each test taken (additional fields may be designated by DMV during system
development):
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
Examinee CID, if available;
Office (name/code; supplied by DMV);
Date of test;
Test start time;
Test end time (elapsed time);
Test language;
Test name;
Test short name;
Test type(s);
Total number of questions;
Total number of questions answered correctly;
Total number of questions skipped;
Test score;
Test outcome (pass, fail, cancel, etc.);
DMV’s Test Station ID;
DMV employee user ID assigning test.
For each test item taken the audit trail must include the following:
9. Question ID;
10. Choice selected;
11. Correct Choice;
12. Average time taken to answer question;
13. Rate at which questions are being answered incorrectly;
14. Percentage of time each answer choice is selected for each question;
15. Total question usage;
16. Display associated pictures (if applicable).
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3-3.6
The Contractor must maintain a log of transactions sent to and from DMV, for diagnostic purposes.
3-3.7
Database backups must be regularly scheduled and performed by the Contractor to ensure proper and
uninterrupted System performance.
The Contractor must provide both an ERD (Entity Relationship Diagram) and a data dictionary for the
database.
The Contractor must provide at least 2 properly functioning acceptance testing stations to DMV for the
purpose of conducting internal System testing and quality assurance throughout the term of the Contract.
Prior to implementation, all Contractor-provided applications shall be required to pass acceptance testing
conducted by DMV staff. DMV reserves the right and sole discretion to deem applications to have passed
DMV’s acceptance testing. The Contractor must provide DMV with prototypes for all changes that will
affect the display and flow throughout the development process. Contractor-provided acceptance test
plans shall be created during System development in cooperation with DMV, and are subject to DMV’s
approval.
Any subsequent changes made by the Contractor to the testing System shall be required to pass the same
acceptance test conducted by DMV.
The Contractor must provide DMV with test plans prior to the release of each software version and must
obtain acceptance sign-off from DMV prior to the implementation of each release.
Any known defects in the released software provided by the Contractor must be disclosed to DMV, and
any software update designed to correct such defect is subject to DMV’s approval prior to the
implementing update.
All changes to the application must be migrated to the acceptance testing stations prior to deployment on
the production testing stations.
All application changes migrated to the acceptance testing stations must be accompanied by release notes,
and are subject to DMV’s approval prior to deployment.
The Contractor must provide all necessary maintenance for the testing System during the term of the
Contract and any extensions thereof, including the operating system and supporting software security
patches.
The Contractor shall be responsible for tracing, reporting, troubleshooting and fixing all bugs and defects
discovered by Contractor or DMV.
The proposal must describe the Bidder’s proposed System maintenance support, including any regular
hours of required downtime to perform routine maintenance.
The Contractor must ensure that all maintenance and repairs are performed in a manner which permits
uninterrupted operation of the testing stations at all locations. Unless specified otherwise, for the purpose
of this section, “Maintenance” refers to both regularly scheduled “preventative maintenance” and
“remedial maintenance” (i.e., repairs).
The Contractor must schedule preventive maintenance work to minimize the impact on the regular
business operations at each test station location. Preventive maintenance must be performed at a time that
is acceptable to DMV.
DMV reserves the right to require the Contractor to promptly provide a replacement testing station, if any
testing station remains inoperable for more than 48 hours, or DMV deems, in its sole discretion, that a
testing station is performing unreliably.
DMV reserves the right require the Contractor to promptly provide a replacement testing station, if any
testing station is the subject of more than three (3) service calls placed within any consecutive thirty (30)
day period due to Contractor-provided equipment malfunctions.
The Contractor must develop a detailed maintenance plan with input from, and subject to approval by
DMV, which addresses both preventive and remedial maintenance/repairs. Bidders must submit a draft
maintenance plan as part of their proposal.
3-3.8
3-4.1
3-4.2
3-4.3
3-4.4
3-4.5
3-4.6
3-4.7
4-1.1
4-1.2
4-1.3
4-2.1
4-2.2
4-2.3
4-2.4
4-2.5
The plan must include:
12. A description of all preventative maintenance tasks;
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13.
14.
15.
16.
17.
18.
19.
4-2.6
4-3.1
4-3.2
4-4.1
4-4.2
4-4.3
5-1.1
A schedule of all tasks (including frequency of performance);
The time required to perform each task;
The method used to coordinate maintenance calls with DMV;
The method of contact for the DMV to submit remedial maintenance requests;
The number, and location of all available service representatives;
Maximum response time for acknowledgement of a remedial maintenance request;
Maximum response time for the service representative to arrive onsite for a remedial
maintenance request;
20. Maximum completion time for a remedial maintenance request;
21. The format for a monthly report that the Contractor will deliver to DMV on all maintenance
performed;
22. A description of how parts supply and back up equipment availability will be ensured for
all locations.
Appropriate Contractor staff must be available to receive maintenance requests and make maintenance
calls during DMV’s hours of operation, between 7 a.m. and 7 p.m., Monday through Friday, throughout
the term of the Contract. Contractor must accommodate reasonable changes in DMV’s hours of operation.
The Contractor must provide the service requestor with a written confirmation of receipt of a maintenance
request within two (2) hours. Contractor’s service representative must be on site by no later than the next
business day to make required repairs. The Contractor must deliver an incident report to DMV, upon
responding to a remedial maintenance request, which describes specific actions that were taken to rectify
the problem, and the status of the repair.
The Contractor must provide DMV with a toll-free telephone number for the purpose of contacting the
Contractor’s call center or Help desk. Proposals must describe the proposed call center or Help desk
procedures for reporting, tracking, and obtaining status on problems, and how service staff will be
dispatched. Contractor must provide primary (Level 1 and Level 2) technical support for the System, and
must cooperate with DMV to develop a formal support plan for incident management that is acceptable
to DMV. The support plan is subject to DMV’s approval, and will designate the approved requestors, and
documented processes for escalating repair incidents.
The Bidder must provide a detailed description of the support plan, including emergency and escalation
procedures, for the proposed testing System. This description must include the procedures that will be
followed upon an application or system error. The Contractor shall be responsible for responding to phone
calls from all testing locations, concerning system error messages.
Contractor must provide all available testing System software upgrades (new versions, security patches,
service packs, etc.), during the term of the Contract and any extensions thereof. The Bidder’s proposal
must explain how such software upgrades will be implemented.
Contractor must provide DMV with a minimum of six (6) months to prepare for any major, nonemergency upgrades. Service packs and/or security patches do not constitute major, non-emergency
upgrades.
The Contractor must provide prototypes of all system software enhancements or updates during the term
of the Contract. DMV reserves the right to require Contractor make changes to prototypes.
Any Contractor-proposed change to the System of any scale, including release management, will be
facilitated by the Contractor with prior notification to and approval by DMV. All software and hardware
updates to the testing System solution shall require prior approval by DMV. All changes will require
validation by DMV staff in a non-production environment prior to release. Access to the test environment
at DMV’s office shall be limited to DMV’s regular business hours.
The Contractor must secure personal identifying information on the System, and in transit to and from
DMV (e.g., by Secure Sockets Layer (SSL).
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5-1.2
5-1.3
5-1.4
5-1.5
5-1.6
5-1.7
5-2.1
5-2.2
5-2.3
5-2.4
5-2.5
5-2.6
5-2.7
6-1.1
6-1.2
6-1.3
The Contractor must adhere to all security standards set forth in Appendix-M (“Standard Security Clauses
for Sharing Data with External Entities”) hereof. The Proposal must include a detailed description of the
System’s security features.
The Bidder’s proposal must detail how their System is resistant to malware such as key loggers; and
appropriate security software must be included in the design (e.g., anti-malware software is required if
Windows desktop software is used as the Operating System (OS)). Security/malware countermeasures
shall be documented by the Contractor, and such countermeasures are subject to approval by DMV for
implementation. The test station itself must include a mechanism to lock down and secure the test station
to prevent an examinee from booting directly into the native OS or BIOS, as well as exiting the application
to access the OS. The Bidder’s proposal must explain in detail how this will be accomplished. All
software/firmware used for the testing System must be maintained at manufacturer-supported levels.
The Contractor must implement network and System access controls on all facets of the testing System.
The Contractor must incorporate an automatic time-out function into the testing station design to log off
examinees who have not responded to the testing station prompts for a specified amount of time (duration
to be determined by DMV).
All access to the System and all system transactions must be logged. . Log data must be classified as
“restricted.” These logs must be retrievable through clearly defined procedures, and must be maintained
for the term of the Contract, and the subsequent record retention period, for audit, legal, and recovery
purposes. Contractor must clearly establish requirements for logging data, as System architectural,
technical or network designs are developed.
The System must provide security controls to permit DMV to designate specific levels of access to the
System. The System must also include a unique authentication mechanism.
The Contractor must provide for disaster recovery services, in the event of a major disruption or shut
down of the operation of the System, which will ensure continuity of the System and restore full operation
within 48 hours from disruption of services.
The Bidder’s proposal must provide a sample Disaster Recovery Plan, and must describe how the plan
meets the requirements of this section. Contractor must develop the Disaster Recovery Plan, in
cooperation with DMV, during System development. The final plan is subject to DMV’s approval. Prior
to System implementation, recovery procedures must be documented, tested and proven to the satisfaction
of DMV. Changes to the Disaster Recovery Plan made during System development must be completed at
no cost to DMV.
The Disaster Recovery Plan must describe the plan for meeting the required availability metric (See, RFP
Section 2-1.12).
The Disaster Recovery Plan must detail how all functions of the testing System will be restored in the
event of disruption.
The Disaster Recovery Plan must include recovery of necessary hardware, operating systems, System
software, network connectivity, and databases from backups.
The Disaster Recovery Plan must include a procedure for testing the restored System.
The Disaster Recovery Plan must at all times remain current in order to adequately respond to new and
developing vulnerabilities. The Contractor must update the Disaster Recovery Plan, as required, and at
least once per year, to account for any new security vulnerabilities, and must annually certify that the
Disaster Recovery Plan meets the requirements hereof.
Contractor must provide training to the DMV trainers in the use of testing stations. This DMV trainertraining must include both Administrative and Examiner functionalities. Five (5) training sessions shall
be performed in various locations throughout the State, at dates, times, and locations determined by DMV.
The Bidder’s proposal must include three (3) samples of training manuals, which will be evaluated by
DMV for ease of use and readability.
The Contractor must update all training materials on an as-needed basis, after enhancements or changes
to the System. DMV shall own and have the right to reproduce all documentation.
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6-1.4
6-1.5
6-1.6
7-1.1
The Contractor shall deliver on-site, instructor-led training to the staff at each issuing office where the
System is installed. The training session shall, at a minimum, include the following:
7. An overview of the System;
8. An overview of the test station hardware;
9. An overview of the examiner functionality;
10. How to troubleshoot issues;
11. How to utilize the reporting functionality;
12. How to train new employees.
The Bidder’s proposal must describe in detail any additional training that will be made available for DMV
office staff.
The Contractor must provide at least one instructor-led training session to DMV administrative staff at
DMV’s Central Office in Albany, New York. The training session must, at a minimum, include the
issuing office training topics outlined in Section 6-1.4, and:
6. An overview of the administrative functionality;
7. Maintaining and editing tests, answer choices and related; pictures/graphics/videos and
corresponding audio;
8. Creating new tests;
9. Utilizing administrative reports;
10. Monitoring all office test activity, remotely.
The Contractor must deliver a user-friendly screen-oriented training manual that contains all operating
instructions necessary for DMV staff to successfully operate the System. The Contractor must provide
training manuals to each issuing office in which the testing System is deployed, and to any Central Office
staff trained in the use of the testing System, and as may be required by DMV. The Contractor must
provide at least 200 paper copies of the training manual to offices as directed by DMV.
The Bidder’s proposal must include a detailed project schedule describing how the Contractor will
implement this project on behalf of DMV. The project schedule, at a minimum, must describe the logical
progression of the project as planned by the Bidder, and must include planned phases and milestones, and
the dates when such milestones will be reached.
The Bidder must state the project management tool or technique that will be used to track the progress of
this project, and must include Gantt and critical path types of charts that describe all of the steps and time
estimates.
7-1.2
7-1.3
7-1.4
The major phases of the project are described herein, below. The project schedule must include periodic
review checkpoints, including written status/progress reports for review by DMV technical and operations
staff. The design of each of the major phases of the project, as well as the database designs and network
diagram, are subject to approval by DMV.
PHASE I: System Development
The project shall begin with project meetings between the Contractor and DMV, at DMV’s central offices
in Albany, New York, to further define the requirements and business rules of this RFP. The Contractor
shall then work with DMV staff to develop a System that meets all requirements. The Contractor shall
provide a prototype in Albany to permit the System to undergo acceptance testing, as defined in Section
3.4 herein.
PHASE II: Pilot
The Contractor shall deploy the full testing System in at least three (3) offices listed in Appendix-H, as
determined by DMV. Contractor must provide the required number of test stations, and must provide
required training to DMV staff. DMV will operate the System in the designated offices to evaluate and
develop procedures and policies to govern its use. Upon completion of the Pilot, DMV will evaluate the
performance of the System, based on criteria developed with input from the Contractor.
PHASE III: County Offices
The Contractor must assist DMV staff, as required by DMV, in the deployment of the testing System to
the county offices (See, Appendix-H).
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7-1.5
7-1.6
7-1.7
7-1.8
7-1.9
7-1.10
7-1.12
7-1.13
8-1
PHASE IV: State Offices
The Contractor must assist DMV staff, as required by DMV, in the deployment of the testing System to
expand DMV’s existing automated testing capacity already deployed in State offices (See Appendix-H).
Quantities of testing stations will be determined in consultation with DMV.
The Bidder must indicate the number of its management staff that will be devoted to this project, including
their roles and titles.
The Bidder must provide the names, titles, and locations, as well as an organizational chart, for all key
personnel. The Bidder must describe the amount of time and specific functions of each key person who
will be dedicated to this project. In the event that the Contractor will hire employees or retain the services
of subcontractors to work on this project, the qualifications and hiring of this staff must be detailed. The
Bidder’s local or sub-offices that will be involved in this project must be described, including location
and participating staff members.
The Bidder must provide a matrix which details a complete staffing plan for the project identifying (1) all
staff and subcontractors, (2) their responsibilities and qualifications, and (3) how they will be applied to
the various components, tasks, and functional areas of the project plan. Where sub-contractors are
identified, the Bidder must also describe how their participation improves meeting project objectives. The
Bidder must describe the specific role of, and the amount of time that is projected to be dedicated to the
project by, each staff member, including timing of hiring of each new staff member. The Bidder must
describe all assumptions it makes in the planning, staffing, and management of this project, including the
estimation methodology employed.
The Bidder must describe the roles and activities required of DMV staff and the time commitment
required.
The Bidder must indicate the performance measures required to evaluate the effectiveness of this project.
The Change Request process must include the procedures that must be followed by DMV to request
System changes. The Bidder must describe its Change Request process; and must identify any specific
System modifications that may be required to be performed by the Contractor which would not require a
Change Request. The Contractor must keep an electronic Change log in a location that is accessible to
both the Contractor and DMV, which details all changes made to the System. All changes must be
approved in advance by DMV. Any change which exceeds the scope of work must be done by formal
amendment of the Contract, signed by both parties, and approved by the NYS Attorney General and the
NYS Office of the State Comptroller.
The Bidder must describe its Defect Management process, including a detailed explanation of the
procedures that must be followed by DMV to report and request notification of System defects. The
Contractor must maintain an electronic Defect log in a location that is accessible to both the Contractor
and DMV, which details all defects in the System. Contractor must provide DMV with status updates on
the defects on a weekly basis; or on a periodic basis mutually agreed upon between the Contractor and
DMV.
Bidders must have at least five (5) years of verifiable experience creating, implementing, and operating a
testing system.
The Proposal must contain the Bidder's Experience Statement (Appendix-D), which illustrates experience
with providing similar testing systems. The Experience Statement must cite five (5) current or recently
completed projects that are similar in nature, size and scope to the project described in this RFP. The
Experience Statement must demonstrate the Bidder's, and any proposed subcontractor’s, ability to meet
the terms of this RFP, emphasizing the time constraints and quality of performance.
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APPENDIX K: ST-220-CA
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APPENDIX L: ST-220-TD
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APPENDIX-M: NEW YORK STATE DEPARTMENT OF MOTOR VEHICLES
STANDARD SECURITY CLAUSES FOR SHARING DATA WITH EXTERNAL
ENTITIES
(Revised 5/14/12)
The terms of this Appendix have been incorporated into an agreement between the New York State
Department of Motor Vehicles and the recipient of DMV data. The Parties to the Agreement shall
comply with the applicable provisions hereof, to the extent not superseded by federal law.
All data to which the Contractor (“Recipient”) will be provided access by DMV is proprietary to DMV.
Such data shall hereinafter be referred to as “DMV data”. Recipient will safeguard all DMV data and
resources to which it is granted access. Such safeguards must provide a level of protection of DMV data
which is at least equivalent to those provided under NYS Cyber-Security Policy P03-002-V3.4, and
comports with industry standards for such engagements.
1. Recipient agrees to limit its use of DMV data to the purpose for which it is provided hereunder,
and for no other purpose, unless expressly authorized to do so by DMV.
2. Recipient must protect DMV data that is in Recipient’s possession, or under its control from
unauthorized access, disclosure, or dissemination.
3. DMV data includes information that is:
 provided by DMV which is marked ”Confidential”;
 defined as “Personal, Private and Sensitive Information” (PPSI);
 not expressly granted for public disclosure or dissemination;
 protected by law from disclosure or dissemination;
 concerning DMV’s infrastructure;
 pertinent to an ongoing investigation.
4. Recipient must not permit DMV data to be copied or shared with anyone outside of the Recipient’s
organization, unless expressly authorized by DMV; and must limit access to, and use of, DMV data
to individuals who require access for the purpose fulfilling Recipient’s obligations arising under
the terms of this Agreement.
5. Recipient must cooperate with DMV in the review of Recipient's data control processes employed
for the protection of DMV data.
6. In the event that Recipient confirms or suspects the unauthorized use or access of DMV data or
resources provided hereunder, Recipient agrees to promptly notify DMV’s Information Security
Office, as follows:
a. by email: [email protected], or
b. by telephone: (518) 402-2676.
7. Recipient acknowledges that it understands and must comply with laws concerning the loss,
misappropriation, compromise, or misuse of protected data provided hereunder, including:
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a) the federal Driver’s Privacy Protection Act of 1994 (DPPA) (18 U.S.C. §2721, et seq.), and
b) the New York State Information Security Breach and Notification Act (ISBNA) (General
Business Law, §899-aa; State Technology Law, §208).
8. In the event that the security of personal information is breached in violation of the ISBNA, from
a system maintained by Recipient, then the Recipient shall be responsible for providing notice of
breach to the person(s) to whom such information pertains. In the event that Recipient is authorized
to share such information with another entity, Recipient must hold its recipient responsible for
providing such notice. Prior approval from DMV is required before any notifications are made to
such persons.
9. Recipient must take appropriate measures to advise pertinent staff members, and its re-disclosure
recipients (if any), of the penalties associated with unauthorized access, use, or dissemination of
protected data.
10. Recipient’s obligation of indemnification and holding harmless specified hereunder shall survive
the expiration of the Contract by termination or otherwise.
a) Recipient shall be solely responsible and answerable in damages for any and all accidents
and/or injuries to persons (including death) or property arising out of or related to the services
to be rendered by the Recipient or its subcontractors pursuant to this Agreement. The Recipient
shall indemnify and hold harmless the State and its officers and employees from claims, suits,
actions, damages and costs of every nature arising out of the provision of services pursuant to
this Agreement.
b) Recipient is an independent contractor and may neither hold itself out nor claim to be an officer,
employee or subdivision of the State of New York, nor make any claim, demand or application
to or for any right based upon any different status.
11. Recipient agrees to comply with DMVs instructions for the secure disposal of agreement-related
electronic or hard copy files in Recipient’s possession upon expiration of the term of this
Agreement.
12. The following provisions apply to circumstances when Recipient or its subcontractors make
use of resources provided by DMV:
A) Personal Computers (PCs): DMV-provided PCs must only be used for activities related to official
assignments and/or job responsibilities. Users are responsible for the use, protection, security and
care of all New York State owned personal computers (PCs) and related equipment assigned to
them by DMV.
DMV-provided PCs (including laptops, monitors, printers, hardware, peripherals, commercially
licensed software, files, programs, and data) are the property of DMV. DMV reserves the right to
access or audit PCs, storage drives and removable media, and the information contained therein.
Users must comply with the following restrictions when using DMV-provided PCs:

Protect against unauthorized access when the PC is left unattended by locking it, or
logging-off;
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




Log-off the PC at the end of the workday, to ensure that the power remains On;
Do not leave a laptop unattended or unsecured;
Do not move the PC or related equipment to another location without approval from your
manager/supervisor and DMV’s Information Technology Support Services.
Do not modify or repair any PC or related equipment without prior approval of DMV’s
Information Technology Support Services.
Do not connect any hardware that is not expressly approved. Users must contact DMV’s
Information Technology Support Services for a list of approved hardware.
B) Software: Only software that is approved by DMV’s Information Technology Support Services
may be installed on DMV-provided computers. Users must abide by all software license
agreements. Non-work related software (e.g. games or music downloading programs) must not be
installed or used on DMV computers. Users must not install DMV-owned software or programs on
a non-DMV-owned computer, unless expressly approved by DMV’s Information Technology
Support Services.
C) Internet: DMV-provided Internet access must only be used for activities related to official
assignments and/or job responsibilities. Users must employ reasonable precautions, including
safeguarding and changing passwords, to prevent the unauthorized use of their DMV provided
internet account by anyone else. Users must not access third-party internet service providers and
webmail accounts (e.g., checking a personal email account on AOL), unless expressly authorized
by the DMV’s Information Security Office.
DMV filters websites for inappropriate content. Users must direct requests to unblock or block a
website to the DMV’s Information Technology Support Services.
D) Network: Users must limit the use of DMV’s network to activities related to official assignments
and/or job responsibilities.
E) Email: Users must limit the use of DMV-provided email accounts to activities related to official
assignments and/or job responsibilities.
13. Recipient agrees to continuing cooperation with DMV in response to developing security
vulnerabilities.
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APPENDIX-N: CONSULTANT DISCLOSURE LEGISLATION FORMS
OSC Use Only
Reporting Code:
Category Code:
Date Contract Approved:
FORM A
State Consultant Services - Contractor's Planned Employment
From Contract Start Date Through The End Of The Contract Term
State Agency Name: NYS Department of Motor Vehicles
Agency Code: 23000
Contractor Name:
Contract Number: C000812
Contract Start Date:
Contract End Date:
Employment Category
Number
Employees
Total this page
0
Grand Total
Name of person who prepared this report:
Title:
Preparer's Signature:
Date Prepared:
(Use additional pages, if necessary)
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of Number of hours to Amount Payable Under the
be worked
Contract
0
$ 0.00
Phone #:
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OSC Use Only:
FORM B
Reporting Code:
Category Code:
State Consultant Services
Contractor’s Annual Employment Report
Report Period: April 1,
to March 31,
Contracting State Agency Name: NYS Department of Motor Vehicles
Contract Number: C000812
Contract Term: / /
to
/ /
Contractor Name:
Contractor Address:
Description of Services Being Provided:
Agency Code: 23000
Scope of Contract (Choose one that best fits):
Analysis
Evaluation
Research
Training
Data Processing
Computer Programming
Other IT consulting
Engineering
Architect Services
Surveying
Environmental Services
Health Services
Mental Health Services
Accounting
Auditing
Paralegal
Legal
Other Consulting
Employment Category
Total this page
Grand Total
Number
Employees
0
of Number of Hours Amount Payable Under the
Worked
Contract
0
$ 0.00
Name of person who prepared this report:
Preparer's Signature:___________________________________________________
Title:
Phone Number:
Date Prepared:
/ /
Use additional pages if necessary)
Page
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APPENDIX-O:
CONTRACTOR REQUIREMENTS AND PROCEDURES FOR
BUSINESS PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED
MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES, AND EQUAL
EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND
WOMEN
(MWBE, v. 2-10-12)
I.
Introduction:
New York’s Statewide Certified MWBE Program (Program) serves to ameliorate the significant disparities
between the level of participation of MWBE’s in state procurement contracting, versus the number of
certified minority-and women-owned business enterprises (MWBE’s) that are ready, willing and able to
participate in state procurements.
In order to comply with New York State Executive Law Article 15-A (“Participation by Minority Croup
Members and Women with Respect to State Contracts”), Article 15 (the “Human Rights Law”), and 5
NYCRR Parts 142-144 (“MWBE Regulations”), for all State contracts as defined therein, and to facilitate
the implementation and operation of the Program, State agencies are required to establish goals for
maximizing participation of New York State MWBE’s and the employment of minority group members
and women in the performance of New York State contracts.
This Section articulates DMV’s goals for promoting such opportunities.
Bidder/Contractor acknowledges that its failure to comply with the following provisions may result
in a finding of non-responsiveness, non-responsibility, and/or breach of Contract, which may result
in the withholding of payment, suspension or termination of the Contract, or such other actions or
enforcement proceedings provided herein or permitted by Law.
II. Business Participation Opportunities for MWBEs:
DMV hereby establishes an overall goal of 22% for MWBE participation, 11% for Minority-Owned
Business Enterprises (MBE) participation, and 11% for Women-Owned Business Enterprises (WBE)
participation (based on the current availability of qualified MBE’s and WBE’s). Contractor must document
good faith efforts to provide meaningful participation by MWBE’s as subcontractors or suppliers in the
performance of the Contract, and Contractor agrees that DMV may withhold payment pending receipt of
the required MWBE documentation.
The directory of New York State Certified MWBE’s can be viewed at: http://www.esd.ny.gov/mwbe.html.
For guidance on how DMV will determine a Contractor’s “good faith efforts,” refer to 5 NYCRR §142.8.
A) Liquidated Damages:
In accordance with 5 NYCRR §142.13, Contractor acknowledges that its willful and intentional failure to
comply with the MWBE participation goals set forth in the Contract will constitute a material breach of
Contract for which DMV may withhold payment from the Contractor as liquidated damages for such
breach.
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Such liquidated damages shall be calculated as an amount equal to the difference between (1) all sums
identified for payment to MWBE’s had the Contractor achieved the contractual MWBE goals, and (2) all
sums actually paid to MWBE’s for work performed or materials supplied under the Contract.
B) MWBE Utilization Plan:
The Bidder to whom a contract is awarded (Contractor) must submit a MWBE Utilization Plan, upon
execution of the Contract. At all times during the performance of the Contract, Contractor must make good
faith efforts to utilize MBE’s and WBE’s identified in its MWBE Utilization Plan.
DMV may disqualify a Bidder/Contractor as being non-responsive, under the following circumstances:
a) Bidder/Contractor fails to submit a MWBE Utilization Plan;
b) Bidder/Contractor fails to submit a written remedy to a notice of deficiency;
c) Bidder/Contractor fails to timely submit a request for waiver; or
d) DMV determines that the Bidder/Contractor has failed to document good faith efforts.
Any modifications or changes to the MWBE Utilization Plan made during the term of the Contract must be
promptly reported, and such modifications or changes will be subject to DMV’s approval. DMV will review
the submitted MWBE Utilization Plan and advise the Contractor of DMV’s acceptance, or issue a notice of
deficiency within 30 days of receipt.
1. MWBE Waiver Request: Contractor may submit requests for a partial or total waiver of
established goal requirements, at any time during the term of the Contract, prior to issuance of final
payment on the Contract. If a notice of deficiency is issued, Contractor must respond to the notice
of deficiency within seven (7) business days of receipt by submitting to DMV a written remedy
that addresses each deficiency contained in the notice of deficiency. If the written remedy that is
submitted is not timely or is found by DMV to be inadequate, DMV shall notify Contractor and
direct Contractor to re-submit a revised remedy, within five (5) business days. Failure to request
the waiver in a timely manner may be grounds for rejection of the request.
2. Contractor’s Quarterly Workforce Employment Utilization Report (“Workforce Report”):
Contractors are required to submit to DMV, by the 10th day following the end of each quarter during
the term of the Contract, a Workforce Report. Such reports document Contractor’s progress made
toward achieving the MWBE goals for the Contract. The Workforce Report must document any
changes to the “Bid Staffing Plan” that Contractor submitted with its Bid (See, below).
Contractor must submit separate reports for Contractor and any subcontractor performing work on the
Contract. In limited instances, Contractor may not be able to separate out the workforce utilized in the
performance of the Contract from Contractor's and/or any subcontractor's total workforce. When a
separation can be made, Contractor must submit the Workforce Report and indicate that the information
provided related to the actual workforce utilized on the Contract. When the workforce to be utilized on the
Contract cannot be separated out from Contractor's and/or a subcontractor's total workforce, Contractor
must submit the Workforce Report and indicate that the information provided is Contractor's total
workforce during the subject time frame, not limited to work specifically under the Contract.
III. Equal Employment Opportunity Requirements:
NOTE: The following requirements do not apply to (a) work, goods, or services unrelated to the Contract;
or (b) employment outside New York State.
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Contractor must ensure that Contractor and its subcontractors undertake or continue programs to ensure
that minority group members and women are afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status. This
requirement shall apply to any subcontractors to whom Contractor awards a subcontract for goods or
services related to the Contract, valued at over $25,000 for the construction, demolition, replacement, major
repair, renovation, planning or design of real property and improvements thereon (except where such
subcontract is solely for the beneficial use of the Contractor).

For these purposes, “equal opportunity” must be provided in the areas of recruitment, employment,
job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay, or
other forms of compensation.
A) MWBE Form-1, Contractor’s EEO Policy Statement: Contractor must execute and submit
MWBE Form-1 (attached hereto), as its EEO policy statement, within seventy-two (72) hours after
DMV issues written notice of award of the Contract to the Contractor.
B) Bid Staffing Plan: Bidder must submit with its proposal a Bid Staffing Plan that identifies the
anticipated work force to be utilized on the Contract by specified categories, including ethnic
background, gender, and Federal occupational categories. Upon DMV’s request, Contractor must
promptly submit a workforce utilization report that identifies the workforce actually utilized in the
performance of the Contract.
C) Non-Discrimination: Contractor agrees that it will not discriminate against any employee or
applicant for employment because of race, creed (religion), color, sex, national origin, sexual
orientation, military status, age, disability, predisposing genetic characteristic, marital status or
domestic violence victim status, and shall also follow the requirements of the Human Rights Law
with regard to non-discrimination on the basis of prior criminal conviction and prior arrest; and
Contractor shall take reasonable steps to ensure that its subcontractors comport with such nondiscrimination provisions during the term of the Contract. Contractor acknowledges that it
understands and shall comply with such requirements above, and these provisions shall be deemed
supplementary to, and not in lieu of, the nondiscrimination provisions provided by New York State
Executive Law Article 15 (the “Human Rights Law”) or other applicable federal, state or local
laws.
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MWBE Form-1: MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES – EQUAL
EMPLOYMENT OPPORTUNITY POLICY STATEMENT
M/WBE AND EEO POLICY STATEMENT
I, ___________________________, the (awardee/contractor) ____________________ agree to
adopt the following policies with respect to the project being developed or services rendered at
This organization will and will cause its
contractors and subcontractors to take good
faith actions to achieve the M/WBE contract
participations goals set by the State for that area in which the
State-funded project is located, by taking the following steps:
M/WBE
(1) Actively and affirmatively solicit bids for contracts
and subcontracts from qualified State certified
MBEs or WBEs, including solicitations to M/WBE
contractor associations.
(2) Request a list of State-certified M/WBEs from
AGENCY and solicit bids from them directly.
(3) Ensure that plans, specifications, request for
proposals and other documents used to secure bids
will be made available in sufficient time for review
by prospective M/WBEs.
(4) Where feasible, divide the work into smaller portions
to enhanced participations by M/WBEs and
encourage the formation of joint venture and other
partnerships among M/WBE contractors to enhance
their participation.
(5) Document and maintain records of bid solicitation,
including those to M/WBEs and the results thereof.
Contractor will also maintain records of actions that
its subcontractors have taken toward meeting
M/WBE contract participation goals.
(6) Ensure that progress payments to M/WBEs are made
on a timely basis so that undue financial hardship is
avoided, and that bonding and other credit
requirements are waived or appropriate alternatives
developed to encourage M/WBE participation.
(a) This organization will not discriminate
against any employee or applicant for
employment because of race, creed, color,
national origin, sex, age, disability or marital status, will
undertake or continue existing programs of affirmative action
to ensure that minority group members are afforded equal
employment opportunities without discrimination, and shall
make and document its conscientious and active efforts to
employ and utilize minority group members and women in its
work force on state contracts.
(b)This organization shall state in all solicitation or
advertisements for employees that in the performance of the
State contract all qualified applicants will be afforded equal
employment opportunities without discrimination because of
race, creed, color, national origin, sex disability or marital
status.
(c) At the request of the contracting agency, this organization
shall request each employment agency, labor union, or
authorized representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability or
marital status and that such union or representative will
affirmatively cooperate in the implementation of this
organization’s obligations herein.
(d) Contractor shall comply with the provisions of the Human
Rights Law, all other State and Federal statutory and
constitutional non-discrimination provisions. Contractor and
subcontractors shall not discriminate against any employee or
applicant for employment because of race, creed (religion),
color, sex, national origin, sexual orientation, military status,
age, disability, predisposing genetic characteristic, marital
status or domestic violence victim status, and shall also
follow the requirements of the Human Rights Law with
regard to non-discrimination on the basis of prior criminal
conviction and prior arrest.
(e) This organization will include the provisions of sections
(a) through (d) of this agreement in every subcontract in such
a manner that the requirements of the subdivisions will be
binding upon each subcontractor as to work in connection
with the State contract.
EEO
Agreed to this ______________ day of ________________________, 2___________________
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C000812
23000
By __________________________________________________________________________
Print: _________________________________
Title: ________________________________
_________________________________is designated as the Minority Business Enterprise Liaison
(Name of Designated Liaison)
responsible for administering the Minority and Women-Owned Business Enterprises- Equal Employment
Opportunity (M/WBE-EEO) program.
M/WBE Contract Goals
________% Minority and Women’s Business Enterprise Participation
________% Minority Business Enterprise Participation
________% Women’s Business Enterprise Participation
EEO Contract Goals
________% Minority Labor Force Participation
________% Female Labor Force Participation
____________________________________________
(Authorized Representative)
Title: ___________________________________________
Date:______________________________________________
NYS DMV Automated Knowledge Testing
Request for Proposal (RFP)
119