Request for Proposal RFP #Y-01 · 2017-12-28 · Unemployment Insurance System Improvement Project Director RFP #Y-01 Page | 1 ... This Request for Proposal (RFP) ... Section 2 –

Unemployment Insurance System Improvement Project Director RFP #Y-01 Page | 1

Request for Proposal

RFP #Y-01

Project Director

For

Unemployment Insurance Systems Improvement (UISIm)

Issued on December 22, 2017

by

New York State Department of Labor

W. Averell Harriman State Office Building Campus

Building 12

Albany, NY 12240

Submission Deadline

January 17, 2018 @ 11:00 a.m. New York Time

Prepared By: New York State Department of Labor (NYSDOL)

The New York State Department of Labor is an Equal Opportunity Employer. Auxiliary

aids and services are available upon request to individuals with disabilities.


Procurement Lobbying Act and Designated Contacts

This Request for Proposal (RFP) is being conducted in accordance with the

Procurement Lobbying Act (State Finance Law §§139-j and 139-k). For more

information regarding the Procurement Lobbying Act, please refer to the New York State

Office of General Services (OGS) website at:

https://online.ogs.ny.gov/legal/lobbyinglawfaq/viewall.asp

Pursuant to the Procurement Lobbying Act, this solicitation includes and imposes certain

restrictions on communications between the Department of Labor and a bidder during

the procurement process. Accordingly, designated contacts for questions related to

this procurement as of the date hereof, are:

Primary:

Darlene Powers


Purchase & Contracts

State Office Campus, Bldg. 12, Rm. 454

Albany, New York 12240

Tel: (518) 457-9395

[email protected]

Alternate:

Gay Townsend-Jones





Tel: (518) 457-1392

[email protected]

https://online.ogs.ny.gov/legal/lobbyinglawfaq/viewall.asp

mailto:[email protected]

mailto:[email protected]


Table of Contents

Summary Statement……………………………………………………………………………5

Section 1 – Unemployment Insurance System Improvement (UISIm) Project

Background/Overview ………………………………………………………………………... 5

Section 2 - RFP Scope ………………………………………………………………………...6

2.1 Project Overview/Purpose……………………………………………………………..6

Chart 1…………………………………………………………………………..6

2.1.1 Contract Terms………………………………………………………………...7

2.2 Project Requirements…………………………………………………………………..7

2.2.1 Identification, Availability, and Worksite Requirements……………..……..7

2.2.2 Additional Requirements of NYSDOL…………………………………….....8

2.2.3 Project Director Replacement……............................................................9

2.2.4 Knowledge Transfer…………………………………………………………..11

2.3 Project Director Role -Tasks and Activities..........................................................11

2.3.1 Pre-DDI Contract Award Tasks………………………………….…………..12

2.3.2 Post-DDI Contract Award Tasks…………………………………………….12

2.4 Project Director Qualifications…………………………………….………………….17

2.4.1 Mandatory Qualifications…………………………………………….………17

2.4.2 Desired Qualifications………………………………………………………..18

Section 3 – Process for Proposal Submission………………………………………………19

3.1 Questions Concerning this RFP……………………………………………………...19

3.2 Notice of Intent to Bid………………………………………………………………….19

3.3 Proposal Due Date………………………………………………………………….....19

Section 4 - RFP Timetable…………………………………………………………………….20

Section 5 – Proposal Requirements – Format and Content……………………………….20

5.1 Proposal Forwarding Instructions and Format……………………………………..20

Section 6 – Selection Process and Criteria…………………………………………………22

6.1 Evaluation of Proposals………………………………………………………………22


6.2 Evaluation Process…………………………………………………………………...23

6.3 Evaluation Criteria…………………………………………………………………….23

6.4 Method of Selection………………………………………………………………......23

6.4.1 Tie-Breaker……………………………………………………………….…...24

Attachments…………………………………………………………………………………….25

Appendices……………………………………………………………………………………..26


Summary Statement:

This Request for Proposal (RFP) will refer to New York State Department of

Labor singularly as “NYSDOL”; New York State as “the State”; and New York

State Office of Information Technology Services as "ITS".

Additionally, the bidder of this Project Director RFP who is awarded the contract will be

referred to as “Contractor”; the bidder of the UISS RFP #V-17 RFP who is awarded the

contract will be referred to as “DDI Vendor”; and any contractor working on the UISIm

project, including the DDI Vendor will be referred to as a “Project Contractor”.

Section 1 – Unemployment Insurance System Improvement (UISIm) Project

Background/Overview

NYSDOL is the primary entity that administers Unemployment Insurance (UI) benefits,

contributions, appeals, and labor exchange systems to connect job seekers with

employers. Over the past decade, the State commenced a modernization effort known

as Unemployment Insurance System Improvement (UISIm) and has pursued various

initiatives to enhance its support and administration of these program areas. The State

has faced the pressing problem of maintaining, modifying, and extending outdated and

expensive mainframe-based UI benefits,contributions, and appeals systems that were

written in the 1970s and 1980s and remain constrained by the technology of that era.

All of these challenges have significantly hindered the delivery of UI benefits,

contributions, and appeals services in more efficient and streamlined ways to customers.

While the State has considerable experience and expertise in implementing initiatives

using a variety of technologies (web, client server, open source, etc.) and incorporating

re-engineering goals and principles in mission critical business areas, we recognize the

magnitude of developing an integrated and complete UI solution which includes benefits,

contributions, and appeals services. Based on substantial research, the State concluded

that there exist proven, vendor-based solutions and single state UI systems that have

been successfully implemented. Therefore, NYSDOL has started the UISIm project by

issuing Unemployment Insurance System Solution (UISS) RFP #V-17 to procure vendor

services for the design, development, and implementation (DDI) of an UI benefits,

contributions, and appeals case management system in the State of New York.

NYSDOL is issuing this RFP to seek proposals from qualified bidding entities or

individuals, (“bidders”), to provide the Project Director, (“PD”), who will oversee the

contracted services, business, and information technology aspects of the UISIm project.

Coordination of the overall UISIm project will be managed by the PD. The PD will be

working closely with the DDI vendor to manage the project master schedule and to

ensure that the DDI vendor adheres to the project budget. The PD will be the main, but

not the only, liaison between the Project Steering Committee (PSC) and the Project

Management Office (PMO).

Bidders must review the UISS RFP #V-17 for more details about the UISIm project.

https://labor.ny.gov/agencyinfo/contracts/contract-bid-grant-opportunities.shtm. The PD

is responsible for all project management requirements stated in the UISS RFP #V-17.

The bidder for this RFP, and their proposed PD, must affirm, on Attachment D, having

https://labor.ny.gov/agencyinfo/contracts/contract-bid-grant-opportunities.shtm


reviewed UISS RFP #V-17 and affirm that the proposed PD has the required skill set

and the ability to direct the project management requirements stated in the UISS RFP

#V-17.

Section 2 – RFP Scope

2.1 Project Overview/Purpose

NYSDOL is seeking a PD to oversee the modernization efforts to replace the existing

information technology (IT) legacy UI system in its entirety. NYSDOL envisions the PMO

to be led by the PD, the NYSDOL Project Managers, and the DDI vendor’s Project

Manager. As described in UISS RFP #V-17 governance structure, the PD reports to the

PSC (See Chart 1).

Chart 1

The primary focus of the PD is to ensure that project activities are optimally delivered

through cost effective measures that include the best combination of State and 3rd party

vendors to deliver a quality product, meeting all agreed-to requirements on budget and

schedule. The PD will be in charge of coordination between both the business and IT

aspects of the project and will oversee the project contractors in an efficient and

professional manner, promoting a team-oriented approach. The PD will manage the

overall UISIm project. The PD will ensure that the products developed, prescribed

processes, and the deliverables of the UISIm project contractors meet the State’s

expections and specified standards and are consistent with the DDI vendor contract

documents and deliverables.


The PD will be the main, but not the only, liaison between the PSC and the PMO. The

PD will update and provide advice to the PSC throughout the period of performance on

the status of the project deliverables, enhancements, and the quality of the product to

meet the requirements, specifications, and standards set forth in the corresponding

contract documents. The PD will ensure that the PSC is fully informed on the budget,

schedule, and quality of deliverables. Disputes that cannot be resolved between the PD

and other project contractors or State staff shall be raised through a prescribed process

to the PSC for resolution.

2.1.1 Contract Terms

This contract shall commence after approval by the New York Office of the State

Comptroller and shall be in effect for five (5) years, with the State’s sole option to extend

for a period not to exceed one (1) year. Notwithstanding the termination of this contract

pursuant to the above-stated term, the terms and conditions hereof shall be effective and

binding throughout the life of the executed contract, including the optional 1-year

extension period.

2.2 Project Requirements

2.2.1 Identification, Availability, and Worksite Requirements:

The following requirements are mandatory. For identification and availability purposes,

the bidder must ascertain and validate on Attachment D that the proposed PD is either a

United States (U.S.) Citizen or non-U.S. citizen.

A. Where the proposed PD is a U.S. citizen, the bidder must identify the individual

with, at a minimum, the first and last name of the proposed PD as it appears on

his/her Driver’s License, Non-Drivers Identification Card, or other accepted forms

of government identification. A copy must be submitted with the proposal.

B. Where the proposed PD is not a U.S. citizen, the bidder shall identify such to

NYSDOL.

C. Where the proposed PD is not a U.S. citizen, the bidder must identify the

individual with, at a minimum, the first and last name of the proposed PD as it

appears on his/her Visa and/or Passport. No other names or derivations may be

used. A copy must be submitted with the proposal.

D. The bidder must retain all necessary paperwork throughout the length of the

proposed PD’s engagement with NYSDOL.

E. The bidder is responsible for ensuring the proposed PD retains the authorization

to legally work in the United States throughout the term of the engagement based

on the length of term identified in the contract resulting from this RFP.

F. The bidder must identify if the proposed PD will be working under an H1-B or

other visa during the time of the placement. The bidder will provide the visa

expiration date for the individual engaged in the project and shall make

commercially and legally reasonable attempts, as determined solely by NYSDOL,


to extend the work visa until the proposed end dates of this contract. On

Attachment D the bidder must indicate if the proposed PD will be working under

an H1-B or other visa and the expiration date.

G. The Federal Immigration Reform and Control Act, as amended, (8 USC section

1324a et al) obligates employers, such as the bidder, to verify that all its

employees are legally entitled to work in the United States. In order to verify that

an individual is not an unauthorized alien, NYSDOL reserves the right to request

legally-mandated, contractor-held documentation attesting to the legal

entitlement to work in the United States for the PD assigned work under this

contract. In accordance with such law, NYSDOL does not discriminate on the

basis of national origin or citizenship.

H. For quality assurance purposes, the vendor who is awarded the contract for

NYSDOL RFP #V-17 – Unemployment Insurance System Solution – cannot

receive the award for NYSDOL RFP #Y-01.

I. The proposed PD must be a full-time employee of the bidder (subcontractors,

temporary staff, or 1099 contractors do not qualify) and a dedicated resource and

must agree to work on site in Building 12, State Office Campus, Albany, NY

throughout the life of the project. NYSDOL will provide hardware and software

tools as appropriate.

J. The bidder shall identify any dates, in excess of ten annual vacation days, in

which the proposed PD will be unavailable during the duration of the proposed

engagement. This includes, but is not limited to, absences related to work visas.

Dates in which the proposed PD will be unavailable must be indicated on

Attachment D.

K. The bidder will provide a minimum of two (2) and a maximum of four (4)

references for the individual who is being recommended for the PD position. The

bidder must complete Attachment E for each reference provided. The references

must be from prior customers (see Attachment E-1) and must provide first-hand

knowledge of the proposed PD’s ability to perform the type of services requested

in this RFP. References provided must be available to be contacted by

NYSDOL. There will be reference checks. We strongly encourage the bidder

to notify each reference that his/her contact information has been given to

NYSDOL and that NYSDOL will be contacting him/her to verify the

proposed PD’s work experience as it pertains to the project scope and

Sections 2.4.1 and 2.4.2 of this RFP. Failure to pass a reference check may

result in the proposal being disqualified from further consideration.

L. Bidders who do not submit proposals by January 17, 2018 @ 11:00 a.m. New

York Time will be eliminated from consideration.

2.2.2 Additional Requirements of NYSDOL

A. NYSDOL will require background checks to be conducted by the bidder, at the expense of NYSDOL, including, but not limited to, finger-printing. The results of the background check are to be provided to NYSDOL. Upon contract award,


NYSDOL will also require the signing of a NYSDOL provided confidentiality statement and/or a non-disclosure agreement.

B. NYSDOL may also conduct its own background checks at its own expense,

including, but not limited to, fingerprinting.

C. NYSDOL may require the PD to provide photo identification such as a NYS

Driver’s License, Non-Drivers Identification Card, Passport, etc. in order to

receive a State or other applicable identification card used for entrance into

NYSDOL’s buildings and/or facilities.

D. NYSDOL may require the PD to attend training required by State law or in

accordance with the policy of NYSDOL. If required by NYSDOL, attendance at

training sessions will be mandatory. For trainings requiring a fee, NYSDOL shall

pay for the PD’s attendance. NYSDOL shall also be billed by the contractor for

the time the PD spends at such training. It is not intended to provide the PD with

the skills originally specified by this RFP.

E. NYSDOL may specify the manner and method by which the PD shall participate

in knowledge transfer at the time of placement or at any time during the PD’s

engagement.

F. The PD may be required to travel to NYSDOL offices and other locations in New

York State that are outside of the immediate Albany, NY area. In such cases,

with the prior written approval of NYSDOL, the PD shall be reimbursed for

mileage, lodging, and meals to the extent authorized by the NYS Office of the

State Comptroller as further set forth at:

http://www.osc.state.ny.us/agencies/travel/reimbrate.htm. The PD is responsible

for keeping adequate records (including hard copy receipts) to substantiate any

claims for reimbursement for travel in performance of the services under the

executed contract resulting from this RFP. In addition, the PD may, at NYSDOL’s

discretion and cost, be required to travel to other state locations where the DDI

vendor either is or has implemented solutions similar to the proposed DDI

solution.

2.2.3 Project Director Replacement

NYSDOL considers the continuous performance of the initially assigned PD to be critical

to the success of the project. In the event of a vacancy, the vacancy must be filled.

Replacement of the PD will not be grounds for an increase in the Hourly Wage Rate or

Markup, or an extension of the time for completion of the engagement outlined in 2.1.1.

Any replacement candidate must meet or exceed all requirements as set forth by

NYSDOL in this RFP. The contractor can only substitute due to sudden termination,

resignation, approved leave due to an Extraordinary Personnel Event (see below), or

death. To qualify for such replacement, the contractor must demonstrate to NYSDOL’s

satisfaction the event necessitating replacement and that the proposed replacement PD

is an actual full-time employee of the contractor (subcontractors, temporary staff, or

1099 contractors do not qualify). Proposed replacements shall have equal or better skill

level, qualifications, and experience, as determined solely by NYSDOL. Proposed

replacements deemed by NYSDOL to be less qualified than the originally proposed PD

may be grounds for pre-award disqualification or post-award termination.

http://www.osc.state.ny.us/agencies/travel/reimbrate.htm.


NYSDOL retains the right to cancel any contract resulting from this RFP for convenience

upon at least thirty (30) calendar days written notice to contractor without penalty or

other early termination charge. This provision should not be understood as waiving the

State’s right to terminate the contract for cause or stop work immediately for

unsatisfactory work, but is supplementary to that provision. If the contract is cancelled

pursuant to this section, NYSDOL shall remain liable for all accrued but unpaid charges

incurred through the date of cancellation.

The following definitions apply:

Extraordinary Personnel Event: means leave under the Family Medical Leave Act (29

U.S.C. §2601 et. seq.); or an incapacitating injury or incapacitating illness; or other

circumstances that in the sole discretion of NYSDOL warrant an extended leave of

absence, such as extended jury duty or extended military service that precludes the

individual from performing his/her job duties under the contract.

Incapacitating: means any health circumstance that substantially impairs the ability of

the PD to perform the job duties described in this RFP or the contract.

A. General Provisions

1) The contractor shall provide the NYSDOL PSC with a replacement request

that shall include:

a. A detailed explanation of the reason(s) for the replacement request;

b. The resume of the proposed replacement, signed by the replacement and

his/her formal supervisor;

c. The official resume of the current PD for comparison purposes;

d. Evidence of any required educational, professional and travel credentials;

and

e. A detailed explanation of the project knowledge transfer plan. Where

possible, the plan shall include confirmation that the replacement PD shall

work with outgoing personnel for at least two weeks (80 hours), at no cost

to NYSDOL during this transition period.

2) The NYSDOL PSC may request additional information concerning the

proposed replacement. In addition, the NYSDOL PSC and/or other

appropriate NYSDOL personnel involved with the Contract may interview the

proposed replacement PD prior to deciding whether to approve the

replacement request.

3) The NYSDOL PSC will notify the contractor in writing of: (i) the acceptance or

denial, or (ii) contingent or temporary approval for a specified time limit, of the

requested substitution. The NYSDOL PSC will not unreasonably withhold

approval of a proposed PD replacement. PD replacements are subject to the

provisions of 2.2.1, 2.2.2 and 2.4.1.

4) If the NYSDOL PSC denies the proposed replacement, the contractor will

propose an additional replacement for consideration until a satisfactory PD

replacement is deemed suitable and accepted by the NYSDOL PSC. The

contractor shall identify a suitable replacement within fifteen (15) days of the


actual vacancy occurrence or from when the contractor first knew or should

have known that the vacancy would be occurring, whichever is earlier.

5) If contractor becomes aware that any PD provided under this contract poses

an unacceptable risk to the State, or has been arrested for a felony or

misdemeanor offense that may disqualify such PD from operating, or having

access to NYSDOL systems and data, the contractor shall immediately notify

the NYSDOL PSC. Should NYSDOL decide that the PD must be replaced,

the contractor shall immediately remove the staff member and propose a

qualified replacement.

6) In the event it becomes necessary to replace the PD prior to completion of

one month (160 hours) of work, due to PD termination, sickness, or other

similar material change in the employment circumstance of the PD, the

contractor shall provide NYSDOL with five (5) business days prior written

notification describing the circumstances of the need for replacement.

7) In the event it becomes necessary to replace the PD after completion of one

month (160 hours) of work, due to PD termination, sickness, or other similar

material change in the employment circumstance of the PD, the contractor

shall provide NYSDOL with twenty (20) business days prior written

notification describing the circumstances of the need for replacement.

8) The contractor shall also identify a replacement of equal or better

qualifications, as determined solely by NYSDOL, within ten (10) business

days. NYSDOL reserves the right to do one of the following:

a. Allow the contractor to provide a replacement PD. The contractor

acknowledges that the failure to provide a PD for the duration of the

engagement constitutes a breach of contract and that as a liquidated

damage, NYSDOL has the right to receive up to two working weeks (80

hours) of work from the replacement PD, at no cost to NYSDOL, during a

transition/ramp-up period. This liquidated damage may be waived in

whole or in part, at NYSDOL’s sole discretion, if it is determined that the

need to replace the PD was beyond the control of the contractor, or

b. Terminate the contract if a replacement is required.

2.2.4 Knowledge Transfer

The PD must develop a final written internal executive summary of all work completed

on all tasks, associated metrics, and provide a presentation for executive staff identifying

operational recommendations that NYSDOL can undertake. A final written internal

executive summary and presentation for executive staff is required in the event of a PD’s

departure before project closeout.

2.3 Project Director Role – Tasks and Activities

The PD will conduct a timely and comprehensive review of the DDI draft contracts to

ensure, that from their perspective as the PD, all aspects of RFP #V-17, including all

NYSDOL requirements and deliverables, are included. The PD must also review the PD


contract to affirm that the duties and responsibilities described in the contract are

understood and will be accomplished.

2.3.1 Pre-DDI Contract Award Tasks

To the extent necessary and appropriate as determined by NYSDOL, the PD may assist

NYSDOL in the selection of the DDI vendor. The PD may be performing pre-DDI

contract award efforts which may include but are not limited to the following:

Task Activities:

A. DDI Vendor Contract Negotiation:

1) Provide guidance and information in support of contract negotiations for a

DDI vendor.

2) Document the DDI vendor/system development contract negotiation process.

B. Project Documentation:

1) Create reference documents and artifacts of project management standards based on the NYS ITS standards found in: https://its.ny.gov/nys-project-management-guidebook-release-2.

2) Document suggestions and recommendations based on DDI vendor

demonstrations in a clear and understandable manner.

2.3.2 Post-DDI Contract Award Tasks

The PD will perform project management services to complete the development, testing,

and implementation of the UISIm project. This will involve coordination and collaboration

with all project stakeholders, including NYSDOL, ITS, all project contractors and sub-

contractors. The PD will work with the UISIm project team to define the knowledge

transfer plan to allow state staff to oversee the continued operation and support of the UI

benefits, contributions, and appeals programs. The PD will also complete the formal

project closeout process to confirm that the UISIm project has been successfully

completed and NYSDOL expectations have been met. The PD will be responsible for the

following major activities, but will not be limited to:

Task Activities:

A. Project Management

1) Oversee and manage the project activities to successfully transition from DDI

contract award to start of the project.

a. Create a “DDI Vendor Onboarding” Transition Plan including all

assessment reports and updates;

b. Coordinate and conduct arrangements to on-board the DDI vendor

personnel;

c. Coordinate arrangements for onboarding NYSDOL’s UISIm project staff;

and

https://its.ny.gov/nys-project-management-guidebook-release-2

https://its.ny.gov/nys-project-management-guidebook-release-2


d. Ensure all project staff have signed all confidentiality and security

agreements and have taken all confidentiality trainings before the start of

the project.

2) Review and approve the DDI vendor’s project plan for project initiation.

a. Review the UISIm project plan submitted by the DDI vendor and develop

assessment reports as necessary;

b. Assess the UISIm project plan’s ability to outline how the project will be

structured and how it will be successfully implemented;

c. Produce assessment reports as required by the PSC;

d. Update the UISIm project plan with NYSDOL staff outlining the roles and

responsibilities of all project participants;

e. Review and approve updates to the project plan with the DDI vendor; and

f. Liaise with PSC to review and approve the DDI vendor’s project plan.

3) Review and approve the DDI vendor’s project initiation plan.

a. Assess and update the UISIm project initiation plan including producing

assessment reports;

b. Review changes/updates to the project initiation plan with the DDI vendor;

and

c. Execute the UISIm project initiation plan.

4) Manage the UISIm project scope, schedule, and budget.

a. Prepare and submit clear, understandable, and accurate monthly project

status reports;

b. Work with the UISIm project team coordinators with an emphasis on

addressing schedule and resource management issues as they arise;

c. Prepare and obtain approval for each project phase;

d. Compile status from work group leads and project contractors to update

the project schedule;

e. Update status and publish a monthly update to the project plan;

f. Complete periodic consultation to discuss project progress and potential

enhancements to improve execution;

g. Ensure the UISIm project meets or exceeds budget and financial

objectives; and

h. Report budgeting concerns to the PSC proactively and offer suggestions

for corrective action.

5) Oversee and manage the system change management process.


a. Confirm that all system change management items are documented,

including cost, schedule, and resource impacts with project contractors;

b. Coordinate the review and approval of system change requests with the

PMO and PSC through a defined process and PSC approval; and

c. Track the progress and completion of all system change management

items.

6) Execute the project communication management plan.

a. Implement a project communication process that facilitates

communication of clear, understandable, and accurate information, to the

intended individuals, at the right time;

b. Communicate clear, understandable and accurate project updates

proactively to the PSC and the PMO by preparing meeting agendas,

facilitating meetings, documenting minutes, and action items;

c. Communicate all changes to the UISIm project to all project participants

as appropriate;

d. Develop and distribute strategic communications reports; and

e. Perform periodic review and updates to the project communication

management plan.

7) Execute the project change management plan.

a. Maintain a log of all system change requests identified by the UISIm

project team and submitted by the project contractors;

b. Facilitate the review and approval process for all system change

requests;

c. Document and monitor the system change management process; and

d. Track and manage the system change management costs versus budget.

8) Oversee organizational change management.

a. Working with the DDI vendor, ensure the organizational change

management methodology and process are developed and approved by

the PSC;

b. Ensure organizational change management risks are integrated into the

project risk management plan;

c. Ensure organizational change management activities are included in the

project plan and user training.

9) Execute the project risk management plan.

a. Maintain a log of all project risks identified by the work group leaders and

project contractors;


b. Develop, update, and maintain the project work plan (i.e. Gantt Chart); in

a format approved by the PSC;

c. Evaluate and assign risk probability and impact scores;

d. Rank the identified risks and focus mitigation efforts on the highest

evaluated risks;

e. Prepare risk mitigation plans;

f. Present risks and mitigation plans to the PMO and the PSC;

g. Review and respond clearly and understandably to the Quality Assurance

(QA) Contractor’s findings and coordinate efforts for remedies with the

other project contractors; and

h. Implement agreed upon mitigation plans.

10) Manage UISIm project team.

a. Provide the PSC with clear and understandable recommendations for

optimal level of project staffing and reporting structure for UISIm as the

project evolves and changes;

b. Provide clear guidance to the UISIm project team leaders;

c. Oversee the UISIm project team work plans;

d. Manage dependencies between UISIm work groups;

e. Lead and manage activities of the UISIm project team; and

f. Coordinate reviews, approvals, and documentation needed for the project

review processes to ensure continued process improvements.

B. Project Contractors’ Management

1) Oversee and coordinate project contractors’ work.

a. Manage the project management process with the project contractors;

b. Assess and update all project documents submitted by the DDI vendor;

c. Review findings and recommendations provided by project contractors

and incorporate into the project plans;

d. In consultation with ITS, coordinate and oversee the IT technical work

scope for project contractors;

e. Provide project coordination for work tasks assigned to project

contractors;

f. Provide technical oversight and direction to project contractors;

g. Review and approve in collaboration with the PSC, any system changes

made by the DDI vendor to features or functions in order to resolve defect

issues with the PSC;


h. Manage and assign tasks to project contractors;

i. Facilitate meetings to monitor and respond to deficiencies in the project

contractors’ requirements and deliverables;

j. Oversee and manage the DDI vendor’s finalization of system

requirements;

k. Monitor deliverables database and define requirements for revision

control;

l. Give final approval over all requirements resulting from progressive

elaboration during the finalization of system requirements;

m. Give approval for DDI vendor’s base code set, framework, commercial-

off-the-shelf (COTS) product(s), or any technical base proposed by the

DDI vendor to be used to determine finalized requirements;

n. Ensure all materials for requirement design workshop sessions conducted

by the DDI vendor are made available to NYSDOL attendees;

o. Oversee and manage all milestones of all project contractors to ensure

compliance with NYSDOL requirements, as detailed in the UISS RFP #V-

17 – See Section 2.30.1: Contractor Invoicing Schedule Milestones and

Deliverables Required prior to Invoicing,

p. Oversee and approve DDI vendor project deliverables that are in

compliance with NYSDOL requirements, as detailed in the UISS RFP #V-

17 – See Section 2.30.3, Table 8: Deliverables List for more details;

q. Provide formal written notice to the DDI vendor for project deliverables as

required, according to the UISS RFP #V-17;

r. Review and verify project contractors’ invoices based on project

deliverables; and

s. Verify time and budget requests of project contractors prior to NYSDOL

approval (if applicable).

C. Training Management

1) Execute the DDI vendor’s Knowledge Transfer Plan (See UISS RFP #V-17

Section 2.27).

a. Ensure the DDI vendor’s Knowledge Transfer Plan meets the project

objectives;

b. The plan should document, instruct, and fully prepare a provider for

operating, monitoring, and maintaining system activity and performance;

and

c. Review and comment on the DDI vendor’s Knowledge Transfer Plan.

2) Execute the training plan.


a. Work with the DDI vendor to finalize a training plan in accordance with

provisions of UISS RFP #V-17 Section 2.28 Solution Training to

successfully transition NYSDOL staff and public users to the new

Solution;

b. Work closely with the training team and ensure the training plan is

followed and executed as designed;

c. Review and approve DDI vendor developed training plans and materials;

d. Review and oversee corrective action plans for any training sessions

reported to be ineffective; and

e. Regularly monitor DDI vendor’s timely completion and update of all

training materials, including meeting notes, work in progress, drafts, final

deliverables, run stream/job documentation, operator/user manuals, desk

guides, and error handling procedures, in NYSDOL’s SharePoint cloud

portal.

D. Project Closeout

1) Initiate, manage and oversee the project closeout process. Provide additional

documentation as determined by the PSC, which may include but may not be

limited to:

a. Outstanding work orders;

b. Documentation of DDI vendor Technical Knowledge Transfer (See UISS

RFP #V-17 Section 2.27);

c. Documentation of project lessons learned;

d. Documentation that the risk management plan was completed; and

e. Documentation of project actual expenses compared to budget.

2.4 Project Director Qualifications

2.4.1 Mandatory Qualifications

The PD must have:

A. A current Project Management Professional credential (“PMP”) from the Project

Management Institute. A copy of this certification must accompany the bidder’s

technical proposal (See Attachment B, “Proposal Checklist”).

B. Managed at least two (2) IT projects successfully, defined as a project that met

all of its stated objectives to the customer’s satisfaction, that:

1) had a budget of at least $10 million in IT “application development services”. ”Application development services” are defined as systems whose primary component is software for business processes. This software should have been developed and/or enhanced through coding as part of the referenced project.


2) had complexities requiring coordination of work between multiple entities and

contractors; and

3) had similar scale and complexity to the UISIm project, and that must have

included the system development phases associated with design through

deployment and full client acceptance.

C. A minimum of ten (10) years of project management experience in the public or

private sector.

D. A minimum of ten (10) years of hands-on experience using project management

methodologies and associated tools and metrics.

E. A minimum of a bachelor’s degree from an accredited college or university. If the

degree has been obtained in another country, it is required that the degree or

coursework be evaluated for equivalency. The following is a link to a list of

agencies that provide evaluations of foreign education:

https://www.cs.ny.gov/jobseeker/degrees.cfm. We accept evaluations

performed by these companies or companies that are current National

Association of Credential Evaluation Services (NACES) members –

http://www.naces.org. The bidder is responsible for any evaluation fees.

2.4.2 Desired Qualifications

The Project Director should have:

A. Led four (4) or more projects that involved communication and customer

relationship management activities with both internal and external stakeholders.

B. Project management experience in two (2) or more of the following business

applications:

UI, Financial Accounting, Case Management, Government Revenue,

Insurance, or Claim Processing.

C. A minimum of ten (10) years of experience with iterative information system

development methodologies.

D. Written at least one (1) project guide or led at least one (1) project training which

communicated and translated technical terminology, concepts, and issues in

terms clear and understandable to technical and non-technical management and

staff.

E. A minimum of seven (7) years of experience defining and managing project

scope statements and development approach documents.

F. A minimum of seven (7) years of experience creating and maintaining project

schedules using project scheduling software.

G. A minimum of seven (7) years of experience coordinating project team member

activities according to approved project scope, development approach, and

project schedule.

https://www.cs.ny.gov/jobseeker/degrees.cfm

http://www.naces.org/


H. A minimum of seven (7) years of experience creating and maintaining project

risks and project issues logs.

I. A minimum of seven (7) years of experience managing the resolution of technical

or business issues raised by project stakeholders.

J. A minimum of seven (7) years of experience managing project artifacts, i.e.,

design documents, requirements, test plans, and program code, using

configuration management software.

K. A minimum of seven (7) years of experience developing regular project status

reports.

L. A minimum of seven (7) years of experience planning, developing agendas and

conducting regular project status meetings and working meetings with project

stakeholders.

M. Strong communication skills both written and verbal to demonstrate required

knowledge, skill sets and abilities to define and manage UI project scope and

development. A writing sample of the proposed PD will be required, see Section

5.1.B.1.d.

Section 3 – Process for Proposal Submission

3.1 Questions Concerning this RFP

Questions concerning this RFP shall be submitted via electronic mail attachment utilizing

Attachment H RFP #Y-01 Questions, to

[email protected]. Questions regarding the RFP will be

accepted until December 29, 2017 at 5:00pm NYT. No telephone inquiries will be

accepted. Answers to all questions received by this date will be returned to the bidders

in electronic format no later than the deadline as specified in the Calendar of Events.

The inquiry must cite the particular page, section, and paragraph number (where

applicable) and must be submitted on Attachment H. Bidders are encouraged to submit

questions as early and often as necessary during the Question and Answer period, but

no later than the deadline for submission of bidder’s questions specified in the Calendar

of Events. NYSDOL will make every effort to respond to questions as quickly as

possible.

3.2 Notice of Intent to Bid

Bidders intending to submit a proposal to this RFP should submit the “Notice of Intent to

Bid” form. This form and completion and forwarding instructions are included in

Attachment A – Notice of Intent to Bid. Forms should be received no later than

December 28, 2017 at 5:00pm NYT. Submission of this form is not a mandatory pre-

requisite for bidder eligibility.

3.3 Proposal Due Date

Proposals must be received no later than January 17, 2018 at 11:00AM NYT. Any

proposals or unsolicited amendments to proposals received after the due date and time

will not be considered in the review process. No “faxed” or “e-mailed” documents will be


accepted. NYSDOL takes no responsibility for any third-party error in the delivery of

proposals (e.g. U.S. Post Office, Federal Express, UPS, courier).

Section 4 – RFP Timetable

RFP Calendar of Events

RFP Event Date

RFP Release Date December 22, 2017

Deadline Date for Questions December 29, 2017 @ 5:00pm NYT

Responses to Questions January 8, 2018 @ 5:00pm NYT

Submission Date for the Notice of Intent to Bid (not

mandatory) December 28, 2017 @ 5:00pm NYT

Deadline Date for Proposal Submission January 17, 2018 @ 11:00am NYT

Anticipated Date of 1st Level Interviews Week of January 29, 2018

Anticipated Date of 2nd Level Interviews Week of February 5, 2018

Anticipated Date of Notification of Award February 15, 2018

Timeframe for Contract Negotiations 7 Business Days from Date of

Award Announcement

Anticipated Date of Execution of Contract Agreement

Approximately 45 days from

Contract Submission to NYS

Control Agencies

Anticipated Project Start Date April 30, 2018

Section 5 – Proposal Requirements – Format and Content

5.1. Proposal Forwarding Instructions and Format

A. Forward Proposal Packages to:

Darlene Powers





B. Proposal Format:

A submission may only include one individual as the proposed PD.

1) Technical Proposal:

a. On Attachment D, the bidder and the proposed PD must affirm that:

1) they have read and understand UISS RFP #V-17, 2) the proposed PD has the skill set and the ability to direct the project

management requirements as stated in UISS RFP #V-17, 3) they understand and agree to conform to the requirements set forth

in Sections 2.2 and 2.3 of this RFP; 4) the proposed PD is a US citizen. If not a US citizen, the type of visa

under which the proposed PD will be working and the expiration date must be indicated; and


5) the proposed PD is available for the duration of the proposed engagement with the exception of dates indicated in excess of ten annual vacation days.

b. The bidder shall provide a narrative that demonstrates that the individual

proposed as the PD meets the mandatory qualifications set forth in

Section 2.4.1 of this RFP and possesses some or all of the desired

qualifications set forth in Section 2.4.2 of this RFP. Copies of current

certifications are required.

c. Proposal narratives should be as succinct as possible, while adequately

covering all sections of this RFP, but should not exceed 30 pages, using

twelve (12) point Times New Roman font, with one (1) inch margins.

Supporting documents are not included in this limit. All pages must be

numbered.

d. The bidder shall provide a writing sample from the proposed PD. This

writing sample shall illustrate the PD’s vision of a vendor transition plan,

an assessment report, and a monthly status report.

e. The proposed PD is required to participate in an oral interview to clarify or

support representations made in the written Technical Proposal. The

purpose of the oral interview is to provide the Technical Review

Committee with a greater understanding of the proposed PD’s

qualifications and how past experience will serve to meet the mandatory

and desirable qualifications of this RFP. Presentations/demonstrations

will be conducted at NYSDOL offices at Building 12, State Office Building

Campus, Albany NY. NYSDOL reserves the right to reject the proposals

of bidders who fail to provide any required oral interview.

f. References for the proposed individual set forth in Section 2.2.1.K. must

be provided using Attachment E and E-1.

g. Copies of professional certifications, individual resumes, and Attachments

E and E-1 should be packaged with the Technical Proposal (Volume I).

h. Administrative Documents (this includes all mandatory documentation the

bidder is obligated to return with their proposal (e.g., copy of PMP

certificate, copy of Driver’s License, Non-Drivers Identification Card, visa,

passport, or other accepted forms of government identification) should be

packaged with the Technical Proposal (Volume I).

2) Financial Proposal

a. The Financial Proposal must be provided using Attachment F.

3) Bidders must submit proposals in three (3) separate packages:

A. Volume I - Technical Proposal/Administrative Documents

B. Volume II - Financial Proposal


C. Volume III – NY Legal and Regulatory Forms and Appendices

The three (3) volumes must be submitted simultaneously to the Procurement

Office (at the address listed in Section – 5.1.A. of this RFP and by the date

indicated in Section 4 – RFP Timetable). The bidder’s response to this RFP

shall be submitted as three (3) separately bound and identified proposals.

Each proposal must be marked with the title of the RFP, the Assigned Bid

Number, and the respondent’s name and address clearly displayed on the

exterior of each envelope. Volumes I, II, and III must be in separate

envelopes but should be in the same submission package.

Volume I - Technical Proposal/Administrative Documents

Volume I – Technical Proposal/Administrative Documents shall be submitted

as twelve (12) hard copies (printed and bound), one (1) of which must contain

original signatures. The bidder must also submit five (5) corresponding

searchable electronic media copies on USB 2 or 3 compliant flash drives

labelled “Vendor name UISIm PD RFP #Y-01 Technical,” saved as Microsoft

Word, Excel, and/or Adobe Acrobat format files.

Volume II – Financial Proposal

Volume II – Financial Proposal shall be submitted as five (5) hard copies

(printed), one (1) of which must contain original signatures. The bidder must

also submit five (5) corresponding searchable electronic media copies on

USB 2 or 3 compliant flash drives labelled “Vendor name UISIm PD RFP#Y-

01 Financial,” saved as Microsoft Word, Excel, and/or Adobe Acrobat format

files.

Volume III – NY Legal and Regulatory Forms and Appendices

Volume III – NY Legal and Regulatory Forms and Appendices shall be

submitted as five (5) hard copies (printed), one (1) of which must contain

original signatures. The bidder must also submit five (5) corresponding

searchable electronic media copies on USB 2 or 3 compliant flash drives

labelled “Vendor name UISIm PD RFP #Y-01 Legal-Regulatory,” saved as

Microsoft Word, Excel, and/or Adobe Acrobat format files.

Section 6 – Selection Process and Criteria

6.1 Evaluation of Proposals

All proposals received shall be subject to an evaluation by NYSDOL. A Technical

Review Committee, a Cost Review Committee, and the PSC will participate in the

evaluation of proposals. Members of the Technical Review Committee and the Financial

Review Committee will individually evaluate the technical and financial portions of the

proposals. The Financial Committee will not share their information with the Technical

Committee or the PSC at any time during the review of the proposals.


6.2 Evaluation Process

The evaluation process will be conducted as follows:

A. Incomplete proposals will be disqualified.

B. All bidders that are determined not to be responsive or responsible will be

disqualified after completing a review.

C. Proposals that fail to meet the requirements and/or mandatory qualifications may

be disqualified after completing a full review.

D. Technical (which includes the written proposal and both first and second-level

oral interviews) and Financial proposals will be scored separately and then

combined to produce a final score based upon the weight given to each part.

E. The bidder which represents the total best value (the most points received in the

financial evaluation combined with the technical evaluation -which includes the

technical review as well as both first and second-level oral interviews ) will be

deemed the proposed winner of this RFP.

F. For quality assurance purposes, the vendor who is awarded the contract for

NYSDOL RFP #V-17 – Unemployment Insurance System Solution – cannot

receive the award for NYSDOL RFP #Y-01.

6.3 Evaluation Criteria

Technical Component = 70 points

The technical evaluation is comprised of three (3) components: written technical

evaluation, first-level oral interview (if bidder is susceptible to award), and second-level

oral interview (if bidder is still susceptible to award following the first-level oral interview).

A bidder who does not receive the pre-determined minimum number of written technical

evaluation points will not be considered for a first or second-level oral interview.

Financial Component = 30 points The financial proposal evaluation will be based on total cost of services. If a financial proposal is found to be non-responsive, that proposal may not receive a financial score and may be eliminated from consideration. The lowest cost bidder receives the maximum points. All other bidders are evaluated relative to the lowest bidder’s cost. The formula for the evaluation of other bidder’s cost will be: (lowest cost bidder / bidder cost) x maximum points.

6.4 Method of Selection

The method of selection will be based on a point system with the technical portion of the

rating criteria weighted at 70% of the total and financial being 30% of the total. NYSDOL

will select the bidders that provide the best value taking into consideration the most

beneficial combination of factors including qualifications, experience, and cost as

described herein. The scores from the written technical and financial portions of the


eligible bidders proposal will be combined and a ranking of bidders will be developed.

The next step will be the oral interview process. The proposed PD of all bidders

susceptible to award will be asked to participate in the first-level oral interview process.

The finalists will be notified of the date, time, and place of the interview. The purpose of

the interview will be for the proposed PD to demonstrate communication skills, the ability

to provide the requested services, to clarify representations from the written Technical

Proposal, and to provide the details as to how the proposed PD will accomplish the

requirements of the RFP. The interview will be evaluated on the basis of whether the

proposed PD substantiates the characteristics and attributes indicated in the proposal

and points will be awarded accordingly. NYSDOL reserves the right to reduce a written

technical score based upon information received during the first-level oral interview.

The first-level oral interview(s) will be conducted by members of the Technical

Evaluation Team. At the conclusion of the first-level oral interview(s), each interview

score will be combined with the bidder’s written technical score and the cost score to

create a new ranking of bidders. The proposed PD of all bidders still susceptible to

award after the first-step oral interview will be asked to participate in a second-level oral

interview.

The finalists moving onto the second-level oral interview will be notified of the date, time,

and place of the interview. The second-level oral interview(s) will be conducted by

representatives of the PSC. NYSDOL reserves the right to reduce a written technical

score based upon information received during the second-level oral interview. At the

conclusion of the second-level oral interview, each interview score will be combined with

the written technical score, the cost score, and the first-level oral interview score. The

bidder with the highest number of points at the conclusion of the written technical

evaluation, cost evaluation, first-level oral interview, and second-level oral interview will

be considered the bidder with the best value and the proposed winner of RFP #Y-01.

Note: For quality assurance purposes, the vendor who is awarded the contract for

NYSDOL RFP #V-17 – Unemployment Insurance System Solution – cannot receive the

award for NYSDOL RFP #Y-01. Should the bidder who represents the total best value

for RFP #Y-01 be from the #V-17 awarded vendor, the next highest ranked bidder will be

considered the proposed award winner for RFP #Y-01.

6.4.1 Tie-Breaker

In the event that bidders receive the same final score, the State will use the following tie breaking mechanisms, in the order listed, to determine final ranking:

• The bidder’s Financial Score.

• The bidder's Technical Score after Second-Level Interview.

• Determination by PSC.


Attachments

Attachment A Notice of Intent To Bid

Attachment B Proposal Checklist

Attachment C New York Legal and Regulatory Forms Cover Sheet

Attachment C-1 New York State and Federal Certifications

Attachment C-2 New York State Department of Labor Non-Disclosure Agreement

Attachment C-3 Contract Termination Provisions Pursuant to State Finance Law §139-k

Attachment C-4 Bidder’s Disclosure of Prior Non-Responsibility

Attachment C-5 Bidder’s Affirmation of Understanding and Agreement

Attachment C-6 ST-220-CA Contractor Certification to Covered Agency

Attachment C-7 ST-220-TD Contractor Certification to New York State Department

of Taxation and Finance

Attachment C-8 Form A: State Consultant Services – Contractor’s Planned

Employment

Attachment C-9 Form B: State Consultant Services – Contractor’s Annual

Employment Report

Attachment C-10 Contract Termination Provision Pursuant to Public Officers Law

§73 (4)

Attachment C-11 Bidder Certification of Compliance with Public Officers Law §73

(4)

Attachment C-12 Vendor’s Experience Certification

Attachment C-13 Vendor Responsibility Form

Attachment C-14 AC3237-S – NYS Office of the State Comptroller Substitute Form

W-9

Attachment C-15 No Conflict of Interest Attachment D Bidder and Proposed Project Director Affirmation Attachment E Project Director Resume and Reference Form

Attachment E-1 Proposed Project Director Mandatory Qualifications Summary

Attachment F Project Director Financial Response Form

Attachment G Terms and Conditions

Attachment H RFP #Y-01 Questions


Appendices

Appendix A Standard Clauses for New York State Contracts

Appendix MWBE MWBE EEO Requirements and Procedures

Appendix MWBE-1 MWBE EEO Policy Statement

Appendix MWBE-2 EEO 100 Staffing Plan

Appendix MWBE-3 EEO 101 Workforce Utilization Report

Appendix MWBE-4 MWBE 100 MWBE Utilization Plan

Appendix MWBE-5 MWBE 101 Application for Waiver of MWBE Participation Goal

Appendix MWBE-6 MWBE 105 MWBE Quarterly Compliance Report

Appendix SDVOB SDVOB Requirements and Procedures

Appendix SDVOB-1 SDVOB 100 SDVOB Utilization Plan

Appendix SDVOB-2 SDVOB 101 SDVOB Monthly Compliance Report

Appendix SDVOB-3 SDVOB 200 Application for Waiver of SDVOB Participation Goal