Attachment A-KHS POS_CRM updated 3-5-2020.pdf

3-5-2020-MODIFICATION TO RFP 758 200000265

EXTEND RESPONSES FROM THE COMMONWEALTH TO Q&A FROM

FRIDAY 6, 2020 TO FRIDAY 13, 2020. SECTION 10.9 HAS BEEN

UPDATED ACCORDINGLY. THE CLOSING DATE HAS BEEN

EXTENDED UNTIL APRIL 9, 2020.

THIS IS A REBID DUE TO NO RESPONSES RECEIVED. PREVIOUS

RFP 758 2000000153.

PROPOSAL SUBMISSION CHECKLIST

The vendor MUST include the following with the proposal submission.

If the items highlighted below are not submitted with the proposal submission, the Commonwealth MUST deem the proposal non-responsive and

SHALL NOT consider for award.

All other items MUST be submitted prior to award.

FACE OF SOLICITATION - SIGNED [see Section 60.4]

*PROPOSED TECHNICAL SOLUTION UNDER SEALED COVER AND BY

CLOSING DATE AND TIME [see Sections 60.5 – 60.7]

*PROPOSED COST SOLUTION UNDER SEALED COVER AND BY CLOSING

DATE AND TIME [see Section 60.8 & Attachment B]

*MANDATORY REQUIREMENTS CHECKLIST [see Attachment G]

TRANSMITTAL LETTER [see Section 60.6(A)]

REVENUE FORM 10A100 KENTUCKY TAX REGISTRATION APPLICATION

[see Section 60.6 (C)]

CERTIFICATE OF AUTHORITY- REGISTRATION WITH SECRETARY OF STATE

BY A FOREIGN ENTITY [see Section 60.6 (D)]

REQUIRED ANNUAL AFFIDAVIT AND OTHER AFFIDAVIT(S) [see Attachment C]

EEO FORMS IF APPLICABLE [see Section 40.21]

*The Commonwealth defines SEALED as “a closure that must be broken to be opened and that thus reveals tampering”. (Merriam-Webster Dictionary, http://www.merriam-webster.com/dictionary/seal)

*Please see Attachment E - The Protection of Personal Information Security and Breach Investigation Procedures and Practice Act (KRS 61.931), et seq.

effective January 1, 2015.

ATTACHMENT A

Commonwealth of Kentucky Request for Proposal (RFP)

For Point of Sale System (POS) and

Customer Relationship Management System (CRM)

RFP 758 2000000265

Release Date: February 10, 2020

CLOSING DATE AND TIME: March 20, 2020 April 9, 2020 at 3:30pm EST

(See Section 10.9 of this RFP for the Estimated Schedule of RFP Activities)

Issued by

The Finance and Administration Cabinet On Behalf Of

Kentucky Historical Society (KHS)

Commonwealth Buyer:

Stacy Blank, CPPO, CPPB

Director, Division of Technology Services Procurement

COMMONWEALTH OF KENTUCKY

FINANCE AND ADMINISTRATION CABINET

Office of Procurement Services

New Capitol Annex

702 CAPITOL AVE RM 096

FRANKFORT KY 40601

(502) 564-2294

Fax: (502) 564-6013 Stacy.Blank@ky.gov

TABLE OF CONTENTS

Proposal Submission Checklist Section 10 – Purpose Section 20 – Background and Present System Summary Section 30 – Commonwealth Office of Technology Requirements Section 40 – Procurement Requirements Section 50 – Scope of Work Section 60 – Proposal Submission Section 70 – Proposal Evaluation Section 80 – Negotiations Section 90 – Attachments

SECTION 10 – INTRODUCTION AND OVERVIEW

10.1 Purpose

The purpose of this Request for Proposal (RFP) is to solicit proposals for competitive negotiations pursuant to 200 KAR 5:307.

The Kentucky Historical Society (KHS) is soliciting proposals from qualified vendors interested in providing a comprehensive point of sale (POS) and customer relationship management (CRM) system for the Frankfort, KY campuses. This system shall include online event/program registration and purchases, facility reservation/scheduling/tracking, membership management, point-of sale, payment processing, capture of information for marketing purposes and customer relationship management functions.

KHS is seeking an integrated system to capture the organization’s touchpoints with its stakeholders. KHS envisions a phased rollout of a new system that will begin with the POS and then incorporate additional customer touch points and tracking.

This solution shall:

1. Enable us to serve our customers with greater efficiency and enhanced service;

2. Allow us to make data-driven decisions to evaluate the success of our programs and events;

3. Improve our ability to analyze, market, and promote our offerings;

4. Streamline internal operations and clarify reporting;

5. Enhance visitor engagement through an improved online presence.

The priorities for this RFP are as follows:

1. Admissions desk ticket sales (POS)

2. Payment processing

3. Online admission ticket sales

4. Activity/program registration and maintenance (primarily school groups, camps and event attendance)

5. Memberships (tied to CRM)

6. Mobile ticket sales

7. Gift shop merchandise sales and inventory management

8. Ecommerce capabilities

9. Event facility rentals

10. Improved capabilities for marketing, including data analytics on visitor attendance (e.g., origin based on zip code, frequency, age, etc.)

11. Improved financial accounting and reporting

KHS seeks an integrated system with most of the functionality offered for a POS and CRM functionality, either through the system itself or integration with a 3rd party system.

10.2 Issuing Office

The Commonwealth of Kentucky, Finance and Administration Cabinet, Office of Procurement Services, is issuing this RFP on behalf of the Kentucky Historical Society. The Finance and Administration Cabinet is the only office authorized to change, modify, amend, alter, or clarify the specifications, terms and conditions of this RFP.

A contract, based on this RFP, may or may not be awarded. Any contract award from this RFP is invalid until properly approved and executed by the Finance and Administration Cabinet.

10.3 Access to Solicitation, RFP, and Addenda

The Commonwealth wants each prospective vendor to have full and complete information on which to base a proposal response. Only information presented or referred to in this RFP and any additional written information that is supplied by the Commonwealth Buyer shall be used by vendors in preparing the response.

The solicitation, addenda, and attachments shall be posted to the Kentucky Vendor Self Service site at http://emarsonline1311.state.ky.us/webapp/vssprdonline/AltSelfService It is not necessary to register to access the solicitation. Unregistered vendors can access solicitations by clicking on public access.

http://emarsonline1311.state.ky.us/webapp/vssprdonline/AltSelfService

In the event of any conflict or variation between the solicitation or modification as issued by the Commonwealth and the vendor’s response, the version as issued shall prevail.

10.4 RFP Terminology

For the purpose of this RFP, the following terms may be used interchangeably:

o Proposer, Offeror, Contractor, Provider, or Vendor o Commonwealth Buyer, Buyer, Purchaser, or Contract Officer o RFP, Solicitation, or Procurement o Bid, Proposal, or Offer o Commonwealth of Kentucky, Commonwealth, or State, Agency, Kentucky

Historical Society o Fiscal Year will be defined as the Commonwealth fiscal year: July 1 through

June 30 o Biennium will be defined as the Commonwealth biennium: July 1 of each even numbered year through June 30 of the next even numbered year o Requirements that include the words “Shall”, “Will”, “Must” indicate a mandatory requirement

10.5 Restrictions on Communications

The Commonwealth Buyer named on the Cover Sheet of this RFP shall be the sole point of contact throughout the procurement process. All communications, oral and written (regular, express, or electronic mail, or fax), concerning this procurement shall be addressed to the Buyer.

For violation of this provision, the Commonwealth shall reserve the right to disqualify the vendors’ proposal response.

10.6 Written Questions and Deviations Regarding this RFP

Vendors are encouraged to submit written questions pursuant to Section 10.9 of this RFP. Should a vendor object to any of the Commonwealth’s standard terms and conditions or provisions of the solicitation, that vendor must specifically identify the deviation and must propose specific alternative language that could be acceptable to the Commonwealth. Vendors must include a brief statement of the purpose and impact, if any, for each proposed change in addition to the specific proposed alternate wording. General references to the vendor’s terms and conditions or attempts at complete substitutions are not acceptable.

Deviations shall not be in conflict with the basic nature of this solicitation. The Commonwealth reserves the right to reject any and/or all deviations in whole or in part. Vendors must submit deviations pursuant to the schedule in Section 10.9 of this RFP.

Written questions and deviations shall be submitted to the Commonwealth Buyer via email Stacy.Blank@ky.gov or via fax at 502-564-6013. Vendors should submit questions on Attachment D-Vendors Question Form and deviations mailto:Stacy.Blank@ky.gov on Attachment F-Vendors Deviation Form. No questions or deviations shall be accepted after the date(s) listed in Section 10.9 unless the question(s) or deviation(s) is considered material to the procurement. The Commonwealth shall respond to salient questions in writing by issuing an addendum to the solicitation.

Any addendum will either incorporate acceptable deviations into solicitation, indicate the deviation is negotiable with the successful offeror or indicate the deviation is unacceptable. Offerors proposals that include any deviation deemed unacceptable pursuant to the addendum will result in disqualification of the offerors proposal. The addendum shall be posted to the Kentucky Vendor Self Service site.

10.7 Notification of Award of Contract

The procurement process will provide for the evaluation of proposals and selection of the successful proposal in accordance with State law and regulations. KRS Chapter 45A of the Kentucky Model Procurement Code provides the regulatory framework for the procurement of services by State agencies.

All applicable statutes, regulations, policies and requirements shall become a part of an award as well as the Information Technology requirements.

To view the award of contract(s) and the contractor(s) receiving the award(s) for this solicitation, access the Kentucky Vendor Self Service site at http://emarsonline1311.state.ky.us/webapp/vssprdonline/AltSelfService.

Vendors can search for the solicitation title or number in the keyword search field, or can filter their search for only awarded solicitations by clicking on Advanced Search and changing the status to “Awarded”. The award(s) information can be accessed by clicking on the details button of the solicitation and clicking the “Notice of Award” tab. It is the vendor’s responsibility to review this information in a timely fashion. No other notification of the results of an award of contract will be provided.

10.8 Protest

Pursuant to KRS 45A.285, the Secretary of the Finance and Administration Cabinet, or his designee, shall have authority to determine protests and other controversies of actual or prospective offerors in connection with the solicitations or selection for award of a contract.

Any actual or prospective offeror or contractor, who is aggrieved in connection with solicitation or selection for award of a contract, may a file protest with the Secretary of the Finance and Administration Cabinet. A protest or notice of other controversy must be filed promptly and in any event within two (2) calendar weeks after such aggrieved person knows or should have known of the facts giving rise thereto. All protests or notices of other controversies must be in writing and shall be addressed and mailed to:

Holly M. Johnson, Secretary

COMMONWEALTH OF KENTUCKY

http://emarsonline1311.state.ky.us/webapp/vssprdonline/AltSelfService

FINANCE AND ADMINISTRATION CABINET

New Capitol Annex

702 CAPITOL AVE RM 383

FRANKFORT KY 40601

The Secretary of Finance and Administration Cabinet shall promptly issue a decision in writing. A copy of that decision shall be mailed or otherwise furnished to the aggrieved party and shall state the reasons for the action taken.

The decision by the Secretary of the Finance and Administration Cabinet shall be final and conclusive.

10.9 Estimated Schedule of RFP Activities

The following table presents the anticipated schedule for major activities associated with the RFP distribution, proposal submission, proposal evaluation process, and contract award. The Commonwealth reserves the right at its sole discretion to change the Schedule of Activities, including the associated dates and times.

Anticipated Schedule of Activities

Release of RFP

February 10, 2020

Vendors’ Conference Location: KY Historical Society, 100 W Broadway Street, Brown Forman Conference Room , Frankfort KY 40601 Time: 2:00 pm-3:30 pm EST

February 18, 2020

Commonwealth’s Response to Oral Questions Presented at Vendors’ Conference

February 21, 2020

Vendors’ Written Questions due by 12:00 PM EST

(SUBMIT QUESTIONS ON ATTACHMENT D-VENDORS’ QUESTION

FORM)

March 3, 2020

Vendors’ Written Deviations due by 12:00 PM EST

(SUBMIT QUESTIONS ON ATTACHMENT F -VENDORS’ DEVIATION

FORM)

March 3, 2020

Commonwealth’s Response to Vendors’ Written Questions AND Deviations

March 6, 2020 March 13, 2020

Proposals due by 3:30 PM EST

March 20, 2020 April 9, 2020

All bidders are cautioned to be aware of security in the Capitol Annex in Frankfort. In-person or courier delivered bids/proposals in response to a Commonwealth solicitation should be delivered a minimum of thirty (30) minutes to one (1) hour earlier than the published closing date and time to allow for a security check-in. Delays due to building security checks shall not be justification for acceptance of a late bid or proposal. Vendor attention to this advisory is encouraged.

SECTION 20 – BACKGROUND AND PRESENT SYSTEM SUMMARY

20.1 Background

The Kentucky Historical Society (KHS) is based in Frankfort, Kentucky and operates under the State of Kentucky’s Tourism, Arts and Heritage Cabinet. The campus consists of three buildings: The Society’s headquarters at the Thomas D.

Clark Center for Kentucky History (CKH), the Old State Capitol (OSC), and the Kentucky Military History Museum (KMHM). Each building is located approximately a block apart. Tickets to the campus are sold at CKH, OSC and KHHM and annual visitation averaged over 47,000 visitors in 2018, including approximately 31,000 K-12 students. KHS does not currently have a Point of Sale (POS) or Customer Relationship Management (CRM) system so many processes are done manually. For example, visitor admissions are currently tracked by county through tick marks. School group visits, camp registration, facility rentals, and program/events are all tracked using Excel spreadsheets that do not connect with any other systems.

Although based in Frankfort, KHS is a statewide organization that interacts with audiences across the state. KHS organizes programs in variety of locations, including schools, and its mobile exhibition, the “HistoryMobile (fees are charged for this service). In addition, KHS has a 501(c)(3) foundation, the Kentucky Historical Society Foundation (KHSF), that solicits donations and handles KHS’s membership records (approximately 2,000). KHSF records donors and prospects using Blackbaud’s Raiser’s Edge and has approximately 32,000 records in the system.

KHS currently tracks customer interactions through a variety of means, ranging from pen and paper tallies to spreadsheets. The potential for over/undercounting of visitors exists especially when visiting multiple sites and the origin of visitors is limited to the collection of county, state, or country, hindering our marketing efforts.

Moreover, KHS has a limited online presence: All purchases of ticket sales, program events and merchandise must be made in-person or through the mail.

This hinders our ability to effectively interact with potential customers and creates undue burden on KHS staff to process payments. KHS also does not track member or donor interactions.

The CKH includes a small gift shop and gift sales are also performed at the KMHM and OSC. The CKH gift shop uses a standalone cash register POS. Thus, inventory must be manually tracked, replenishing of stock is unduly burdensome, and tracking of sales by item is challenging. No online sales are currently being performed as well, which represents another opportunity for increased sales.

School field trips, programs/events, and children’s camps all represent a significant portion of KHS’s mission and vision to promote the importance of Kentucky’s history. However, the manual processes associated with tracking, scheduling and invoicing participants place significant burdens on staff. Camps, for example, require forms and waivers to be completed on paper and returned within a timely manner. Invoices are being manually completed and sent to the participants. KHS also has the capability of renting out spaces at all three buildings, although the vast majority of rentals occur at the CKH building. Facility and event rentals are currently tracked using paper processes, Excel and an Outlook calendar.

20.2 Project Support

In terms of staffing resources KHS has a dedicated project manager assigned to the project. Other resources from KHS will be brought in as necessary for decision making, testing and offering other subject matter expertise. At a minimum the vendor shall have a project manager assigned to the project who will work closely with the KHS project manager to successfully configure and implement the software solution.

To provide the necessary support to KHS staff a phased-in approach to the POS/CRM software is proposed. The first phase should be the online ticket sales and visitor desk services (including ticket sales and scanning admission tickets), with the second phase being the gift shop and ecommerce, and then finishing with online registration for programs/events and facility rentals. Each of these phases will have a “go-live” date separated by a few weeks to allow sufficient support for the current phase and allow preparations and training for the next phase to be implemented. KHS is agreeable to modifications with the proposed approach based on discussions with the vendor. The vendor should propose a realistic project plan and schedule along with their rationale when developing their draft project schedule. A final project schedule will be performed with the vendor and KHS to implement the POS/CRM system in a timely manner.

SECTION 30 – COMMONWEALTH OFFICE OF TECHNOLOGY (COT)

REQUIREMENTS

30.1 Hosting

The Commonwealth is seeking a Contractor who can provide a solution per the RFP requirements. The proposed solution should be available for on-premises or hybrid implementation, during the turnover phases at the end of the contract term or termination of the contract. The Commonwealth prefers any proposed cloud solution to be hosted on either on AWS or Azure government cloud platforms. The Contractor may choose other Government Cloud platforms if necessary. Contractors proposing solution must accommodate the Commonwealth Office of Technology (COT) oversight into their proposed solution that includes: an isolated tenant, cloud network access (peering connection) and monitoring solutions. During the negotiation phase, the Commonwealth reserves the right to host any proposed COTS solutions on-premises if it is determined in the best interest of the Commonwealth.

30.2 Commonwealth Information Technology Policies and Standards A. The vendor and any subcontractors shall be required to adhere to applicable

Commonwealth policies and standards.

B. The Commonwealth posts changes to COT Standards and Policies on its technology.ky.gov website. Vendors and subcontractors shall ensure their solution(s) comply with all posted changes. Vendors or subcontractors that cannot comply with changes must, within thirty (30) days of the posted change, request written relief with the justification for such relief. The Commonwealth may 1) deny the request, 2) approve an exception to the policy / standard, or

3) consider scope changes to the contract to accommodate required changes.

Vendors or subcontractors that do not provide the response within the thirty

(30) day period shall be required to comply within ninety (90) days of the change.

30.3 Compliance with Kentucky Information Technology Standards (KITS)

A. The Kentucky Information Technology Standards (KITS) reflect a set of principles for information, technology, applications, and organization.

These standards provide guidelines, policies, directional statements and sets of standards for information technology. It defines, for the Commonwealth, functional and information needs so that technology choices can be made based on business objectives and service delivery.

The vendor shall stay knowledgeable and shall abide by these standards for all related work resulting from this RFP.

http://technology.ky.gov/Governance/Pages/KITS.aspx

B. The vendor and any subcontractors shall be required to submit a technology roadmap for any offered solution. Additional roadmaps will be submitted upon request of the Commonwealth. The Roadmap shall include, but is not limited to, planned, scheduled and projected product lifecycle dates and historical release/patch or maintenance dates for the technology. In addition, any guidance on projected release/revision/patch/maintenance schedules would be preferred.

30.4 Compliance with Commonwealth Security Standards

The software deployment and all vendor services shall abide by privacy and security standards as outlined in the Commonwealth’s Enterprise Information Technology Policies.

Enterprise Security Policies http://technology.ky.gov/ciso/Pages/InformationSecurityPolicies,StandardsandProcedures.aspx http://technology.ky.gov/Pages/default.aspx http://technology.ky.gov/Governance/Pages/KITS.aspx http://technology.ky.gov/ciso/Pages/InformationSecurityPolicies%2CStandardsandProcedures.aspx

Enterprise IT Policies http://technology.ky.gov/policy/pages/policies.aspx

Finance and Administration Cabinet Commonwealth Office of Technology Enterprise IT Policies http://finance.ky.gov/services/policies/Pages/default.aspx

30.5 Compliance with Industry Accepted Reporting Standards Based on Trust Service Principles and Criteria

The vendor must employ comprehensive risk and threat management controls based on defined industry standards for service organizations such as AICPA TSP section 100, Trust Services Principles and Criteria. The vendor must annually assert compliance and engage a third party to examine such assertions and controls to provide a Report, such as AT101 SOC 2 type 2, on Controls at a Service Organization Relevant to Security, Availability, Processing Integrity, Confidentiality, and Privacy, which contains an opinion on whether the operating controls effectively support the assertions. All such reports, including publicly available reports (i.e. AT 101 SOC 3) shall be made available to the Commonwealth for review.

30.6 System Vulnerability and Security Assessments

The Commonwealth reserves the right to conduct, in collaboration with the vendor, non-invasive vulnerability and security assessments of the software and infrastructure used to provide services prior to implementation and periodically thereafter. Upon completion of these assessments, the Commonwealth will communicate any findings to the vendor for action. Any cost relating to the alleviation of the findings will be the responsibility of the vendor. Mitigations will be subject to re-evaluation after completion. In cases where direct mitigation cannot be achieved, the vendor shall communicate this and work closely with the Commonwealth to identify acceptable compensating controls that will reduce risk to an acceptable and agreed upon level. An accredited third party source may be selected by the vendor to address findings, provided they will acknowledge all cost and provide valid documentation of mitigation strategies in an agreed upon timeframe.

30.7 Privacy Assessments

The Commonwealth reserves the right to conduct Privacy assessments of the collection, use, maintenance and sharing of Commonwealth data by any vendor services, software, and infrastructure used to provide services prior to implementation and periodically thereafter. Upon completion of this assessment, the Commonwealth will communicate any findings to the vendor for action. Any cost relating to the alleviation of the findings will be the responsibility of the vendor.

Mitigations will be subject to re-evaluation after completion. In cases where direct mitigation cannot be achieved, the vendor shall communicate this and work closely with the Commonwealth to identify acceptable compensating controls or privacy http://technology.ky.gov/policy/pages/policies.aspx http://finance.ky.gov/services/policies/Pages/default.aspx practices that will reduce risk to an acceptable and agreed upon level. An accredited third party source may be selected by the vendor to address findings, provided they will acknowledge all cost and provide valid documentation of mitigation strategies in an agreed upon timeframe.

30.8 Privacy, Confidentiality and Ownership of Information

The Commonwealth is the designated owner of all Commonwealth data and shall approve all access to that data. The Vendor shall not have ownership of Commonwealth data at any time. The vendor shall not profit from or share Commonwealth data. The Vendor shall be in compliance with privacy policies established by governmental agencies or by state or federal law. Privacy notice statements may be developed and amended from time to time by the Commonwealth and will be appropriately displayed on the Commonwealth portal (Ky.gov). The Vendor should provide sufficient security to protect the Commonwealth and COT data in network transit, storage, and cache. All Commonwealth data, including backups and archives, must be maintained at all times within the contiguous United States. All Commonwealth data, classified as sensitive or higher, as defined in Enterprise Standards, must be encrypted in-transit and at rest.

30.9 EU GDPR Compliance

The Commonwealth of Kentucky requires all vendor contracts to comply with the European Union’s General Data Privacy Regulation [Regulation (EU) 2016/679] (the “GDPR”) when the Commonwealth is a “controller” or “processor” of “personal data” from an individual “data subject” located in the European Union, as those terms are defined in the GDPR. The Contractor acknowledges and agrees that it is acting as a “processor” of “personal data” for the Commonwealth under this Agreement and that all applicable requirements of the GDPR are incorporated by reference as material terms of this Agreement. The Contractor represents and warrants that (1) it is aware of and understands its compliance obligations as a “processor” under GDPR; (2) it has adopted a GDPR compliance policy/program, a copy of which has been provided to the Commonwealth; (3) it will process “personal data” only in accordance with the Commonwealth’s instructions; and (4) with regard to its obligations under this Agreement, it shall comply with all applicable requirements of the GDPR to the same extent as adopted by the Commonwealth. Additionally, the Contractor shall indemnify and hold harmless the Commonwealth, and its employees from and against any claims, demands, suits, damages, penalties, fines, or costs arising from any violation of GDPR by the Contractor.

30.10 X-as-a-Service Technical Definitions

Refer to NIST 800-145

30.11 Data Quality

Vendors shall provide proposed levels of data quality per the following dimensions.

https://csrc.nist.gov/publications/detail/sp/800-145/final

Data Quality is the degree to which data is valid, accurate, complete, unique, timely, consistent with all requirements and business rules, and relevant for a given use. The vendor shall provide data quality definitions and metrics for any data elements. Data has to be of the appropriate quality to address the needs of the Commonwealth of Kentucky. The following dimensions can be used to assess data quality:

Validity – The data values are in an acceptable format.

Accuracy – The data attribute is accurate.

Completeness – There are no null values in a data field.

Uniqueness – There are no duplicate values in a data field.

Timeliness – The data attribute represents information that is not out-of-date.

Consistency – The data attribute is consistent with a business rule that may be based on that attribute itself, or on multiple attributes.

Adherence to business rules – The data attribute or a combination of data attributes adheres to specified business rules.

30.12 Metadata Requirement

The awarded Vendor shall supply the Commonwealth with the logical and physical data model of the proposed solution and the associated data dictionary.

30.13 System Security Compliance Requirements

a. Session Security Lock

Vendor shall configure:

1. The system to initiate a session lock after a maximum of fifteen (15) minutes of inactivity.

2. The system session will remain locked until the user re-established identification and authentication procedures.

b. Session Pattern-Hiding Displays Vendor shall configure system to conceal information previously visible on the display with a publicly viewable image or blank screen.

c. Session Termination

Vendor shall configure system to terminate a user session automatically after defined conditions trigger events requiring session disconnect. Conditions or trigger events requiring automatic session termination include, but are not limited to:

i. Agency-defined periods of user inactivity,

ii. Targeted responses to certain types of incidents, or

iii. Time-of-day restrictions on information system use.

30.14 Software Development

Source code for software developed or modified by the vendor specifically for the Commonwealth shall become property of the Commonwealth. This is not meant to include minor modifications to the vendor software to configure the software for Commonwealth use. This is meant to include software written to add functionality to the vendor product specifically to meet the requirements of the Commonwealth where the Commonwealth bears the entire cost of creating that functionality.

30.15 License Agreements

Software provided by the vendor to the Commonwealth should contain a provision for perpetual licensing with all upgrade options. License agreements should also contain a provision for the Commonwealth to maintain a version of the software in escrow in the event the vendor is unable to continue business for financial or other business reasons.

Vendor shall coordinate with the requesting agency and COT to arrange for the purchase off existing contracts for the competitive solicitation of software and cloud resources for the installation/use of in the solution.

30.16 Software Version Requirements

All commercially supported and Commonwealth approved software components such as Operating system (OS), Database software, Application software, Web Server software, Middle Tier software, and other ancillary software must be kept current. In the event that a patch interferes with the solution, the vendor must present a plan for compliance to the Commonwealth outlining the constraints and an appropriate plan of action to bring the solution in to compliance to allow this patch to be applied in the shortest timeframe possible, not to exceed three months, unless otherwise negotiated with the Commonwealth.

The Vendors shall keep software in compliance with industry standards to support third party products such as Java, Adobe Flash, Internet Explorer, Mozilla Firefox, etc. at latest supported version, release, and patch levels, when such dependencies exist. In the event that a third party dependency interferes with the solution, the vendor must present a plan for compliance to the Commonwealth outlining the constraints and an appropriate plan of action to bring the solution into compliance to allow this third party dependency to be updated in the shortest timeframe possible, not to exceed three months, unless otherwise negotiated with the Commonwealth.

30.17 Section 508 Compliance

All user interfaces to the solution(s) provided, shall be warranted by the vendor to comply with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d) and the World Wide Web Consortium’s (W3C) Web Content Accessibility Guidelines (WCAG) 2.0, conformance level Double-A or greater.

30.18 No Surreptitious Code Warranty

The contractor represents and warrants that no copy of licensed Software provided to the Commonwealth contains or will contain any Self-Help Code or any Unauthorized Code as defined below. This warranty is referred to in this contract as the "No Surreptitious Code Warranty”.

As used in this contract, "Self-Help Code" means any back door, time bomb, drop-dead device, or other software routine designed to disable a computer program automatically with the passage of time or under the positive control of a person other than the licensee of the software. Self-Help Code does not include Software routines in a computer program, if any, designed to permit an owner of the computer program (or other person acting by authority of the owner) to obtain access to a licensee's computer system(s) (e.g. remote access) for purposes of maintenance or technical support.

As used in this contract, "Unauthorized Code" means any virus, Trojan horse, spyware, worm or other Software routines or components designed to permit unauthorized access to disable, erase, or otherwise harm software, equipment, or data; or to perform any other such actions. The term Unauthorized Code does not include Self-Help Code.

In addition, contractor will use up-to-date commercial virus detection software to detect and remove any viruses from any software prior to delivering it to the Commonwealth.

The vendor shall defend the Commonwealth against any claim, and indemnify the Commonwealth against any loss or expense arising out of any breach of the No Surreptitious Code Warranty.

30.19 Network Connection Requirements

A. Vendor shall work with COT to establish any network connections. If a secure site-to-site connection is required, the vendor shall employ a secure site-to-site connection procured by the Agency from COT.

B. Vendor shall notify COT of network bandwidth requirements and if caching is required for implementation vendor shall resolve caching requirements, in coordination with COT.

C. Vendor shall, at COT’s discretion, provide appropriate access to enable the Commonwealth to perform additional security measures, such as decryption of the network traffic if required for inspection. If the proposed solution does not have the ability to meet this requirement, the vendor must provide an alternative such as audit reporting of this function.

D. Vendor shall provide notifications to the Commonwealth Service Desk for unplanned outages within 5 minutes.

E. Vendor shall notify COT Change Management, through the Commonwealth Services Desk, a minimum of two (2) business days prior to any planned outage.

F. Vendor, in conjunction with the agency, shall provide a Business Impact Assessment (BIA) to appropriately classify all data before production/go-live.

G. Vendor shall include a Web Application Firewall when application houses any data classified as sensitive or higher as defined in KITS standards.

H. Vendor shall provide Recovery Time Objective (RTO) and Recovery Point Objective (RPO) services. Vendor shall provide those services to achieve those SLAs.

30.20 OS Requirements

a.Non-On Prem Solutions

1. No Commonwealth data shall be co-mingled with another entity, without the prior approval of the Commonwealth.

2. Vendor shall provide a solution to move data to the Commonwealth, if required by the Commonwealth.

a. At the end of the contract, the Vendor shall provide all agency data in a useable standard data format (such as asci, csv, etc.) that can be converted to a subsequent system. The Vendor shall cooperate to this end with the Agency and/or a Vendor of the agency’s choice, in a timely and efficient manner.

b. Vendor shall provide all agency data in a form that can be converted to any subsequent system of the agency’s choice. The vendor shall cooperate to this end with the vendor of the agency’s choice, in a timely and efficient manner.

c. Vendor shall provide address the destruction of Commonwealth data as defined in CIO-092 and provide a certification of the complete and permanent deletion the Commonwealth data.

A. Infrastructure As A Service

1. Vendor shall work with the Agency and COT to establish all administrative personnel engagements.

2. All virtual environments must run on VMC (VMWare Cloud) with OS version compliant with KITS, unless explicitly approved by COT.

3. VMC shall provide an enterprise class malicious code protective solution that is currently supported by the vendor and up to date

4. Vendor shall meet certification requirements for classification of data being stored.

5. Vendor shall, at COT’s request, provide appropriate access to enable the Commonwealth to perform additional security measures in compliance with Commonwealth Enterprise Policies, Standards, and/or any Federal or State requirements.

6. Vendor shall provide an Exit Strategy, to move all data to the Commonwealth Data Center, if required by the Commonwealth.

a. At the end of the contract, the Vendor shall provide all agency data in a form that can be converted to any subsequent system of the agency’s choice. The Vendor shall cooperate to this end with the Vendor of the agency’s choice, in a timely and efficient manner.

b. Vendor shall provide certification of the complete and permanent deletion of Commonwealth data and backups from all vendor storage.

30.21 Project Governance

Vendor shall work with the Agency and appropriate COT offices, when needed, in the cases of data governance, security aspects, hosting, integration, etc. related to the MEMS System Integration.

30.22 Monitoring Requirements for On Premise and Cloud (SaaS)

Vendor shall work with the Agency and COT to establish a monitoring solution.

Vendors shall provide a view into their environment either by providing a COT approved comprehensive dashboard or allow COT to install their KITS compliant monitoring solution; to include but not limited to performance and availability.

30.23 Application and Service Requirements

A.Current Enterprise Applications and Services

1. COT provides a number of Enterprise Shared Services to State agencies.

Vendor shall use published IT Applications and Services provided on KITS for: Enterprise Service Bus, Enterprise Content Management, Data Warehousing, Data Analytics and Reporting, Business Intelligence, Web Services, GIS, unless explicitly approved by COT.

2. Vendor provided dedicated application components (i.e., Application Servers, Databases, etc.) shall comply with KITS or if the technology is not included in KITS, the technology must be accepted by the Commonwealth for inclusion in KITS or granted a written exception to KITS according to COT Information Technology Standards Policy currently CIO-051.

3. Vendor applications must describe in detail all available features and functionality accessible via APIs.

4. All business applications must use the Commonwealth of Kentucky Single Sign On (SSO), the Kentucky Online Gateway (KOG) in accordance with Attachment I, KOG Integration.

B. Vendor shall comply with Commonwealth of Kentucky finger print requirements for PII/FTI/HIPAA data systems hosted outside Central Data Center.

30.24 Project Management Requirements

The COT Office of Project Management (OPM) is responsible for overseeing large and complex technology projects throughout the Commonwealth. The vendor shall adhere to Project Management standards and reporting requirements established by OPM, which are posted at https://technology.ky.gov/oet/Pages/epmo.aspx.

These include, but are not limited to having a documented project schedule, risk management, issue management and reporting project status to the CIO monthly in the format defined by OPM. In addition to the project management standards required by OPM, agency specific requirements may be defined in Section 50 of this RFP.

30.25 Applicable Security Control Framework Compliance

The vendor must have an awareness and understanding of the NIST Special Publication 800-53 Security Control Framework and employ safeguards that meet or exceed the moderate level controls as defined within the standard. The respondent must provide sufficient safeguards to provide reasonable protections around the Commonwealth’s data to ensure that the confidentiality, integrity, and availability is maintained at an appropriate level. These include but are not limited to:

Access Control The vendor must employ policy and process that provide for stringent control to limit physical and logical access to systems that house Commonwealth data, on a need to know basis, provide clear separation of duties, and adheres to least privilege principles.

Awareness and Training The vendor must provide the appropriate role specific training for staff to ensure that there is awareness and understanding of roles and responsibilities as they relate to the protections around the Commonwealth’s data.

Audit and Accountability There must be sufficient auditing capability to ensure that actions are tracked and there is individual accountability for all actions taken by vendor staff.

Configuration Management The vendor must work within established baselines that provide minimal functionality needed to ensure service delivery without exposing unnecessary risk. The vendor must also employ structured change control processes that provide a level of coordination with the client agreed upon in a Service Level Agreement (SLA).

Contingency Planning The vendor must employ contingent planning policy and procedures that ensure service delivery based on agreed SLA levels while maintaining all Commonwealth data within the continental Unites States.

Identification and Authorization The vendor must employ appropriate identity and access management policies and procedures to ensure that access is appropriately authorized and managed at a level to ensure that access is provisioned and de-provisioned in a timely and efficient manner.

Incident Response The vendor must employ policy and procedures to ensure that an appropriate response to all identified security incidents are addressed in a timely manner and are reported to the appropriate parties in an agreed upon SLA timeframe.

https://technology.ky.gov/oet/Pages/epmo.aspx

The vendor must also ensure that all staff are sufficient trained to ensure that they can identify situations that are classified as security incidents.

Maintenance The vendor must employ policy and procedures that ensure that all maintenance activities are conducted only by authorized maintenance staff leveraging only authorized maintenance tools.

Media Protection The vendor must employ policy and procedure to ensure that sufficient protections exist to protect Commonwealth data on all storage media throughout the media lifecycle and maintain documentation from media creation through destruction.

Physical and Environmental Controls The vendor must employ physical and environmental policies and procedures that ensure that the service and delivery infrastructure are located in a physically secure and environmentally protected environment to ensure the confidentiality, integrity, and availability of Commonwealth data.

Personnel Security The vendor must employ policies and procedures to ensure that all staff that have access to systems that house, transmit, or process Commonwealth data have been appropriately vetted and have been through a background check at the time of hire and periodically thereafter.

System and Communications Protections The vendor must employ physical and logical protection that protect system communications and communication media from unauthorized access and to ensure adequate physical protections from damage.

SECTION 40 – PROCUREMENT REQUIREMENTS

40.1 Procurement Requirements

Procurement requirements are listed under “Procurement Laws, Preference, Regulations and Policies” and “Response to Solicitation” located on the eProcurement Web page at http://eprocurement.ky.gov and http://finance.ky.gov/services/eprocurement/Pages/VendorServices.aspx respectively. The vendor must comply with all applicable statutes, regulations and policies related to this procurement.

40.2 Contract Components and Order of Precedence

The Commonwealth’s acceptance of the contractor’s offer in response to the solicitation, indicated by the issuance of a contract award by the Office of Procurement Services, shall create a valid contract between the Parties consisting of the following:

1. Procurement Statutes, Regulations and Policies

2. Any written Agreement between the Parties;

3. Any Addenda to the Solicitation;

4. The Solicitation and all attachments http://eprocurement.ky.gov/ http://finance.ky.gov/services/eprocurement/Pages/VendorServices.aspx

5. Any Best and Final Offer;

6. Any clarifications concerning the Contractor’s proposal in response to the

Solicitation;

7. The Contractor’s proposal in response to the Solicitation.

In the event of any conflict between or among the provisions contained in the contract, the order of precedence shall be as enumerated above.

40.3 Final Agreement

The contract represents the entire agreement between the parties with respect to the subject matter hereof. Prior negotiations, representations, or agreements, either written or oral, between the parties hereto relating to the subject matter hereof shall be of no effect upon this contract.

40.4 Contract Provisions

If any provision of this contract (including items incorporated by reference) is declared or found to be illegal, unenforceable, or void, then both the Commonwealth and the contractor shall be relieved of all obligations arising under such provision. If the remainder of this contract is capable of performance, it shall not be affected by such declaration or finding and shall be fully performed.

40.5 Type of Contract

The contract proposed in response to this solicitation shall be on the basis of a firm fixed unit price for the elements listed in this solicitation. This solicitation is specifically not intended to solicit proposals for contracts on the basis of cost-plus, open-ended rate schedule, nor any non-fixed price arrangement.

40.6 Contract Usage

As a result of this RFP, the contractual agreement with the selected vendor will in no way obligate the Commonwealth of Kentucky to purchase any services or equipment under this contract. The Commonwealth agrees, in entering into any contract, to purchase only such services in such quantities as necessary to meet the actual requirements as determined by the Commonwealth.

40.7 Addition or Deletion of Items or Services

The Office of Procurement Services reserves the right to add new and similar items, by issuing a contract modification, to this contract with the consent of the vendor. Until such time as the vendor receives a modification, the vendor shall not accept delivery orders from any agency referencing such items or services.

40.8 Changes and Modifications to the Contract

Pursuant to KRS 45A.210 (1) and 200 KAR 5:311, no modification or change of any provision in the contract shall be made, or construed to have been made, unless such modification is mutually agreed to in writing by the contractor and the Commonwealth, and incorporated as a written amendment to the contract and processed through the Office of Procurement Services and approved by the

Finance and Administration Cabinet prior to the effective date of such modification or change pursuant to KRS 45A.210(1) and 200 KAR 5:311. Memorandum of understanding, written clarification, and/or correspondence shall not be construed as amendments to the contract.

If the contractor finds at any time that existing conditions made modification of the contract necessary, it shall promptly report such matters to the Commonwealth Buyer for consideration and decision.

40.9 Changes in Scope

The Commonwealth may, at any time by written order, make changes within the general scope of the contract. No changes in scope are to be conducted except at the approval of the Commonwealth.

40.10 Contract Conformance

If the Commonwealth Buyer determines that deliverables due under the contract are not in conformance with the terms and conditions of the contract and the mutually agreed-upon project plan, the Buyer may request the contractor to deliver assurances in the form of additional contractor resources and to demonstrate that other major schedules will not be affected. The Commonwealth shall determine the quantity and quality of such additional resources and failure to comply may constitute default by the contractor.

40.11 Assignment

The contract shall not be assigned in whole or in part without the prior written consent of the Commonwealth Buyer.

40.12 Payment

The Commonwealth will make payment within thirty (30) working days of receipt of contractor's invoice or of acceptance of goods and/or services in accordance with KRS 45.453 and KRS 45.454.

Payments are predicated upon successful completion and acceptance of the described work, services, supplies, or commodities, and delivery of the required documentation. Invoices for payment shall be submitted to the agency contact person or his representative.

40.13 Contractor Cooperation in Related Efforts

The Commonwealth of Kentucky may undertake or award other contracts for additional or related work, services, supplies, or commodities, and the contractor shall fully cooperate with such other contractors and Commonwealth employees.

The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or by Commonwealth employees.

40.14 Contractor Affiliation

"Affiliate" shall mean a branch, division or subsidiary that is effectively controlled by another party. If any affiliate of the contractor shall take any action that, if done by the contractor, would constitute a breach of this agreement, the same shall be deemed a breach by such party with like legal effect.

40.15 Commonwealth Property

The contractor shall be responsible for the proper custody and care of any Commonwealth-owned property furnished for contractor's use in connections with the performance of this contract.