ATTACHMENT A - Terms and Conditions - RFP 758 2600000216 Security and Surveillance, HW, SW, Systems and Services.pdf

Revised Aug 27, 2025

ATTACHMENT A

Commonwealth of Kentucky Request for Proposal (RFP)

For

SECURITY AND SURVEILLANCE

HARDWARE, SOFTWARE, SYSTEMS AND SERVICES

RFP 758 2600000216

Release Date: December 22, 2025

CLOSING DATE AND TIME: January 29, 2026 at 3:30pm ET

Issued by The Finance and Administration Cabinet on behalf of The Commonwealth Office of Technology (COT)

Commonwealth Buyer:

Jenifer Taylor, CPPB, KCPM Assistant Director, IT Division

COMMONWEALTH OF KENTUCKY

FINANCE AND ADMINISTRATION CABINET

Office of Procurement Services 200 Mero Street, 5th Floor

Frankfort, KY 40622

(502) 564-6522

Jenifer.Taylor@ky.gov

TABLE OF CONTENTS

Proposal Submission Checklist Section 1 – Summary Section 2 – Introduction Section 3 – Scope of Work Section 4 – Commonwealth Office of Technology Requirements Section 5 – Procurement Requirements and Instructions Section 6 – Proposal Submission Section 7 – Proposal Evaluation Section 8 – Negotiations Section 9 – Contract Requirements Section 10 – Standard Terms and Conditions Section 11 – Attachments mailto:Jenifer.Taylor@ky.gov

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.

*PROPOSED TECHNICAL SOLUTION

*PROPOSED COST SOLUTION

TRANSMITTAL LETTER [see Section 6.7(A)]

MANDATORY REQUIREMENTS CHECKLIST [see Attachment F]

REVENUE FORM 10A100 KENTUCKY TAX REGISTRATION APPLICATION IF APPLICABLE

[see Section 6.7 (C)]

CERTIFICATE OF AUTHORITY- REGISTRATION WITH SECRETARY OF STATE BY A FOREIGN

ENTITY IF APPLICABLE [see Section 6.7 (D)]

REQUIRED ANNUAL AFFIDAVIT AND OTHER AFFIDAVIT(S)

https://finance.ky.gov/office-of-the-secretary/FinanceForms/Annual%20Required%20Affidavit%20for%20Bidders%20Offerors%20and% 20Contractors.pdf

*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.

https://finance.ky.gov/office-of-the-secretary/FinanceForms/Annual%20Required%20Affidavit%20for%20Bidders%20Offerors%20and%20Contractors.pdf https://finance.ky.gov/office-of-the-secretary/FinanceForms/Annual%20Required%20Affidavit%20for%20Bidders%20Offerors%20and%20Contractors.pdf https://finance.ky.gov/office-of-the-secretary/FinanceForms/Annual%20Required%20Affidavit%20for%20Bidders%20Offerors%20and%20Contractors.pdf

SECTION 1 - RFP SUMMARY

1.1 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

December 22, 2025

Vendors’ Written Questions due by 12:00 PM ET

(SUBMIT QUESTIONS ON ATTACHMENT D-VENDORS’ QUESTION

FORM)

January 12, 2026

Commonwealth’s Response to Vendors’ Written Questions January 16, 2026

Proposals due by 3:30 PM ET

January 29, 2026

1.2 Issuing Office

The Commonwealth of Kentucky, Finance and Administration Cabinet, Office of Procurement Services, is issuing this RFP on behalf of the Commonwealth Office of Technology (COT).

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.

1.3 Agencies to Be Served

This contract shall be for use by the Commonwealth Office of Technology (COT) on behalf of All State Agencies. All Executive Branch Agencies must receive prior approval from COT via the SPR1 process before ordering hardware, software, systems or services on this contract. No shipments shall be made except upon receipt by vendor of an official delivery order from the using agency.

Political Subdivisions Under Kentucky Statutes, political subdivisions of this State including cities of all classes, counties, and school districts may participate in All State Agency Master Agreements to the same extent as agencies of the Commonwealth.

SECTION 2 - INTRODUCTION

2.1 Purpose

The purpose of this Request for Proposal (RFP) is to solicit proposals for competitive negotiations pursuant to 200 KAR 5:307. The Commonwealth is seeking to award up to two (2) contracts for SECURITY AND SURVEILLANCE HARDWARE, SOFTWARE, SYSTEMS AND

SERVICES.

2.2 Background

The Commonwealth Office of Technology (COT) serves as the Commonwealth’s central information technology agency and provides technology leadership, services and solutions to the Commonwealth’s Executive Branch agencies. COT also provides enterprise governance by establishing IT policies, standards and guidelines.

In the Commonwealth, the management of information technology is a crucial aspect of ensuring efficient government operations and delivering services to the public.

SECTION 3 – SCOPE OF WORK

PROPOSALS THAT DO NOT MEET MANDATORY REQUIREMENTS WILL BE DEEMED NON-

RESPONSIVE AND WILL NOT BE CONSIDERED. REFER TO ATTACHMENT F – MANDATORY

REQUIREMENTS CHECKLIST.

“Mandatory Requirement means a condition set out in the specifications or statement of work that must be met without exception.”

3.1 Scope of Work/Technical Requirements

A. Security and surveillance Hardware, Software, Systems and Services

1. Vendor shall provide, but not limited to, turnkey solutions, video, access control, integrated video management, visitor management, door locks and closures, monitoring systems, service, installation, configuration, warranty, integration, training and maintenance.

2. All components of the contract shall be new and shall not be used, refurbished or demo systems unless otherwise approved by COT.

3. Uptime guarantee should be 99%.

4. Vendor must be able to recognize the need for future security innovations and concepts by understanding developments in technology and collaborating with the Commonwealth on integrating these changes in technology into Commonwealth systems.

5. Vendor should provide support for existing systems including hardware and/or software. The existing systems and/or manufacturers are outlined in Attachment G - Existing Systems/Manufacturers.

6. Vendor should be able to provide the following in addition to the systems outlined in Attachment G - Existing Systems/Manufacturers. Additional systems may be added after the award of the contract if within scope and approved by COT.

a. Alarm and Signal Systems

b. Building Automation Systems (BAS)

c. Command Center Systems

d. Computer Aided Dispatch Systems

e. Electronic Article Surveillance Systems

f. Electronic Identification Systems

g. Emergency Management Systems

h. Emergency Mass Notification Systems

i. Emergency Phone/PBX Systems

j. Energy Management Systems

k. CCTV/Surveillance Camera Systems

l. Electrical Distribution and Control Systems

m. Parking Access Control Systems

n. Physical Access Control Systems

o. Fire Alarm Systems Fire Pump Systems

p. Fire Station Alerting Systems

q. Inmate Radio Systems Microprocessor

r. Controlled HVAC Equipment Systems

s. Permanent Facility Perimeter Fencing Systems

t. Fire Sprinkler and Fire Suppression Systems

u. Lighting Control/Occupancy Detecting Systems

v. Nurse Call Systems

w. Personal Alarm Systems

x. Public Address Systems

y. Public Safety Digital Display Systems

z. Traffic and Transportation CCTV/Surveillance and Monitoring System

B. Vendor Staff and Qualifications

1. Vendor shall be an Authorized distributor/reseller of the proposed hardware, software, systems, and services and shall be able to provide these items as well as related services statewide.

2. Vendor shall have at least three (3) years of experience in providing Security and Surveillance Hardware, Software, Systems and Services as referenced in this RFP.

3. Vendor shall use Certified Technicians to perform all services. All certifications must be available upon request to the Commonwealth.

4. Vendor shall be responsible for all necessary permits and shall ensure they are current and remain current.

5. Vendor’s staff shall always wear appropriate identification and appropriate uniform attire while on Commonwealth property.

C. Statements of Work (SOW) and Quote

1. Vendor shall provide an SOW and/or Quote to the requesting agency. The SOW and/or Quote must be reviewed and approved by the agency. The vendor cannot start any work prior to receiving a Delivery Order (DO) from the agency.

2. Vendor shall make a pre-installation site visit prior to preparing an SOW and/or Quote unless otherwise approved by the using agency.

3. The SOW and/or Quote shall include:

a. The Commonwealth contract number

b. The Agency name

c. Description of the request (hardware, software, system or service manufacturer name, part number, etc.)

d. Breakdown of cost

e. Additional terms and conditions shall not be added to the SOW and/or

Quote

Additional information on the SOW and/or Quote should include:

f. Delivery, installation and completion dates

g. Staging requirements, personnel resources, etc.

h. Any recommendations, i.e. additional storage/server requirements

i. Any third-party partners and/or subcontractors and what will be provided by the partner or subcontractor. The Commonwealth reserves the right to reject any third-party partners or subcontractors.

4. Vendor shall identify the need for all building penetrations, firestop, conduit and cable pathways for any exterior devices.

D. Installation

1. Vendor shall survey and review installation site prior to installation unless otherwise approved by the using agency.

2. Software installation should allow remote monitoring and control of the entire system.

3. Vendor shall install and secure cabling, wiring and equipment according to state, federal and local standards, regulations and codes and obtain all necessary and applicable permits.

4. Installation and configuration of hardware and all software shall be completed into a fully functional system and shall be according to the manufacturer’s specifications.

5. Unless otherwise directed by the using agency, the vendor shall install all hardware and software.

6. Infrastructure devices (the procurement, ownership, support, maintenance and disposal) such as routers, switches, Wi-Fi access points, servers and storage shall fall under COT responsibilities. Vendors solutions shall use COT Infrastructure services where applicable.

7. COT shall provide asset tagging for COT owned hardware. Vendor shall provide asset tagging where applicable.

8. A certified technician shall conduct all installations and be responsible for all the work and hardware needed for the installation.

9. Vendor shall perform any drilling necessary for the physical mount and bolting required for installation.

10. Vendor shall supply all screws, fasteners, and other miscellaneous hardware required for the installation.

11. During installation, Vendor shall be responsible for unpacking, uncrating, and installing, mechanically and electrically, all components associated and connected with the order.

12. Vendor shall supply the Commonwealth all literature, manuals, and other documentation applicable to the hardware and software installed.

13. The using agency shall prepare the site prior to the scheduled delivery date. If the site has not been properly prepared as specified in the SOW the Vendor may reschedule the delivery and installation.

14. Wiring shall be installed and secured pursuant to local building and fire codes, and National Electrical Code, latest edition. This contract shall not include device-to-device wiring, except for minor inter-connections (e.g. where more than one device or panel is at the same mounting board or mounting point). It is intended that wiring work under this contract shall be limited to removal/replacement of existing wiring connections for replaced devices, and/or connection of wiring (existing or newly-installed by others) for new devices.

Where device-to-device wiring must be installed, or medium- or low-voltage wiring (other than described in the paragraph above) is required, such wiring work must be handled outside of this contract.

15. The installation of the systems shall be in accordance with the manufacturer’s recommendations. There may be times when new security and surveillance systems will be required to interface with existing access control systems.

16. The Finance and Administration Cabinet, Division of Engineering and Contract Administration (DECA) has the sole authority to hire professional engineering services. Such services shall not be provided under this contract.

17. Vendor shall label all system components to identify the device, the associated control equipment and the associate communications closet.

18. Each camera installed shall be configured to the video proxy to include at minimum the following:

a. Logical Name

b. IP Address

c. Type of camera (manufacturer)

d. Username and password

e. Media type

f. Resolution

g. Quality of compression

h. Frame rate

i. Local Storage archive loop

j. Client configuration for video viewing

k. Position and focus of camera on the appropriate field of view

19. Vendor shall maintain a Configuration Guide, available to the Commonwealth, documenting the configuration, software and hardware, of all equipment in all surveillance systems. The configuration guide shall include location and placement of all cameras and equipment.

20. Vendor shall have a representative(s) on-site during all installations.

21. Vendor shall not disable any functioning or partially functioning system(s), unless addressing a life safety issue, without prior authorization by the using agency.

Failure to obtain prior authorization may result in the vendor being liable for incidental, consequential or punitive damages associated with the unauthorized outage.

E. Inspection

1. The Finance and Administration Cabinet, Division of Engineering and Contract

Administration (DECA) shall schedule all inspections.

2. The final comprehensive inspection must be conducted upon completion of the installation. The vendor shall run a complete and successful systems test and acceptable checklist on the entire completed system to ensure the system was properly installed; meets state, federal and local standards, regulations and codes; and that each component of the system is compatible to best industrial standards and functions as designed and requested.

3. If any part of the system fails inspection, the vendor shall remedy the deficiencies at no additional cost to the Commonwealth and re-inspect and re-test to verify corrections.

F. Warranty

1. Vendor shall provide a one (1) year warranty on all parts, hardware and software installed and the one (1) year warranty shall not begin until the entire system is installed, inspected and accepted by the agency.

2. No labor cost shall be charged to correct documented defects within that one (1) year warranty.

3. All replacement parts during the warranty shall be tested to perform as new per industry standard.

4. A call tracking system shall be maintained by the vendor for all warranty support.

5. Vendor shall provide extended warranties if requested.

6. Vendor shall provide 24/7 premier support.

7. Vendor shall provide telephone support to diagnose warranty issues for both critical and non-critical components.

G. Site Cleanup and Repairs

1. Vendor shall, at all times, keep the premises and surrounding area free from the accumulation of waste materials or rubbish caused by vendor’s operations in connection with the Project.

2. Cleanup and job site conditions shall comply with all applicable regulatory mandates.

3. Post installation and prior to final inspection and acceptance, the vendor shall immediately remove all remaining waste materials, rubbish, construction equipment, tools, machinery, surplus materials, cardboard boxes and packaging material from the using agency’s facility leaving the area clean. Vendor is not allowed to use internal trashcans, external trashcans, or hallways for trash. Trash shall be completely removed from the premises. If the contractor fails to clean up as required, the using agency may perform or hire a third party to perform the cleaning tasks and charge the cost to the vendor.

4. Vendor shall repair and/or replace damaged facilities caused by work performed under this contract.

H. Monthly Reports

The vendor shall submit Monthly Reports to the COT contracting officer, stephanier.williams@ky.gov of all Commonwealth usage and projects. Reports should include using agency, projects, sales, installation, maintenance, system error alerts, service reports, etc.

mailto:stephanier.williams@ky.gov

I. Customer Service

1. Vendor shall provide a contact person for all communications related to this contract.

2. Vendor shall provide a Toll-Free Number and an Email Address for Help Desk/Customer Support which shall be available Monday through Friday from 8:00am - 5:00 pm Eastern Time. Maintenance/Service support shall be available Monday through Friday from 8:00am -5:00pm Eastern time. Request for service shall be acknowledged within two (2) hours, technicians on-site within six (6) hours, and problem resolved within twenty-four (24) hours. If the time limit expires outside a service window, then the acknowledgement, on-site, or resolution shall be within one (1) hour of the beginning of the following service window.

3. Some governmental agencies provide 24/7 mission critical services. The vendor should extend customer service to weekends and holidays if requested.

4. Vendor shall assign a Project Manager for projects. That person(s) shall be responsible for working with the Commonwealth from start to the finish on the project/installation.

5. Vendor shall provide emergency response service with a guaranteed response time, location of dispatch by responding party and process to be followed for a system outage.

J. Service/repair personnel should carry adequate hardware inventory to replace, repair, and/or maintain each system at the time dispatched and should be prepared to provide an immediate replacement for defective equipment. A defective unit should not be removed without an immediate replacement.

K. Vendor must coordinate any anticipated service disruptions with the Commonwealth at a minimum of twenty-four (24) hours’ notice.

L. Vendor must provide training and training materials to the agency at no additional cost to the agency. On-site training shall be provided for any new or updated equipment and/or software.

M. The Commonwealth reserves the right to require a background check on any vendor staff at any time. The cost of the background shall be the responsibility of the vendor and not the Commonwealth.

N. Leasing and rental options shall not be offered and shall not be accepted.

O. Site Hazardous Materials and Safety

1. In the event the vendor unexpectedly encounters onsite material that is reasonably believed to be asbestos, polychlorinated biphenyl (PCB) or other classified hazardous substances/materials which have not been rendered harmless, the vendor shall immediately stop work in the area affected and report the condition to the using agency. The work in the affected area shall not thereafter be resumed except by written approval of the using agency and the vendor if in fact the material is asbestos, polychlorinated biphenyl (PCB), or other classified hazardous substances/materials which have not been rendered harmless. The work in the affected area shall be resumed in the absence of any classified hazardous substances/materials or when it or they have been rendered harmless.

2. Vendor shall practice acceptable safety precautions so as not to cause harm to any persons or property while performing services under the resulting contract.

Vendor shall follow industry safety standards and use only industry approved safety equipment in accordance with the manufacturer’s specifications in the performance of all duties. Vendor shall maintain at all times all equipment in proper and safe operating conditions in accordance with the manufacture’s specifications. Vendor must be cognizant of safety at all times. Vendor shall exercise extreme caution around pedestrians and parked cars. Vendor shall clearly mark all work areas that might endanger the health and safety of building occupants, guests, or any other persons. Vendor shall provide such signs, markers and barricades as required to identify all work areas and minimize inherent dangers.

P. Product Recall Procedure

Vendor shall agree that recall notification shall be provided, regardless of level, in writing to the using agency i.e. by phone or by direct email. The notices shall include a complete product description and/or indemnification, Contract number, Delivery Order number, and disposition instructions. Upon notification, the vendor shall replace, pick up and/or accept agency returned item(s), test, destroy or return recalled products to the manufacture at no expense to the using agency. Vendor shall agree to issue replacement of product or credit for any product that is recalled, giving the purchasing agency the option of accepting either credit or replacement in exchange for the recalled products.

3.2 Value Added Services

Value-added services may be added to the contract with the prior approval by the Commonwealth Office of Technology and the Office of Procurement Services Buyer of Record.

Upon approval, a formal modification will be made to add the service(s). No work shall begin until a contract modification is completed and notice provided by the OPS Buyer that work may begin.

SECTION 4 – COMMONWEALTH OFFICE OF TECHNOLOGY (COT)

REQUIREMENTS

4.1 Hosting

The Commonwealth is seeking a vendor who can provide a solution per the RFP requirements. The vendor can use servers stood up by COT to house the solution or the vendor may propose a cloud-hosted solution. If the vendor is proposing a cloud solution, the Commonwealth prefers the proposed cloud solution to be hosted on an established Commonwealth Office of Technology (COT) managed cloud tenant. If a COT managed cloud tenant is not proposed, the vendor shall propose a commercial Federal Risk and Authorization Management Program (FedRAMP) - certified or HITRUST Cloud platforms. The proposed solution must accommodate COT oversight that includes an isolated tenant, cloud network access (peering connection) and monitoring solutions.

The Commonwealth reserves the right to host any proposed solution, at any time, if deemed in the best interest of the Commonwealth.

If vendor is using any type of Artificial Intelligence (AI) please indicate this in the RFP response.

4.2 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 Commonwealth Office of Technology - Home - Commonwealth Office of Technology (Kentucky) website.

Vendors and subcontractors shall ensure their solution(s) shall work in concert 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.

4.3 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 provide a solution that works in concert with these standards for all related work resulting from this RFP.

https://technology.ky.gov/about-the-agency/Pages/kits.aspx

B. The vendor and any subcontractors may be required to submit a technology roadmap for any offered solution. Additional roadmaps will be submitted upon request of the Commonwealth. If required, 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.

4.4 Compliance with Industry Accepted Reporting Standards Based on Trust Service Principles and Criteria (if Cloud Hosting is Involved) The vendor must employ comprehensive risk and threat management controls based on defined industry standards for service organizations such as ISO AICPA TSP section 100, Trust Services Principles and Criteria. The vendor must annually assert compliance and engage a third-party certification registrar to examine such assertions and controls to provide a Report, such as ISO 9000, ISO 14001, 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 https://technology.ky.gov/Pages/index.aspx https://technology.ky.gov/Pages/index.aspx https://technology.ky.gov/about-the-agency/Pages/kits.aspx assertions. All such reports, including publicly available reports (i.e. AT 101 SOC 3) shall be made available to the Commonwealth for review.

4.5 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.

4.6 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 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.

4.7 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 from vendor’s network and at rest while stored on vendor’s laptops or other portable media devices.

4.8 Data Quality

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

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.

4.9 License Agreements

Any proposed software agreements, i.e. license agreement, subscription agreement, end-user license agreement, etc. shall include the following language, or similar, and must be submitted to the Commonwealth Office of Technology (COT) for review and approval prior to the award of the contract:

“Governing Law shall be the Commonwealth of Kentucky, Franklin County. All terms of the vendor/subvendor agreement/EULA shall be read as applicable only to the extent permitted by Kentucky law and no term in violation of the Kentucky law, inclusive of Kentucky Procurement Law, shall be given effect.”

Any third-party software licenses and cloud resources necessary for the proposed solution may be procured via the Commonwealth’s existing contracts.

4.10 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 (3) months, unless otherwise negotiated with the Commonwealth.

4.11 No Surreptitious Code Warranty

The vendor 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 malware 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, vendor 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.

4.12 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, 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.

C. Vendor should provide notifications to the Commonwealth Service Desk for unplanned outages within fifteen (15) minutes.

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

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

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

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

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

B. Infrastructure as a Service

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

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

3. 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.

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

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.

4.14 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., provided that such work does not expand the scope of the services as described in this RFP absent a corresponding change order agreed to by the parties reflecting such expansion.

4.15 Application and Service Requirements

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 support the ability to use modern authentication for authentication and authorization. Modern authentication technologies would include SAML 2.0, WSFED, OAuth, or OpenID Connect.

4.16 Project Management Requirements

The COT Division of Governance and Strategy (COT-DGS) 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 COT-DGS, which are posted at https://technology.ky.gov/services-and-support/Pages/About-the-Project- Management-Branch.aspx. These include, but are not limited to, having a documented project schedule, risk management, issue management and reporting project status to the CIO https://technology.ky.gov/services-and-support/Pages/About-the-Project-Management-Branch.aspx https://technology.ky.gov/services-and-support/Pages/About-the-Project-Management-Branch.aspx monthly in the format defined by COT-DGS. In addition to the project management standards required by COT-DGS, agency specific requirements may be defined in this RFP.

4.17 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 vendor 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. 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.

4.18 IRS Publication 1075 -Exhibit 7 Safeguarding Contract Language Publication 1075 (Rev. 11-2021) (irs.gov)

I. PERFORMANCE

In performance of this contract, the Contractor agrees to comply with and assume responsibility for compliance by officers or employees with the following requirements:

(1) All work will be performed under the supervision of the contractor.

(2) The contractor and contractor’s officers or employees to be authorized access to FTI must meet background check requirements defined in IRS Publication 1075. The contractor will maintain a list of officers or employees authorized access to FTI. Such list will be provided to the agency and, upon request, to the IRS.

(3) FTI in hardcopy or electronic format shall be used only for the purpose of carrying out the provisions of this contract. FTI in any format shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection or disclosure of FTI to anyone other than the contractor or the contractor’s officers or employees authorized is prohibited.

(4) FTI will be accounted for upon receipt and properly stored before, during, and after processing. In addition, any related output and products require the same level of protection as required for the source material.

(5) The contractor will certify that FTI processed during the performance of this contract will be completely purged from all physical and electronic data storage with no output to be retained by the contractor at the time the work is completed. If immediate purging of physical and electronic data storage is not possible, the contractor will certify that any FTI in physical or electronic storage will remain safeguarded to prevent unauthorized disclosures.

(6) Any spoilage or any intermediate hard copy printout that may result during the processing of FTI will be given to the agency. When this is not possible, the contractor will be responsible for the destruction of the spoilage or any intermediate hard copy printouts and will provide the https://www.irs.gov/pub/irs-pdf/p1075.pdf agency with a statement containing the date of destruction, description of material destroyed, and the destruction method.

(7) All computer systems receiving, processing, storing, or transmitting FTI must meet the requirements in IRS Publication 1075. To meet functional and assurance requirements, the security features of the environment must provide for the managerial, operational, and technical controls. All security features must be available and activated to protect against unauthorized use of and access to FTI.

(8) No work involving FTI furnished under this contract will be subcontracted without the prior written approval of the IRS.

(9) Contractor will ensure that the terms of FTI safeguards described herein are included, without modification, in any approved subcontract for work involving FTI.

(10) To the extent the terms, provisions, duties, requirements, and obligations of this contract apply to performing services with FTI, the contractor shall assume toward the subcontractor all obligations, duties and responsibilities that the agency under this contract assumes toward the contractor, and the subcontractor shall assume toward the contractor all the same obligations, duties and responsibilities which the contractor assumes toward the agency under this contract.

(11) In addition to the subcontractor’s obligations and duties under an approved subcontract, the terms and conditions of this contract apply to the subcontractor, and the subcontractor is bound and obligated to the contractor hereunder by the same terms and conditions by which the contractor is bound and obligated to the agency under this contract.

(12) For purposes of this contract, the term “contractor” includes any officer or employee of the contractor with access to or who uses FTI, and the term “subcontractor” includes any officer or employee of the subcontractor with access to or who uses FTI.

(13) The agency will have the right to void the contract if the contractor fails to meet the terms of FTI safeguards described herein.

II. CRIMINAL/CIVIL SANCTIONS

(1) Each officer or employee of a contractor to whom FTI is or may be disclosed shall be notified in writing that FTI disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any FTI for a purpose not authorized herein constitutes a felony punishable upon conviction by a fine of as much as $5,000 or imprisonment for as long as 5 years, or both, together with the costs of prosecution.

(2) Each officer or employee of a contractor to whom FTI is or may be accessible shall be notified in writing that FTI accessible to such officer or employee may be accessed only for a purpose and to the extent authorized herein, and that access/inspection of FTI without an official need-to-know for a purpose not authorized herein constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000 or imprisonment for as long as 1 year, or both, together with the costs of prosecution.

(3) Each officer or employee of a contractor to whom FTI is or may be disclosed shall be notified in writing that any such unauthorized access, inspection or disclosure of FTI may also result in an award of civil damages against the officer or employee in an amount equal to the sum of the greater of $1,000 for each unauthorized access, inspection, or disclosure, or the sum of actual damages sustained as a result of such unauthorized access, inspection, or disclosure, plus in the case of a willful unauthorized access, inspection, or disclosure or an unauthorized access/inspection or disclosure which is the result of gross negligence, punitive damages, plus the cost of the action. These penalties are prescribed by IRC sections 7213, 7213A and 7431 and set forth at 26 CFR 301.6103(n)-1.

(3) Additionally, it is incumbent upon the contractor to inform its officers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C. 552a.

Specifically, 5 U.S.C. 552a(i)(1), which is made applicable to contractors by 5 U.S.C.

552a(m)(1), provides that any officer or employee of a contractor, who by virtue of his/her employment or official position, has possession of or access to agency records which contain individually identifiable information, the disclosure of which is prohibited by the Privacy Act or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.

(4) Granting a contractor access to FTI must be preceded by certifying that each officer or employee understands the agency’s security policy and procedures for safeguarding FTI. A contractor and each officer or employee must maintain their authorization to access FTI through annual recertification of their understanding of the agency’s security policy and procedures for safeguarding FTI. The initial certification and recertifications must be documented and placed in the agency's files for review. As part of the certification and at least annually afterwards, a contractor and each officer or employee must be advised of the provisions of IRC sections 7213, 7213A, and 7431 (see Exhibit 4, Sanctions for Unauthorized Disclosure, and Exhibit 5, Civil Damages for Unauthorized Disclosure). The training on the agency’s security policy and procedures provided before the initial certification and annually thereafter must also cover the incident response policy and procedure for reporting unauthorized disclosures and data breaches.