Discretionary Procurement C000983 Proofpoint Solicitation Document.docx

KATHY HOCHUL

Governor

DRU RAI

NYS Chief Information Officer

Discretionary Procurement # C000983 – AMENDMENT NO. 1

Agency: New York State Office of Information Technology Services Contract Number: C000983 Contract term: Four (4) Years Contract Title: Proofpoint Software

Key Event Dates:

Designated Contacts:

Pursuant to State Finance Law 139-j and 139-k, this procurement includes and imposes certain restrictions on communication between ITS and an Offeror during the procurement process. All communications regarding this procurement, including questions and submissions during the solicitation period, must be directed solely to the designated contact(s) listed below. Contacting any other State staff regarding this procurement is prohibited and may result in disqualification and rejection of the submission. Submissions must be made electronically via the email address below; hard-copy submissions will not be accepted. The address is provided for inclusion on format documents only.

ALL RESPONSES MUST BE SUBMITTED ELECTRONICALLY VIA E-MAIL:

Primary Contact: Roel Pena Secondary Contact: Dolly Bernard E-mail address: its.sm.MAT.contracts@its.ny.gov

Vendor Sourcing and Management Organization NYS Office of Information Technology Swan Street Building, Core 4, Room 2404 Albany, NY 12210

Procurement Lobbying Law Restricted Period:

The Procurement Lobbying Law Restricted Period is in effect for this procurement.

Table of Contents

Solicitation Attachments:

Attachment 1 - Letter of Interest (LOI) Attachment 2 - Financial Response Form

1. Introduction

The New York State Office of Information Technology (ITS or State) is announcing a Discretionary Procurement for qualified entities capable of providing the services described in this solicitation.

The purpose of this solicitation is to invite any eligible and interested to notify ITS of their interest by submitting Attachment 1 – Letter of Interest (LOI). To be considered responsive, proposals must be received no later than the Proposal Due Date specified in the Key Dates section on the first page of this announcement. Section 7 - Submission Requirements outlines additional information and guidance for responding to this solicitation, including all required forms.

This procurement is authorized under Section 163 of State Finance Law as a Discretionary Purchase, allowing ITS to contract without a formal competitive process in certain circumstances. This opportunity is limited to purchases up to the Discretionary Buying Threshold from respondent organizations qualified as:

a. NYS certified Minority and/or Women-owned Business Enterprises (MWBE) b. NYS certified Service-Disabled Veteran-Owned Businesses (SDVOB)

NYS certified MWBE and SDVOB are qualified pursuant to Article 15-A of State Executive Law and Article 3 of Veterans’ Services Law.

2. Procurement Summary

ITS requires ProofPoint ZenGuide Enterprise vr.2 service offering due to the software solution’s ability to significantly enhance overall cybersecurity posture by directly addressing the prevalent threat of phishing attacks. Proofpoint software empowers and educates users, transforming them into a more informed and vigilant line of defense against cyber threats. By training users to effectively identify and report phishing attempts, the software minimizes the risk of successful cyberattacks, thereby reducing the likelihood of data breaches, financial losses, and reputational damage. This procurement supports the NYS cyber awareness initiative and assists organizations in meeting critical compliance requirements related to cybersecurity.

The renewal of ProofPoint ZenGuide Enterprise vr.2 service offering is essential for maintaining and enhancing the State's defenses against evolving cyber threats, particularly phishing attacks, which remain a primary vector for unauthorized access and data breaches. This software provides a robust platform for delivering vital anti-phishing training and assessments to state employees, fostering a more security-aware workforce and helps NYS fulfill its cybersecurity strategy.

3. Scope of Work

Offerors must provide the following in accordance with this solicitation opportunity:

a) Software Product: ProofPoint ZenGuide Enterprise vr.2

b) SKU/Part Number: PFPT-M-WENT-S-A

c) Quantity: Estimated 128,000 licenses per year ITS reserves the right to scale up or down the license quantity for the above-referenced technologies during the course of the contract, at the same terms and conditions as the initial purchase. The per-unit license price shall be applicable to any increase or decrease in license quantities.

ProofPoint ZenGuide Enterprise vr.2 software platform must have the following comprehensive cybersecurity capabilities, with focus on email security, threat detection, and user awareness training:

a) Anti-Phishing Training and Assessments: The creation and delivery of anti-phishing training programs for users; including but not limited to assessments to gauge user susceptibility and identify areas for improvement.

b) Suspicious and Malicious Email Identification and Quarantine: This tool is needed for Security Operations Centers (SOCs) to identify, analyze, and quarantine suspicious and malicious emails, thereby protecting networks from threats.

c) Training Library: Access to training library with various modules and knowledge base.

d) Interactive Learning: Interactive gaming, video, live-action, engagement and learning.

e) Reporting Button (Phish Alarm): A "Phish Alarm" reporting button tool for user to report suspicious email.

4. Term of Contract

The term for the contract(s) awarded in response to this Solicitation will be September 19, 2026, through September 18, 2030, subject to approval by the Office of the State Comptroller (OSC). The Contract shall not be valid, effective, or binding upon the State until approved by the OSC. Purchase orders or other procurement transactions issued under the contract may also be subject to approval by the OSC.

5. Minimum Qualifications

Interested entities that meet the following criteria are eligible to respond:

a) Agree to provide the licenses and services outlined in Section 3 - Scope of Work

b) Are properly licensed to conduct business in the State of New York or provide a commitment to become properly licensed to conduct business in the State of New York State within 30 calendar days of the date of the award letter, if selected for the award

c) Are either a NYS-certified MBE, NYS-certified WBE, or NYS-certified SDVOB as defined in Section 1 Introduction, subsection (a) and (b) in the solicitation.

d) Is an authorized distributor or reseller partner for Proofpoint software.

Offerors not meeting the minimum qualifications will be disqualified.

6. Equal Employment Opportunity and Supplier Diversity Requirements

For the purposes of a contract for this procurement, ITS has established:

6.1 An overall goal of 0% participation for NYS-certified MWBEs, 0% for minority-owned business enterprises (MBE) participation, and 0% for women-owned business enterprises (WBE) participation (based on the current availability of qualified MBEs and WBEs); and

6.2 An overall goal of 0% for NYS-certified SDVOBs

7. Submission Requirements

To be considered responsive, interested parties should complete and submit all required documents via email in accordance with the format and content requirements as detailed in this Section. The subject line of the email submission of your proposal should include the following information: Discretionary Procurement # C000983 with the Offeror’s name. Additionally, the Offeror’s name should be in the body of the email and in the file names of attached documents to ensure the submission is processed efficiently. Early submissions of proposals are encouraged, and late submissions of proposals may be subject to rejection.

Proposals must be emailed to its.sm.MAT.contracts@its.ny.gov by the proposal due date specified in the Key Dates section on the first page of this announcement. All files submitted must be able to be opened and reviewed without requiring additional credentials. Materials that are password-protected, encrypted, or otherwise restricted may be considered non-responsive and may result in the proposal being disqualified.

A complete proposal to this procurement includes the following required documents:

1) Attachment 1 – Letter of Interest (LOI): Must be completed in its entirety, signed by an authorized representative, and accompanied by a copy of the Offeror’s Classification certification. Missing information may be considered non-responsive and may result in the proposal being disqualified.

2) Attachment 2 – Financial Response Form: Must include any and all fees, charges, or costs for the duration of the contract, including all direct and indirect costs, as well as all overhead, fees, and profit, including but not limited to:

· Labor, parts, shipping, material, license, and equipment costs;

· Administrative reporting or other requirements, transition costs, overhead costs, and profit;

· Travel costs, parking fees, and any other ancillary fees and costs, including permits, licenses, insurance, etc.

· Services not explicitly stated in these specifications, but necessarily attendant thereto as applicable to the associated item for which the rate/fee is being quoted; and

· No overtime rates will apply.

Any Offerors deviations, alterations, qualifiers, changes, etc., to Attachment 2 – Financial Response Form may result in the Proposal being rejected.

3) Additional Documentation: Upon request by ITS, additional documents may be required to be completed as part of the contract development process. Information regarding these documents will be provided by ITS during the evaluation phase, and the documents include, but are not limited to the following:

New York State Required Certifications Confidentiality and Non-Disclosure Agreement AC 3271-S Consultant Services Contractors Planned Employment Form (if applicable) Vendor Responsibility Questionnaire (Proof of online VendRep certification) Proof of Workers’ Compensation Insurance (if applicable) Proof of Disability Benefits Coverage (if applicable) ST-220-CA Contractor Certification to Covered Agency (if applicable) Equal Employment Opportunity (EEO) Staffing Plan MWBE Utilization Plan Form (if applicable) SDVOB Business Utilization Plan (if applicable) MWBE and/or SDVOB Quarterly Compliance Reports

8. Evaluation Process

All proposals that are received in a timely manner will be reviewed to determine if they meet the proposal submission requirements. After the proposal opening process, each proposal will be screened for completeness and conformance with the Discretionary Procurement requirements. Proposals that do not meet Discretionary Procurement requirements may be deemed non-responsive, removed from further consideration, and the Offeror notified accordingly.

The proposal completeness review is evaluated on a pass/fail basis and will determine if Offerors have met all participation and submission requirements of this Discretionary Procurement.

ITS may require additional information from an organization before deciding whether the interested organization is eligible and can supply the requested goods or services. If ITS requests additional information, it must be provided within five (5) business days from the request or as otherwise directed in the request. Failure to provide the requested information within five (5) business days may result in the Offeror being found non-responsive and no longer considered for an award.

An award will be made to the responsive and responsible offeror that best meets the programmatic needs. Awards are contingent upon vendor maintaining and certifying a Vendor Responsibility Questionnaire through the New York State VendRep System. Vendors must be found responsible and cannot be listed on the OGS prohibited vendors list. Vendors must provide their New York State vendor identification number when enrolling. To request a vendor identification number or for direct VendRep System user assistance, contact the OSC Help Desk by phone at 866-370-4672 or 518-408-4672 or by email at itservicedesk@osc.ny.gov.

9. ITS Reserved Rights

Offerors are hereby notified that New York State reserves the right to the following:

a) ITS reserves the right to withdraw, amend or postpone this solicitation, without notice, and without liability, to any applicant, or other party, and may exercise these rights at any time.

b) ITS reserves the right to conduct contract negotiations with the next responsible Contractor should ITS be unsuccessful in negotiating with the first tentative awardee.

c) ITS reserves the right to establish evaluation criteria, evaluate bids and award contracts on the basis of these criteria.

d) ITS reserves the right to modify the requirements of this procurement and Solicitation and to modify, correct and clarify requirements at any time provided that modifications would not materially benefit or disadvantage the Contractor.

e) ITS reserves the right to eliminate any requirement of this Solicitation in the event no Contractor can meet it.

f) ITS reserves the right to make an award under this solicitation in whole or in part.

g) Reject any and all proposals received in response to this solicitation opportunity.

h) ITS reserves the right to request a Best and Final Offer from any or all Contractors.

i) ITS reserves the right to employ other consultants and contractors in connection with its responsibilities and functions. In that event, the Contractor will, as directed by ITS, cooperate and work in harmony with such consultants and contractors.

j) ITS has an absolute right and discretion to approve or disapprove any proposed staff and changes in staff. The Contractor shall notify ITS of any proposed changes in staff immediately. ITS, in each instance, will be provided with a summary of experience of the proposed substitute and an opportunity to interview that person, prior to ITS considering approval or disapproval. Any substitute staff provided by Contractor shall have equal or better qualifications than staff being replaced. Approval of proposed staff or changes shall not be unreasonably withheld.

k) The relationship of the Contractor to ITS shall be that of an independent contractor. In accordance with such status as an independent contractor, the Contractor covenants and agrees to act consistent with such status: to neither hold itself out as, nor claim to be, an officer or employee of ITS or the State by reason hereof; and not to, by reason hereof, make any claim, demand, or application to or for any right or privilege applicable to an officer or employee of ITS or the State, including but not limited to workers’ compensation coverage, unemployment insurance benefits, social security coverage, or retirement membership credit.

l) ITS upon award shall designate program staff as its representatives, and/or designee(s). Such representatives shall request, oversee, supervise, and accept performance of services provided by the Contractor and shall receive any required submissions. Whenever an Agreement action is to be taken or approval for services given by ITS, such action or approval may be given only by the representatives designated pursuant to this Section. All Notices under this Solicitation shall be directed to the representatives identified, or their designees. ITS may on written notice designate other individuals as its representatives.

10. Contractor and Subcontractor Requirements

a. The Contractor specifically represents, agrees, and warrants that its members, officers, employees, agents, servants, consultants, shareholders, and subcontractors have and shall possess the experience, knowledge, and character necessary to qualify them individually for the particular duties and services performed hereunder.

b. This Solicitation is intended to secure the professional services of the Contractor because of its ability and shall not be assigned, conveyed, transferred, or disposed of by the Contractor.

c. The Contractor shall be fully responsible for performance of work by its staff and by its subcontractor’s staff and ITS reserves the right to request removal of any Contractor staff or subcontractor staff if, in ITS’s discretion, such staff is not performing in accordance with this Solicitation.

d. The Contractor agrees not to subcontract any of its services without the prior written approval of ITS. Approval shall not be unreasonably withheld upon receipt of written request to subcontract.

e. ITS considers the Contractor the sole contractor with regard to all provisions of the solicitation and the agreement resulting from the solicitation. When bidding, any known/planned use of subcontractors must be disclosed in detail with bid submission. If subcontractors are to be used, it shall be understood that the bid price includes the cost of the subcontractor, and no additional markups will be allowed. The total of all subcontractor work during the term of the Agreement, exclusive of M/WBE or SDVOB subcontracted work as established in the approved utilization plan, shall not exceed 15% of the total contract value.

f. No subcontract entered into by the Contractor shall relieve the Contractor of any liabilities or obligations in this Solicitation or the resultant agreement. The Contractor accepts full responsibility for the actions of any employee or subcontractor/subcontractor’s employee(s) who carry out any of the provisions of any contract resulting from this Solicitation.

g. The Contractor’s use of subcontractors shall not diminish the Contractor’s obligations to complete the work in accordance with the Agreement. The Contractor shall coordinate and control the work of the subcontractors.

h. The Contractor shall be responsible for informing the subcontractors of all terms, conditions, and requirements of the contract documents.

i. During the term of the Agreement, before any part of the Agreement shall be sublet, the Contractor shall submit to the NYS Chief Information Officer, or their designee, Empire State Plaza, PO Box 2062, Albany, NY 12220-0062 in writing, the name of each proposed subcontractor and obtain written consent to such subcontractor. The names shall be submitted in ample time to permit acceptance or rejection of each proposed subcontractor without causing delay in the work of the Agreement. The Contractor shall promptly furnish such information as the State may require concerning the proposed subcontractor's ability and qualifications.

j. The Contractor hereby covenants and represents that there is and shall be no actual or potential conflict of interest that could prevent the Contractor’s satisfactory or ethical performance of duties required to be performed pursuant to the terms of this Agreement., the State’s Public Officers Law, and 45 CFR parts 75.112 and 75.327(b)&(c). The Contractor shall have a duty to notify ITS immediately of any such actual or potential conflicts of interest. ITS and the Contractor recognize that conflicts may occur in the future because the Contractor may have existing, or establish new, relationships. ITS will review the nature of any relationships and reserves the right to terminate this Agreement for any reason, or for cause, if, in the judgment of ITS, a real or potential conflict of interest cannot be cured.

k. Contractor and its employees must comply with the requirements of §73 and §74 of the Public Officers Law, other State codes, rules, regulations, and any executive orders establishing ethical standards for the conduct of business with New York State. In signing the Agreement, the Contractor certifies and warrants full compliance with those provisions for any present or future dealings, transactions, contracts, services, offers, relations, etc., involving New York State and/or its employees. Failure to comply may result in disqualification from bidding processes, termination of the Agreement, and/or other civil or criminal proceedings as required by law.

11. Resulting Contract Terms and Conditions

By submitting a Proposal, the Respondent acknowledges and agrees that it has reviewed and understands, and will comply with, the terms and conditions set forth in this Solicitation and resulting Contract, which will consist of the documents listed below. Any inconsistency in the Solicitation or resulting Contract will be resolved by giving precedence to the documents in the following order:

a. Appendix A – Standard Clauses for New York State Contracts (June 2023)

b. The resulting contract document

c. Appendix C – Standard Clauses for ITS Contracts (April 2025), Appendix C-1 – Insurance Requirements for ITS Contracts (January 2024), Appendix C-2 – Equal Employment and Supplier Diversity Requirements for ITS Contracts (August 2025), and Appendix C-AI – Standard Clauses for AI Purchases (April 2025)

d. ITS Procurement Announcement [this Discretionary Purchase Solicitation announcement]; and

e. Contractor’s Proposal to [this Discretionary Purchase Solicitation Announcement

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