RFP #2025-133 Case Managemnt System.pdf

COUNTY OF ALBANY

REQUEST FOR PROPOSALS

ALBANY COUNTY LAW DEPARTMENT

RFP#2025-133

CASE MANAGEMENT SYSTEM

ALBANY COUNTY DEPARTMENT OF GENERAL SERVICES

PURCHASING DIVISION

PAMELA O NEILL, PURCHASING AGENT

112 STATE STREET, ROOM 1000

ALBANY, NY 12207

DEPARTMENT OF GENERAL SERVICES PURCHASING DIVISION

112 STATE STREET, ROOM 1000, ALBANY, NY 12207

TELEPHONE: 518-447-7140/ FAX: 518-447-5588

Pamela.oneill@albanycountyny.gov

TITLE: CASE MANAGEMENT SYSTEM RFP NUMBER: 2025-133

Receipt Confirmation Form

Please complete and return this confirmation form as soon as possible:

Pamela O Neill Purchasing Agent County of Albany

112 State Street, Room 1000 Albany, NY 12207

IF YOU PLAN TO SUBMIT A PROPOSAL, YOU MUST RETURN

THIS FORM TO ENSURE THAT YOU WILL RECEIVE ALL

FURTHER COMMUNICATION REGARDING THIS RFP.

Company Name: _________________________________________________________________

Address: _______________________________________________________________________

City: _______________________________________State: _____________ Zip Code: ________

Contact Person: _________________________________________________________________

Title: _________________________________________________________________________

Phone Number: _____________ Fax Number: _________________ E-Mail: ________________

If a Bidders/Proposers meeting has been arranged for this Bid/RFP, please indicate if you plan to attend:

� Yes / � No

I authorize the County of Albany to send further correspondence that the County deems to be of an urgent nature by the following method (check):

Fax Number: __________________________ E-Mail ________________________________

DEPARTMENT OF GENERAL SERVICES

PURCHASING DIVISION

112 STATE STREET, ROOM 1000

ALBANY, NY 12207

NON-PROPOSER RESPONSE

RFP # 2025-133

The Albany County Department of General Services, Purchasing Division, is interested in the reasons why bidders/proposers fail to submit bids/proposals. Please indicate your reason(s) by checking all appropriate item(s) below and returning this form to the above address.

Could not meet Scope of Services.

Items or materials requested not manufactured by us or not available to our company.

Insurance requirements too restricting.

Bond requirements too restricting.

Scope of Services not clearly understood or applicable (too vague, too rigid, etc.).

Project not suited to firm.

Quantities too small.

Insufficient time allowed for preparation of bid/proposal.

Other reasons; please state and define:

Vendor Name:

Contact Person:

Vendor Address:

Vendor Telephone:

NOTICE TO PROPOSERS -- ALBANY COUNTY

REQUEST FOR PROPOSALS #2025-133

Sealed Proposals for a Case Management System as requested by Albany County Law Department will be received by the Albany County Purchasing Agent, Room 1000, 112 State Street, Albany, New York 12207 until 4:30 PM, local time on Friday, August 22, 2025 and or electronic submission Bid Net, Empire State Purchasing Group.

Request for Proposal (RFP) documents may be obtained at the office of the Albany County Purchasing Agent, as noted above. RFP documents may be available for download from the Empire State Bid System website at http://www.empirestatebidsystem.com, starting by close of business (4:30 p.m.) on Thursday, August 7, 2025

Purchasing Agent

Dated: August 1, 2025 Albany, New York

PUBLISH ONE DAY – August 7, 2025 -- THE EVANGELIST PUBLISH ONE DAY – August 7, 2025 -- THE TIMES UNION

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REQUEST FOR PROPOSALS

CASE MANAGEMENT SYSTEM

ALBANY COUNTY LAW DEPARTMENT

RFP-2025-133

RFP DISTRIBUTION- IMPORTANT NOTICE

The County of Albany officially distributes RFP documents through the Purchasing Division Office or through the Empire State Bid System website at http://www.empirestatebidsystem.com. Copies of RFP documents obtained from any other source are not considered official documents. Only those vendors who obtain proposal documents from either the Purchasing Division Office or the Empire State Bid System are guaranteed to receive addendum information, if such information is issued.

If you have obtained this document from a source other than the Albany County Purchasing Division or the Empire State Bid System, it is strongly recommended that you obtain an official copy.

SECTION 1: PURPOSE

1.1 The County of Albany is seeking proposals for a CASE MANAGEMENT SYSTEM as requested by ALBANY COUNTY LAW DEPARTMENT.

1.2 The proposals are for access to a software application and platform comprising a comprehensive Case Management System (CMS) for the County’s Law Department. The CMS securely stores and provides access to confidential client- and case-related information, as well as offers ad-hoc reporting tools for identifying and tracking key metrics and trends. Additionally, the CMS compiles and formats various reports required by providers of grants and state funding.

SECTION 2: RECEIPT OF PROPOSALS

2.1 Five (5) copies, and (1) electronic copy on CD or flash drive, of the Proposal and other required documents must be submitted, sealed in an opaque envelope clearly marked with the name and number of the Proposal and the name and address of the Proposer. Proposals must be received no later than 4:30 P.M. on August 22, 2025, at the following address:

Albany County Purchasing Agent

Albany, New York 12207

Or electronic submission on BidNet Empire State Purchasing Group http://www.empirestatebidsystem.com

2.2 The Proposal submitted by the individual Proposer(s) is the document upon which Albany County will make its initial judgment regarding the Proposer’s qualifications, understanding

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of the County’s scope and objectives, methodology, and ability to complete services under the contract.

2.3 Those submitting Proposals do so entirely at their expense. There is no express or implied obligation by Albany County to reimburse any firm or individual for any costs incurred in preparing or submitting Proposals, preparing or submitting additional information requested by the County, or for participating in any selection interviews.

2.4 Submission of any Proposal indicates acceptance of the conditions contained in the RFP, unless clearly and specifically noted otherwise in the Proposal.

2.5 Albany County reserves the right to reject any and all Proposals, in whole or in part, submitted in response to its RFP. Albany county also reserves the right to accept portions of proposals to package with other proposals submitted in response to this RFP.

2.6 Albany County reserves the right to waive any and all informalities and to disregard all non-conforming, non-responsive or conditional Proposals.

2.7 Albany County may, at any time by written notification to all Proposers, change any portion of the RFP described and detailed herein.

2.8 Proposals will be examined and evaluated by Albany County Law Department.

2.9 During the evaluation of Proposals, the County may require clarification of information or may invite Proposers to an oral presentation to amplify and or validate Proposal contents.

SECTION 3: QUALIFICATION OF PROPOSER

Provide a statement of Proposer qualifications including:

3.1 Provide the name, a brief history and description of your firm.

3.2 Identify your firm’s professional staff members who will be involved in the County engagement and the experience each possesses and the location of the office from which each work.

3.3 Name and title of person(s) authorized to bind the Proposer, together with the main office address, and telephone number (including area code).

3.4 Detail your firm’s experience with implementation of case management systems.

3.5 Provide at least two (2) references from similar projects including name, addresses and telephone numbers.

3.6 Provide any additional information that would distinguish your firm in its service to Albany

County.

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3.7 Proposer shall include a completed “Vendor Responsibility Questionnaire” (Attachment “C”) with the Proposal.

3.8 In addition, Albany County may make such investigations it deems necessary to determine the ability of the Proposer to perform the work. The Proposer shall furnish to the County, within five (5) days of a request, all such information and data for this purpose as may be requested. The County reserves the right to reject any Proposal if the information submitted by, or investigation of, such Proposer fails to satisfy the County that such Proposer is properly qualified to carry out the obligations of the contract and to complete the work contemplated therein. Conditional Proposals will not be accepted.

SECTION 4: SCOPE OF SERVICES

4.1 Overview

Albany County is seeking proposals from qualified vendors to provide, implement, and support a comprehensive Case Management System (CMS) for use by the Albany County Law Department and all affiliated legal divisions across Albany County government. These include, but are not limited to, the Albany County Public Defender’s Office, Alternate Public Defender’s Office, and the Assigned Counsel Program. The new CMS must support diverse legal functions such as criminal defense, prosecution, family court, municipal law, and social work-related matters. The system should streamline case intake, tracking, reporting, calendaring, communication, and document management functions while ensuring compliance with all applicable legal, regulatory, accessibility, and cybersecurity standards.

4.2 Objectives

The selected vendor shall provide a CMS that:

• Enhances operational efficiency across departments.

• Improves accuracy, access, and security of legal case data.

• Supports both remote and in-office users.

• Integrates with existing systems and platforms where feasible (e.g., Microsoft 365, Tyler Tech MUNIS).

• Offers scalability and performance to meet growing operational needs.

• Provides time tracking and forecasting tools to support effective case and attorney workload management.

• Adheres to governance policies for multi-department use and data privacy.

4.3 System Requirements

The CMS must support the following functional and technical areas:

General Functionality:

• Support a secure, scalable back-end database capable of accommodating multiple departments and legal functions.

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• Provide an intuitive front-end user interface accessible from PC, laptop, tablet, and mobile devices, designed in accordance with accessibility standards (e.g., WCAG 2.1).

• Support multilingual interfaces if applicable.

• Provide configurable intake workflows for all case types: criminal, civil, family court, municipal, and social service-related cases.

• Enable prescreening and conflict checks during case creation.

• Include integrated calendaring with Microsoft Outlook for scheduling appointments, deadlines, and court events.

• Include forecasting tools for workload visualization and resource planning.

• Include user-specific dashboards, configurable permissions, and homepages per role or department.

Deployment and Infrastructure:

• The system must support cloud-based (SaaS), on-premises, or hybrid deployment models.

Vendors should outline the benefits and limitations of each model. Cloud-based solutions are preferred due to their scalability, reliability, and disaster recovery capabilities.

• Support horizontal and vertical scalability, including load balancing, server upgrades, and performance optimization.

• Allow for multi-tenancy or siloed databases, ensuring that departments (e.g., Law Department, Public Defender’s Office) can operate independently while maintaining system integrity and security.

Integration and APIs:

• Provide robust RESTful or SOAP APIs for seamless integration with:

o Document management systems (if not included natively) o Tyler Technologies MUNIS financial system o NY State or regional court management systems o Identity providers for SSO/MFA

• Support common data exchange protocols (e.g., EDI, XML, JSON) and industry standards for interoperability.

Content and Document Management:

• Provide a secure document management system to generate, store, and retrieve electronic and paper-based documents.

• Enable content generation (e.g., templates for motions, letters, filings).

• Include version control, document check-in/check-out, and role-based access controls.

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Audit Trails and Logging:

• Provide comprehensive audit trails for user actions, document access, case modifications, and data changes.

• Include detailed access and modification logs, especially for sensitive data like client details or confidential case notes.

• Allow administrators to generate audit reports for compliance and internal investigations.

Reporting and Analytics:

• Provide pre-built and custom regulatory reports in formats required by NY State and grant agencies (e.g., ILS reporting).

• Include ad hoc reporting tools with export options (Excel, PDF, CSV, etc.).

• Include a Leadership Dashboard with real-time, visual analytics.

Time and Billing:

• Enable time tracking per user, task, or case, with reporting and billing summaries.

• Support invoicing and payment tracking for external legal service providers or assigned counsel.

4.4 Data Migration

• Vendor shall provide a detailed Data Migration Plan including:

o Field mapping from legacy systems o Data cleansing processes o Verification of data integrity

• Vendor must support a testing phase prior to go-live, including:

o Migration of a representative data sample o Functionality testing with real case data o Integration testing with external systems

• Final migration shall preserve all historical data, document formatting, and original metadata unless mutually agreed otherwise by Albany County Law Department, Division of Information Services, and the selected vendor.

4.5 Calendar and Task Management

• Offer tools for managing tasks, deadlines, and workloads across users and departments.

• Allow for the weighting of cases by complexity to support balanced case assignment.

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• Provide centralized calendars with reminders and alerting features for court dates, deadlines, and team events.

• Seamless integration with Microsoft Outlook calendar and task features.

4.6 Reporting and Analytics

• Standard reporting on:

o Case load by type and attorney o Key performance indicators o Timeliness of tasks and deadlines

• Customizable dashboards and visual analytics to support executive decision-making.

• Export capabilities to Excel, PDF, and other commonly used formats.

4.7 Security and Compliance Requirements

• Adhere to Albany County security requirements detailed in Addendum A “Albany County Technology Procurement – Contractor Administrative Terms & Conditions".

• Support multi-factor authentication (MFA) for all web-based access.

• Provide data encryption at rest and in transit, compliant with NY State cybersecurity and privacy regulations.

• Vendor must provide system uptime SLAs, disaster recovery protocols, and data redundancy plans.

4.8 Governance, Workflows, and Compliance

• Support governance frameworks for:

o Case workflows and approvals o Version control and document review processes o Role-based data access and permissions

• Support workflows for mitigation and social work cases, including notes, contact logs, and outcome tracking.

4.9 Deliverables

The successful vendor shall provide the following:

• Fully functional CMS as described above

• All required documentation, including:

o User guides and training manuals

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o Administrative configuration documentation o Integration and API documentation o Final Implementation Report

• Training for staff and administrators

• Support and maintenance services as proposed

SECTION 5: TERM OF CONTRACT:

5.1 The contract period shall be for one year and will commence on the date of the fully executed contract.

5.2 At the end of the original contract term, upon mutual agreement of the County and the

Contractor, the agreement may be renewed for four (4) additional years, in consecutive one-year intervals. Renewal of multiple item bid awards shall be contingent upon renewal of all items; partial renewals shall not be accepted by the County.

5.3 The successful Proposer shall execute a contract with the County of Albany in substantial conformance with this RFP as prepared and approved by the County Attorney.

SECTION 6: COST PROPOSAL:

6.1 Submit a cost proposal for the services described above in Section 4, Scope of Services.

6.2 Detail the fee structure for the Proposal. Provide hourly rates and reimbursable costs if not included in the lump sum.

6.3 Provide any other relevant information that will assist the County in evaluating your Proposal.

SECTION 7: PROPOSAL SUBMISSIONS

7.1 In order for the County to conduct a uniform review process of all proposals, proposals must be submitted in the format set forth below. Failure to follow this format may be cause for rejection of a proposal because adherence to this format is critical for the County’s evaluation process:

SECTION I:

Title Page - The title page should reflect the Request for Proposal subject, name of the proposer, address, telephone number and contact person.

Table of Contents - The Table of Contents must indicate the material included in the proposal by section and page number.

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SECTION II:

Qualification / Experience - The Qualification / Experience section must address proposer’s qualifications and experience to carry out the requested service, inclusive of, but not limited to: qualification to do business in NYS, number of years in business and length of experience.

Resumes - Resumes of professional staff members who will be involved in the County engagement must be included in this section.

SECTION III:

References - The References section must include references from similar type projects.

SECTION IV:

Plan Implementation - The Plan Implementation Section must address the Scope of Services in terms of the proposer’s plan to carry out the requested service. Please complete Addendum B “Requirements Matrix” and include it in this section of your response.

SECTION V:

Cost Proposal Section - The Cost Proposal Section must include all costs associated with the proposer’s plan to carry out the requested service. Any cost proposal forms furnished by the County must be included in this section.

SECTION VI:

Mandatory Documentation - The Mandatory Documentation Section must include: The Non-

Collusive Bidding Certificate (Attachment “A”), Acknowledgment by Proposer (Attachment “B”), and Vendor Responsibility Questionnaire (Attachment “C”);

Iranian Energy Divestment Certification (Attachment “D”).

SECTION 8: PROPOSAL EVALUATION

8.1 Proposals will remain valid until the execution of a contract by Albany County, unless otherwise rejected consistent with this RFP.

8.2 Proposals received will be evaluated by a committee with representation from the

Albany County Law Department. Proposals shall be evaluated based upon the following:

Evaluation Scoring Rubric (100 Percent Total)

Category Percent Evaluation Criteria

Functional Requirements 30 Meets all core system requirements, including UI, calendaring, document, reporting

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Technical Architecture 15 Cloud/on-prem flexibility, scalability, security, and integration capabilities

Data Migration & Testing

10 Clear migration plan, testing strategy, and historical data handling

Security & Compliance 10 Adherence to NY State data protection laws, MFA, encryption, access logs

User Experience & Accessibility

10 Clean, intuitive UI; meets WCAG standards; cross-device support

Integration Capabilities 10 Robust APIs, support for existing systems (e.g., Outlook, court systems)

Reporting & Analytics 5 Custom reports, dashboards, export formats

Training & Support 5 Quality of training plan, availability of support resources

Vendor Experience & References

5 Proven track record with similar government or legal CMS implementations

8.3 Proposals will be examined and evaluated by the Albany County Law Department with the advice of the Albany County Purchasing Agent to determine whether the requirements of this RFP are met and to make a recommendation to the Albany County Executive, the Albany County Contracts Administration Board or the County Legislature for a contract award.

8.4 A notice of contract award shall not be binding upon the County until the contract has been fully executed by both parties

SECTION 9: Section not in use

SECTION 10: ALTERNATIVES

10.1 Proposer may include in its Proposal items not specified in this RFP, which it would consider pertinent. All such alternatives must be listed separately from the Proposal and the cost thereof must be separate and itemized.

SECTION 11: INDEMNIFICATION

11.1 The successful Proposer shall defend, indemnify and save harmless the County, its employees and agents, from and against all claims, damages, losses and expenses (including without limitations, reasonable attorneys’ fees) arising out of, or in consequence of, any negligent or intentional act or omission of the successful Proposer, its employees or agents, to the extent of its or their responsibility for such claims, damages, losses and expenses.

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SECTION 12: SPECIFICATION CLARIFICATION

12.1 All inquiries with respect to this Request for Proposals must be directed to the Albany County Purchasing Agent as follows:

Albany County Purchasing Agent 112 State Street, Room 1000 Albany, NY 12207 Telephone: (518) 447-7140 Facsimile: (518) 447-5588 Email: pamela.oneill@albanycountyny.gov

12.2 All questions about the meaning or intent of the specifications must be submitted to the aforementioned designated person in writing. Replies will be issued by Addenda mailed or delivered to all parties recorded as having received the proposal documents. Questions received less than four (4) days prior to the date of submission of Proposals will not be answered. The County will be bound only by responses given by formal written Addenda.

12.3 Other than the contact person identified in the Proposal, or their designee, prospective

Proposers shall not approach County employees during the period of this RFP process about any matters related to this RFP or any proposals submitted pursuant thereto.

SECTION 13: MODIFICATION AND WITHDRAWAL OF PROPOSALS

13.1 Proposals may be modified or withdrawn at any time prior to the opening of Proposals by an appropriate document duly executed (in the manner that a Proposal must be executed) and delivered to the place where Proposals are to be submitted.

13.2 If within twenty-four (24) hours after the Proposals are opened, any Proposer files a duly signed written notice with the County and promptly thereafter demonstrates to the reasonable satisfaction of the County that there was a material and substantial mistake in the preparation of its Proposal, that Proposer may withdraw its Proposal and the Proposal Security will be returned. Thereafter, that Proposer will be disqualified from making a further or additional proposal on the work contemplated by this RFP.

13.3 Each proposal shall state that it is an irrevocable offer for a period of ninety (90) days from the Proposal opening date. After expiration of the irrevocable offer period, if no contract award has been made, a Proposal may be withdrawn if the Proposer does so in writing directed to the County Purchasing Agent; otherwise, Proposals remain in effect consistent with the terms of this RFP.

SECTION 14: PROPOSAL SECURITY

14.1 No proposal security is requested for this Proposal.

mailto:pamela.oneill@albanycountyny.gov

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SECTION 15: INSURANCE AND SECURITY REQUIREMENTS

15.1 The successful Proposer will be required to procure and maintain at its own expense, the following insurance coverage:

(a) Worker's Compensation and Employer’s Liability Insurance: A policy or policies providing protection for Employees in the event of job related injuries.

(b) Automobile Liability Insurance: A policy or policies of insurance with the limits of not less than $500,000 combined for each accident because of bodily injury sickness or disease, sustained by any person, caused by accident, and arising out of the ownership, maintenance or use of any automobile for damage because of injury to or destruction of property, including the loss of use thereof, caused by accident and arising out of the ownership, maintenance or use of any automobile.

(c) General Liability Insurance: A policy or policies or comprehensive all-risk insurance with limits of not less than:

Liability For: Combined Single Limit

Property Damage $1,000,000 Bodily Injury $1,000,000 Personal Injury $1,000,000

(d) Professional Liability Insurance: A policy or policies with limits not less than

$1,000,000.

15.2 Each policy of insurance required shall be of form and content satisfactory to the Albany

County Attorney:

(a) The insurance policies shall name the County of Albany as certificate holder and primary/non-contributory additional insured on all liability policies. Proposal number must appear on insurance certificate.

(b) The policy shall not be changed or canceled until the expiration of thirty (30) days after written notice to Albany County. It shall be automatically renewed upon expiration and continued in force unless Albany County is given at least thirty (30) days written notice to the contrary.

15.3 No work shall be commenced under the contract until the successful Proposer has delivered to the County Purchasing Agent or his designee proof of issuance of all policies of insurance required by the Contract to be procured by the successful Proposer. If at any time, any of said policies shall expire or become unsatisfactory to the County, the successful Proposer shall promptly obtain a new policy and submit proof of insurance of the same to the County for approval. Upon failure of the successful Proposer to furnish, deliver and maintain such

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insurance as above provided, the contract may, at the election of the County, be forthwith declared suspended, discontinued or terminated. Failure of the successful Proposer to procure and maintain any required insurance, shall not relieve the successful Proposer from any liability under the contract, nor shall the insurance requirements be construed to conflict with the obligations of the successful Proposer concerning indemnification.

SECTION 16: REMEDY FOR BREACH

16.1 In the event of a breach by CONTRACTOR, CONTRACTOR shall pay to the COUNTY all direct and consequential damages caused by such breach, including, but not limited to, all sums expended by the COUNTY to procure a substitute contractor to satisfactorily complete the contract work, together with the COUNTY’s own costs incurred in procuring a substitute contractor.

SECTION 17: CASH DISCOUNT

17.1 Cash discounts may be offered by a Proposer for prompt payment of bills, but such cash discounts will not be taken into consideration in determining the low Proposer.

17.2 For purposes of any applicable cash discount, the payment date shall be calculated from the receipt of invoice or final acceptance of the goods, whichever is later.

SECTION 18: FREEDOM OF INFORMATION LAW

18.1 Confidential, trade secret or proprietary materials as defined by the laws of the State of New York must be clearly marked and identified as such upon submission. Proposers intending to seek an exemption from disclosure of these materials under the Freedom of Information Law (New York State Public Officers Law, Sections 84-90) must request the exemption in writing, at the time of the submission of the materials, setting forth the reason for the claimed exemption. In addition, the proposer must mark each page of its submission on which there appears any material claimed to be protected as confidential or proprietary with the following legend, in bold face, capital letters at the top of each page: “THE PROPOSER BELIEVES

THAT THIS INFORMATION IS PROTECTED FROM DISCLOSURE UNDER THE NEW

YORK STATE FREEDOM OF INFORMATION LAW”. Acceptance of the claimed materials does not constitute a determination on the exemption request, which determination will be made in accordance with statutory procedures.

SECTION 19: MACBRIDE PRINCIPLES

19.1 Contractor/Proposer hereby represents that said contractor/proposer is in compliance with the MacBride Principles of Fair Employment as set forth in Albany County Local Law No.

[3] for 1993, in that said contractor/proposer either (a) has no business operations in Northern Ireland or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Principles, and shall permit independent monitoring of their compliance with such principles. In the event of a violation of this stipulation, the County reserves all rights to take remedial measures as authorized under

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section 4 of Local Law No. [3] in 1993, including, but not limited to, imposing sanctions, seeking compliance, recovering damages, declaring the contract/proposer in default and/or seeking debarment or suspension of the contractor/proposer.

19.2 In the case of a contract which must be let by competitive sealed bidding, whenever the lowest bidder has not agreed to stipulate to the conditions set forth in this section, and another bidder who has agreed to stipulate to such conditions has submitted a bid within five percent of the lowest bid for a contract to supply goods, services or construction of comparable quality, the contracting entity shall refer the contract to the County Legislature, which shall determine whether the lowest bidder is responsible. In making such determination, the County Legislature may consider, as a factor bearing on responsibility, whether the lowest bidder discriminates in employment in Northern Ireland.

19.3 As used in this section, the term “contract” shall not include contracts with government and non-profit organizations, contracts awarded pursuant to an emergency procurement procedure or contracts, resolutions, indentures, declarations of trust or other instruments of authorizing or relating to the authorization, issuance, award, sale or purchase or bonds, certificates of indebtedness, notes or other fiscal obligations of the County, provided that the policies of this section shall be considered when selecting managing underwriters in connection with such activities.

19.4 The provisions of this section shall not apply to contracts for which the County receive funds administered by the United States Department of Transportation, except to the extent Congress has directed that the Department of Transportation not withhold funds from states and localities that choose to implement selective purchasing policies based on agreement to comply with the MacBride Principles, or to the extent that such funds are not otherwise withheld by the Department of Transportation.

SECTION 20: Section not in use

SECTION 21: AFFIRMATIVE ACTION REQUIREMENTS

21.1 It is the policy of the County of Albany that Minority Business Enterprises (MBE) and Woman Business Enterprises (WBE) are afforded the maximum opportunity to participate in the performance of contracts, in excess of $100,000, let by the County and its several agencies and authorities. The County commits itself to a goal oriented Contract Compliance Program which assures that Minority Business Enterprises and Woman Business Enterprises are considered in awarding contracts for goods, services and construction. Furthermore, it is the policy of the County of Albany that contractors/proposers and subcontractors utilize minority and women labor to the greatest extent feasible.

21.2 In proposing on this contract, the Proposer acknowledges an understanding of this policy.

The contractor/proposer shall carry out the policy by making every reasonable effort to award contracts and subcontracts to MBEs and WBEs and utilizing minority and women labor in the performance of this contract.

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21.3 In an effort to assist Proposers with compliance attached you will find the following:

Article SC19-Affirmative Action Plan and Department of Affirmative Action Compliance Forms.

SECTION 22: ANTIDISCRIMINATION CLAUSE

22.1 In accordance with Article 15 of N.Y. EXECUTIVE LAW (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor agrees that neither it nor any of its County-approved subcontractors shall, by reason of age, race, creed, color, national origin, sexual orientation, gender identity or expression, military status, sex, disability, predisposing genetic characteristics, familial status, marital status, or status as a victim of domestic violence, refuse to hire or employ or to bar or to discharge from employment such individual or to discriminate against such individual in compensation or in terms, conditions or privileges of employment

SECTION 23 EXTENSION OF CONTRACTS TO ALL POLITICAL SUBDIVISIONS AND

AUTHORIZED DISTRICTS LOCATED IN THE STATE OF NEW YORK

23.1 It is the intent of this Request For Proposals that all political subdivisions, and districts located in the State of New York, be entitled to make purchases of services from the resulting contract award.

23.2 No officer, board or agency of a county, town, village, or school district shall make any purchase through the County when bids have been received for such purchase by such officer, board or agency, unless such purchase may be made upon the same terms, conditions and specifications at a lower price through the County.

23.3 All purchases shall be subject to audit by the other political subdivisions for which the purchase was made.

23.4 All orders will be placed by the participating entities. Each participating entity shall be billed by and make payment directly to the successful Bidder.

23.5 Upon request, participating entities must furnish the Contractor with the proper tax exemption certificates or documentation of tax-exempt status.

23.6 The sole responsibility in regard to performance of the contract, or any obligation, covenant, condition or term thereunder by the successful Proposer and the participating entities will be borne and is expressly assumed by the successful Proposer and the participating entities and not by Albany County. In the event of a failure or breach in performance of any such contract by a participating entity or the successful Proposer, Albany County, specifically and expressly disclaims any and all liability for such defective performance or breach, or failure of either party to perform in accordance with its obligations, covenants and the terms and conditions of this Albany County centralized contract.

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SECTION 24: INTERPRETATION

24.1 In the event of any discrepancy, disagreement or ambiguity among the documents which comprise this RFP, and/or, the Agreement (between the County and the successful Proposer) and its incorporated documents, the documents shall be given preference in the following order to interpret and to resolve such discrepancy, disagreement or ambiguity: 1) the Agreement; 2) the RFP; 3) the Contractor’s proposal.

SECTION 25: NON-APPROPRIATIONS CLAUSE

25.1 Notwithstanding anything contained herein to the contrary, no default shall be deemed to occur in the event no funds or insufficient funds are appropriated and budgeted by or are otherwise unavailable to the County for payment under this Agreement. The County will immediately notify the Contractor of such occurrence and this Agreement shall terminate on the last day of the fiscal period for which appropriations were received without penalty or expense to the County of any kind whatsoever, except as to those portions herein agreed upon for which funds shall have been appropriated and budgeted.

SECTION 26: IRANIAN ENERGY SECTOR DIVESTMENT

26.1 Contractor/Proposer hereby represents that said Contractor/Proposer is in compliance with New York State General Municipal Law Section 103-g entitled “Iranian Energy Sector Divestment”, in that said Contractor/Proposer has not:

(a) Provided goods or services of $20 Million or more in the energy sector of Iran including but not limited to the provision of oil or liquefied natural gas tankers or products used to construct or maintain pipelines used to transport oil or liquefied natural gas for the energy sector of Iran; or

(b) Acted as a financial institution and extended $20 Million or more in credit to another person for forty-five days or more, if that person’s intent was to use the credit to provide goods or services in the energy sector in Iran.

26.2 Any Contractor/Proposer who has undertaken any of the above and is identified on a list created pursuant to Section 165-a (3)(b) of the New York State Finance Law as a person engaging in investment activities in Iran, shall not be deemed a responsible bidder pursuant to Section 103 of the New York State General Municipal Law.

26.3 Except as otherwise specifically provided herein, every Contractor/Proposer submitting a bid/proposal in response to this Request for Bids/Request for Proposals must certify and affirm the following under penalties of perjury:

(a) “By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid, each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief, that each bidder is not on the list created pursuant to NYS Finance Law Section 165-a (3)(b).

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Albany County will accept this statement electronically in accordance with the provisions of Section 103 of the General Municipal Law.

26.4 Except as otherwise specifically provided herein, any Bid/Proposal that is submitted without having complied with subdivision (a) above, shall not be considered for award. In any case where the Bidder/Proposer cannot make the certification as set forth in subdivision (a) above, the Bidder/Proposer shall so state and shall furnish with the bid a signed statement setting forth in detail the reasons therefor. The County reserves its rights, in accordance with General Municipal Law Section 103-g to award the Bid/Proposal to any Bidder/Proposer who cannot make the certification, on a case-by-case basis under the following circumstances:

(1) The investment activities in Iran were made before April 12, 2012, the investment activities in Iran have not been expanded or renewed after April 12, 2012, and the Bidder/Proposer has adopted, publicized and is implementing a formal plan to cease the investment activities in Iran and to refrain from engaging in any new investments in Iran; or

(2) The County of Albany has made a determination that the goods or services are necessary for the County to perform its functions and that, absent such an exemption, the County of Albany would be unable to obtain the goods or services for which the Bid/Proposal is offered. Such determination shall be made by the County in writing and shall be a public document.

SECTION 26: Section not in use

SECTION 27: Section not in use

SECTION 28: Section not in use

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Addendum A Albany County Technology Procurement – Contractor Administrative Terms & Conditions

1. Secure System Development Lifecycle and Specifications

Unless otherwise agreed to by the Authorized User (AU), “Albany County,” in writing, the contractor’s current version of the solution must function as specified in the associated Request for Proposal, Contract, or other agreement in an environment comprised solely of components including, but not limited to operating system and database platform versions which are in an active support phase (e.g., no requirement to run on End of Life software, such as Windows 7, etc.).

Unless otherwise agreed to by the Authorized User in writing, the Contractor shall represent the below practices by providing the documentation of Contractor’s adherence to the below policies available in a public website or secure portal that shall be provided to Authorized Users upon request.

a) Secure System Development Lifecycle

i) Policies that govern software development practices commensurate with the risk of the intended use of each software component:

(1) Such policies shall define documented security roles for the software development team

(2) On no less than an annual basis, the contractor shall conduct a comprehensive review of software development policies and make changes where indicated to adequately address new or changed risk

ii) At least annually, the contractor shall provide training in secure software development practices to its developer workforce.

(1) Such training shall be focused on the technologies in use within the software development environment

(2) Such training shall include a review of the contractor's chosen secure coding framework (see "Vulnerability Management" section) and related policies, procedures and standards

(3) Such training shall include a review of the security-related roles and responsibilities conferred on development personnel by organizational policy

iii) The contractor shall, to the extent legally permissible, conduct criminal background checks, credit checks and reference checks for all personnel engaged in the software development process, and establish a set of criteria for when management must be engaged regarding the results of such checks.

iv) The contractor shall deliver remote and /or on premises support only with approval of AU and with the option for AU to supervise / observe the support activity

v) At no time during remote and /or on premises support, or any other time, shall contractor transfer AU's data from AU's on-premise installation to a remote location without the express written permission of the AU

vi) The contractor shall 1) utilize uniquely assigned credentials for each of its workforce members to be used in supporting the AU's solution and 2) revoke those credentials within 24 hours of the departure of a contractor's workforce member who had knowledge of credentials used to support the AU's solution or notify the AU within 24 hours if the

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credentials used exist on an AU on-premise system. Credential management must be in accordance with NIST 800-63-3, Digital Identity, or its successor.

vii) Upon request and with reasonable notice, the contractor shall provide the AU with a list of its workforce members with knowledge of credentials used to access the AU's solution.

b) Vulnerability Management

i) The contractor shall make commercially reasonable efforts to ensure that components including but not limited to third party libraries, components and APIs are maintained at their most recent, stable version within the released application made available to the

AU.

ii) The contractor shall follow a secure coding framework appropriate to the nature of its software components. For example, web application development teams may follow the Open Web Application Security Project's Secure Coding Practices

iii) The contractor shall document and execute a remediation plan for any vulnerability identified through dynamic or static analysis, vulnerability scans or penetration tests, where the vulnerability has a CVSS severity of 7.0 or higher

iv) The contractor shall establish processes for monitoring and acting upon vulnerability notices published regarding components of the software development environment as well as components used in the solution provided to the AU

v) The contractor shall maintain publicly available mechanisms for receiving reports of vulnerabilities identified by its customers, security researchers and similar entities.

c) Application Lifecycle Management

i) The contractor shall ensure that any open source licenses which apply to components used in the solution confer no obligations upon the AU, or that in the event of such obligation, the AU is aware of and agrees to same.

ii) All applications released by contractor to the AU shall be signed by a publicly trusted code signing certificate so that the AU may verify the authenticity and integrity of the release. This code signing certificate shall be rotated on at least an annual basis.

iii) The contractor shall ensure that all implementation services and / or guides comprehensively address security hardening for the solution. Such hardening shall include, but not be limited to, the disabling of unnecessary features based on the Scope of Work and the implementation of a "least privilege" access model for all users and service accounts.

iv) The contractor shall implement processes to ensure that all changes to the solution:

(1) Are made at the direction of its product managers or equivalent role

(2) Are documented in a work management / issue tracking application

(3) Maintain evidence of security checks and approvals

(4) Include documented functional requirements and non-functional security requirements

(5) Include a plan for notifying customers, including the AU, of any substantive changes upon release

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v) The contractor shall provide ample notice, and in no case less than six months, should the solution version used by the AU reach End of Life, such that it will no longer receive security updates to address vulnerabilities.

d) Specifications During the term of the Contract, the Authorized User may request Product specifications for particular items that have been included by the Contractor on its approved price list for the Contract. These specifications will be provided by the Contractor at no cost.

2. Instruction Manuals and Associated Documentation

Product shall be furnished, at no extra charge, with one complete set of standard operator instruction manuals and Documentation (hard copy, CD/DVD, or web link) as would normally accompany such Product. Contractor shall also ensure that the part numbers and net prices associated with the documentation are available to the Authorized User and included on its approved price list for this Contract should an Authorized User need to purchase additional sets of technical manuals. Where Documentation is provided in electronic format, an Authorized User shall be entitled to make copies to the extent necessary to fully enjoy the rights granted under this Contract provided that the Authorized User reproduces the copyright notice and any other legend of ownership on any copies made.

3. Security

a) Security Incidents

The Authorized User and the Contractor must, in writing, determine a Security Incident notification policy prior to the finalization of the Authorized User Agreement. If no such agreement is in place, then the default agreement shall be notification of all Security Incidents that may have a direct impact on the AU by phone immediately upon detection to the Authorized User representative.

All AU notifications will be followed with a notification to the Albany County Chief Information Officer.

If requested in the Authorized User agreement and agreed to by the Contractor, a written preliminary incident analysis report must be provided to AU within 72 hours of discovery.

Contractor representative must be available by phone and email for discussions with the Albany County Chief Information Officer and AU representative throughout incident response activity and must provide status updates at mutually agreed upon cadences. A written final incident analysis report, including a detailed technical section including root cause of incident, timeline, scope, impact and corrective actions taken must be delivered to AU at the conclusion of incident response.

b) Data Breach – Required Contractor Actions

Unless otherwise provided by law, in the event of a Data Breach, the Contractor shall:

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i) notify the Albany County Chief Information Officer, the Albany County Cyber Incident Response Team, and any potentially affected Authorized User’s representative, by telephone as soon as possible from the time the Contractor confirms Data Breach. An Authorized User may specify a maximum notification time in their RFQ or RFP.;

ii) consult with and receive authorization from the Authorized User as to the content of any notice to affected parties prior to notifying any affected parties to whom notice of the Data Breach is required, either by statute or by the Authorized User;

iii) coordinate all communication regarding the Data Breach with the Albany County Chief Information Officer and Authorized User (including possible communications with third parties);

iv) cooperate with the Authorized User, Albany County Chief Information Officer, Albany County Division of Information Services and any Contractor working on behalf of the Authorized User or Albany County in attempting (a) to determine the scope and cause of the breach; and (b) to prevent the future recurrence of such security breaches; and

v) promptly take commercially reasonable steps to mitigate the effects and minimize any damage resulting from the Security Event. Contractor shall provide Written notice to the Authorized User as to all such corrective actions taken by the Contractor to remedy the Data Breach. Unless otherwise agreed to in the Authorized User Agreement, if Contractor is unable to complete the corrective action within the required timeframe, the Authorized User may contract with a third party to provide the required services until corrective actions and services resume in a manner acceptable to the Authorized User, or until the Authorized User has completed a new procurement for a replacement service system; (ii) and the Contractor will be responsible for the reasonable cost of these services during this period.

Nothing herein shall in any way (a) impair the authority of the Office of the Attorney General or other investigative or law enforcement entity to bring an action against Contractor to enforce the provisions of the New York State Information Security Breach Notification Act (ISBNA) or (b) limit Contractor’s liability for any violations of the ISBNA or any other applicable statutes, rules or regulations.

c) Location of Data; CONUS or OCONUS

i) The RFQ or RFP must specify if the AU will allow Data to be located outside of the

Continental United States (OCONUS).

ii) Unless otherwise authorized in the RFQ and agreed to in the Authorized User

Agreement, when the Contractor is responsible for managing the Data, the Contractor shall meet the following requirements:

a. All Data shall remain in the Continental United States (CONUS).

b. Any Data stored, or acted upon, shall be solely located in Data Centers within

CONUS.

c. Any services which directly or indirectly access Data shall be performed only from locations within CONUS.

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d. All Data in transit shall remain in CONUS…