SUNY RFP C004305 eTranscript.pdf

eTranscript Request for Proposal #C004305

(Software & Services)

Deadline for submissions:

05/01/2025, 4:00 pm EST

Designated Contact:

Corey Vein University-wide Strategic Sourcing Manager corey.vein@suny.edu

Section 5.1 Functional Requirements

Section 5.2 Platform Non‐functional & Architectural Requirements …………………...…………….………..17

Section 5.2.1 Additonal Non‐Functional Requirements

Section 5.3 Project Deliverables

Section 5.3.1 Project Deliverable Narrative

Section 5.4 Mandatory Requirements for Data Privacy and Security

Section 5.4.1 Data Privacy General Requirements

Section 5.4.2 Location of Data

Section 5.4.3 European Union (ʺEUʺ) General Data Protection (ʺEU GDPRʺ) and other International

Data Privacy and Security Laws and Regulations

Section 5.4.4 Gramm‐Leach‐Bliley Act

Section 5.4.5 HIPAA

Section 5.4.6 Security and Privacy ……………………………………………………………………………..28

Section 5.5 Vendor Accessibility Requirements

Section 5.5.1 Accessibility Conformance Report:

Section 5.5.2 Additional SUNY Accessibility Requirements ………………………………………………..32

Section 6: Cost Proposal

Section 6.1 Travel Costs

Section 7.1 Downstream Prohibition…………………………………………………………………………………33

Section 7.2 Bidder Questions

Section 7.3 Pre‐Bid Conference

Section 7.4 Bid Opening

Section 8.1 Evaluation Process

Section 8.2 Selection Process…………………………………………………………………………………………..37

Section 8.3 SUNY’s Reserved Rights

Section 9.1 Proposal Format

Section 10 Other Proposal Requirements ……………………………………………………………………………42

Section 10.1 Determination of Vendor Responsibility

Section 10.2 Procurement Lobbying Act – State Finance Law §§ 139‐j and 139‐k

Section 10.3 Non‐Collusive Bidding Certification

Section 10.4 Executive Order 162 (EO 162)

Section 10.5 Executive Order 177 (EO 177)

Section 10.6 New York State Finance Law § 139‐l Certification

Section 10.7 Diversity Requirements

Section 10.7.1 Equal Employment Opportunity Requirements

Section 10.7.2 Service‐Disabled Veteran‐Owned Businesses (SDVOB)

Section 10.7.3. Minority and Women‐Owned Business Enterprises (MWBE)

Section 10.7.4 Assessment of Diversity Practices

Section 10.8 Subcontracting

Section 10.9 General Insurance Requirements

Section 10.10 Compliance with NYS Consulting Services Reporting Requirements

Section 10.11 Compliance and Modification for Perspective Legal Events ……………………………………..50

Attachment 1: Proposal Submission Checklist …………………………………………………………………...…53

Attachment 6: Proposed Subcontractor Information Submission Form ……………………………………….. 61

Attachment 8: Product Accessibility Roadmap …………………………………………………………………… 64

Attachment 9: New York State Executive Order 16 Certification / Russia Attestation ……………………….. 65

Attachment 10: Mandatory Minimum Bidder Qualifications Response Form …………………………………66

Attachment 11: Functional Requirements Submission Form ……………………………………………………. 67

Attachment 12: Cost Proposal Submission Form ………………………………………………………………….. 68

Exhibit B, General Contract Terms and Conditions ……………………………………………………………….. 80

Exhibit E, Service Level Agreement ………………………………………………………………………………….. 89

Exhibit F, Extraneous Terms …………………………………………………………………………………………... 96

THIS PAGE MUST BE SIGNED AND RETURNED WITH BIDDER’S RESPONSE

RFP #: C004305 RFP Title: eTranscript RFP Release Date: 03/26/2025 Electronic copies of this RFP are available at: https://www.nyscr.ny.gov/contracts.cfm Key Events Requested Submission of Questions and Requests for Clarification 04/09/2025, 4pm EST Response to questions/requests for clarification issued 04/18/2025, 4pm EST Proposal Due Date and Time (Any proposal received after the deadline will not be considered)

05/01/2025, 4pm EST

Demonstration (remove or modify, as applicable. Indicate if event is to take place in person, or webex, including location information when applicable)

TBD

Anticipated Notification of Award TBD Anticipated Contract Start Date TBD SUNY reserves the right, in its sole discretion, to modify the above schedule. Bidders will be notified of any changes in a timely manner Contact Information Primary Contact:

Corey Vein

Secondary Contact:

Glenn Massey

Other Contact: n/a

Restricted Period

In accordance with the requirements of New York State Finance Law Sections 139-j and 139-k (“Lobbying Law”), the restricted period for this procurement is now in effect. Therefore, all communications regarding this procurement must be handled through the State University of New York’s designated contacts only.

Bidder Information Legal Business Name of Company Bidding: Bidder’s Federal Tax

Identification Number:

D/B/A – Doing Business As (if applicable): NYS Vendor ID Number (See

Exhibit B, Section 16):

Street Address: City/State: Zip Code:

If applicable, place an “x” in the appropriate box: (check all that apply)

☐ Small Business (if checked, provide # of employees ____) ☐ Disabled Veteran Owned Business

☐ Minority Owned Business (NYS Certified) ☐ Women Owned Business (NYS

Certified)

If you are not bidding, place an “x” in the box and return this page only. ☐ We are unable to bid at this time because:

Bidders Signature: Title:

Printed Name: Date:

By signing this form, Bidder acknowledges (a) that the RFP instructions are understood; (b) that the Bidder is committed to servicing SUNY’s needs in the required time period; (c) that all information required by this RFP has been included in Bidder’s proposal; and (d) that downstream prohibition criteria have been met.

Section 1: Summary Information Form

This Request for Proposals (RFP) is issued by the State University of New York System Administration (herein referred to as “SUNY”) to solicit proposals for a “SUNY Next‐Gen Transcript Exchange” platform (hereafter referred to as “SUNY‐NGTE”).

The selected Bidder will be required to provide comprehensive Information Technology (IT) professional services to support the design, configuration and implementation of the SUNY‐NGTE platform in the form of a robust software solution.

Through this RFP, SUNY seeks to procure both technology solutions and technology services (including Commercial Off‐The‐Shelf (COTS) solutions, Software as a Solution (SaaS)/Cloud based solutions, along with professional technical configuration and implementation services) under a single contract. SUNY has an expiring contract for an Electronic‐Transcript Initiative with Parchment (CM0385A/XM0385A). The existing contract offers a mechanism to facilitate the request and exchange of student information as secure pdf or printed transcripts between the 64 SUNY campuses, public and private high schools and public and private non‐profit colleges and universities outside of SUNY. As part of the contract lifecycle ending on 11/30/25, SUNY is issuing an RFP for a SUNY‐NGTE platform in an open market competitive solicitation.

The selected vendor must provide integrated technology solutions capable of supporting SUNY’s 64 campuses, along with the necessary technology services to configure, customize, and implement the platform to meet SUNY’s requirements. This approach ensures a unified procurement process and streamlines coordination between the product and the accompanying professional services. Such proposals may include configuring the base technology solution with additional modules, enabling other source system integrations and implementing custom configurations to add advanced functionalities, improve user experience, and ensure seamless interoperability with existing systems.

To demonstrate feasibility and value, vendors must provide a detailed explanation of their proposed process, integration points, and the overall benefits of their approach, reduced costs, and enhanced capabilities.

Additionally, proposals must include a complete turnkey pricing structure, outlining all costs associated with software licensing, customization, integrations and implementation to ensure transparency and alignment with SUNY’s goals.

SUNY’s goals with this RFP are primarily to:

● Establish a contract that will maintain and enhance the level of Electronic Transcript (eTranscript) services currently available via existing contracts.

● Establish a contract with the capacity to support digital credentials (which includes but is not limited to e‐ Transcripts) and to evolve to support comprehensive learner records (CLR).

● Encourage the digital transformation of learner and credential records for use of interoperable data to support CLR.

The results of this RFP will be used to award a 5‐year contract, with the option to renew for one additional 5‐year term to a responsive and responsible Bidder determined to provide the best value (as defined herein).

Section 2: Overview

The State University of New York is the largest comprehensive public university system in the United States, educating more than 376,000 students in more than 7,500 degree and certificate programs on 64 individual campuses with nearly 3 million alumni around the globe. Enrollments are detailed as follows:

● 13 University Centers and Doctoral Degree Granting Institutions offering academic programs through the doctoral level; each enroll between under 1,000 to over 19,000 undergraduate students;

● 13 University Colleges offering academic programs through master’s level; each enrolls between 3,700 to over 9,000 undergraduate students;

● 8 University Colleges of Technology offering academic programs through master’s level; each enroll between 1,600 and 6,000 undergraduate students; and

● 30 community colleges offer academic programs through the associate’s level; each enrolls between 1,700 to over 26,000 undergraduate students.

This RFP is intended to secure a solution available to all 64 campuses in the SUNY system including statutory or contract colleges and other affiliates or authorized users. For a current listing of the SUNY Institutions and Other Authorized Users included within the scope of this procurement as users or potential users of this solution, please see Exhibit C, attached hereto and made a part hereof.

SUNY is embarking on a transformative initiative to upgrade its eTranscript platform as part of the larger Digital Transformation Project (DTP). DTP is a strategic initiative designed to modernize and enhance the experience of students, faculty, and administrators across its campuses. By leveraging technology, the DTP aims to improve academic success, operational efficiency, cybersecurity, and data standardization. SUNY is committed to implementing innovative solutions that align with its mission and drive institutional excellence. This initiative will introduce cutting‐edge digital tools, platforms, and services to support student retention and engagement, streamline administrative processes, enhance research capabilities, and strengthen cybersecurity across the SUNY system.

SUNY‐NGTE will modernize transcript handling capabilities, ensuring compliance with data security standards and enhancing interoperability with existing systems. This modernization will lead to a more efficient and effective academic record management process across all SUNY institutions, benefiting both students and administrative staff by streamlining the articulation and transfer of courses. Ultimately, SUNY‐NGTE will support improved operational efficiency and a seamless processing experience for all stakeholders.

Vendors are encouraged to propose a COTS solution combined with IT professional services, clearly defining the approach through which IT professional services will configure, customize, or extend the proposed COTS solution to meet SUNY's unique requirements.

This project implementation is expected to span up to 18 months and begin immediately following NYS Office of the State Comptroller contract approval.

A contract will be awarded only to a responsible, qualified and responsive Bidder, in a financial position to do the work specified. Proposals will be accepted only from Bidders meeting the Mandatory Minimum Bidder Qualifications set forth in this Section. The qualifications listed below are minimum requirements; such

Section 3: Background

Section 4: Bidder Qualifications qualifications are deemed to be material and hence not waivable. Any Bidder proposal that does not meet SUNY’s Mandatory Minimum Bidder Qualifications shall be disqualified from consideration.

All proposals received on or before the proposal due date and time, and at the email specified in this Request for Proposal, will be evaluated by SUNY to determine whether they meet the following Mandatory Minimum Bidder Qualifications.

Mandatory Minimum Bidder Qualifications

● Bidder must provide a fully developed and seamlessly integrated technology solution, ensuring compatibility with SUNY's existing systems and supporting efficient communication between internal and external applications.

● The Bidder must deliver comprehensive IT services to configure, customize, and implement the system, addressing SUNY’s specific functional requirements and ensuring smooth end‐user adoption for students and administrative staff.

● The solution must seamlessly integrate with SUNY’s existing source systems and data sources across multiple campuses.

● The solution must include a comprehensive SUNY‐NGTE that integrates smoothly with campuses’ Student Information Systems (SIS), and other application management systems.

● The Bidder must deliver a SUNY‐NGTE technology solution that is accessible and complies (and will continue to comply) with applicable federal and/or state laws, rules, regulations, policies, and/or standards, as amended and supplemented during the term of the resulting contract (if any), and the terms and conditions set forth in this Request for Proposals (SUNY‐NGTE RFP #C004305).

● The Bidder must also establish and confirm that accessibility compliance is (and will continue to be) achieved without the use of overlay technology.

● The Bidder must facilitate data migration of campus surcharge workflows and standard PDF templates to the new platform while minimizing disruptions to ongoing operations.

● The Bidder must have a highly skilled and experienced team of IT professionals to support the design, development, testing, deployment, and training phases of the SUNY‐NGTE initiative, providing ongoing operational support as needed.

● Bidders must demonstrate a proven track record of delivering similar solutions in the education sector or comparable industries.

● Proposals must include a complete turnkey pricing structure, transparently detailing all direct and indirect costs associated with software acquisition/licensing, customization, data migration, integrations, implementation, training, and ongoing support, ensuring alignment with SUNY’s objectives and budgetary constraints.

● The proposal must include the following features as a part of the solution:

● Unified student ordering

● Variable surcharges

● Campus controlled settings, workflows and notifications for processing times, holds and exceptions processing,

● Campus branded print and PDF transcripts (including accessible versions meeting the most current WCAG standards (currently WCAG 2.1 AA))

● Automated workflows to release approved requests

● Admin‐initiated transcript release

● Automated workflows to match transcripts received to student profile in the SIS or other systems of record.

● Exchange of transcripts as structured data IntraSUNY

● Reporting and Analytics and the campus and System levels

● Multi‐Language Support

● Single sign on for student and administrative staff registration and login.

Reference Requirements

Bidders are required to provide references to validate the implementation of the functionality as detailed above and SUNY reserves the right to contact references at any stage to validate Bidder has met the Mandatory Minimum Bidder Qualifications. The Bidder is solely responsible for providing contact information for clients that are readily available to be contacted and will respond to questions. If SUNY is unable to contact a client, the Bidder will be provided one time‐boxed opportunity, to assist in obtaining cooperation from those clients that have not responded.

When the proposed solution relies on partnerships and/or third‐party solutions to provide required functionality, references provided must validate that the solution, as proposed, has been previously implemented successfully.

● Bidders must provide evidence of a minimum of three (3) years of successful experience in providing the services or projects of a similar nature and scope as those required in this RFP. This qualification may be satisfied by Bidder and their named subcontractor(s), if any.

● Bidders must provide three (3) letters of reference on company letterhead with complete contact information, from corporations, non‐corporation business entities, municipalities, and/or educational organization(s) for projects or services of a similar nature and scope as required in this RFP. Each reference must state the dates, locations, description of the services provided as well as volume and quality of services provided. If the reference is from an agency/organization that does not provide references, please provide contact information in lieu of the reference. This qualification may be satisfied by Bidder together with their named subcontractor(s), if any.

In response to this section Bidders must complete Attachment 10 Mandatory Minimum Bidder Qualifications

Response Form to affirm how they meet the requirements listed above.

Scope Overview

The scope of this project encompasses the implementation of a centralized, modernized SUNY‐NGTE platform for use by SUNY System Administration, all 64 SUNY campuses, and other SUNY authorized users, with the goal of streamlining transcript generation, exchange, and processing. The solution will address current challenges, including manual processing, data entry errors, and delays caused by reliance on paper and PDF transcripts. This project aims to enable seamless transcript exchange within the SUNY system and with external educational institutions, adhering to standardized data formats and ensuring compliance with relevant data security standards.

Key components of SUNY‐NGTE include:

1. Standardization of Transcript Data

● Define a SUNY‐wide standardized data schema for transcript content to ensure consistency and accuracy across all campuses, while maintaining the flexibility for each campus to control the look and feel of their PDF and printed transcripts.

● Build integration tools and workflows to support receiving transcripts as structured data and populating student profiles within existing Student Information Systems (SIS) and other administrative platforms.

Section 5 Scope of Services

2. Automation and Integration

● Automate the transcript request, generation, and delivery process to reduce manual intervention and associated errors.

● Ensure real‐time synchronization between the eTranscript platform and Student Information

Systems (SIS) to automatically reflect student record updates, such as grade changes and degree conferrals.

● Implement automation to streamline transcript processing, detect anomalies, and prioritize urgent requests based on predefined institutional rules and policies.

3. Enhanced User Experience

● Develop a unified, user‐friendly portal for students, alumni, and administrative staff to request, send, and manage transcripts.

● Provide a single ordering experience for students who have attended multiple SUNY institutions, eliminating the need to order transcripts separately from each institution.

● This experience will consolidate transcript requests into a single transaction while clearly displaying campus‐specific fees and workflows for each college involved in the request.

● Enable workflow transparency, showing students and other authorized users the status of their requests at each institution in real‐time.

● Ensure mobile accessibility and an intuitive and accessible interface to improve user satisfaction.

4. Enhanced Administrative Experience

● Develop a real‐time dashboard for administrators to monitor transcript processing statuses, pending approvals, and workflow performance metrics.

● Enable role‐based access controls, allowing institutions to define user roles and permissions for managing transcript approvals, exceptions, and processing rules.

5. Security and Compliance

● Adhere to Family Educational Rights and Privacy Act (20 U.S.C. § 1232g; 34 CFR Part 99) (FERPA) guidelines and other applicable privacy regulations to ensure the integrity, confidentiality, and authenticity of academic records.

● Incorporate features such as encryption, digital signatures, and robust authentication mechanisms.

6. Scalability and Sustainability

● Design the solution to scale with future growth in user base and technological advancements.

● Support environmental sustainability initiatives by reducing reliance on paper‐based processes.

7. Training and Support

● Provide comprehensive training and support for end‐users, including registrars, admissions staff, and other administrative personnel.

● Include ongoing system maintenance, updates, and support for troubleshooting.

8. Migration and Transition Plan

● Comprehensive Data Migration ‐ Develop a structured data migration plan to seamlessly transfer transcript records, student profiles, and historical data while ensuring accuracy through automated validation and reconciliation.

● Minimized Downtime and Legacy System Integration ‐ Implement a phased migration approach with off‐peak scheduling, rollback mechanisms, and API‐based integrations to ensure smooth transition while maintaining compatibility with legacy SIS and administrative platforms.

● User Training and Parallel System Testing ‐ Provide comprehensive training programs, manuals, and support personnel while running parallel systems for testing, validation, and feedback collection before full deployment.

● Post‐Migration Support and Continuous Optimization ‐ Offer ongoing system monitoring, performance tracking, and support to address post‐migration issues while establishing a roadmap for future enhancements based on user feedback and analytics.

5.1 Functional Requirements:

1. Unified Ordering Platform with Campus‐Specific Workflow Control

● A unified portal must be implemented for students and alumni to request transcripts across all

SUNY institutions, ensuring a single point of access regardless of how many campuses they have attended.

● This platform must seamlessly integrate with the student‐facing portals and websites of each SUNY institution to ensure ease of use and consistent access through familiar interfaces.

● The platform must allow campuses to configure transcript processing workflows, including approval steps, delivery methods, and institutional policies.

● Each campus must retain full control over its own transcript workflows, including processing, approval, and delivery mechanisms.

● Institution‐specific fees and processing times must be displayed transparently to students at the time of request, ensuring clarity in cost breakdowns.

● The platform should enable automated transcript request approvals and processing, reducing manual intervention and ensuring faster fulfillment of requests.

● Real‐time status tracking must be available for both students and administrative staff, providing visibility into the request lifecycle, including pending approvals, processing, and delivery.

● The system must support multiple campus‐specific billing options.

2. SIS/ERP/Campus System Integration

● The solution should integrate seamlessly with the Student Information Systems (SIS), Enterprise Resource Planning (ERP) platforms, and other campus systems of record used across SUNY institutions to ensure efficient data exchange and workflow coordination.

● The platform should support bidirectional data exchange between the eTranscript system and campus systems to enable:

o Automatic population of student profiles in the SIS with transcript data received in structured formats (e.g., XML/EDI).

o Retrieval of student record data from the SIS to generate accurate and complete transcripts.

o The platform should validate incoming and outgoing data to prevent mismatches or duplication during data exchange.

● Campus‐specific workflows for transcript processing and approval should be accommodated through integration with SIS/ERP workflow engines or equivalent tools. The platform should allow campuses to configure rules for transcript requests, including:

o Verification of student holds or outstanding payments in the SIS.

o Prioritization of transcript processing based on campus policies.

o Number of transcripts requested per day (students)

● The platform should enable real‐time synchronization with campus systems, ensuring that any updates to student records (e.g., grade changes or degree conferrals) are reflected immediately in transcript data.

● The platform should accommodate integrations with legacy systems used for alumni records, ensuring that historical transcript data is accessible and processable within the unified platform.

o It should also support cloud‐based and on‐prem SIS/ERP platforms used for current student records, ensuring seamless integration across the diverse technological landscape of SUNY campuses.

o Middleware or API solutions should be provided to bridge compatibility gaps where direct integration with legacy systems is not feasible.

3. Multi‐Institution Ordering

● The platform should provide a consolidated ordering experience for students and alumni who have attended multiple SUNY institutions, allowing them to submit a single order that encompasses all relevant campuses.

● The system should aggregate all institutional fees into a single payment interface while itemizing fees per campus for transparency.

● The platform should manage inter‐campus workflows, ensuring that each institution processes its portion of the request independently while maintaining synchronization with the overall order.

● Maintain transparent workflows by showing order progress from each institution in real‐time.

● Users should have access to a centralized dashboard where they can:

o View the status of all transcripts included in the order.

o Receive notifications and tracking updates for order milestones, such as processing, approval, and delivery for each institution.

o Cancel or modify pending orders (subject to campus‐specific rules).

● The platform should support customization of multi‐institution workflows, allowing each campus to:

o Define processing rules for multi‐campus orders based on institutional policies.

o Independently process their portion of a multi‐campus request while ensuring smooth coordination.

o Ensure that these customizations do not disrupt the unified experience for students.

● The system should integrate with campus‐specific payment processors to facilitate automatic distribution of fees to each institution while offering a unified checkout experience.

o Include support for various payment methods, such as credit/debit cards, ACH transfers, and campus‐specific billing accounts.

o Support integrated payments for multi‐campus transactions, allowing students to complete payments seamlessly.

● The platform should calculate and display estimated processing times for each campus in the order based on predefined campus workflows and policies.

● Users should receive clear communication when delays occur at any institution, including explanations for the delay. Provide a mechanism for each campuses to indicate delayed processing times (i.e. holiday curtailment periods).

● Institutions should be able to prioritize and expedite transcript requests based on urgency, academic deadlines, or external requirements.

● The platform should automatically reconcile data across institutions to ensure consistency in student records, preventing duplication or errors.

● Support standardized data formats (XML, JSON, EDI) for seamless transcript sharing across institutions and external partners.

● For users who request delivery to a single recipient, the system should consolidate transcripts from multiple campuses into a single package where possible, ensuring compliance with campus policies and FERPA requirements.

● Allow users to select separate delivery methods (e.g., electronic or paper) for each campus as needed.

● Provide campuses with insights into multi‐institution orders through a reporting dashboard, including:

o Number of requests involving their institution as part of multi‐campus orders.

o Processing times and user satisfaction metrics specific to their institution.

o Revenue breakdown for multi‐institution orders.

4. Data Exchange Standard

● The platform should support structured transcript data exchange using XML, JSON, and EDI formats or other standardized formats, ensuring compatibility across all SUNY institutions.

Provide built‐in validation tools to verify compliance with the SUNY‐wide standardized schema for transcripts, ensuring consistent data formatting before transmission or receipt.

● Automate transcript ingestion into recipient Student Information Systems (SIS) to streamline processing and eliminate manual entry errors.

● Provide dedicated tools and resources to assist campuses in configuring the platform for data exchange, including:

o Pre‐built templates for common SIS/ERP integrations to simplify implementation.

o User‐friendly interfaces for mapping local data fields to the standardized schema.

o Step‐by‐step configuration guides tailored for institutions new to structured data standards.

o Include vendor‐led workshops or implementation assistance to ensure successful onboarding for campuses without prior experience in structured data integration.

o Offer ongoing consultation services during the implementation phase to address campus‐ specific challenges and requirements.

● The platform should support secure data exchange using various protocols (e.g., SFTP, HTTPS, API‐based), ensuring compatibility with diverse campus technical environments.

● Enable role‐based access control (RBAC) for secure data transfers, ensuring that only authorized personnel can access, modify, or exchange student transcript data.

● Ensure compliance with FERPA and other applicable federal, state, local data privacy laws, incorporating strong authentication, access control, and encryption measures.

● Enable real‐time tracking and status updates for transcript exchanges, allowing students and administrators to monitor progress at each stage.

● Support integration with third‐party credential verification services to facilitate external transcript authentication and validation.

● Establish secure channels for encrypted transcript transmissions, ensuring the confidentiality and integrity of student records.

● Provide tools to map and transform data to meet external partner requirements while preserving the integrity of the SUNY schema.

● The platform should include advanced error‐handling features to:

o Automated validation and error‐checking to detect and flag missing fields, incorrect formats, and other inconsistencies before transmission.

o Real‐time detection and logging of data transmission issues.

o Automated retry mechanisms for transient failures, such as network interruptions.

o Administrative alerts with detailed error logs for persistent issues, expediting resolution.

o Recovery workflows to maintain data integrity and prevent duplication of records.

● The platform should maintain detailed audit logs of all transcript exchanges between SUNY campuses, including timestamps, data types, sender/receiver information, and transmission statuses. Provide audit trail reporting to ensure compliance with FERPA and SUNY data security policies. Offer user‐friendly tools for administrators to review, search, and export log data for audits and troubleshooting.

● The data exchange architecture should be scalable to accommodate growing transaction volumes as campuses adopt the standardized schema. Ensure high‐performance benchmarks for data transmission speeds and processing times, even under peak usage scenarios.

● Provide built‐in tools to facilitate the transformation of local data into the SUNY schema format, including:

o Automatic data mapping utilities for campuses migrating from legacy systems.

o Real‐time transformation of unstructured or semi‐structured data into machine‐readable formats. Support campus‐specific configurations to adapt existing records to meet schema requirements.

● Offer a sandbox environment for campuses to test data exchange configurations, simulate transactions, and validate accuracy without impacting live systems.

● Provide guided testing scenarios and automated validation tools to confirm readiness before moving to production.

5. Administrative User Interface (UI)

● Role‐Based Administrative Dashboard o Provide a role‐based dashboard displaying real‐time processing metrics, allowing administrators to monitor and manage transcript workflows efficiently.

o Enable role‐specific permissions for different administrative functions, ensuring secure and controlled access.

● Transcript Processing and Workflow Management o Allow administrators to view, approve, hold, or reject transcript requests based on institutional policies.

o Support batch processing to handle multiple transcript requests simultaneously, improving efficiency.

o Implement automated handling of financial and academic holds, ensuring requests are processed only when compliance requirements are met.

● Secure Access and Search Capabilities o Provide secure access to student records with advanced search tools, enabling administrators to locate specific records quickly.

o Allow filtering and sorting options to streamline record retrieval based on status, institution, or request date.

● Centralized Inbox for Receiving Institutions o Implement a centralized inbox for receiving institutions to manage incoming transcripts efficiently.

o Enable institutions to track, categorize, and process received transcripts in one interface.

● Automated Validation and Data Transformation o Implement automated validation and error correction for incoming transcripts, ensuring data accuracy before integration into Student Information Systems (SIS).

o Enable real‐time transformation of unstructured files (e.g., scanned PDFs) into machine‐ readable formats (XML, JSON, EDI) for seamless data processing.

● Automated Notifications and Communication Management o Provide automated email and SMS notifications to update students and institutions on the status of transcript requests.

o Allow institutions to configure customized message templates, ensuring personalized and institution‐specific communications.

o Implement delay notifications with explanations (e.g., holidays, system maintenance, closures) to inform users of expected processing times.

● Customizable Reporting and Audit Logs o Offer customizable reports on processing performance, request trends, and workflow efficiency to aid institutional decision‐making.

o Provide audit logging for all administrative actions, tracking modifications, approvals, and rejections for compliance and accountability.

● Security and Compliance Measures o Require encryption and MFA for securing administrative access and protecting student records.

o Ensure compliance with FERPA, and other applicable federal, state, and local data privacy laws, and institutional security protocols to safeguard sensitive student data.

● Real‐Time Tracking and Received Transcript Reporting o Enable real‐time tracking and reporting on received transcripts, providing visibility into processing timelines and completion status.

o Allow institutions to generate detailed analytics on transcript acceptance rates, processing speed, and data integrity.

6. User Experience

● Interface o The UI should be designed with a responsive layout, supporting accessibility guidelines and requirements for a diverse range of users, including those with disabilities.

o Provide a modern, web‐based UI with an intuitive navigation structure for students and administrators.

o Ensure cross‐browser and cross‐device compatibility for a seamless experience.

● Single Sign‐On (SSO) o The platform should integrate with existing SUNY authentication systems, enabling seamless login via SSO.

o Ensure support for SAML, OAuth, and other industry‐standard authentication protocols.

o Provide MFA for enhanced security.

● Accessibility o The platform must comply with all applicable federal and/or state accessibility laws, rules and/or regulations and applicable Web Content Accessibility Guidelines (WCAG) to ensure usability for individuals with disabilities.

o Ensure keyboard navigation and screen reader compatibility for all user interactions.

7. Security

● Ensure FERPA compliance and implement role‐based access control to protect student records.

● Provide end‐to‐end encryption for all data transactions and at‐rest storage.

● Implement audit logs and tracking for all user actions related to transcript processing.

● Enable IP whitelisting and intrusion detection mechanisms for system security.

● Support configurable data retention policies based on SUNY compliance standards.

8. Implementation and Support Requirements

● Migration Support o The solution should provide a seamless migration process for historical transcript records and workflows.

o Ensure minimal downtime and data integrity during migration from legacy systems.

● Training Programs o Provide comprehensive training materials, including user guides, video tutorials, and live webinars.

o Offer role‐based training sessions for administrators, faculty, and students.

● Technical Support o Offer technical support with multiple support channels, including email, chat, and phone.

o Provide a dedicated customer support manager for SUNY campuses.

9. Reporting and Analytics

● Real‐Time Interactive Dashboard o Provide an interactive, real‐time dashboard displaying processing metrics, request tracking, and system performance for administrators.

o Enable visual data representation (e.g., graphs, charts, heatmaps) to offer clear insights into processing trends.

● Advanced Reporting Capabilities o Generate reports on average processing times, completion rates, and request volumes, allowing institutions to monitor efficiency.

o Enable trend analysis tools for forecasting peak processing periods based on historical data.

o Offer FERPA and compliance audit reports for institutional review and regulatory compliance.

o Maintain detailed audit logs tracking all administrative actions, ensuring accountability and transparency.

● Customizable and Automated Reports o Allow customized report creation based on institutional requirements, enabling institutions to define data points, timeframes, and filters.

o Support automated scheduling of reports and export in multiple formats, including CSV, PDF, JSON, and XML.

o Provide automated scheduling of system‐wide reports with role‐based access controls to ensure secure distribution.

● Business Intelligence and Third‐Party Integration o Integrate with Business Intelligence (BI) tools (e.g., Tableau, Power BI) for advanced analytics and data visualization.

o Support data export compatibility with third‐party analytics tools for deeper insights and extended reporting capabilities.

● Role‐Based Reporting Access and System Alerts o Provide role‐based access to reports and analytics, ensuring different user groups can access only relevant data.

o Enable notification alerts for anomalies, such as processing delays, system issues, or data inconsistencies, to prompt immediate administrative action.

● System‐Wide and Comparative Institutional Reporting o Provide system‐wide consolidated reporting to track transcript requests across all SUNY institutions, ensuring broad visibility and oversight.

o Enable customized reporting filters for institutions to analyze data by campus, timeframe, request type, or processing status.

o Allow multi‐campus comparative analytics to evaluate processing efficiency, identify bottlenecks, and track performance trends.

10. Print and Mail Fulfillment

● Secure and Certified Printing Facilities o Utilize secure, certified printing facilities that meet industry standards for confidentiality, integrity, and accuracy in credential production.

o Ensure compliance with FERPA and institutional security policies for handling and printing student records.

● Same‐Day Printing and Mailing o Implement same‐day printing and mailing for orders received by the established cutoff time, ensuring timely delivery.

o Allow institutions to define cutoff times and processing priorities based on their operational needs.

● Institution‐Specific Customization o Provide customizable printing options for institutions, including branded letterheads, official seals, and signature placements.

o Allow for institution‐specific messaging on printed credentials, such as additional certification details or accreditation logos.

● Real‐Time Tracking and Notifications o Enable real‐time tracking of mailed documents, allowing students and institutions to monitor shipment status.

o Provide automated email and SMS notifications to students and recipients upon shipment, transit, and delivery completion.

● Automated Address Verification o Incorporate automated address verification to prevent delivery errors, ensuring documents are sent to valid, up‐to‐date recipient addresses.

o Allow real‐time correction or validation prompts if discrepancies are detected before mailing.

● Environmentally Sustainable Printing Practices o Adopt eco‐friendly printing practices, such as recycled paper, energy‐efficient printing technologies, and minimal waste production.

o Offer institutions the option to select sustainable material choices for printed documents.

5.2 Platform Non‐functional & Architectural Requirements

High‐level platform non‐functional and architectural requirements:

● The platform must support a scalable architecture to handle growing transaction volumes as adoption increases.

● The system must be modular and flexible, allowing components to be easily upgraded, replaced, or expanded without major disruptions.

● The platform must integrate seamlessly with existing Student Information Systems (SIS), Enterprise Resource Planning (ERP) platforms, and third‐party services.

● Ensure high‐availability (HA) and disaster recovery (DR) with defined Recovery Time Objective

(RTO) and Recovery Point Objective (RPO) in line with SUNY IT policies.

● The solution must adhere to NIST SP 800‐53 security controls and Federal Information Security Modernization Act (FISMA) requirements to protect personally identifiable information (PII).

● Implement strong authentication mechanisms, including multi‐factor authentication (MFA) and role‐based access control (RBAC) for administrators and users.

● The platform must comply with all applicable federal and/or state accessibility laws, rules and/or regulations and applicable Web Content Accessibility Guidelines (WCAG) to ensure usability for individuals with disabilities.

● Enable real‐time monitoring and logging of platform activities, including data exchanges, access logs, and security events.

● Provide secure encryption (AES‐256 or higher) for data at rest and in transit.

● Support automated compliance reporting for all applicable federal and/or state accessibility laws, rules and/or regulations, including, without limitation, FERPA, NY State data privacy laws, and accessibility regulations and guidelines.

● The platform must have built‐in multilingual support to accommodate diverse users across SUNY institutions.

● Ensure low‐latency performance benchmarks, providing fast response times for ordering, processing, and data retrieval.

● Implement audit trails capturing all user actions related to transcript processing, approvals, modifications, and data exchanges.

● Enable integration with SUNY’s global identity (ID) verification system for secure authentication and de‐duplication of student records.

● Provide a sandbox environment for campuses to test configurations, integrations, and data exchange workflows before full deployment.

● Ensure the platform cloud‐based deployment models, accommodating diverse campus IT infrastructures.

● The platform must support batch and real‐time data exchange for transcript requests and processing.

● Implement automated monitoring and anomaly detection, triggering alerts for system performance issues, security threats, or integration failures.

● Provide self‐service administrative tools for campuses to configure their own workflows, security settings, and compliance policies.

● Ensure compliance with New York State Public Officers Law Article 6‐A Personal Privacy Protection Law and the federal Family Educational Rights and Privacy Act and its implementing regulations (20 U.S.C. § 1232g; 34 C.F.R. Part 99) (FERPA), as now or hereafter amended, securing student data privacy in all transactions.

5.2.1 Additional non‐functional requirements:

1. Scalability, Modularity & Flexibility With close to six thousand registered courses and over one million enrollments each year, a number that is expected to increase considerably, SUNY seeks to have scalability, modularity, and flexibility principles and best practices in place at the core of the new solution’s design to be in a better place to handle future changes based on its long‐term goals & vision. The solution should be composed of modular components that can be easily integrated, upgraded, or replaced as needed. Modular design facilitates agility and simplifies maintenance, enabling SUNY to adapt to changing needs without significant disruption.

We expect proposals to demonstrate this clear understanding of the scalability, modularity, and flexibility requirements outlined above. Vendors should provide detailed insights into how their proposed solution addresses these needs and adheres to industry best practices and standards.

Additionally, SUNY encourages vendors to showcase relevant experience, expertise, and innovative approaches in designing and implementing solutions with these core principles.

2. Compliance and Security

Compliance measures

The SUNY‐NGTE must adhere to legal and regulatory requirements while maintaining the security and privacy of learner data. The proposed solution shall provide tools for implementing robust data security measures, generating compliance reports, managing privacy settings, and ensuring accessibility for learners with disabilities. SUNY administrators must be able to identify and mitigate risks, ensuring data protection and operational continuity.

a. Data Privacy Controls

Ensuring the privacy and security of learner data is paramount in the development of the NGTE. This requires adherence to all applicable state and federal laws, rules, and regulations, and relevant SUNY policies designed to secure SUNY Data and protect personally identifiable information (PII), as further detailed in SUNY General Terms and Conditions, incorporated by reference to this RFP and attached and referred to as Exhibit B. The solution shall meet the security requirements outlined in NIST SP 800‐53 and meet all PII protection requirements of FISMA.

b. Accessibility Features

I. SUNY is committed to providing an accessible, usable, and integrated experience for all its students, staff and community. Electronic and information technology (“EIT”) consists of information technology and any equipment or interconnected system or subsystem of equipment that is used in the creation, conversion, or duplication of data or information that will be deployed in connection with such technology, equipment or systems. Further, EIT includes, but is not limited to, telecommunications products, information kiosks and transaction machines, Internet and Intranet websites, web‐ delivered content (including without limitation word processing, spreadsheet, presentation files, and PDF files), software, mobile applications, electronic books and electronic book reading systems, search engines and databases, multimedia, classroom technology, and office equipment.

II. By submitting a proposal, Bidder warrants that all EIT and the SUNY‐NGTE shall conform to all current and future applicable state and/or federal accessibility laws, rules, regulations, and/or standards, and/or the policies of the State of New York and/or the SUNY Board of Trustees, including but not limited to the following:

a. New York State Executive Law § 170‐f, requiring that every contractor, subcontractor, vendor, consultant, or other person providing services pursuant to a state contract shall conform any website provided by such contractor, subcontractor, vendor, consultant, or other person in relation to and for the provision of such services to the most current version of the Web Content Accessibility Guidelines (“WCAG”) adopted by the World Wide Web Consortium for accessibility, or successor standards (currently WCAG 2.2, released October 05, 2023);

b. 28 C.F.R. Part 35, Subpart H Web and Mobile Accessibility, §§ 35.200 – 35‐209, Nondiscrimination on the Basis of Disability; Accessibility of Web Information and Services of State and Local Government Entities, as now or hereafter amended, addressing, among other things, web content and mobile app accessibility, and currently referencing best practices of WCAG 2.1 AA (regulations effective June 24, 2024) (regulatory compliance date April 24, 2026);

c. Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794d), and its implementing regulations set forth at Title 36, Code of Federal Regulations, Part 1194; and

d. To the extent applicable, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), and its implementing regulations set forth at Title 45, Code of Federal Regulations, Part 84, addressing, among other things, requirements related to providing accessible web content, mobile applications, and kiosks.

III. Bidder shall provide evidence of compliance with the accessibility requirements set forth above and in this RFP (including without limitation the accessibility testing results and written documentation verifying accessibility as specified in Section 5.5 Vendor Accessibility Requirements) in its response, and periodically at the reasonable request of SUNY.