Request for Proposal

C004561

ASAP | ACE Study

October 22, 2026

Proposals Due:

November 23, 2026, by 5:00 PM

EST

SUMMARY INFORMATION FORM

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

RFP Number:

C004561

RFP Title:

ASAP | ACE Study

RFP Release Date:

October 22, 2026

Key Events Questions due November 4 , 2026 - 5:00 PM

EST

Answers provided on approximately November 12, 2026 Pre-Proposal Conference (if applicable) N/A Site Visit (if applicable) N/A Notice of Intent to Bid Due (if applicable) N/A Proposal Due Date and Time November 23, 2026 - 5:00 PM EST Presentation, Demonstration, Interview (if applicable) TBA Notification of Award TBA Anticipated Contract Start Date Upon OSC approval Length of Contract F ive (5 ) Years SUNY reserves the right, in its sole discretion, to modify the above schedule. Bidders will be notified via email of any changes in a timely manner Contact Information Primary Contact:

Corey Vein Strategic Sourcing Manager

State University of New York corey.vein@suny.edu

518-320-1285

Secondary Contact:

Bella Clark Strategic Sourcing Manager State University of New York annabella.clark@suny.edu 518-320-1504

Restricted Period In accordance with the requirements of New York State Finance Law Sections 139j and 139k (“Lobbying Law”), the restricted period for this procurement is now in effect and shall continue until the approval of a contract by SUNY, or if applicable, by the Office of the State Comptroller. 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:

Street Address: City/State: Zip Code:

If applicable, place an “x” in the appropriate box: (check all that apply) � Small Business (if checked, provide number 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 and Name of Firm: Date:

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

mailto:corey.vein@suny.edu mailto:annabella.clark@suny.edu

Section 1: OVERVIEW

Introduction

The State University of New York (SUNY or State University or University) wishes to procure the services of a qualified research organization to conduct a five-year study of Advancing Success in Associate Pathways (ASAP) and Advancing Completion through Engagement (ACE) across multiple campuses.

Launched at SUNY in 2024, ASAP|ACE provides wraparound support to help students overcome barriers that can prevent them from obtaining a degree. Eligible students have access to a variety of resources and supports, including funding to cover textbooks, groceries, transportation, and other costs of attendance, as well as academic assistance, comprehensive personalized advisement, and additional career development activities.

It is expected that the selected Bidder will commence services immediately following approval of the contract by the NYS Office of the Attorney General and NYS Office of the State Comptroller, as required.

About the State University of New York

The State University of New York, which celebrates its 75th anniversary this year, is the largest comprehensive system of higher education in the United States, and more than 95% of all New Yorkers live within 30 miles of any one of SUNY’s 64 colleges and universities. Across the system, SUNY has four academic health centers, three hospitals, four medical schools, two dental schools, a law school, the country’s oldest school of maritime, the state’s only college of optometry, and manages one US Department of Energy National Laboratory. In total, SUNY serves about 1.4 million students amongst its entire portfolio of credit- and non-credit-bearing courses and programs, continuing education, and community outreach programs. SUNY oversees nearly a quarter of academic research in New York. Research expenditures system-wide are nearly $1.1 billion in fiscal year 2022, including significant contributions from students and faculty. There are more than three million SUNY alumni worldwide, and one in three New Yorkers with a college degree is a SUNY alum. To learn more about how SUNY creates opportunities, visit suny.edu.

A. Introduction

SUNY has a need for an independent study on how ASAP|ACE is helping students earn more credits, stay enrolled, and graduate on time. The study will examine how results differ across student groups as well as assess campus/system fidelity to the evidence-based program model. This will add to the internal evaluation work already underway within the SUNY’s Office of Student Success (OSS) and help guide program improvement, future funding, and public-facing reporting. The study will examine outcomes for the Fall 2025 program cohort at 34 ASAP|ACE partner campuses and the Fall 2026 program cohort at 44 partner campuses. Outcomes will include credits attempted and earned, retention, on-track-to-graduate, and completion, including subgroup analysis across relevant demographic and population variables. The awarded bidder will provide four (4) annual system wide reports, a Year 5 systemwide report, and presentations, with appropriate breakdowns by ASAP and ACE, student demographics and campus type.

Section 2: PROJECT SPECIFICATIONS https://www.suny.edu/

B. Scope of Services

The following must be addressed in Attachment 9, Minimum Bidder Requirements

• The proposed team members must have experience conducting a quasi-experimental study using Propensity Score Matching (PSM) with student-level data.

• The Bidder must have the ability to cover the full five-year study, both student cohorts, and all participating campuses, with one vendor responsible for the work

• The selected bidder must handle all study planning, Institutional Review Board (IRB) processing as needed, secure data collection and analysis, annual reports, presentations and a comprehensive final report

Proposals should address the following in their Attachment 10, Work Plan (described in further detail below) response:

• Proposed research design, emphasis on the approach for PSM and comparison grouping

• Proposed study should use PSM to compare ASAP|ACE students with similar students not in the program (matched comparison score)

• Description of ability to carry out the full quantitative and qualitative scope, including surveys, interviews, focus groups, analysis and reporting

• Description of experience with multi-campus evaluations and student success programs

• Understanding of the ASAP|ACE model, its history and the research behind it

• Description of the Bidders intended use of primary qualitative data collection early in the study that aligns analysis and reporting with the two cohorts and available outcome data o Explain approach, include any examples of prior work

• Description of the methodology to bring the quantitative and qualitative findings together

• Provide a minimum of two (2) professional references from universities, colleges or state systems that the Bidder has engaged for a multi-campus, multi-year study and demonstrates the Bidder’s ability to perform comparable work o SUNY reserves the right to contact references to validate required experience

C. Proposal Requirements and Required Information

1. All proposals should include the following:

(a) Title Page

The title page must indicate the subject of the proposal, the name of the proposer’s firm, local address, telephone number, name of the contact person, and the date.

(b) Table of Contents

The table of contents must include a clear identification of the material by section and page number.

(c) Letter of Transmittal

The letter of transmittal must state:

i. The proposer's understanding of the work to be done and make a positive commitment to perform the work within the required time period.

ii. The names, titles, addresses and telephone numbers of the persons who will be authorized to make representations for the proposer.

Bidders are required to clearly label their response to this section as ‘Attachment 13, Letter of

Transmittal’.

2. That the person signing the letter is authorized to bind the proposer. All proposals must include both a Work Plan and a Profile as follows:

(a) A detailed Work Plan that includes:

i. A proposal overview that condenses and highlights the contents of the proposal in such a way as to provide the technical review committee with a broad understanding of the Bidders approach to complete the requested study.

ii. The firm’s methodology to provide the ASAP|ACE study. This plan must detail how the firm will accomplish the required tasks described in the RFP for each of the five years. The detail must include time estimates, the staff level to be assigned, and recognition that the firm will need to work closely with the State University.

iii. The firm’s contingency plan for the replacement of principals should an emergency arise.

Bidders are required to clearly label their response to their section as ‘Attachment 10: Detailed Work Plan’.

(b) A detailed Profile that includes:

i. The number of years that the company or its officers have been engaged in providing comparable services to educational institutions, specifically describing any multi-year, multi-campus studies.

ii. Information regarding the experience and background of the firm’s principals and management staff, including engagement partners, managers and other supervisors, who would be assigned to the engagement, resumes of the partners, management and supervisory staff to perform the study should also be provided, if applicable.

iii. The qualifications of the firm and of the particular staff to be assigned to this engagement.

iv. The proposer should provide as much information as possible regarding the number, qualifications and experience of the staff to provide the study and should indicate how the staff competency level over the term of the contract will be assured.

v. Whether the firm is regional, national, or international.

vi. The location of the office(s) from which the work will be done and the number of professional staff employed at each office.

vii. Experience and understanding of the State University of New York and the environment of higher education.

viii. The range of activities performed by the firm

ix. Provide at least two (2) professional references from universities, colleges, or other organizations of comparable size and complexity. Each reference must include the name, title, organization, phone number, and email address of the contact person, along with a concise description of the engagement(s) that demonstrate the firm’s ability to perform comparable work. SUNY reserves the right to contact references to validate information provided.

Bidders are required to clearly label their response to this section as ‘Attachment 11, Firm Profile’.

Proposals that do not include all of the items above will be considered non-responsive and may be disqualified.

Note: Additional Proposal Requirements are also set forth throughout this RFP and must be included in all proposals.

Section 3: EVALUATION AND SELECTION

Method of Award

This RFP is part of a competitive procurement process designed to serve the best interests of the State University of New York and the People of the State of New York. It is also designed to provide all bidders with a fair and even opportunity to have their services considered. SUNY will conduct a comprehensive review of each responsive proposal submitted in accordance with the terms of this RFP. Proposals will be evaluated based on “best value” by an evaluation committee comprised of SUNY representatives, and shall be conducted in the following steps:

1. Proposal Administrative Review Each proposal received by the due date and time will be screened for completeness of submission in accordance with this RFP, including minimum bidder qualifications, in order to determine whether the bidder has met the requirements of the RFP.

2. Minimum Bidder Requirements Review (Pass or Fail)

Each proposal remaining after Administrative Review will advance to the Technical Evaluation Committee to review responses for a determination of whether the Bidder has met the Mandatory Minimum Bidder Requirements set forth in Section 2 of this RFP.

Information provided in the proposal will be used to validate that Minimum Bidder Requirements have been met and SUNY reserves the right to contact client references to validate required experience.

3. Technical Evaluation Each proposal remaining after the Proposal Review, will be advanced for review and independent evaluation and scoring by a technical review evaluation committee. A bidder’s technical score will be the average of the committee members’ scores.

4. Cost Evaluation The Contract Office will independently score the cost proposals. The Cost Proposal Worksheet attached to this RFP must be completed by the bidder in accordance with the instructions provided on the Worksheet. Bidders must not modify the Cost Proposal Worksheet. Rates quoted must include all travel and out-of-pocket expenses required to perform the contract. SUNY will make no reimbursement for travel or travel-related expenses. Cost proposals should be submitted as a separate document via email to the designated contacts identified above.

Important: No mention of cost should appear in the technical proposal. Failure to adhere to this requirement may result in disqualification.

5. Presentation, Demonstration, Interview The bidders that are susceptible to award following the summation of the technical scoring and the cost scoring and will be invited to make a presentation to discuss their proposal. In the event that only one bidder is susceptible to award, SUNY reserves the right to waive the presentation phase of the evaluation and selection process. If such presentations are to be held, SUNY will notify the bidders and schedule the time, location and format. The presentation will be conducted virtually and include a short interview with the proposed study lead and key research team members, who must participate. The presentation will provide an opportunity for these bidders to clarify or elaborate on their proposals but shall in no way change their original proposals. The presentation/demonstration/interview will be evaluated and scored by a presentation review evaluation committee. A bidder’s presentation score will be the average of the committee members’ scores. All costs associated with the bidder’s presentation will be borne by the bidder.

6. Selection The bidder earning the highest final composite score (average technical score plus cost score plus average presentation score) will be selected to contract with SUNY. Award shall be made by issuance of an award letter.

All bidders will be notified of the name of the successful bidder. SUNY contracts may be subject to approval by the NYS Attorney General and the Office of the State Comptroller. SUNY reserves the right to award no contract.

Selection Criteria

Proposals will be evaluated based on “best value” by an evaluation committee comprised of SUNY representatives, utilizing an evaluation methodology that considers the following factors:

Technical Proposal Points %

Minimum Bidder Requirements Pass/Fail

Responsiveness of the proposal in clearly demonstrating an understanding of the RFP and Scope of Services Measures: Clarity of response, demonstrated understanding of SUNY’s needs

10 10%

Work Plan/Approach to Engagement Measures: Quality, depth and feasibility of bidder’s proposed methodology, staffing plan and approach to the ASAP|ACE study

25 25%

Qualifications, Experience and Capacity Measures: relevant higher ed experience, capacity of proposed team; expertise in ASAP|ACE and it’s history, depth of firm resources, and demonstrated outcomes in comparable engagements

25 25%

Total Technical Proposal 60 60%

Cost Proposal 25 25%

Presentation (if applicable) 15 15%

Total 100 100%

1. Email your proposal to Corey Vein (corey.vein@suny.edu), with a copy to Annabella Clark (Annabella.clark@suny.edu)

2. The proposal should not be within the body of the email but rather submitted as an attachment to the email.

3. The Cost Proposal Worksheet should be attached to your email as a separate document from your main proposal. No mention of cost should appear in the main proposal. Failure to adhere to this requirement may result in disqualification. Proposals must be received at the email address/office identified above by the due date and time provided on the Summary Information Form, page 1 of this RFP. Proposals submitted to any other person or any other address will not be accepted.

Late Bids: For purposes of Bid openings, a Bid must be received at either the email address or physical address identified above on or before the due date and time. A Late Bid is one that is not received at the location, date and time specified in this RFP. Any Bid received at the specified location after the time specified in this RFP will be considered a Late Bid. A Late Bid shall not be considered for award unless: (i) no timely

Section 4: PROPOSAL SUBMISSION REQUIREMENTS mailto:corey.vein@suny.edu mailto:Annabella.clark@suny.edu

Bids meeting the requirements of this RFP are received, or (ii) in the case of a multiple award, an insufficient number of timely bids were received to satisfy the multiple award; (iii) and acceptance of the Late Bid is in the best interest of SUNY. Delays in United States mail deliveries or any other means of transmittal, including couriers or agents of SUNY shall not excuse Late Bid submissions. Similar types of delays, including but not limited to, bad weather, or security procedures for parking and building admittance shall not excuse Late Bid submissions. Determinations relative to bid timeliness shall be at the sole discretion of the SUNY Chancellor or designee.

Additional Proposal Submission Requirements

1. To be deemed “responsive” to this RFP, a bidder must meet all mandatory requirements and qualifications and its written proposal must address all points and questions appearing in this RFP. In the event a bidder’s proposal is determined by SUNY to be “non-responsive,” SUNY may disqualify the proposal. A disqualified proposal will not be further evaluated or considered for contract award. Responses should be labeled to correspond to the numbers/letters of the sections and subsections of this RFP.

2. Prepare a clearly readable proposal that includes all required information.

3. Bidders must submit all information requested by SUNY in written form. Proposals must be complete, accurate, and in the form requested. Indicate any deviations from the technical specifications and if necessary, attach separate documents and/or explanation.

4. All bids and accompanying documentation shall become the property of SUNY and shall not be returned.

5. The proposal must be fully and properly executed by an authorized person, and the authorized person’s signature must notarized. By signing, you certify (i) your express authority to sign on behalf of yourself, your company, or other entity; (ii) your full knowledge and acceptance of this RFP, Exhibit A (State University of New York Standard Contract Clauses) attached hereto, Exhibit A-1 (State University of New York Affirmative Action Clauses) attached hereto, State Finance Law §139-j and §139-k (Procurement Lobbying Certification); and (iii) that all information provided is complete, true and accurate. By signing you further affirm that you understand and agree to comply with the procedures on permissible contacts relating to this procurement as required by State Finance Law §139 -j (3) and §139-j (6) (b). These procedures may be accessed at: Procurement Lobbying:

http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html

6. Bidders unable or unwilling to submit a proposal are asked to complete the Summary Information Form (Page 1 of this RFP) and check the box indicating that no bid is being submitted.

7. All prices and conditions must be included in the original proposal. Prices and conditions not included in the original proposal will be rejected.

8. The submission of a proposal constitutes a nonrevocable, binding offer to perform and provide said services.

Such binding offer shall be firm and not revocable for a period of sixty (60) days from the due date for bids. After sixty (60) days, the proposal may remain in effect, subject to withdrawal communicated in writing signed by the Bidder.

9. Bidder is responsible for all costs that it incurs, direct or indirect, related to the preparation and submission of a proposal in response to this RFP.

10. Each copy of the proposal must be accompanied by the following:

- Summary Information Form (page 1 of this RFP) http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html

- Attachment 1: Notary Acknowledgement Form

- Attachment 2: Proposal Submission Checklist (and the documents indicated thereon)

- Attachment 3: Submission Identification Form

- Attachment 4: Procurement Lobbying Act Certification

- Attachment 5: Non-Collusive Bidding Certification

- Attachment 6: NYS Finance Law 139-l Certification

- Attachment 7 : NYS Human Rights Law Executive Order 177 Certification

- Attachment 8: NYS Executive Order 16 Certification / Russia Attestation

- Attachment 9: Mandatory Minimum Bidder Qualifications Response Form (Excel file)

- Attachment 10: Detailed Work Plan (provided by Bidder)

- Attachment 11: Firm Profile (provided by Bidder)

- Attachment 12: Cost Proposal Submission Form (Excel file)

- Attachment 13: Letter of Transmittal (provided by Bidder)

- Vendor Responsibility documentation as set forth in Section 6, Part 20

- Form 7557-104: Equal Opportunity Policy Statement

1. Bidder Questions

If a Question and Answer period is provided for in this solicitation, the schedule will be shown on the Summary Information Form (page 1 of this RFP). All questions must be submitted in writing by email. Questions must be EMAILED to arrive no later than 5:00 pm Eastern time on the date indicated and must be emailed to the Designated Contacts shown on the Summary Information Form. Questions received after the closing date for inquiries may not be answered. Only written answers are official. All Questions and Answers will be provided in writing to all potential bidders.

2. Pre-Bid Conference or Site Visit

If a Pre-Bid Conference or Site Visit is held for this solicitation, the date, time, and whether the conference or visit is mandatory or optional is noted on the Summary Information Form (page 1 of this RFP).

3. Bid Opening

Bids may, as applicable, be opened publicly. The University reserves the right at any time to postpone or cancel a scheduled Bid opening.

Section 5: GENERAL INFORMATION

4. Extraneous Terms

Bids must conform to the terms set forth in this RFP. Extraneous terms or material deviations (including additional, inconsistent, conflicting or alternative terms) may render the Bid non-responsive and may result in rejection of the Bid. Extraneous term(s) submitted on standard, pre-printed forms (including but not limited to:

product literature, order forms, license agreements, contracts or other documents) that are attached or referenced with submissions shall not be considered part of the bid or resulting contract, but shall be deemed included for informational or promotional purposes only.

5. Electronic RFP

Electronic copies of this RFP and related forms are available at the New York State Contract Reporter at https://www.nyscr.ny.gov/

6. SUNY’S Reserved Rights

SUNY reserves the right to:

a. Reject any and all proposals received in response to this RFP.

b. Reject any or all portions of any proposal, to negotiate terms and conditions consistent with this RFP and to make an award for any or all remaining portions.

c. Withdraw the RFP at any time, at SUNY’s sole discretion.Make an award in whole or in part.

d. Disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP.

e. Use proposal information obtained through site visits, management interviews and the state’s investigation of a bidder’s qualifications, experience ability or financial standing, and any material or information submitted by the bidder in response to SUNY’s request for clarifying information, in the course of evaluation and/or selection under the RFP.

f. Prior to the bid opening, amend the RFP specifications to correct errors of oversights, or to supply additional information, as it becomes available.

g. Request certified audited financial statements for the past three (3) completed fiscal years and/or other appropriate supplementation including, but not limited to, interim financial statements and credit reports.

h. Request references and contact any or all references.

i. Adjust or correct cost or cost figures with the concurrence of the bidder if mathematical or typographical errors exist.

j. Advise the successful bidder of an objectionable employee(s) and/or subcontractor(s).

k. Waive requirements or amend this RFP upon notification to all bidders. Mandatory requirements may be eliminated if unmet by all Bidders.

l. Negotiate with bidders responding to this RFP within the requirements necessary to serve the best interests of SUNY.

m. Begin contract negotiations with another bidder in order to serve the best interests of SUNY should contract negotiations with the successful bidder be unsuccessful within a time frame acceptable to SUNY.

https://www.nyscr.ny.gov/

n. Request clarifications from bidders for purposes of assuring a full understanding of responsiveness, and permit revisions from all potential awardees prior to award.

o. Award no contract.

7. Contract Award

Receipt of this RFP does not indicate that SUNY has predetermined bidder’s qualifications to receive a contract award. A contract award, if made, shall be based on evaluation of the bid in accordance with the criteria set forth in this RFP. The successful bidder will be notified in writing.

8. Post Award Procedures

1. Debriefing

Bidders who responded to this RFP will be given written notice as to whether their bid was successful or unsuccessful. Upon being notified of their unsuccessful bid, bidders may request a debriefing in writing within 15 calendar days of such notice. The 15-day period starts once unsuccessful bidders are notified. Upon a bidder’s request for a debriefing:

a. The University will schedule the debriefing within a reasonable time of such request. The debriefing will be conducted in person with the bidder, unless the University and the bidder mutually agree to use another method such as by telephone, video conference or another type of electronic communication.

b. Bidders’ written request must state whether the bidder will be attending with counsel, to allow the University to arrange for University counsel attendance if so determined.

c. The debriefings will cover, but not limited to the following:

(i) The reason why the bid was unsuccessful.

(ii) The quantitative and qualitative analysis that was used by the campus to assess the relative merits of the bid, proposal or offer.

(iii) How the selection criteria was applied to the unsuccessful bid.

(iv) If the request for debriefing is made prior to contract award, the debriefing shall be limited to review of that bidder’s bid.

(v) If the debriefing is held after the final award (which means OSC approval, if applicable) it, may cover the reason for the selection of the winning proposal.

(vi) To the extent practicable, general advice and guidance on the ways the bidder can improve future proposal submission or be more responsive.

2. Contract Award Protest Procedures

Bidders wishing to protest a contract award may do so in accordance with the University’s procedures, available at: http://www.suny.edu/sunypp/documents.cfm?doc_id=699.

1. Free and Open Competition

SUNY encourages free and open competition. Whenever possible, terms, specifications, and conditions are designed to accomplish this objective, consistent with the necessity to satisfy SUNY’s needs.

Section 6: GENERAL TERMS AND CONDITIONS http://www.suny.edu/sunypp/documents.cfm?doc_id=699

2. Notification of Errors, Inquiries and Interpretation

Bidder is responsible to bring to SUNY’s attention any deviations in the technical specifications and to make recommendations for any additional requirements deemed necessary as standard, or for work indicated in the specifications contained in this RFP. If SUNY in its discretion finds the deviations to be significant so as to require a change in the necessary specifications for the work, SUNY will notify all bidders in writing of the change in specifications. No deviations from the technical specifications provided herein shall be made without written approval of SUNY.

3. No Claims or Rights

By submitting a proposal, bidder agrees that it will not make any claims for, or have any right to damages because of any misinterpretation or misunderstanding of the specifications or because of any misinformation or lack of information.

4. Conflict of Interest

Bidder may be requested to provide evidence that the award of a contract will not result in (i) a conflict of interest with regard to other work performed by bidder; or (ii) a potential conflict of interest among bidder’s staff.

Acceptance of RFP Content

The terms and conditions included in this RFP as well as the applicable portions of bidder’s proposal shall become contractual obligations if a contract is awarded. BIDDER’S FAILURE TO ACCEPT THESE TERMS

AND CONDITIONS AND OBLIGATIONS SHALL RESULT IN REJECTION OF BIDDER’S PROPOSAL .

5. Services Outside Scope of the Contract Awarded

SUNY shall not be responsible for any services provided by the successful bidder that are outside the scope of the contract awarded. SUNY shall not be responsible for any additional costs other than the costs for the services outlined herein, or for any work performed that has not been properly authorized in writing by SUNY.

6. Standard Contract Clauses

Any contract awarded resulting from this RFP shall include Exhibit A (State University of New York Standard Contract Clauses) and, for contracts in excess of $25,000, Exhibit A-1 (State University of New York Affirmative Action Clauses). The provisions of Exhibit A and Exhibit A-1 shall take precedence over any provision in this RFP or any provisions in the contract awarded. Exhibits A and A-1 are attached to this RFP.

7. Binding Effect

The contract awarded shall be binding upon its execution by both parties and, if required by New York State law, upon the written approvals of the Attorney General and the Office of the State Comptroller.

8. Rates

Rates for Services incurred may not exceed the rates quoted in the Cost Proposal attached to the RFP and to any resulting Agreement. If the Agreement is a “Personal Services Contract,” defined by New York Executive Order 10 dated March 2, 2011 as a contract where “a majority of the costs of the contract are attributable to compensation of the contractor’s personnel,” such rates are in compliance with Section 6 of Executive Order 10.

The Parties acknowledge that the rates provided in the Cost Proposal are for evaluation purposes only and that Contractor will invoice SUNY on a fixed price deliverable basis not exceeding the rates provided in the Cost Proposal.

9. Rights in Deliverables

Contractor hereby assigns to SUNY ownership of all materials created by Contractor specifically for SUNY hereunder and required to be delivered to SUNY by virtue of their description or specification as a deliverable in the Statement of Work, upon SUNY’s payment in full of all applicable invoices. Deliverables exclude Contractor’s proprietary tools, methodologies, and any enhancements made to such tools and methodologies, which shall remain the sole property of Contractor, and exclude any third-party components whether or not included or embedded therein. Deliverables shall be deemed to be “works made for hire” under federal copyright laws.

Notwithstanding anything to the contrary, Contractor retains all rights to its knowledge, experience and know-how (including processes, ideas, concepts and techniques) acquired in the course of performing the Services.

10. Amendments

The contract awarded under this RFP may only be amended at any time only upon mutual consent of the parties in writing. Such written amendment will not be effective until signed by both parties, and if required, approved by the Office of Attorney General and Office of State Comptroller.

11. Confidentiality/Freedom of Information Law

All proposals submitted for SUNY’s consideration will be held in confidence and will become the property of SUNY. However, the resulting contract is subject to the New York State Freedom of Information Law (FOIL), contained in Article 6 of the New York State Public Officer’s Law. Therefore, if a bidder believes that any information in its proposal constitutes a trade secret, should be treated as confidential and should not be disclosed upon a request pursuant to FOIL, bidder shall submit with its proposal a separate letter addressed to:

Holly Liapis, Records Access Officer, State University of New York, State University Plaza, Albany, NY, 12246, specifically (i) identifying the page number(s), line(s) or other appropriate designation(s) containing such information; (ii) explaining in detail why such information is a trade secret or confidential; and (iii) formally request that such information be held as confidential. Bidder’s failure to submit such a letter with its proposal will constitute a waiver by the bidder of any rights it may have under Section 89(5) of the Public Officers' Law relating to protection of trade secrets. The proprietary nature of the information designated confidential by the bidder may be subject to disclosure if ordered by a court of competent jurisdiction. A request that an entire proposal be kept confidential is not advisable, because a proposal cannot reasonably consist exclusively of proprietary information.

12. Data Privacy and Security

A. Data Privacy

(i) Contractor will use any information it creates, receives, maintains or transmits on behalf of SUNY (“SUNY Data”) only for the purpose of fulfilling its duties under this contract and will not share such data with or disclose it to any third party without the prior written consent of the SUNY, except as required by the contract or as otherwise required by law.

(ii) SUNY Data will not be stored outside the United States without prior written consent from SUNY.

(iii) Contractor will provide access to SUNY Data only to its employees and subcontractors who need to access the data to fulfill its obligations under the contract.

(iv) Contractor will ensure that employees who perform work under the contract have read, understood, and received appropriate instruction as to how to comply with the data protection provisions of th e contract.

(v) FERPA: If contractor will have access to the SUNY’s Education Records as defined under the Family Educational Rights and Privacy Act (FERPA), contractor acknowledges that for the purposes of the contract it will be designated as a “school official” with “legitimate educational interests” in the SUNY Education records, as those terms have been defined under FERPA and its implementing regulations, and the contractor agrees to abide by the limitations and requirements imposed on school officials. Contractor will use the Education Records only for the purpose of fulfilling its duties under the contract for SUNY’s and its end user’s benefit, and will not share such data with or disclose it to any third party except as provided for in the contract, required by law, or authorized in writing by the SUNY.

(vi) Contractor, as well as any subcontractors the contractor employs to process data on behalf of SUNY, shall comply with the European Union General Data Protection Regulation (“GDPR”) (EU) 2016/679.

(vii) If contractor will receive, maintain, process or otherwise will have access to confidential information on employees of the State University of New York. Pursuant to the Gramm-Leach-Bliley Act (P.L. 106-102) and the Federal Trade Commission’s Safeguards Rule (16 CFR Part 314), and to the extent the contractor is a covered entity or applicable service provider under these regulations with respect to student or customer data, the contractor will implement and maintain a written Information Security Program (“Program”) in order to protect such confidential customer information. Customer information is defined as “any record containing nonpublic personal information as defined in 16 CFR §313(n)” (the FTC’s Privacy Rule) “about a customer of a financial institution, whether in paper, electronic, or other form” (16 CFR §314.2). Examples of nonpublic personal customer information include, but are not limited to, name, address, phone number, social security number, bank and credit card account numbers and student identification numbers.

(viii) Contractor will comply with all personal health information protection requirements, if applicable, outlined in the Health Insurance Portability and Accountability Act (HIPAA) and complete the HIPAA Business Associate Agreement.

B. Data Security

(i) Contractor agrees at all times to maintain network security which at a minimum, includes: network firewall provisioning, intrusion detection, and regular (three or more annually) third party vulnerability assessments, and provide a copy of the annual Attestation of Compliance (AOC) document, if requested.

Further, contractor agrees to maintain network security that conforms to generally recognized “Industry Standards “and best practices that contractor applies to its own network. Generally recognized industry standards include but are not limited to the current standards and benchmarks set forth and maintained by the Center for Internet Security (see http://www.cisecurity.org) or Payment Card Industry/Data Security Standards (PCI/DSS) see http://www.pcisecuritystandards.org. Contractor will maintain a data security plan (“Data Security Plan”), which will comply with Payment Card Industry Data Security Standards (“PCI DSS”) requirements (as discussed in more detail below) and all applicable legal and regulatory requirements for data protection. In addition, the Data Security Plan will protect against any anticipated threats or hazards to the security or integrity of information stored on its servers and unauthorized access to or use of such information that could result in harm or inconvenience to the person who is the subject of such information. Contractor will review, at least annually, its Data Security Plan and update and revise it as needed. A copy of contractors’ Data Security Plan will be made available to SUNY upon request.

(ii) Contractor shall maintain mandatory procedures and protocols outlined in its “Information Security Incident Response Policy” to be undertaken in the event of an identified or suspected breach of credit card information or current or former student information that is not Directory Information. A copy of contractor’s Information Security Incident Response Policy will be made available to SUNY upon request.

In the event a breach is suspected, contractor will: (i) immediately contain the possible exposure while not compromising any data on its system; (ii) contact all members of its Corporate Security Committee; (iii) initiate a local analysis within 24 hours of the suspected breach to determine the type of information that has been potentially compromised, the individuals and SUNY institutions at risk, the incident timeframe at risk and the suspected cause of the incident; and (iv) if a breach is identified, immediately contact affected parties with details of the breach.

C. New York Information Breach and Notification Requirements

Contractor hereby acknowledges and agrees to use commercially reasonable efforts to maintain the security of private information (as defined in the New York State Information Security Breach and Notification Act, as amended “ISBNA”(General Business Law § 889-aa; State Technology Law § 208) that it creates, receives, maintains or transmits on behalf of SUNY and to prevent unauthorized use and/or disclosure of that private information; and implement administrative, physical, and technical safeguards that reas onably and appropriately protect the confidentiality, integrity and availability of electronic private information that it creates, receives, maintains or transmits on behalf of SUNY (“SUNY Data”). Contractor hereby acknowledges and agrees to fully http://www.cisecurity.org/ http://www.pcisecuritystandards.org/ disclose to SUNY pursuant to the ISBNA, and any other applicable law any breach of the security of a system where contractor creates, receives, maintains or transmits private information on behalf of SUNY following discovery or notification of the breach in the system as to any resident of New York State whose private information was, or is reasonably believed to have been acquired by a person without valid authorization (“Security Incidents”). The disclosure shall be made in the most expedient time possible and without unreasonable delay, consistent with the legitimate needs of law enforcement or any measures necessary to determine the scope of the breach and restore the reasonable integrity of the system. Contractor shall be liable for the costs associated with such breach if caused by contractor’ negligent or willful acts or omissions, or the negligent or willful acts or omissions of contractor’s agents, officers, employees or subcontractors. In the event of a Security Incident involving SUNY Data pursuant to the ISBNA, SUNY has an obligation to notify every individual whose private information has been or may have been compromised. In such an instance, the contractor agrees that SUNY will determine the manner in which such notification will be provided to th e individuals involved pursuant to the ISBNA and agrees to indemnify SUNY against any cost of providing any such legally required notice. Upon termination or expiration of the contract, the contractor will follow SUNY’sinstructions relating to any SUNY Data remaining in contractor’s possession. Upon authorization from SUNY, the contractor will use data and document disposal practices that are reasonable and appropriate to prevent unauthorized access to or use of SUNY Data and will render the information so that it cannot be read or reconstructed.

D. Service Levels (Applicable to Cloud Based, Remotely Hosted or Technology as A Service Contracts)

SUNY understands that the Services will not be uninterrupted or error free. Contractor will use commercially reasonably efforts to ensure availability of the Services in accordance with the provisions of the Service Level Agreement (when applicable).

E. Disaster Recovery

Contractor shall maintain disaster recovery services at the dedicated facility that is able to handle SUNY data center and business continuity needs under the contractor in the event disaster recovery is needed. Throughout the term of the contract, contractor shall maintain contracts or arrangements that are substantially equivalent or an improvement to those currently in effect. Contractor shall test disaster recovery capabilities, at least once every calendar year and provide SUNY with a copy of its disaster recovery plan upon request.

F. Data Portability

Contractor agrees to do whatever is reasonable and necessary to facilitate the orderly and professional transfer of the Services and SUNY Data upon the expiration or termination of the contract to SUNY or a SUNY Institution, or to whatever subsequent vendor SUNY may select to provide similar services on SUNY’s behalf.

G. Electronic Information Technology

SUNY is committed to providing an accessible, usable and integrated experience for 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. EIT includes, but is not limited to, telecommunication products, information kiosks and transaction machines, Internet and Intranet websites, web-delivered content, software, electronic books and electronic book reading systems, search engines and databases, multimedia, classroom technology and office equipment. SUNY expects that all such products, if supplied under the awarded contract, will be accessible as defined under Sections 504 and 508 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, as amended.

13. Diversity Contracting Requirements

A. Diversity Practices

SUNY seeks to engage contractors that have a demonstrated history of hiring, training, developing, promoting and retaining minority group members and women. Under NYS Executive Law Article 15-A, 5 NYCRR Part

141.1(o) diversity practices are the efforts of contractors to include New York State certified MWBEs in their business practices. Diversity practices may include past, present, or future actions and policies, and include activities of contractors on contracts with private entities and governmental units other than the State of New York. By responding to the RFP and completing this questionnaire, each prospective bidder acknowledges that:

a. The bidder has an equal employment opportunity policy statement (which shall be submitted to SUNY with each bidder's Proposal using the Form identified in subsection (iv) below).Pursuant to Article 15 of the Executive Law (the "Human Rights Law"), all other State and Federal statutory and constitutional non-discrimination provisions, the bidder will not discriminate against any employee or applicant for employment because of race, creed, color, sex, religion, national origin, military status, sexual orientation, age, disability, genetic disposition or carrier status, domestic violence victim status, or marital status, will undertake, or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination, and will make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force during its legal engagement with SUNY. It shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

b. The bidder will state in all solicitations or advertisements for employees that, in the performance of this contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, sex, religion, national origin, military status, sexual orientation, age, disability, genetic disposition or carrier status, domestic violence victim status, or marital status.

c. The bidder will submit the applicable EEO Staffing Plan, Form 7557 -108, describing the anticipated work force to be utilized on the engagement with SUNY or, where required, information on the bidder's total work force, including apprentices, broken down by specified ethnic background, gender, and Federal occupational categories or other appropriate categories specified by SUNY. This form elicits information about each responding bidder in order to verify that its work environment demonstrates a strong commitment to diversity.

(ii) By submission of a bid or proposal in response to this solicitation and completing this questionnaire, the bidder agrees with all of the terms and conditions of SUNY Exhibit A-1 including Clause 12 - Equal Employment Opportunities for Minorities and Women and acknowledges that:

a. The contractor is required to ensure that it and any subcontractors awarded a subcontract over $25,000 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the contractor, shall undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status.

For these purposes, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services unrelated to the contract; or (ii) employment outside New York State.

(iii) Pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and constitutional non-discrimination provisions, the contractor and sub-contractors will not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

(iv) Bidder must submit with their bid or proposal their Equal Employment Opportunity Policy Statement (which conforms to the provisions of Exhibit A-1) utilizing MWBE Form 104. Forms are available in SUNY Procurement Policies and Procedures Document 7557 online at:

http://www.suny.edu/sunypp/documents.cfm?doc_id=611.