SUNY Upstate Medical University

RFP S-1484
Optimization of Emergency Department (“ED”) and
Inpatient Acute Care Capacities Consultant Services

NOTICE OF ADDENDUM #2
REVISION(S):

1) The RFP’s title page has been updated to reflect the latest version of the RFP document
(Addendum #2, 3/26/25).

2) Questions and answers, including supporting documents, have been attached to the end
of the RFP document.

3) Section 3, Bidder Qualifications & Technical Components, subsection C, Pricing, has been
updated to include a URL for obtaining GSA per diem rates. The URL is also referenced in the
questions and answers document.

4) Section 4, Bid Submission Requirements, subsection E, Bid Opening, has been updated to
include a URL for registering and attending the public bid opening virtually. The URL is also
referenced in the questions and answers document.

5) Attachment 1: Bid Submission Checklist has been updated to include the Notice of
Addendum #1 and Notice of Addendum #2, which need to be signed/dated and submitted
with the bidder’s proposal.

Please sign here to acknowledge receipt of this revision addendum:

Signature Print Name

Company Name Date

***
TO CONFIRM RECEIPT OF THIS ADDENDUM,
BIDDER MUST SIGN/DATE & RETURN THIS NOTICE
WITH THE PROPOSAL SUBMISSION.
***
 SUNY Upstate Medical University
RFP S-1484
Optimization of Emergency Department (“ED”) and
Inpatient Acute Care Capacities Consultant Services

NOTICE OF ADDENDUM #1

REVISION(S):

1) The date for Upstate’s response to questions/requests for clarification issued has been
extended to no later than Wednesday, March 26, 2025. The original date was March 18,
2025. The RFP’s Summary Information Form have been updated to reflect this change.

2) The proposal due date and time has been extended to Thursday, April 17, 2025, at 2:00 PM
ET. The original date was March 27, 2025, at 2:00 PM ET. The RFP’s title page and Summary
Information Form have been updated to reflect this change.

3) Attachment 1: Bid Submission Checklist has been updated to include the SDVOB Form
7564-121C (SDVOB Utilization Plan) which needs to be submitted with a bidder’s proposal.

4) Attachment 2: Bidder Qualifications Submission Form has been updated to include

question #10 of the mandatory bidder qualifications which addresses the bidder’s ability to
provide up to eighteen (18) months of on-going support beyond the initial project phase.
Due to an administrative oversight, this question was erroneously left off the attachment.

Please sign here to acknowledge receipt of this revision addendum:

Signature Print Name

Company Name Date

***
TO CONFIRM RECEIPT OF THIS ADDENDUM,
BIDDER MUST SIGN/DATE & RETURN THIS NOTICE
WITH THE PROPOSAL SUBMISSION.
***
 SUNY UPSTATE MEDICAL UNIVERSITY

Request for Proposal (“RFP”)

Optimization of Emergency Department (“ED”) and

Inpatient Acute Care Capacities Consultant Services
RFP S-1484

Responses Due:
Thursday, April 17, 2025
2:00 PM ET

Rev. 03/26/25 (Addendum #2)

 TABLE OF CONTENTS
SUMMARY INFORMATION FORM ...................................................................................................................................... 1
Section 1: OVERVIEW .................................................................................................................................................... 2
Section 2: PROJECT SPECIFICATIONS ............................................................................................................................ 3
A. Scope of Services .......................................................................................................................................... 3
B. Technical Specifications ............................................................................................................................... 3
C. Method of Award ........................................................................................................................................... 4
1. Administrative Review ............................................................................................................................ 4
2. Review ofBidder Qualifications ................................................................................................................5
3. Technical Evaluation ............................................................................................................................... 5
4. Financial Evaluation ................................................................................................................................ 5
5. Presentation, Demonstration, Interview .................................................................................................... 5
6. Selection ............................................................................................................................................... 5
Section 3: BIDDERQUALIFICATIONS AND TECHNICAL COMPONENTS ............................................................................... 6
A. Minimum Bidder Qualifications...................................................................................................................... 6
B. Technical Evaluation Submission Requirements ............................................................................................ 7
C. Pricing……………………………………………………………………………………………………………………………………………..11
Section 4: BID SUBMISSION REQUIREMENTS ................................................................................................................ 13
A. Bid Submission Requirements ..................................................................................................................... 14
B. Bidder Questions…………………………………………………………………………………………….………………………………..14
C. Pre-Bid Proposal Meeting ............................................................................................................................ 14
D. Site Visit ..................................................................................................................................................... 15
E. Bid Opening ................................................................................................................................................ 15
F. Minor Irregularities ...................................................................................................................................... 15
G. Extraneous Terms ....................................................................................................................................... 15
Section 5: GENERAL INFORMATION ............................................................................................................................. 15
A. Electronic RFP ............................................................................................................................................ 15
B. SUNY’s Reserved Rights .............................................................................................................................. 15
C. Contract Award .......................................................................................................................................... 16
D. Post Award Procedures ............................................................................................................................... 16
Section 6: GENERAL TERMS AND CONDITIONS ............................................................................................................. 16
1. Free and Open Competition ......................................................................................................................... 16
2. Notification of Errors, Inquiries and Interpretation ......................................................................................... 17
3. No Claims or Rights ..................................................................................................................................... 17
4. Conflict of Interest ............................................................................................................................... 17
5. Acceptance of RFP Content ......................................................................................................................... 17
6. Services Outside Scope of the Contract Awarded .......................................................................................... 17
7. Standard Contract Clauses ......................................................................................................................... 17
8. Binding Effect ............................................................................................................................................. 17
9. Confidentiality/Freedom ofInformation Law ................................................................................................. 17
10. Data PrivacyandSecurity ............................................................................................................................... 17
11. New York Information Breach and Notification Requirements………………………………………………………………….19
12. Reserved………………………………………………………………………………………………………………………………………….19
13. Disaster Recovery……………………………………………………………………………………………………………………………..19
14. Data Portability………………………………………………..……………………………………………………………………………….19
15. Diversity Contracting Requirements ............................................................................................................. 19
16. Minority and Women-owned Business Enterprises (MWBE) ............................................................................ 21
17. Equal EmploymentOpportunity Requirements ............................................................................................. 22
18. Service-Disabled Veteran-OwnedBusinesses (SDVOB)................................................................................. 22
19. Encouraging Use of New York State Businesses in Contract Performance ........................................................ 22
20. Office of Federal Contract Compliance Programs .......................................................................................... 23
21. Governing Law ............................................................................................................................................ 23
22. Omnibus Procurement Act of 1992 ............................................................................................................... 23
23. Determination of Vendor Responsibility........................................................................................................ 23
24. Requirements of New York State’s Recycling Program ................................................................................... 24
25. State ConsultantServices Reporting ............................................................................................................ 24
26. Electronic Payment Authorization ................................................................................................................ 24
 27. Timeliness of Payment and Interest .............................................................................................................. 24
28. Exhibits ...................................................................................................................................................... 24
29. Independent Contractor .............................................................................................................................. 25
30. Subcontracting ........................................................................................................................................... 25
31. Compliance ............................................................................................................................................... 26
32. Indemnification .......................................................................................................................................... 26
33. Liability ...................................................................................................................................................... 27
34. Insurance ................................................................................................................................................... 27
35. Travel ......................................................................................................................................................... 29
36. Termination ................................................................................................................................................ 29
37. Procurement Lobbying Act – State Finance Law §§ 139-j and 139-k .................................................................. 30
38. Restrictions on the Activities of Current and Former State Officers and Employees ........................................... 30
39. Diesel Emissions Reduction Act of 2006........................................................................................................ 30
40. Smoke Free SUNY ....................................................................................................................................... 31
41. State Finance Law §139-L Certification .......................................................................................................... 31
42. Compliance with SUNY Policies ................................................................................................................... 31
43. TrademarksandService Marks ..................................................................................................................... 31
44. Executive Order 177 (EO 177) ....................................................................................................................... 31
45. False Claims Act ......................................................................................................................................... 32
46. Excluded Individuals/Entities ...................................................................................................................... 32
47. Sales and Compensating use Tax Documentation ......................................................................................... 32
48. Non-Solicitation …………………………………………………………………………………………..………………………………….33
49. Payment Terms ........................................................................................................................................... 33

Exhibits, Attachments and Appendices ........................................................................................................................... 34

1. State University of New York Notary Acknowledgment ………………..……………………………………………………………… 34
2. Attachment 1: Bid Submission Checklist ……………………………………………………..……………………………………………36
3. Attachment 2: Bidder Qualifications Submission Form……………………………………………………..………………………… 38
4. Attachment 3: Bidder Reference Form………………………………………………………………………………………………….…… 41
5. Attachment 4: Procurement Lobbying Act Certification………………………………………………………………………..……… 44
6. Attachment 5: Non-Collusive Bidding Certification …………………………………………………………………………………….. 46
7. Attachment 6: Diversity Practices Questionnaire ……………………………………….………………………………………………. 49
8. Attachment 7: Reserved. ……………………………………………………………………………………………….………………………. 52
9. Attachment 8: NYS Business Subcontractor Identification Form ………………………………………….……………………….. 53
10. Attachment 9: Consultant Information including Forms A & B ………………………………………….…………………………… 55
11. Attachment 10: NY State Finance Law §139-L Certification ………………………………………………………..………………… 59
12. Attachment 11: NY Human Rights Law Executive Order 177 Certification ……………..………………………………………… 61
13. Attachment 12: False Claims Act and Acknowledgment Form ……………………………………………………………………… 63
14. Attachment 13: Financial Proposal …………………………………………………………..…………………………………………….. 70
15. Exhibit A: State University of New York Standard Contract Clauses ……………………………………………………………….. 72
16. Exhibit A-1: State University of New York Affirmative Action Clauses ……………………………………………………………… 76
17. Exhibit T: Upstate Compliance & Ethics Program Education……………………………….………………………………………… 83
18. Exhibit Z: Business Associate Agreement …………………………………………..……………………………………………………. 93
 SUMMARY INFORMATION FORM
THIS PAGE MUST BE SIGNED AND RETURNED WITH BIDDER’S RESPONSE

RFP #: S-1484 RFP Title: Optimization of ED and RFP Release Date: 02/19/2025
Inpatient Acute Care Capacities Electronic copies of this RFP are available at:
Consultant Services www.upstate.edu/finance/publicbid/bid.php
Key Events
Questions/Requests for clarification due Wed., March 12, 2025, at 2:00 PM ET
Response to questions/requests for clarifications issued Wed., March 26 (no later than)
Pre-Bid Conference (if applicable) N/A
Site Visit (if applicable) N/A
Notice of Intent to Bid Due (if applicable) Request Excel Version of Financial Proposal
Proposal Due Date and Time Thurs., April 17, 2025, at 2:00 PM ET
Presentation, Demonstration, Interview (if applicable) N/A
Anticipated Notification of Award Late Spring 2025
Anticipated Contract Start Date Early Summer 2025
Anticipated Term Length of Contract Up to 30 months (includes support period)
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: Secondary Contact: Other Contact:
Daniel Arnold Julia Sutphin
Attn: Contracts, SLC 2042 Attn: Contracts, SLC 2039
SUNY Upstate Medical University SUNY Upstate Medical University
650 South Salina Street 650 South Salina Street
Syracuse, NY 13202 Syracuse, NY 13202
Telephone: (315) 464-5874 Telephone: (315) 464-4744
Email: arnoldd@upstate.edu Email: sutphinj@upstate.edu
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. 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 # 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:

Contact Name and E-Mail for questions:

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

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; and (c) that all information required by this RFP has been
included in bidder’s proposal.

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Section 1: OVERVIEW

SUNY Upstate Medical University located in Syracuse, New York, is the only academic medical center in Central
New York. With an operating budget of approximately $1.8 billion, it is the region's largest employer with
approximately 10,100 employees and generates more than $2.5 billion in economic impact for the State of New
York.

SUNY Upstate Medical University is a component of State University of New York (“SUNY”). Its mission is to
improve the health of the communities it serves through education, biomedical research and patient care. Its
vision, which was developed through a process open to all employees, is: united in expertise, compassion and
hope to create a healthier world for all. Upstate is guided by shared values, also developed campus-wide, which
are to: drive innovation and discovery; respect people; serve our community; value integrity; and embrace
diversity and inclusion.

Upstate is one of three hospitals in the SUNY System and serves the 17-county Central New York region, covering
one-third of the state’s landmass, which spans from north of Watertown, south to Binghamton and points east
and west of Syracuse. Upstate represents the region’s only tertiary care center and is designated as a Level 1
Trauma Center for both adults and children. The Hospital also operates a range of outpatient clinics and services
and features the region’s only Children’s Hospital and holds several other specific New York State DOH
designations to include: a Certified Stroke Center (also the region’s first Comprehensive Stroke Center), Burn
Center, AIDS Care Center, SAFE Center and a Poison Control Center which serves 54 NYS counties. The Hospital
is a UNOS certified Kidney Transplant Center, and the Upstate Cancer Center is certified by the American College
of Surgeons Commission on Cancer.

The Upstate University Health System serves more than 1.8 million people, often the most seriously ill and
injured. The Hospital provides highly specialized inpatient and outpatient services, with nearly 35,000
admissions in 2018. Upstate had more than 106,000 visits in its three emergency rooms: 2 adult and 1 pediatric
and 617,217 outpatient encounters in 2018. Upstate has 70 specialty clinics, which saw 460,000 of its outpatient
visits. Patients also have access to additional clinics, through UUMAS, Upstate University Medical Associates at
Syracuse, Inc. UUMAS is a 501(c)3 not-for-profit university faculty practice corporation, which serves as the
umbrella organization of the 19 clinical departmental practices, Medical Service Groups (MSGs), within the
College of Medicine.

Upstate has a total of 800 licensed beds at its two hospital campuses: the downtown campus (“University
Hospital”), located at 750 East Adams St., Syracuse, New York with 486 licensed beds, and Upstate University
Hospital Community Campus (“Community Hospital”) located at 4900 Broad Road, Syracuse, New York, with
314 licensed beds. The Upstate Golisano Children’s Hospital (“UGCH”) crowns the east tower of the downtown
campus. Collectively, these hospitals are referred to herein as “Hospital”.

Upstate and SUNY System Administration will be identified throughout this RFP interchangeably as “SUNY”,
“University” and/or “Campus”. As well, the words “bidder”, “firm”, “vendor” and “contractor” will be used
interchangeably throughout this RFP.

About the State University of New York

The State University of New York is the largest comprehensive system of higher education in the United States,
with 64 college and university campuses located within 30 miles of every home, school, and business in the state.
As of fall 2018, more than 424,000 students were enrolled in a degree program at a SUNY campus. In 2017-18,
SUNY served 1.4 million students, including approximately 550,000 in credit bearing courses and programs and
over 850,000 through continuing education and community outreach programs. SUNY students and faculty
across the state make significant contributions to research and discovery, resulting in $1 billion of externally
sponsored activity each year. There are 3 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 opportunity, visit www.suny.edu.

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Section 2: PROJECT SPECIFICATIONS

A. Scope of Services
Upstate is requesting proposals from qualified contractors (“Contractor” or “Bidder”) for the provision of
general consultant services for Optimization of Emergency Department (“ED”) and Inpatient Acute Care
Capacities Consultant Services. By partnering with a consultant, Upstate seeks to achieve enhancements
to patient care through the reduction of wait times, improvements to ED operations, including the triage and
tracking of patients, improvements to data collection and performance metrics, and improvements to
patient and employee satisfaction.

The scope of services (the “Scope”) outlined below has been established for the purpose of achieving and
implementing program goals and objectives described in this document. Although the Scope is intended to
serve as a reference in the preparation of the proposal, forthcoming proposals may offer additional services
which support the goals of this RFP.

To achieve success with the Scope set forth, the following services may be necessary:
1. Conduct comprehensive reviews and analyses of Upstate’s (i) current inpatient acute care capacity,
(ii) present day ED operating processes, and (iii) flow of patients through the healthcare system.
2. During the comprehensive review, program inefficiencies (e.g., bottlenecks) and other shortcomings
shall be identified and presented to Upstate leadership.
3. Develop, present and implement strategies for optimizing staffing, resource management, and
continuous process improvement. Strategies may include integrating new systems and/or
technology.
4. Provide an assessment of current bed utilization and options to improve access to specialty beds in
our system that meet the needs of the region.
5. Provide training and coaching plans that can be implemented with staff ensuring the implementation
of new processes or technology is successful.
6. Offer ongoing support and additional analysis to ensure improvements are successful and
sustainable. Upstate anticipates the need for ongoing support shall be for no less than twelve (12)
months but shall not exceed eighteen (18) months. The estimated hours noted on Attachment 13
(Financial Proposal) are NOT GUARANTEED TO BE BILLABLE HOURS; they are estimates for
evaluation purposes only.

No minimum amount of work is guaranteed under the resulting agreement (the “Agreement”).

B. Technical Specifications
To improve patient throughput and enhance the level of care provided, the technical objectives set forth in
this RFP shall, at a minimum, include:
1. Reduction to ED patients’ length of stay (“LOS”) (from arrival to discharge from ED) by ten (10)
percent.
2. Reduction to ED patients left without being seen (“LWBS”) to less than six (6) percent for Adult
Emergency (“AE”), less than two (2) percent for Pediatrics (“Peds”), and less than four (4) percent for
the Community Campus Emergency Department (“CCED”).
3. Ensure compliance with all applicable healthcare laws, rules, regulations, and standards of care.

[Continued on next page.]

3
 For the objectives set forth in this solicitation document, the following statistical data provides an overview
of Upstate’s average metrics:

Inpatient Acute
Current Wait Time Patients LWBS
Location Care Capacity Notes
(By Minutes) (Total Count)
Utilization
Downtown Campus
Average YTD
750 East Adams Street 71 min. 2,357 102.2%
2024 (July)
Syracuse, NY 13210
Community Campus
Average YTD
4900 Broad Road 55 min. 933 97.8%
2024 (July)
Syracuse, NY 13215
Golisano Children’s
Hospital Average YTD
59 min. 613 92.3%
One Children’s Circle 2024 (July)
Syracuse, NY 13210

Patient satisfaction scores (Press Ganey)

(by location for YTD 2024 [July])
Downtown Campus
750 East Adams Street, Syracuse, NY 13210
All PG Database
Questions Mean Top Box N Score Rank
Rate ER Care 0-10 43.76 1,842 67.76 2
Recommend the ER 46.94 1,845 66.07 6
Overall 75.43 1,855 86.21 4
CAHPS

Community Campus
4900 Broad Road, Syracuse, NY 13215
All PG Database
Questions Mean Top Box N Score Rank
Rate ER Care 0-10 59.13 1,248 67.76 19
Recommend the ER 60.97 1,253 66.07 34
Overall 81.69 1,256 86.21 20
CAHPS

C. Method of Award
This RFP is part of a competitive procurement process designed to serve the best interests of Upstate, SUNY
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. Upstate will conduct a comprehensive review of each
responsive proposal submitted in accordance with the terms of this RFP. Proposals will be evaluated on the
basis of “best value” by an evaluation committee comprised of Upstate representatives, and shall be
conducted in the following steps:

1. Administrative Review
Each proposal received by the due date and time will be screened for completeness of submission in
accordance with Section 4: Bid Submission Requirements. Read instructions carefully to ensure that
proposal is submitted as requested and all responses to questions and requested information are
included in your proposal. This review will be conducted by a representative of Upstate’s Contract and
Campus Purchasing department.

4
2. Review of Bidder Qualifications
Each proposal remaining after the Administrative Review will be advanced for determination of whether
Bidder has met the requirements of Section 3(A), Bidder and Technical Mandatory Requirements. This
review will be conducted by a representative of Upstate’s Contract and Campus Purchasing
department, Hospital Administration and clinical operations.

3. Technical Proposal Evaluation (80 Points)

Each proposal remaining after review of Bidder Qualifications will advance for review and independent
evaluation and scoring by the technical review evaluation committee. This review will be conducted by
representatives of Upstate’s Hospital Administration and clinical operations.

An evaluation committee will review and score each technical proposal based on the criteria and point
breakdown in the table found below in item 6, Selection. All calculations for points will be rounded to
the nearest whole point.

4. Financial Proposal Evaluation (20 Points)

The Financial Proposals of each bidder remaining after the review of bidder qualifications will be
independently evaluated and scored by a designee of the Contracts & Campus Purchasing department.

Cost points will be awarded as follows: Lowest Total Proposal Price will receive twenty (20) points. All
other proposals will be awarded points based on a ratio of their cost to the Lowest Proposal Cost. All
calculations for points will be rounded to the nearest whole point.

EXAMPLE FOR FINANCIAL EVALUATION:

Vendor X Total Bid Price = $100,000
Vendor Y Total Bid Price = $125,000
Vendor Z Total Bid Price = $170,000

Vendor X cost points = 20 X (100,000/100,000) = 20

Vendor Y cost points = 20 X (100,000/125,000) = 16
Vendor Z cost points = 20 X (100,000/170,000) = 12

5. Presentation, Demonstration, Interview

Not applicable.

6. Selection
Proposals will be evaluated on the basis of “best value” by an evaluation committee comprised of
Upstate representatives, utilizing an evaluation methodology that considers the following factors:

Points %
Mandatory Bidder Qualifications Pass/Fail -
Total Technical Proposal 80 80%
Bidder Qualifications & Experience 10 10%
Consulting Methodologies 25 25%
Implementation, Integration & Training 15 25%
Performance Metrics, Presentation & Reporting of Data 10 10%
On-going Support and Transition Planning 15 15%
Bidder References 5 5%
Financial Proposal 20 20%
Total 100 100%

5
 The Bidder earning the highest final composite score (technical and financial) will be selected to
contract with Upstate. Tentative award of the contract shall consist of written notice of the contract
award by Upstate to the successful bidder, who shall thereupon be obligated to execute a formal
contract. The Agreement may be subject to the written approvals of the New York State Office of the
Attorney General (the “OAG”) and the New York State Office of the State Comptroller (the “OSC”).

In the event two offers are found to be substantially equivalent Upstate’s procedures for a tie breaker
are completed in the following manner:
1. Price; or
2. One of the vendors is a New York State certified minority-owned or women-owned business
enterprise (M/WBE); or
3. The location of vendor, using the address of the principal place of business, in the following
order:
a. Syracuse area
b. Central New York
c. New York State
d. Northeast Region of the United States, as defined by the United States Census Bureau,
comprising of nine states: Connecticut, Maine, Massachusetts, New Hampshire, New
Jersey, New York, Pennsylvania, Rhode Island, and Vermont.
4. Names drawn from a basket or hat by a Purchasing designee.

Section 3: BIDDER QUALIFICATIONS & TECHNICAL COMPONENTS

A. MINIMUM BIDDER QUALIFICATIONS

For a Bidder’s proposal to be considered it must meet the mandatory qualifications listed below. All Bidders
must complete and submit Attachment 2 (Bidder Qualifications Submissions Form). To confirm that
Bidder’s proposal meets all mandatory qualifications, Bidder must submit all documents that are
requested below and/or must explain if and how they meet the qualifications that are listed. If Bidder
does not meet the qualifications listed below, their proposal will be rejected and the proposal will not move
on for technical and financial evaluation. If Bidder does not respond to each mandatory requirement below
or does not submit any requested information, Bidder’s proposal will be deemed non-responsive, and the
proposal will be rejected.

a. Bidder must submit the following company information:

i. Full legal name; and
ii. Primary business address; and
iii. All other office locations (city/state for domestic; city/country for international); and
iv. Hours of operation for the offices that will be responsible for providing services to Upstate,
including current holiday schedule; and
v. Company website address (URL).

b. Bidder must be eligible to conduct business in the State of New York and provide evidence of its
ability to do so.

c. Bidder must have at least ten (10) years of experience in providing ED and acute inpatient care
processes and throughput improvement consulting services to academic medical centers and large
healthcare organizations of similar size and scope to Upstate.
i. To explain how Bidder meets the requirement, provide a narrative demonstrating Bidder’s ability
to conform with this criterion.

d. Demonstrated expertise in navigating and successfully implementing process improvement for ED

and acute inpatient care processes and throughput.

6
 i. To explain how Bidder meets the requirement, include a table outlining project name(s), dates,
and a brief synopsis of how the project was successful for the last eight (8) years, including pre-
and post-COVID.

e. The bidder must provide a staffing plan that includes the qualifications and roles of each team
member assigned to the project. This should include resumes and relevant experience of key
personnel.

f. The bidder must have expertise in implementing and utilizing healthcare information technology
systems, including electronic health records (“EHR”) and patient management systems.

g. The bidder must demonstrate proficiency in data analysis, including the ability to analyze large
datasets and provide actionable insights.

h. The bidder must have experience in developing performance metrics and reporting systems to
monitor and improve ED and inpatient operations.

i. The bidder must demonstrate knowledge of and compliance with relevant healthcare regulations,
including state and federal laws governing emergency and inpatient care.

j. The bidder must be able to provide up to eighteen (18) months of on-going support beyond the initial
phase of the project. For purposes of this solicitation, ongoing support shall be categorized by
various experience levels, as set forth below. These levels shall align the complexity of tasks with
the consultant’s expertise.
• Senior Consultant: Leads strategic planning and provides high-level insights.
• Associate Consultant: Manages project implementation and day-to-day client interactions.
• Staff Consultant: Conducts research, data analysis, and supports project tasks.

k. The bidder must have a quality assurance plan in place to ensure the accuracy and effectiveness of
their consulting services.

B. TECHNICAL EVALUATION SUBMISSION REQUIREMENTS

Bidders that meet all the mandatory requirements listed in section 3(A), Minimum Bidder Qualifications, will
have their proposals evaluated based on the information provided for the below questions by Upstate’s
evaluation team. The responses and/or documentation to the items listed in this section and submitted in
Bidder’s proposal will be reviewed and scored during the independent evaluation by the evaluation
committee as defined in Section 2, Project Specifications, subsection C¸ Method of Award, of the RFP
discusses the scoring criteria, including the point breakdown for each of the sections listed below. To
facilitate the Upstate’s review of proposals, Bidder needs to address all points and questions that
appear in this RFP; and should do so in the order that they appear. Responses need to be labeled to
correspond to the numbers/letters of the sections and subsections of this RFP.

Bidders’ responses to the below questions shall be based on the proposal bidder has provided pricing for.

1. Bidder Qualifications and Experience – 10 points

a. Please provide an executive summary that includes a brief overview of your firm and its proposal.

b. Please provide a general overview of the experience and expertise of persons holding key staff
positions within your organization that will, if awarded, provide services under the Agreement. The
narrative should include, but is not limited to:
i. Describe any unique skills distinguishing the staff of your company from others as it relates to
healthcare optimization consulting.

7
 ii. Describe any relevant advanced degrees (e.g., public health, healthcare administration, or
related field), professional certifications and/or licenses (e.g., Certified Healthcare Consultant,
Lean Six Sigman, etc.) that key personnel to provide services.
iii. Please provide resumes for each individual.

c. Please describe in detail your typical hospital client and the total number of active clients that you
are currently engaged with, to provide similar optimization consulting services as described in this
solicitation. Additionally, the narrative should at a minimum, address: (i) the type of hospital, (ii) size
of hospital, and (iii) whether it’s a unionized environment.

d. Please provide detailed information on each step/progression of the timeline and achievable
milestones throughout the process.

2. Consulting Methodologies – 25 points

a. Provide a narrative describing Bidder’s approach to the deliverables, ensuring the points listed below
are included:
i. Description of the organization’s experience in optimization studies in the health care industry
and overall knowledge of the industry; and
ii. Description of the types of data/information the bidder plans to collect on each facility and the
relevance of each data set to the project; and
iii. Description of the methods that will be used to analyze the data collected; and
iv. Description of the factors that will lead to final recommendations for each facility; and
v. An overall workplan with timeline for tasks and completion of all deliverables.

b. Please describe in detail the Bidder’s review process of Upstate’s written documentation, including
the sources of evidence, identification and editing process and the role/responsibilities of the Bidder
and Hospital.

c. Describe your process for developing performance metrics and reporting systems. How will these
systems help us monitor and improve ED and inpatient operations?
i. Provide examples of the types of reports and dashboards you have created for similar projects.

d. Please describe how will bidder ensure to Upstate the retention and consistency of consultant staff
provided to Upstate for the duration of these services.

e. Describe your approach to engaging key stakeholders, including hospital leadership, physicians,
nursing leadership, and ambulatory network partners during the optimization process.

f. Describe the approach used in assessing financial viability and return on investments (“ROI”) of
service lines and capital investments within our healthcare system?
i. For similar ED and acute inpatient care optimization projects, please provide examples of
successful cost-benefit analyses conducted by your firm. Identifying information within the
examples can be redacted.

g. For facilities and planning, describe the methodologies to be used when assessing current and
future functional capabilities of the facilities that our healthcare system will need for optimization.

h. How are facility programming assessments integrated into the optimization recommendations to
inform future location programming and planning?

i. Describe Bidder’s approach for determining feasibility of implementing the proposed system
optimizations and necessary capital investments that inform future location programming and
planning.

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 j. How do you ensure alignment between stakeholders’ interest, as well as the organization’s goals
and mission.

3. Implementation, Integration & Training – 15 points

a. Outline your implementation plan, including timelines and milestones, including any anticipated
interruptions to operations during this project.

b. Explain your quality assurance process. How will you measure the success of the project?

c. What methods will you use to gather feedback from patients and employees to evaluate
improvements in satisfaction?
i. Describe your expectations of Upstate to support in the gathering of feedback from patients and
employees.

d. What training programs do you offer for our staff to ensure they are proficient with the new systems
and processes?

e. What healthcare information technology systems are you familiar with, and how have you integrated
these systems in past projects?

f. How will you ensure the compatibility of your proposed solutions with our existing EHR and patient
management systems?

g. How do you ensure compliance with all applicable healthcare regulations and standards during your
projects?
i. Provide examples of how you have addressed regulatory compliance issues in past projects.

4. Performance Metrics, Presentation and Reporting of Data – 10 points

a. What metrics does your firm use to measure the success of its services, including ongoing support
services?

b. Please list and describe the reports available to your clients, including the frequency and purpose,
and provide example copies with proposal. Identifying information within the examples may be
redacted but examples must be provided.
i. Provide a redacted report provided to a previous client within the past (5) years. The contents of
this report should be similar in nature to the final report required in this RFP.

c. How will your firm provide a final assessment or report summarizing key learnings and
recommendations?

d. In addition to providing a comprehensive report, describe how Bidder will tailor findings and
recommendations for presentation to diverse audiences recognizing that each audience requires
varying levels of information. Audiences may include, but are not limited to, senior leadership,
regulatory/oversight agencies, community stakeholders, and elected leaders.

5. On-going Support and Transition Planning – 15 points

a. What is the proposed structure for ongoing support (e.g., a dedicated team)?
i. Provide and describe examples (e.g., case studies) that demonstrate successful experience
providing on-going consulting support for health system optimization projects of similar size and
scope to this project.

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 b. Will the same consultants from the initial engagement provide ongoing support, or will there be a
separate team?

c. What are the qualifications and experience levels of the consultant(s) assigned to ongoing support?
i. For purposes of this solicitation, ongoing support shall be categorized by various experience
levels, as set forth below, to align the complexity of tasks with the consultant’s expertise.
§ Senior Consultant: Leads strategic planning and provides high-level insights.
§ Associate Consultant: Manages project implementation and day-to-day client interactions.
§ Staff Consultant: Conducts research, data analysis, and supports project tasks.

d. How will your firm ensure continuity of support personnel to maintain institutional knowledge during
the on-going support period?

e. What specific activities are included in ongoing support (e.g., data analysis, workflow optimization,
policy refinement, stakeholder training)?

f. How does your firm propose adapting support based on evolving hospital needs or policy changes?

g. Will ongoing support include periodic reviews of key performance indicators (“KPI”) and outcomes?

h. How does your firm propose incorporating feedback from hospital staff into your ongoing support
model?

6. Bidder References – 5 points

Bidders must submit complete contact information for at least five (5) clients who can be contacted for
Bidder references. Bidder shall not list Upstate or an Upstate employee as one of the references.
a. A minimum of three (3) references must be similar in size and scope of Upstate and that have
used CON and/or PAR consulting services.
b. At least one (1) reference must be from a facility with a unionized environment.

If Bidder is unable to provide the minimum number of references being requested, such inability shall
factor into Upstate’s evaluation of the Bidder’s ability to provide the desired services.

Upstate will contact three (3) out of the five (5) references, one (1) of which shall be the unionized
organization, and one (1) of which shall be from a similar size and scope institution starting at the top of
the list. If one reference is not reachable, the evaluator will go to the next reference listed until three (3)
references have been obtained, inclusive of the unionized and similar sized institution. A reference will
be determined not reachable if they do not return Upstate’s e-mail within three (3) business days. If
Upstate is unable to obtain three (3) references, then only the references obtained will be used in the
evaluation process. If Upstate is unable to get at least one (1) reference, Bidder will receive a zero (0) for
this evaluation criterion.

The same set of questions will be asked of each reference. Possible examples of the reference questions
that will be asked are:
a. How long have you contracted with the vendor and are you a unionized facility?
b. On a scale of one-to-ten (1-to-10) how would you rate the responsiveness of the Bidder to your
needs and the services they provided?
c. Was the Bidder timely with communication, consistent with consultant staffing and did they
provide guidance necessary for meeting goals?
d. Do you have any recommendations for how the Bidder may improve their service; and if given the
opportunity, would you hire the Bidder again for similar services?

Please complete Attachment 3 (Bidders Reference Form) for each reference submitted.

10
 Bidders are responsible to ensure that all contact information for references are current and accurate.
Further, it is the Bidder’s responsibility to ensure that all identified references are willing and able to
participate in the references process including providing the necessary information to inquiries. Failure
to provide accurate reference information as requested or references that can provide the necessary
information will negatively impact scoring.

C. PRICING
Bidder must list their proposal prices on Attachment 13 (Financial Proposal). Any proposals submitted
with cost information in a format other than Attachment 13 will be rejected as non-responsive. Based upon
an informed reading of the RFP and Bidder’s expertise, Bidder is to provide their cost structure for a contract
term of up to thirty (30) months (up to twelve (12) months for the initial consultant phase – Work Phase I –
and up to eighteen (18) months for the on-going support phase – Work Phase II) and detail all costs Upstate
will incur. Additional lines may be added for incidentals if needed. The estimated hours listed on
Attachment 13 are NOT GUARANTEED TO BE BILLABLE HOURS; they are estimates for evaluation
purposes only.

1. Costs for bidder’s proposed initial consultant services (Work Phase I).
a. The costs shall include:
§ Fee for consultant services; and
§ Estimated travel expenses**; and
§ Estimated number of site visits; and
§ All other incidental expenses (Bidder must provide specific expense and cost).
b. Bidder agrees to assign personnel who are qualified and experienced in the subject matter.

2. Costs for bidder’s proposed on-going support services (Work Phase II).
a. The costs shall include:
§ Hourly Fee, by title; and
§ Estimated travel expenses**; and
§ Estimated number of site visits.
b. Bidder agrees to assign personnel who are qualified and experienced in the subject matter.
Likewise, Upstate shall not be billed at a higher-level associate’s rate when a lower-level
associate could have reasonably worked on and/or properly handled a particular task. In all
cases, work should be assigned to the least costly qualified person available to handle the task.
c. In the event Bidder is forced to make a staff change of anyone assigned to this project, Bidder
will not bill Upstate for any time expended by the new staff of Bidder becoming acquainted with
the project.

3. Anticipated incidental fees (Work Phase I & II), by category, to be borne by Upstate. Anticipated
incidental fees must be documented in the financial proposal and are subject to the following
conditions:
a. Reimbursable expenses will require written authorization in advance of the expenditure. The
Consultant shall not be entitled to any mark-up for reimbursable expenses. Examples of such
allowable expenses include long distance travel**, reproduction services, overnight delivery,
models, permit fees, and filing fees.
b. Bidder agrees that it will prudently direct the duplication of documents. Upstate authorizes
bidder to employ less expensive, commercial copy vendors when practicable. Upstate agrees
to reimburse special expenditures for such copying at the cost it was invoiced. Bidder is
instructed to send only one (1) set of documents to Upstate’s Hospital Administration, as that
office will be responsible for making additional copies.
c. Upstate agrees to pay for any documented next day mail service, courier or other delivery fees
that are incurred by the bidder, but only provided such transmission of documents is necessary.

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 d. In the event Bidder is forced to make a staff change of anyone assigned to this project, Bidder
will not bill Upstate for any time expended by the new staff of Bidder becoming acquainted with
the project.
e. Bidder is directed to use e-mail as the preferred method of communication. Any attachments to
email documents should be formatted in Microsoft Word, Excel or PowerPoint, unless otherwise
directed by Upstate. Bidder is directed not to duplicate costs by mailing a document that has
been emailed unless specifically requested by Upstate.
f. Bidder further agrees not to bill Upstate for any of the following:
§ Any form of labeling; and
§ Organization, filing, and warehousing of Upstate documents internally within the bidder’s
firm; and
§ Consolidation of documents (i.e., binders); and
§ Word processing or other mechanical means of document preparation.

**Travel expenses will be reimbursed in accordance with New York State travel guidelines, including, but
not limited to:
§ Coach airfare only, no special seating; and
§ Meals (breakfast and dinner only); and
§ Lodging in accordance with GSA per diem rates set forth for Syracuse, New York; and
§ Taxi, parking, tolls; and
§ Car rental (compact/standard size only – no full-size, SUV or luxury vehicles); and
§ Detailed, itemized receipts must be provided for ALL requested reimbursements.

GSA per diem rates for the Syracuse, New York area may be obtained by visiting
https://www.gsa.gov/travel/plan-book/per-diem-rates.

All prices quoted are firm for the length of the contract. Upstate shall not be obligated to pay any
cost(s) that haven’t been identified on Attachment 13. Any cost(s) not identified by the Bidder but
subsequently incurred to achieve the objectives set forth in this RFP and the Agreement shall be borne
by the successful Bidder.

Upstate will not be liable for additional expenses listed by the successful Bidder unless authorized in writing
by Upstate. Additional expenses, if authorized, may require further approval by the New York State Office of
the State Comptroller.

Payments will be made to Bidder upon completion of mutually agreed milestones and upon acceptance of
the delivered work product, as to be determined solely by Upstate.

No prepayment of any kind will be made.

Expenses for travel or incidentals may be billed monthly if incurred.

Upstate is not liable for any cost(s) incurred by Bidders prior to execution of a contract and the written
approvals of the New York State Attorney General and the Office of the State Comptroller, if applicable.

Bidder’s proposed pricing must be included in proposal package and must be submitted in a separate
sealed envelope marked “Financial Proposal - RFP S-1484.”

[Continued on next page.]

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Section 4: BID SUBMISSION REQUIREMENTS

A. BID SUBMISSION REQUIREMENTS.

1. A Bidder’s proposal shall address the Bidder’s ability and methodology for providing UPSTATE with the
requested services. 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 UPSTATE to be “non-
responsive,” UPSTATE is required by its contracting procedures to disqualify the proposal. A disqualified
proposal will not be further evaluated or considered for contract award. To facilitate UPSTATE’s review
of proposals, Bidders must address all points and questions that appear in this RFP and should do
so in the order that they appear. 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 UPSTATE in written form. Proposals must be
complete, accurate, and in the form requested.
4. Indicate any deviations from the technical specifications and if necessary, attach separate documents
and/or explanation.
5. Proposals should be submitted in sealed packages clearly labeled on the exterior with the RFP number
and title. Proposals not labeled as instructed risk being opened prior to the bid opening date, which may
result in the proposal being rejected. All bids and accompanying documentation shall become the
property of SUNY and shall not be returned.
6. No telephone, facsimile, emailed or otherwise electronically submitted proposals will be accepted.
7. 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), Exhibit A-1 (State University of New York Affirmative
Action Clauses), 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: https://ogs.ny.gov/acpl/.
8. Proposals must be received in the office identified below by the due date and time provided on the
Summary Information Form on Page 1 of this RFP. Bidders mailing their proposals must allow
sufficient time to ensure receipt by the due date and time. Bidders are cautioned that even when
using a trackable mailing/courier/messenger service, proposals must be received by the due date and
time. While proposals may be signed for by personnel at UPSTATE prior to the due date and time, this
does not guarantee that the identified office will receive the proposal by the due date and time.
• Submit two (2) original hard copies of your technical proposal, ensuring that each hard copy
bears an original signature and notarized Acknowledgement form. Please ensure Attachment
13 is NOT included in the copies of the technical proposal.
• Submit one (1) USB flash drive with a copy of your technical proposal.
• Submit two (2) original hard copies of your cost proposal in a separate sealed envelope as
requested above in Section 3(C).
• Submit one (1) thumb drive containing the original Excel Workbook version (.xlsx file format) of
your financial proposal (Attachment 13), USB thumb drives will not be returned to Bidder.

Address for submission of proposal:

Trackable, Overnight or Hand Delivery: Daniel Arnold

(e.g., FedEx or UPS) Contracts & Campus Purchasing, SLC 2042
SUNY Upstate Medical University
650 South Salina Street
Syracuse, NY 13202

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 US Postal Mail: Daniel Arnold
(e.g., United States Postal Service) Contracts & Campus Purchasing, SLC 2042
SUNY Upstate Medical University
750 East Adams Street
Syracuse, NY 13210

If you are sending regular mail (United States Postal Service), please allow additional time for
your package to be delivered to the Contracts & Campus Purchasing office as your package will
first go to Upstate’s mail room and then will be delivered to the Contracts & Campus Purchasing
office which is located off-site. UPSTATE STRONGLY ENCOURAGES PROPOSALS BE SENT VIA
FEDEX, UPS OR ANOTHER TRACKABLE MAIL SERVICE.

Mark on outside of package: RFP S-1484, Optimization of ED and Inpatient Acute Care
Capacities Consultant Services.
a. Late Bids: For purposes of bid openings, a Bid must be received at the Contracts & Campus
Purchasing Office, SLC 2042, 650 South Salina Street, Syracuse, New York, on or before the
due date listed for this solicitation. 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”). A Late Bid shall not be
considered for award unless: (i) no timely 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 UPSTATE. Delays in United States mail deliveries or any other means of transmittal,
including couriers or agents of UPSTATE 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 his or her designee.
9. Bidders unable or unwilling to submit a proposal are asked to complete the Summary Information Form
on Page 1 of this RFP and check the box indicating that no bid is being submitted.
10. All prices and conditions must be included in the original proposal. Prices and conditions not included
in the original proposal will be rejected.
11. 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 bid
opening. After sixty (60) days, the proposal may remain in effect, subject to withdrawal communicated
in writing signed by the Bidder. If this RFP is for the sale of goods pursuant to §2-205 of New York State
Uniform Commercial Code, the proposal shall be firm, binding and not revocable for a period of ninety
(90) days.
12. 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.
13. Each copy of the proposal must be accompanied by the documents listed in Attachment 1 (Bidder
Submission Checklist).
B. BIDDER QUESTIONS. If a Question-and-Answer period is provided for this solicitation, the schedule will be
shown on the Summary Information Form, “Key Events,” provided on the first page of this RFP. All questions
must be submitted in writing, citing the particular RFP page, section, and paragraph numbers where
applicable. Questions must be EMAILED to arrive no later than 4:00 pm Eastern time on the date indicated
and should be directed to the Designated Contacts shown on the Summary Information Form. Questions
received after the closing date for inquiries will not be answered. Only written answers are official. All
Questions and Answers will be issued as addenda to this RFP and will be provided in writing to all potential
Bidders.
C. PRE-BID PROPOSAL MEETING. If a mandatory or optional Pre-Bid Conference is held for this solicitation, the
date, time, and whether the conference is mandatory or optional is reported on the Summary Information
Form, “Key Events,” provided on Page 1 of this RFP.

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D. SITE VISIT. If a site visit is required for this solicitation, the date and time is reported on the Summary
Information Form, “Key Events,” provided on Page 1 of this RFP.
E. BID OPENING. Bidders may attend the bid opening, at which a SUNY representative will publicly announce
the names of Bidders who have submitted proposals. Bidders are encouraged to register for the bid opening
ahead of time. Please use the preceding link to visit the registration webpage:
https://events.teams.microsoft.com/event/80f5accd-e17d-43b4-806d-784bcba4e444@5cf50a66-
5e26-41dd-89f8-83cf73ffee98.
F. MINOR IRREGULARITIES. Bids that contain minor irregularities, such as those submitted without a proper Bid
Security, or in the wrong form, or executed improperly, shall be considered informal. Informal proposals
may be considered in selecting a low bidder where the public interest will be promoted thereby.
G. 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.

Only those extraneous terms that meet all the following requirements may be considered as having been
submitted as part of the Bid:
1. Each proposed extraneous term (addition, deletion, counteroffer, deviation, or modification) must be
specifically enumerated in a writing which is not part of a pre-printed form; and
2. The writing must identify the particular specification requirement (if any) that Bidder rejects or proposes
to modify by inclusion of the extraneous term; and
3. The Bidder shall enumerate the proposed addition, counteroffer, modification or deviation from the Bid
Document, and the reasons therefore.

No extraneous term(s), whether or not deemed “material,” shall be incorporated into a Contract or Purchase
Order unless submitted in accordance with the above and the Chancellor or her designee expressly accepts
each such term(s) in writing. Acceptance and/or processing of the Bid shall not constitute such written
acceptance of Extraneous Term(s).

Section 5: GENERAL INFORMATION

A. ELECTRONIC RFP. Electronic copies of this RFP and related forms are available at:
www.upstate.edu/finance/publicbid/bid.php.
B. SUNY’S RESERVED RIGHTS. SUNY reserves the right to:
1. Reject any and all proposals received in response to this RFP.
2. 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.
3. Withdraw the RFP at any time, at SUNY’s sole discretion.
4. Make an award in whole or in part.
5. Disqualify any Bidder whose conduct and/or proposal fails to conform to the requirements of the RFP.
6. 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.
7. Prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply
additional information, as it becomes available.
8. 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.
9. Request references and contact any or all references.

15
 10. Adjust or correct cost or cost figures with the concurrence of the Bidder if mathematical or typographical
errors exist.
11. Advise the Successful Bidder of an objectionable employee(s) and/or subcontractor(s).
12. Waive requirements or amend this RFP upon notification to all Bidders. Mandatory requirements may
be eliminated if unmet by all Bidders.
13. Negotiate with Bidders responding to this RFP within the requirements necessary to serve the best
interests of SUNY.
14. 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.
15. Request clarifications from Bidders for purposes of assuring a full understanding of responsiveness, and
permit revisions from all potential awardees prior to award.
16. Award no contract.
17. Change due date of the RFP upon written notice to all vendors.
C. 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 by SUNY by
telephone and confirmed by a Notice of Award letter.
D. 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.
b. 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.
c. 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.
d. 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.

Section 6: GENERAL TERMS AND CONDITIONS

A. 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.

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B. 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.
C. 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.
D. 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.
E. 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.
F. 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.
G. 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.
H. 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.
I. CONFIDENTIALITY/FREEDOM OF INFORMATION LAW. All proposals submitted for UPSTATE’s consideration will be
held in confidence and will become the property of UPSTATE. 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: FOIL Officer, Internal Audit, 750 E. Adams Street,
Syracuse, NY 13210, 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.
J. DATA PRIVACY AND SECURITY.
4. Data Privacy
a. 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.
b. SUNY Data will not be stored outside the United States without prior written consent from SUNY.
c. 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.

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 d. 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 the Contract.
e. 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.
f. 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.
5. Data Security.
a. 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.
b. 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.

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K. 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 reasonably 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 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 the 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’s instructions 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.
L. RESERVED.
M. 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.
N. 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 do whatever subsequent vendor SUNY may select to provide similar services
on SUNY’s behalf.
O. DIVERSITY CONTRACTING REQUIREMENTS. 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 part, 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. SUNY will assess the diversity practices of prospective
bidders to encourage contractors to engage in meaningful, capacity-building collaborations with MWBEs
through evaluation of the Attachment 6 (Diversity Practices Questionnaire). All prospective bidders are
required to complete the attached Diversity Practices Questionnaire. This questionnaire elicits information
about each prospective bidder in order to verify that its work environment demonstrates a strong
commitment to diversity. 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).

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 i. 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.
ii. 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.
iii. The Bidder will submit the applicable Workforce Employment Utilization Report utilizing
MWBE Form 7557-112a, 7557-112b or 7557-112c, as applicable, 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.
b. 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:
i. 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.
ii. 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.

[Continued on next page.]

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 iii. Bidder must submit with their bid or proposal their Bidder’s 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.
Please Note: Failure to comply with the foregoing requirements may result in a finding of
non-responsiveness, non-responsibility and/or a breach of the Contract, leading to the
withholding of funds, suspension or termination of the Contract or such other actions or
enforcement proceedings as allowed by the Contract.
iv. Diversity, Equity and Inclusion: If this solicitation is for the services of an executive search
firm, the SUNY Board of Trustees adopted a policy to establish diversity, equity and
inclusiveness throughout the SUNY system. Diversity is broadly defined under that policy
to include race, ethnicity, religion, sexual orientation, gender, gender identity and
expression, age, socioeconomic status, status as a veteran, status as an individual with a
disability, students undergoing transition (such as transfer, stop-out, international student
acclimation), and first-generation students. In furtherance of this policy, all executive
search firms are required to provide the following:
1. information about the diversity of your Firm’s staff; and
2. the Firm’s success rate in placing diverse candidates.
P. MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES (MWBE). Pursuant to New York State Executive Law
Article 15-A, SUNY recognizes its obligation under the law to promote opportunities for maximum feasible
participation of certified minority- and women-owned business enterprises and the employment of minority
group members and women in the performance of SUNY contracts.

For purposes of this solicitation, the M/WBE participation goals have been waived (exclusion
sub object code: 558820).

For guidance on how SUNY will determine a Contractor’s good faith efforts to utilize certified
MWBEs, refer to 5 NYCRR §142.8.

Please note the response forms identified in Form 7557-121 (SUNY MWBE Forms 7557-104 & 7557-
108) must be submitted with all Bids. Forms are available in SUNY Procurement Policies and Procedures
Document 7557 online at: http://www.suny.edu/sunypp/documents.cfm?doc_id=61.

Reserved.

Reserved.

Reserved.

Reserved.

Reserved.

[Continued on next page.]

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Q. EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS. By submission of a bid or proposal in response to this
solicitation, the Bidder/Contractor agrees with all of the terms and conditions of SUNY Exhibit A including
Clause 12, Equal Employment Opportunities for Minorities and Women. 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.

Bidder further agrees, where applicable, to submit with the bid a staffing plan (Form 7557-108)
identifying the anticipated work force to be utilized on the Contract and if awarded a Contract, will, upon
request, submit to SUNY, a workforce utilization report identifying the workforce actually utilized on the
Contract if known. Forms are available in SUNY Procurement Policies and Procedures Document 7557
online at: http://www.suny.edu/sunypp/documents.cfm?doc_id=611.

Please Note: Failure to comply with the foregoing requirements may result in a finding of non-
responsiveness, non-responsibility and/or a breach of the Contract, leading to the withholding of funds,
suspension or termination of the Contract or such other actions or enforcement proceedings as allowed by
the Contract.
R. SERVICE-DISABLED VETERAN-OWNED BUSINESSES (SDVOB). SUNY is committed to the State's policy of
encouraging the development of service-disabled veteran-owned businesses (SDVOB). The Service-
Disabled Veteran-Owned Business Act (the “Act”) became effective on May 12, 2014, and SUNY has
implemented the State's comprehensive plan and operational guidelines to promote SDVOBs and to assist
them in obtaining opportunities to participate in the procurement of goods and services by the State. SUNY
will employ applicable measures and procedures provided by the Director of the Division of Service-
Disabled Veterans' Business Development in the Office of General Services (the "Division"), to ensure that
SDVOBs are afforded the opportunity for meaningful participation in the performance of SUNY's contracts
and to assist in achieving the Act’s statewide goal for participation on state contracts by SDVOBs. The
awarded contract shall provide that any contractor who willfully and intentionally fails to comply with the
SDVOB participation requirements shall be liable to SUNY for damages, calculated based on costs for
administration of SUNY’s SDVOB program.

For purposes of this solicitation, the SDVOB participation goals are six (6) percent.

For additional information please refer to the SDVOB requirements outlined in SDVOB Prospective Bidder’s
Notice (Forms 7564-121A, 7564-121B and 7564-121C). A SDVOB Utilization Plan must be submitted with
all bids, utilizing Form 7564-107. All Forms are available at:
http://www.suny.edu/sunypp/documents.cfm?doc_id=816.

Bidders are encouraged to apply to the Division for certification as a Service-Disabled Veteran-Owned
Business, and to provide such documentation necessary to establish their status as such in accordance
with the rules of the Director of the Division.
S. ENCOURAGING USE OF NEW YORK STATE BUSINESSES IN CONTRACT PERFORMANCE. New York State businesses
have a substantial presence in SUNY contracts and strongly contribute to the economies of New York and
the nation. In recognition of their economic activity and leadership in doing business in New York State,
Bidders/Proposers/Contractors for this contract for commodities, services or technology are strongly
encouraged and expected to consider New York State businesses in the fulfillment of the requirements of
the contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting roles. All
bidders must complete and return Attachment 8.

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T. OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS. This Contractor and Subcontractor shall abide by
the requirements of 41 C.F.R. §§ 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination
against qualified individuals on the basis of protected veteran status or disability, and require
affirmative action by covered prime contractors and subcontractors to employ and advance in
employment qualified protected veterans and individuals with disabilities.
U. GOVERNING LAW. This RFP, Bidders’ proposals and any resulting contract shall be governed, construed and
enforced in accordance with the laws of the State of New York, excluding New York’s choice-of-law
principles, and all claims relating to or arising out of this Agreement, or the breach thereof, whether
sounding in contract, tort or otherwise, shall likewise be governed by the laws of the State of New York,
excluding that State’s choice-of-law principles. Jurisdiction of any litigation with respect to this Agreement
shall be in New York State with venue in a court of competent jurisdiction located in Onondaga County or
any other court having competent jurisdiction in the State of New York. Bidder/Contractor agrees to submit
itself to such court’s jurisdiction.
V. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the
participation of New York State business enterprises, including minority and women-owned business
enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the
availability of New York State subcontractors and suppliers and a directory of minority and women-owned
business enterprises is available from the NYS Empire State Development.
Website: https://esd.ny.gov/doing-business-ny/small-business-hub
Address: Division for Small Business, 625 Broadway, Albany, NY 12207
Phone: 1-800-782-8369
Email: nylovessmbiz@esd.ny.gov
W. DETERMINATION OF VENDOR RESPONSIBILITY. New York State procurement law requires that state agencies
award contracts only to responsible contractors. Additionally, the New York State Comptroller must be
satisfied that a proposed contractor is responsible before approving a contract award under Section 112 of
the State Finance Law. Section 163 of the New York State Finance Law (“SFL”) requires that contracts for
services and commodities be awarded on the basis of lowest price or best value “to a responsive and
responsible bidder.” Section 163 (9)(f) of the SFL requires that prior to making a contract award, each
contracting agency shall make a determination of responsibility of the proposed contractor.
In accordance with these procurement laws, SUNY will conduct an affirmative review of vendor
responsibility for all organizations or firms with which it conducts business. In doing so, bidders are required
to file the required Vendor Responsibility Questionnaire online via the New York State VendRep System or
may choose to complete and submit a paper questionnaire. To enroll in and use the VendRep System, see
the VendRep System Instructions on the Office of State Comptroller (OSC) website, available at:
www.osc.state.ny.us/vendrep or go directly to the VendRep System online at
https://www.osc.state.ny.us/state-vendors/vendrep/vendrep-system. For VendRep System user
assistance, the OSC Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at
helpdesk@osc.state.ny.us. Bidders opting to file a paper questionnaire may obtain the appropriate
questionnaire from the VendRep website https://www.osc.state.ny.us/state-vendors/vendrep/vendor-
responsibility-forms and click on forms on the left side of the page, or may contact SUNY System
Administration for a copy of the paper form.

In addition:
1. General Responsibility. The Contractor shall at all times during the contract awarded term remain
responsible. The Contractor agrees, if requested by the SUNY Chancellor or his or her designee, to
present evidence of its continuing legal authority to do business in New York State, integrity,
experience, ability, prior performance, and organizational and financial capacity.

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 2. Suspension of Work for Non-Responsibility. The SUNY Chancellor, in his or her sole discretion,
reserves the right to suspend any or all activities under the contract awarded, at any time, when he
or she discovers information that calls into question the responsibility of the Contractor. In the event
of such suspension, the Contractor will be given written notice outlining the particulars of such
suspension. Upon issuance of such notice, the Contractor must comply with the terms of the
suspension order. Contract activity may resume at such time as the SUNY Chancellor or his or her
designee issues a written notice authorizing a resumption of performance of the contract awarded.
3. Termination for Non-Responsibility. Upon written notice to the Contractor and a reasonable
opportunity to be heard with appropriate SUNY officials or staff, the contract awarded may be
terminated by the SUNY Chancellor or his or her designee at the Contractor’s expense, where the
Contractor is determined by the SUNY Chancellor or his or her designee to be non-responsible. In
such event, the SUNY Chancellor or his or her designee may complete the contractual requirements
in any manner he or she may deem advisable and pursue available legal or equitable remedies for
breach.
X. REQUIREMENTS OF NEW YORK STATE’S RECYCLING PROGRAM. In accordance with the provisions of Section
165(3) of the State Finance Law and Executive Order No. 142, SUNY is required to purchase recycled
products, if available, made with recycled content in accordance with rules and regulations established by
the State Department of Environmental Conservation in development of that agency’s Recycling Emblems
Program. If the cost of a recycled product does not exceed by 10% the cost of a product made without
recycled content (or by 15% if over 50% of the recycled materials are generated from the New York State
waste stream), the recycled product must be purchased.
Y. STATE CONSULTANT SERVICES REPORTING. State Finance Law Sections 8 and 163 require that Contractors
annually report certain employment information to the contracting agency, the Department of Civil Service
and Office of the State Comptroller. State contractors are required to disclose, by employment category,
the number of persons employed to provide services under a contract for consulting services, the number
of hours worked and the amount paid to the contractor by the State as compensation for work performed by
these employees. This will include information on any persons working under any subcontracts with the
State contractor. Please refer to Attachment 9.
Z. ELECTRONIC PAYMENT AUTHORIZATION. Contractor shall provide complete and accurate billing invoices to
SUNY in order to receive payment for its services. Billing invoices submitted to SUNY must contain all
information and supporting documentation required by SUNY and the Office of State Comptroller (OSC).
Payment for invoices submitted by Contractor shall only be rendered electronically unless payment by
paper check is expressly authorized by the Senior Vice President for Finance and Administration of SUNY or
designee, in her/his sole discretion, due to extenuating circumstances. Such electronic payment shall be
made in accordance with ordinary New York state procedures and practices. Contractor shall comply with
the OSC procedures to authorize payments. Contractor acknowledges that it will not receive payment on
any invoices submitted under this contract if it does not comply with the OSC’s electronic payment
procedures, except where the Vice Chancellor or designee has expressly authorized payment by paper
check as set forth above.
AA. TIMELINESS OF PAYMENT AND INTEREST. Interest for late payment shall be governed by Section 179g of New York
State Finance Law.
BB. EXHIBITS. The following documents will be incorporated into, and made part of, the contract awarded:
1. Exhibit A, State University of New York Standard Contract Clauses
2. Exhibit A-1, State University of New York Affirmative Action Clauses (for contracts valued at greater
than $25,000)
3. The Agreement
4. Exhibit B, this RFP
5. Exhibit C, the Successful Bidder’s proposal and Statement of Work
6. Exhibit D, the Successful Bidder’s Cost Proposal

In the event of any inconsistency in or conflict among the document elements described above, such
inconsistency or conflict shall be resolved by giving precedence to the document elements in the order set
forth above.

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CC. INDEPENDENT CONTRACTOR. The successful bidder (the “Contractor”) and its agents or employees or any
entity or person acting on behalf of the Contractor engaged in the performance of work shall at all times be
deemed to be performing as independent contractors. The Contractor hereby covenants and agrees to act
in accordance with that status. The Contractor and its agents or employees or any entity or person acting
on behalf of the Contractor shall neither hold themselves out as, nor claim to be, officers or employees of
SUNY and shall make no claim for, nor be entitled to, Workers’ Compensation coverage, medical and
unemployment benefits, social security, or retirement membership benefits from SUNY.
DD. SUBCONTRACTING. In the event the successful bidder (the “Contractor”) uses partners, subcontracts or
subcontractors, the Contractor will remain responsible for compliance with all specifications and
performance of all obligations under the contract resulting from this RFP. For the resulting agreement, the
successful bidder will be the prime contractor.

Within thirty (30) calendar days after Notice of Award, the Successful Bidder must submit a written
statement to SUNY giving the name and address of all proposed subcontractors. The statement must
contain a description of the portion of the work and materials which the proposed subcontractors are to
perform and must furnish any other information to document that the proposed subcontractors have the
necessary facilities, skill, integrity, past experience and financial resources to perform the work in
accordance with the terms and provisions of the contract.

If SUNY finds that the proposed subcontractors are qualified, it will so notify the Contractor within
ten (10) business days following receipt of Contractor’s written statement described above. If SUNY
determines that a subcontractor is not qualified, it will so notify the Contractor. The Contractor must, within
ten (10) business days thereafter, submit a written statement as described above with respect to other
proposed subcontractors, unless the Contractor decides to do such work itself and in SUNY’s opinion is
qualified to do such work.

SUNY’s approval of a subcontractor shall not relieve the Contractor of any of its responsibilities,
duties and liabilities under the contract. The Contractor shall be solely responsible to SUNY for the acts,
omissions or defaults of such subcontractors and of such subcontractors' officers, agents and employees,
each of whom shall, for this purpose, be deemed to be the agent or employee of the Contractor to the extent
of its subcontract. No provisions of the awarded contract shall create or be construed as creating any
contractual relation between SUNY and any subcontractor or sub-subcontractor or with any person, firm or
corporation employed by, contracted with or whose services are utilized by the Contractor.

The Contractor shall be fully responsible for the administration, integration, coordination, direction
and supervision of all of its subcontractors and of all work. Contractor shall check requirements of the work
and coordinate and adjust as required so that conflicts in time, workspace, equipment and supplies do not
occur in the work being performed by the Contractor with its own employees and the work being performed
by its subcontractors.

No subcontractor shall be permitted to work until it has furnished satisfactory evidence to SUNY of
the insurance required by law.

The Contractor shall execute a written agreement with each of its subcontractors and shall require
all subcontractors to execute with their sub-subcontractors a written agreement which shall bind each to
the terms and provisions of the prime contract awarded, insofar as such terms and provisions are applicable
to the work to be performed by such subcontractors. The Contractor shall require all subcontractors and
sub-subcontractors to promptly, upon request, file with SUNY a copy of such agreements upon request,
from which the price and terms of payment may be deleted.

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EE. COMPLIANCE.
1. The successful bidder (the “Contractor”) shall comply with all laws, rules, orders, regulations, and
requirements of federal, state and municipal governments applicable hereto, including the provisions
of Exhibit A, State University of New York Standard Contract Clauses, attached hereto and made a part
hereof, and for agreements with a value of $25,000 or more Exhibit A-1, State University of New York
Affirmative Action Clauses, attached hereto and made a part hereof.

2. Contractor, its employees, subcontractors, and agents shall be subject to and comply with Upstate’s
institutional compliance program as it relates to services provided hereunder, and report any
compliance concerns that are applicable to their provision of services to Upstate hereunder. Upstate’s
Compliance & Ethics Program Education is attached hereto as Exhibit T. Contractor shall require its
employees, subcontractors, and agents that are providing services to Upstate review Exhibit T prior to
providing services to Upstate. Contractor shall maintain records demonstrating its compliance with the
foregoing requirement for no less than six (6) years and provide a copy of such records to Upstate within
fifteen (15) days of Upstate’s written request. Upstate may terminate this Agreement upon fifteen (15)
days written notice in the event Contractor fails to comply with the provisions of this section and does
not cure such non-compliance during such time period. In the event of such termination, Contractor
shall provide Upstate with a pro-rated refund for all amounts paid in advance for the unexpired portion
of the term.

3. Contractor understands and agrees that Contractor’s employees and/or agents assigned to Upstate
shall, at all times, comply with the provisions of the Health Insurance Portability and Accountability Act
(“HIPAA”) of 1996 and its implementing regulations, as well as applicable the Hospital’s policies and
procedures governing the confidentiality, privacy and security of patient protected health information.
This Agreement shall be subject to, and hereby incorporates by reference, the SUNY Standard HIPAA
Business Associate Agreement which is attached hereto as Exhibit Z and made an integral part hereof.

FF. INDEMNIFICATION.
1. Successful Bidder (the “Contractor”): The successful bidder (the “Contractor”) shall be responsible to
and shall fully defend, indemnify, and hold harmless the State of New York and the State University of
New York and their respective officers, trustees, directors, agents and employees without limitation,
from any and all losses, expenses, damages and liabilities, including reasonable attorneys’ fees, arising
out of the intentional or negligent acts or omissions of the Contractor, its officers, employees, agents or
licensees in any performance under this Agreement including: i) personal injury, damage to real or
personal tangible property; ii) negligence, either active or passive; and iii) infringement of any law or of a
United States Letter Patent, with respect to Products and Services furnished under this Agreement, or of
any copyright, trademark, trade secret or intellectual proprietary rights, provided that SUNY shall give
Contractor: (a) prompt written notice of any action, claim, or threat of infringement suit, or other suit,
promptness of which, shall be established by SUNY upon the furnishing of written notice and verified
receipt, (b) the opportunity to take over, settle or defend such action, claim or suit at Contractor's sole
expense, and (c) assistance in the defense of any such action is at the expense of the Contractor. Where
a dispute or claim arises relative to a real or anticipated infringement, SUNY may require the Contractor,
at its sole expense, to submit such information and documentation, including formal patent attorney
opinions, as SUNY shall require. New York State reserves the right to join such action, at its sole
expense, when it determines there is an issue involving a significant public interest.

2. SUNY: Subject to the availability of lawful appropriations and the New York Court of Claims Act, SUNY
will hold the Contractor harmless from and indemnify it for any final judgment of a court of competent
jurisdiction only to the extent attributable to the negligence of SUNY or of its officers or employees when
acting within the course and scope of their employment.

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GG. LIABILITY. The successful bidder (the “Contractor”) understands and agrees that it is responsible for the
performance of the Services in accordance with the terms and conditions of the awarded Contract. SUNY
may look solely to the Contractor for remedy, redress, liability or indemnification for any failure to perform,
whether caused by Contractor itself or by one or more of its officers, employees, subcontractors, agents,
licensees, licensors or affiliates or any person or entity acting on behalf of Contractor in providing the
Services. The Contractor shall be fully liable for the actions of its officers, employees, subcontractors,
agents, licensees, licensors, or affiliates or any person or entity acting on its behalf in providing the Services
and shall fully indemnify and save harmless SUNY and the State of New York from suits, actions, damages
and costs of every name and description presented, brought, or recovered against SUNY and the State of
New York for, or on account of any liability which may be incurred by reason of the Contractor’s performance
of this Agreement.

The Contractor will be responsible for the work, direction and compensation of any person or entity
it engages as an officer, expert, employee, consultant, agent, independent contractor, or subcontractor.
Nothing in the contract awarded or the performance thereof by the Contractor will impose any liability or
duty whatsoever on SUNY including, but not limited to, any liability for taxes, compensation, commissions,
Workers' Compensation, disability benefits, Social Security, or other employee benefits for any person or
entity.
HH. INSURANCE. During the term of the awarded contract, the successful bidder (the “Contractor”) must obtain
and maintain insurance coverage at its own expense as provided in this paragraph and shall deliver
Certificates of Insurance in a form satisfactory to SUNY before commencing any work under this contract.
Certificates shall reference the contract number and list SUNY Upstate as the certificate holder.
Certificates of Insurance must indicate the applicable deductible/self-insured retention on each policy.
Certificates shall be mailed to the individual listed as the primary contact on the Summary Information Page
of this RFP.

The policies of insurance set forth below shall be written by companies authorized by the New York
Department of Financial Services to issue insurance in the state of New York (“admitted” carriers) with an
A.M. Best company rating of “A-” or better. Unless otherwise agreed, policies shall be written so as to
include a provision that the policy will not be canceled, materially changed, or not renewed without at least
thirty (30) days prior written notice except for non-payment as required by law to to the individual listed as
the primary contact on the Summary Information Page of this RFP.

All insurance policies shall provide that the required coverage shall apply on a primary and not on an
excess or contributing basis as to any other insurance that may be available to SUNY for any claim arising
from the successful bidder’s work under the awarded contract, or as a result of the successful bidder’s
activities. Any other insurance maintained by SUNY shall be excess of and shall not contribute with the
successful bidder’s insurance, regardless of any “other insurance” clause contained in any SUNY policy of
insurance.

At least two weeks prior to the expiration of any policy required by the awarded contract, evidence
of renewal or replacement of policies of insurance with terms no less favorable to SUNY than the expiring
policies shall be delivered to SUNY in the manner required for service of Notice under the contract.
1. Professional Liability Policy (Errors and Omissions) with limits no less than ONE MILLION DOLLARS
($1,000,000.00) per claim and THREE MILLION DOLLARS ($3,000,000.00) in the aggregate, which shall
be maintained for a period of three (3) years after completion of this contract. If said policy is issued on
a claims-made policy form, the policy shall be purchased with extended Discovery Clause coverage of
up to three (3) years after work is completed if coverage is cancelled or not renewed.
2. Workers Compensation and Disability Benefits Coverage for the life of this Agreement for the benefit of
employees required to be covered by the New York State Workers Compensation Law and the New York
State Disability Benefits Law. Evidence of coverage must be provided on forms specified by the
Commissioner of the Workers Compensation Board.

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Worker’s Compensation Law (“WCL”) §57 & §220 requires the heads of all municipal and state entities
to ensure that businesses applying for permits, licenses or contracts document it has appropriate
workers’ compensation and disability benefits insurance coverage. These requirements apply to both
original contracts and renewals, whether the governmental agency is having the work done or is simply
issuing the permit, license or contract. Failure to provide proof of such coverage or a legal exemption
will result in a rejection of your bid or renewal.

Proof of Compliance with Workers’ Compensation Coverage Requirements:

An ACORD form is NOT acceptable proof of workers’ compensation coverage. In order to provide proof
of compliance with the requirements of the Workers’ Compensation Law pertaining to workers’
compensation coverage, a Bidder shall:
a. Be legally exempt from obtaining Workers’ Compensation insurance coverage; or
b. Obtain such coverage from an insurance carrier; or
c. Be a Workers’ Compensation Board-approved self-insured employer or participate in an
authorized self-insurance plan.

A Bidder seeking to enter into a contract with the State of New York shall provide one of the following
forms to Hospital at the time of bid submission or shortly after the opening of bids:
a. Form CE-200, Certificate of Attestation for New York Entities With No Employees and Certain out
of State Entities that New York State Workers’ Compensation and/or Disability Benefits Insurance
Coverage is NOT required, which is available on the Workers’ Compensation Board’s website
(www.wcb.ny.gov); (Reference applicable IFB/RFP and Group #s on the form.)
b. Certificate of Workers’ Compensation Insurance:
i. Form C-105.2 if coverage is provided by the Bidder’s insurance carrier, Bidder must request
its carrier to send this form to Hospital, or
ii. Form U-26.3 if coverage is provided by the State Insurance Fund, Bidder must request that
the State Insurance Fund send this form to Hospital.
c. Form SI-12, Certificate of Workers’ Compensation Self-Insurance available from the New York
State Workers’ Compensation Board’s Self-Insurance Office.
d. Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance
available from the Bidder’s Group Self-Insurance Administrator.

Proof of Compliance with Disability Benefits Coverage Requirements:

In order to provide proof of compliance with the requirements of the Workers’ Compensation Law
pertaining to disability benefits, a Bidder shall:
a. Be legally exempt from obtaining disability benefits coverage; or
b. Obtain such coverage from an insurance carrier; or
c. Be a Board-approved self-insured employer.

A Bidder seeking to enter into a contract with the State of New York shall provide one of the following
forms to Hospital at the time of bid submission or shortly after the opening of bids:
a. Form CE-200, Certificate of Attestation for New York Entities With No Employees and Certain Out
of State Entities, that New York State Workers’ Compensation and/or Disability Benefits Insurance
Coverage is Not Required, which is available on the Workers’ Compensation Board’s website
(www.wcb.ny.gov); (Reference applicable IFB/RFP and Group #s on the form.)
b. Form DB-120.1, Certificate of Disability Benefits Insurance. Bidder must request its business
insurance carrier to send this form to Hospital; or
c. Form DB-155, Certificate of Disability Benefits Self-Insurance. The Bidder must call the Board’s
Self-Insurance Office at 518-402-0247 to obtain this form.
All of the above referenced forms, except CE-200, SI-12 & DB-155 must name: SUNY Upstate Medical
University, Contracts Office, 750 East Adams Street, Syracuse, NY 13210 as the Entity Requesting Proof
of Coverage (Entity being listed as the Certificate Holder).

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 3. General Liability Insurance with limits no less than ONE MILLION DOLLARS ($1,000,000.00) per claim
and THREE MILLION DOLLARS ($3,000,000.00) in the aggregate. Such policy shall name the State
University of New York as an additional insured and shall contain a provision that the State University of
New York shall receive at least thirty (30) days written notice prior to material change, cancellation or
expiration of such policy.
4. Business Automobile Liability insurance covering liability arising out of the use of any motor vehicle in
connection with the work, including owned, leased, hired and non-owned vehicles bearing, or under the
circumstances under which they are being used, required by the Motor Vehicle Laws of the State of New
York to bear, license plates. Such policy shall have a combined single limit for Bodily Injury and Property
Damage of at least ONE MILLION DOLLARS ($1,000,000.00) and shall name the State University of New
York as additional insured. The limits may be provided through a combination of umbrella/excess
liability policies.
II. TRAVEL. In the event the Contractor is required to be reimbursed for travel, reimbursement rates shall not
exceed the current NYS Schedule of Allowable Reimbursable Travel Expenses, available from the New York
State Comptroller at: https://www.osc.state.ny.us/agencies/travel/travel.htm.
JJ. TERMINATION. The Contract awarded to the successful bidder (the “Contractor”) may be terminated by SUNY
for any of the following reasons:
1. Convenience of SUNY: The contract may be terminated at any time upon receipt of thirty (30) days prior
written notice given by SUNY for whatever reason.
2. Event of default: The contract may be terminated in the event of breach of any of its provisions by the
Contractor, or if the Contractor’s Services are deemed unsatisfactory in SUNY’s sole discretion, due to
Contractor’s fault or negligence, or that of its officers, employees, subcontractors, agents, licensees,
licensors, or affiliates. In such event, SUNY will send a written cure notice in accordance with the Notice
provisions of the contract, and Contractor shall have thirty (30) days to correct the deficiencies noted.
If the deficiencies are not corrected, SUNY may terminate this contract immediately upon written notice.
3. Deficient Certifications: If the awarded contract has a value greater than $15,000, SUNY shall have the
right to terminate in the event the State Finance Law sections 139-j and 139-k certifications executed by
the Contractor are found to be intentionally false or incomplete. If the contract has a value of greater
than $100,000 and Contractor’s sales for the immediately preceding four quarters were greater than
$300,000, or if the contract has a value of $125,000 or greater, SUNY shall have the right to terminate in
the event the successful bidder’s Department of Taxation and Finance Contractor Certification form, ST
220-CA, statements are found to be false or incomplete.
4. Lack of Funds: If for any reason the State of New York terminates or reduces its appropriations to SUNY,
the awarded contract may be terminated or reduced at SUNY's discretion, provided that no such
reduction or termination shall apply to allowable costs already incurred by the Contractor where funds
are available to the SUNY for payment of such costs. In any event, no liability shall be incurred by the
State (including SUNY) beyond monies available for the purposes of the awarded contract.
5. SUNY may terminate the awarded contract, upon written notice, in the event of any of the following: (1)
Contractor makes an assignment for the benefit of creditors; (ii) a petition in bankruptcy or any
insolvency proceeding is filed by or against Contractor and is not dismissed within thirty (30) days from
the date of filing; or (iii) all or substantially all of Contractor’s property is levied upon or sold in any judicial
proceeding.

[Continued on next page.]

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KK. PROCUREMENT LOBBYING ACT – STATE FINANCE LAW §§ 139-J AND 139-K. Prior to approval of the contract for
which this RFP has been issued by SUNY, or if applicable, the Office of the State Comptroller, a Bidder shall
not communicate with SUNY other than with the persons identified in this RFP as Designated Contacts or
with a person who the Designated Contacts has advised the Bidder in writing is also a Designated Contact.
Generally, the New York State Finance Law restricts communications between a bidder or a person acting
on behalf of a Bidder, including its lobbyist, to communications with the officers and employees of the
procuring agency designated in each solicitation to receive such communications. Further, the law
prohibits a communication (a “Contact”) which a reasonable person would infer as an attempt to unduly
influence the award, denial or amendment of a contract. These restrictions apply to each contract in excess
of $15,000 during the “restricted period” (the time commencing with the earliest written notice of the
proposed procurement and ending with the later of approval of the final contract by the agency, or, if
applicable, the State Comptroller). The agency must record all Contacts, and, generally, must deny an
award of contract to a vendor involved in a knowing and willful Contact.

SUNY has developed guidelines regarding Contacts and procedures for the reporting and
investigation of Contacts. SUNY’s procurement record must demonstrate compliance with these
requirements. SUNY will make a record of all Contacts, and such records of Contact will become part of the
procurement record for this RFP. A determination that a Bidder or a person acting on behalf of a Bidder has
intentionally made a Contact or provided inaccurate or incomplete information as to its past compliance
with State Finance Law §§139-j and 139-k, is likely to result in denial of the award of contract under this RFP.
Additional sanctions may apply. A complete copy of SUNY’s Procurement Lobbying Policy and Procedure
and its accompanying forms is available for review at
http://www.suny.edu/sunypp/documents.cfm?doc_id=430

Each Bidder shall submit with its proposal a written affirmation of its understanding of SUNY’s
procurement lobbying procedures and agreement to comply with such procedures. The requisite form is
provided at Attachment 3.

LL. RESTRICTIONS ON THE ACTIVITIES OF CURRENT AND FORMER STATE OFFICERS AND EMPLOYEES. All Bidders and
Bidder employees must be aware of and comply with the requirements of the New York State Public Officers
Law, all other appropriate provisions of New York State Law and all resultant codes, rules and regulations
from State laws establishing the standards for business and professional activities of State employees and
governing the conduct of employees of firms, associations and corporations in business with the State.

Contractors and their employees are cautioned that the hiring of former state employees may violate the
Ethics Law. The governing provisions are set forth the New York State Public Officers Law §§ 73 and 74, and
the underlying principle of law is to prevent conflicts of interest and encourage ethical behavior. The law
may be found on the website of the New York State Joint Commission on Public Ethics at:
http://www.jcope.ny.gov/about/laws_regulations.html.
MM. DIESEL EMISSIONS REDUCTION ACT OF 2006. The Successful Bidder (Contractor) certifies and warrants that all
heavy duty vehicles, as defined in New York State Environmental Conservation Law (ECL) section 19-0323,
to be used by Contractor, its agents or subcontractors under the contract awarded, will comply with the
specifications and provisions of ECL section 19-0323 and any regulations promulgated pursuant thereto,
which requires the use of Best Available Retrofit Technology (“BART”) and Ultra Low Sulfur Fuel (“ULSD”),
unless specifically waived by DEC. Qualification for a waiver under this law will be the responsibility of
Contractor. Annually, but no later than March 1st, Contractor shall complete and submit directly to SUNY,
via electronic mail, the Regulated Entity Vehicle Inventory Form and Regulated Entity and Contractors
Annual Report forms available at the Department of Environmental Conservation (“DEC”) website:
http://www.dec.ny.gov/chemical/4754.html, for heavy duty vehicles used in the performance of the
contract awarded for the preceding calendar year. The Contractor shall certify to SUNY, and submit with
each application for payment, Contractor and Subcontractor Certification forms, which state that the
Contractor will comply with the provisions of ECL Section 19.0323.

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NN. SMOKE FREE SUNY. SUNY campuses are smoke free. No smoking is permitted within the buildings or upon
the grounds owned or leased by SUNY. The Successful Bidder (Contractor) must communicate this policy
to its employees, subcontractors, and any other individuals assigned to enter upon SUNY grounds and
premises in connection with the services to be performed in connection with the contract awarded.
OO. STATE FINANCE LAW § 139-L CERTIFICATION. Pursuant to N.Y. State Finance Law § 139-l, every bid made on or
after January 1, 2019 to the State or any public department or agency thereof, where competitive bidding is
required by statute, rule or regulation, for work or services performed or to be performed or goods sold or to
be sold, and where otherwise required by such public department or agency, shall contain a certification
that the Bidder has and has implemented a written policy addressing sexual harassment prevention in the
workplace and provides annual sexual harassment prevention training to all of its employees. Such policy
shall, at a minimum, meet the requirements of N.Y. State Labor Law § 201-g.

N.Y. State Labor Law § 201-g provides requirements for such policy and training and directs the
Department of Labor, in consultation with the Division of Human Rights, to create and publish a model
sexual harassment prevention guidance document, sexual harassment prevention policy and sexual
harassment prevention training program that employers may utilize to meet the requirements of N.Y. State
Labor Law § 201-g. The model sexual harassment prevention policy, model sexual harassment training
materials, and further guidance for employers, can be found online at the following URL:
https://www.ny.gov/combating-sexual-harassment-workplace/employers.

Pursuant to N.Y. State Finance Law § 139-l, any bid by a corporate bidder containing the certification
required above shall be deemed to have been authorized by the board of directors of such Bidder, and such
authorization shall be deemed to include the signing and submission of such bid and the inclusion therein
of such statement as the act and deed of the Bidder.
If the Bidder cannot make the required certification, such Bidder shall so state and shall furnish with the bid
a signed statement that sets forth in detail the reasons that the Bidder cannot make the certification. After
review and consideration of such statement, SUNY may reject the bid or decide that there are sufficient
reasons to accept the bid without such certification. The certification required above can be found on
Attachment 10.
PP. COMPLIANCE WITH SUNY POLICIES. At all times when on SUNY premises, all Contractors and subcontractor
personnel shall be required to comply with SUNY regulations, policies and procedures including (i) the
requirement to wear an identity tag clearly identifying them as being an employee or agent of the contractor;
(ii) there will be no smoking within the buildings or on the grounds owned or leased by SUNY. The Contractor
must communicate this policy to its employees, subcontractors, and any other individuals assigned to enter
upon SUNY grounds and premises in connection with the services to be performed in connection with the
contract awarded; and (iii) Parking regulations: Parking violations are subject to fines and are the sole
responsibility of Contractor. All vehicles must be registered with SUNY.
QQ. TRADEMARKS AND SERVICE MARKS. SUNY trademarks, service marks and logos are registered trademarks or
owned by SUNY (the “Licensed Marks) and may not be used without SUNY’s written permission. In the event
that the awarded contract requires Contractor to use the Licensed Marks, SUNY will grant a limited license
for use of the Licensed Marks only in connection with the contracted work. Such license shall not be
construed as permission by SUNY to use its name or the Licensed Marks for any other purpose.
RR. EXECUTIVE ORDER 177 (EO 177). The New York State Human Rights Law, Article 15 of the Executive Law,
prohibits discrimination and harassment based on age, race, creed, color, national origin, sex, pregnancy or
pregnancy-related conditions, sexual orientation, gender identity, disability, marital status, familial status,
domestic violence victim status, prior arxrest or conviction record, military status or predisposing genetic
characteristics.

The Human Rights Law may also require reasonable accommodation for persons with disabilities
and pregnancy-related conditions. A reasonable accommodation is an adjustment to a job or work
environment that enables a person with a disability to perform the essential functions of a job in a
reasonable manner. The Human Rights Law may also require reasonable accommodation in employment
on the basis of Sabbath observance or religious practices.

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 Generally, the Human Rights Law applies to: (i) all employers of four or more people, employment
agencies, labor organizations and apprenticeship training programs in all instances of discrimination or
harassment; (ii) employers with fewer than four employees in all cases involving sexual harassment; and (iii)
any employer of domestic workers in cases involving sexual harassment or harassment based on gender,
race, religion or national origin.

In accordance with Executive Order No. 177, prior to contract award, successful bidder must submit
a certification that at it does not have institutional policies or practices that fail to address harassment and
discrimination as described above. SUNY is electing to obtain the certification with the bid documents to
avoid unnecessary delay in the contract award process. All bidders must sign and submit the certification
attached to this RFP as Attachment 11.
SS. FALSE CLAIMS ACT. Upstate is required by law to provide information to all our contractors and agents
regarding the Federal False Claims Act, New York State laws regarding civil or criminal penalties for false
claims and payments, administrative remedies for false claims and statements, and whistleblower
protections under these laws. Attachment 12 of this RFP satisfies this notification requirement, and by
signing the False Claims Acknowledgement Form that is part of Attachment 12, the Bidder acknowledges
that it has received and understands the information provided therein.
TT. EXCLUDED INDIVIDUALS/ENTITIES. Contractor represents and warrants to Hospital that neither it nor any of its
affiliates are excluded from participation in any federal health care program, as defined under 42 U.S.C.
1320a-7b(f), for the provision of items or services for which payment may be made under such federal health
care programs and has not arranged or contracted (by employment or otherwise) with any employee,
contractor, or agent such that it or its affiliates knows or should know are excluded from participation in any
federal health care program, to provide items or services hereunder. Contractor represents and warrants to
Hospital that no final adverse action, as such term is defined under 42 U.S.C. 1320a-7e(g), has occurred or
is pending or threatened against Contractor or its affiliates or to their knowledge against any employee,
contractor, or agent engaged to provide items or services under this Agreement (collectively
“Exclusions/Adverse Actions”). If, at any time during the term of this Agreement, Contractor or any
employee, contractor, or agent is excluded from participation in any federal health care program, Contractor
shall immediately notify Hospital of the exclusion, and Hospital shall have the option to immediately
terminating this Agreement, in whole or in part as necessary and applicable in Hospital’s sole discretion,
and Contractor shall provide a pro rata refund to Hospital based on the period of time remaining in the term
of this of this Agreement. See Department of Health and Human Services Office of the Inspector General
(www.oig.hhs.gov), System for Award Management (www.SAM.gov), and New York State Medicaid
Disqualified Provider List (www.omig.ny.gov). Contractor and any of its affiliates shall be responsible to and
shall indemnify and hold harmless Hospital, SUNY, and the State of New York and their respective officers,
trustees, directors, employees, and agents in the event that an excluded individual is identified and provided
or is providing services, indirect or direct, to Hospital. Contractor shall reimburse, within thirty (30) days,
Hospital, SUNY, and the State of New York for any and all penalties imposed by OIG or OMIG or any other
governmental agency due to the fact that Contractor provided said excluded individual to Hospital.
UU. SALES AND COMPENSATING USE TAX DOCUMENTATION. Section 5-a of the Tax Law, as amended, effective April
26, 2006, requires certain contractors awarded state contracts for commodities, services and technology
valued at more than $100,000 to certify to the Department of Taxation and Finance (DTF) that they are
registered to collect New York State and local sales and compensating use taxes. The law applies to
contracts where the total amount of such contractors’ sales delivered into New York State are in excess of
$300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification
is made, and with respect to any affiliates and subcontractors whose sales delivered into New York State
exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the
certification is made.

[Continued on next page.]

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 This law imposes upon certain contractors the obligation to certify whether or not the contractor, its
affiliates, and its subcontractors are required to register to collect state sales and compensating use tax and
contractors must certify to DTF that each affiliate and subcontractor exceeding such sales threshold is
registered with DTF to collect New York State and local sales and compensating use taxes. The law prohibits
the State Comptroller, or other approving agency, from approving a contract awarded to a contractor
meeting the registration requirements but who is not so registered in accordance with the law.

The web links to obtain these Contractor certification forms are provided below. Form No. ST-220-
TD must be filed with and returned directly to DTF. Unless the information upon which the ST-220-TD is
based changes, this form only needs to be filed once with DTF. If the information changes for the contractor,
it’s affiliate(s), or its subcontractor(s), a new Form No. ST-220-TD must be filed with DTF.

Form ST-220-CA must be filed with the bid and submitted to the procuring covered agency certifying
that the contractor filed the ST-220-TD with DTF. Proposed contractors should complete and return the
certification forms with their bid submission. Failure to make either of these filings may render a bidder non-
responsive and non-responsible. Bidders shall take the necessary steps to provide properly certified forms
to ensure compliance with the law.

Bidders may call DTF at 1-800-698-2909 for any and all questions relating to Section 5-a of the Tax
Law and relating to a company's registration status with the DTF. For additional information and frequently
asked questions, please refer to the DTF web site: http://www.nystax.gov.

The Hospital reserves the right to terminate any Resulting Agreement in the event it is found that the
certification filed by Bidder in accordance with § 5-a of the Tax Law is not timely filed during the term of the
agreement or the certification furnished was intentionally false or intentionally incomplete. Upon such
finding, the Hospital may exercise its termination right by providing written notification to successful Bidder.

Complete one (1) original copy of the New York State Department of Taxation and Finance
(“NYSDTF”) Form ST-220-CA and return with your proposal. Document must be sworn and notarized. The
form can be found at: https://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf.

Complete one (1) original copy of the NYSDTF Form ST-220-TD and return to the Department of
Taxation and Finance. Document must be sworn and notarized. The form can be found at:
https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf.
VV. NON-SOLICITATION. During the term of this Agreement, neither Party will directly or indirectly solicit, hire,
or utilize as an independent contractor the other party’s employees or subcontractors involved in the
performance of this Agreement. The foregoing provision will not (i) prohibit a general solicitation of
employment in the ordinary course of business or prevent a party from employing any employee who
contacts such party as a result of a general solicitation; or (ii) be read so as to limit employment
opportunities to an extent that would not be permitted under applicable law.
WW. PAYMENT TERMS. Payment under the Resulting Agreement shall be made to Bidder in accordance with New
York State Finance Law, Article 11-A, upon receipt of a proper invoice. As a State agency, Upstate cannot
pre-pay or pay deposits for services not yet rendered. Please note that the State budget and/or the
appropriation budgeted funds to Upstate may be delayed in any given fiscal year due to circumstances
beyond Upstate’s control, which can delay payments for services. Any interest for late payments is paid in
accordance with New York State “Prompt Payment Legislation.” Any and all invoices for amounts payable
under the resulting agreement shall be sent to AccountsPayable@upstate.edu.

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STATE UNIVERSITY OF NEW YORK NOTARY ACKNOWLEDGMENT

34
 State University of New York
Notary Acknowledgement

(ACKNOWLEDGEMENT BY INDIVIDUAL)
STATE OF )
COUNTY OF ) ss.:

On this day of , 20 , before me personally came

, to me known and known to me to be the person described in and who
executed the foregoing instrument and he/she acknowledged to me that he/she executed the same.

Notary Public

(ACKNOWLEDGEMENT BY UNINCORPORATED ASSOCIATION)

STATE OF )
COUNTY OF ) ss.:

On this __________ day of ____________________, 20___, before me personally came

_______________________________________________________, to me known and known to me to be the person
who executed the above instrument, who, being duly sworn by me, did for himself/herself depose and say
that he/she is a member of the firm of _________________________________________________ and that he/she
executed the foregoing instrument in the firm name of _________________________________________ and that
he/she had authority to sign same, and he/she did duly acknowledge to me that he/she executed the same
as the act and deed of said firm of _______________________________________________ for the uses and
purposes mentioned therein.

Notary Public

(ACKNOWLEDGEMENT BY CORPORATION)

STATE OF )
COUNTY OF ) ss.:

On this ___ day of ________________, 20__, before me personally came ______________________________, to me

known, who being duly sworn, did depose and say that he/she resides in ________________________________;
that he/she is the ____________________________ (title) of __________________________________________(firm),
the corporation described in and which executed the foregoing instrument; that he/she knows the seal of
said corporation; that the seal affixed to said instrument is such corporate seal; that it was so affixed by the
order of the Board of Directors of said corporation, and that he/she signed his/her name thereto by like order.

Notary Public

THIS PAGE MUST BE SIGNED IN THE ORIGINAL AND MUST ACCOMPANY EACH COPY OF YOUR BID.

35
ATTACHMENT 1: BID SUBMISSION CHECKLIST

36
 Attachment 1: Bid Submission Checklist

Ö Description
Technical Proposal (two [2] original hardcopies)
(Attachment 13 shall NOT be included in the technical proposal!)
Technical Proposal (one [1] USB flash drive)
(Attachment 13 shall NOT be included in the technical proposal!)
Financial Proposal (two [2] original hardcopies) – see Attachment 13 below
(Must submit in a separate sealed envelope!)
Financial Proposal (one [1] USB flash drive) – see Attachment 13 below

RFP (page 1) Summary Information Form

Notary Acknowledgement Form
Attachment 2: Bidder Qualifications Submission Form
If required: Narrative addressing ability and experience
Attachment 3: Bidder Reference Form
Attachment 4: Procurement Lobbying Act Certification
Attachment 5: Non-Collusive Bidding Certification
Attachment 6: Diversity Practices Questionnaire
Attachment 8: NYS Subcontractor Identification Form
Attachment 9: Consultant Form A
Attachment 10: NY State Finance Law 139-L Certification
Attachment 11: Executive Order EO-177
Attachment 12: False Claims Acknowledgment Form
Attachment 13: Financial Proposal
(Must submit in separate sealed envelope marked RFP S-1484!)
Vendor Responsibility:
File either the required Vendor Responsibility Questionnaire online via the New
York State VendRep System or complete and submit a paper questionnaire.
Select one:
completed online questionnaire
paper copy of questionnaire included in Bid.

NYS Workers’ Compensation insurance certificate (C-105.2, SI-12, CE-200)

(ACORD FORM WILL NOT BE ACCEPTED!)
NYS Disability insurance certificate (DB-120.1, DB-155, CE-200)
(ACORD FORM WILL NOT BE ACCEPTED!)
MWBE Form 7557-104: Equal Opportunity Policy Statement
MWBE Form 7557-108: EEO Staffing Plan
SDVOB Form 7564-121C: SDVOB Utilization Plan
Addendum #1 Cover Page (Signed/Dated)
Addendum #2 Cover Page (Signed/Dated)

37
ATTACHMENT 2: BIDDER QUALIFICATIONS SUBMISSION FORM

38
 Attachment 2: Bidder Qualifications Submission Form

Minimum Bidder Qualifications:

# Minimum Qualification Description Bidder Response

1 Bidder must submit the following company
information:
a. Full legal name; and
b. Primary business address; and
c. All other office locations (city and state for
domestic; city and country for
international); and
d. Hours of operation for the offices that will
be responsible for providing services to
Upstate, including current holiday
schedule; and
e. Company website address (URL).
2 Bidder must be eligible to conduct business in the
State of New York and provide evidence of its ability
to do so.

3 Bidder must have at least ten (10) years of

experience in providing ED and acute inpatient care
processes and throughput improvement
consulting services to academic medical centers
and/or large healthcare organizations of similar
size and scope to Upstate.
a. To explain how Bidder meets the
requirement, provide a narrative
demonstrating Bidder’s ability to conform
with this criterion.

4 Demonstrated expertise in navigating and

successfully implementing process improvement
for ED and acute inpatient care processes and
throughput.
a. To explain how Bidder meets the
requirement, include a table outlining
project name(s), dates, and a brief synopsis
of how the project was successful for the
last eight (8) years, including pre- and post-
COVID.

5 The bidder must provide a staffing plan that

includes the qualifications and roles of each team
member assigned to the project. This should
include resumes and relevant experience of key
personnel.

6 The bidder must have expertise in implementing

and utilizing healthcare information technology
systems, including electronic health records (EHR)
and patient management systems.
39
7 The bidder must demonstrate proficiency in data
analysis, including the ability to analyze large
datasets and provide actionable insights.

8 The bidder must have experience in developing

performance metrics and reporting systems to
monitor and improve ED and inpatient operations.

9 The bidder must demonstrate knowledge of and

compliance with relevant healthcare regulations,
including state and federal laws governing
emergency and inpatient care.

10 The bidder must be able to provide up to eighteen

(18) months of on-going support beyond the initial
phase of the project. For purposes of this
solicitation, ongoing support shall be categorized
by various experience levels, as set forth below.
These levels shall align the complexity of tasks with
the consultant’s expertise.
•Senior Consultant: Leads strategic planning
and provides high-level insights.
•Associate Consultant: Manages project
implementation and day-to-day client interactions.
•Staff Consultant: Conducts research, data
analysis, and supports project tasks.
11 The bidder must have a quality assurance plan in
place to ensure the accuracy and effectiveness of
their consulting services.

40
ATTACHMENT 3: BIDDER REFERENCE FORM

41
 Attachment 3: Bidder Reference Form

Bidders must submit complete contact information for at least five (5) clients who can be contacted for Bidder
references. Bidder shall not list Upstate or an Upstate employee as one of the references.
a. A minimum of three (3) references must be similar in size and scope of Upstate and that have used CON
and/or PAR consulting services.
b. At least one (1) reference must be from a unionized organization. Please be sure to note which reference(s)
is a unionized organization.

Please refer to section 3(B)(5), Bidder References - 5 points, for additional instructions for completing this
attachment.

References:

References
Company Name: Address, Name, Email Length of Reference Criteria: Notes/Comments
& Phone #: time as
your
customer
1. *Unionized?
(Y/N) ______
*Similar Size/Scope?
(Y/N) ______
*Used CON/PAR?
(Y/N) ______
2. *Unionized?
(Y/N) ______
*Similar Size/Scope?
(Y/N) ______
*Used CON/PAR?
(Y/N) ______
3. *Unionized?
(Y/N) ______
*Similar Size/Scope?
(Y/N) ______
*Used CON/PAR?
(Y/N) ______
4. *Unionized?
(Y/N) ______
*Similar Size/Scope?
(Y/N) ______
*Used CON/PAR?
(Y/N) ______
5. *Unionized?
(Y/N) ______
*Similar Size/Scope?
(Y/N) ______
*Used CON/PAR?
(Y/N) ______

(Continued on next page).

42
Contract Terminations
Address: Address, Name, Email Date of Reason for Contract Termination
& Phone #: Contract
Termination
1.

2.

3.

43
ATTACHMENT 4: PROCUREMENT LOBBYING ACT CERTIFICATION

44
 Attachment 4: Procurement Lobbying Act Certification

This attachment must be completed and submitted with your proposal.

State Finance Law §§139-j and 139-k, enacted by Ch. 1 L. 2005, as amended by Ch. 596 L. 2005, effective January 1, 2006, regulate lobbying
on government procurement, including procurements by State University to obtain commodities and services and to undertake real estate
transactions.

Generally, the law restricts communications between a potential vendor or a person acting on behalf of the vendor, including its lobbyist, to
communications with the officers and employees of the procuring agency designated in each solicitation to receive such communications.
Further, the law prohibits a communication (a “Contact”) which a reasonable person would infer as an attempt to unduly influence the award,
denial or amendment of a contract. These restrictions apply to each contract in excess of $15,000 during the “restricted period” (the time
commencing with the earliest written notice of the proposed procurement and ending with the later of approval of the final contract by the
agency, or, if applicable, the State Comptroller). The agency must record all Contacts, and, generally, must deny an award of contract to a
vendor involved in a knowing and willful Contact. Each agency must develop guidelines and procedures regarding Contacts and procedures
for the reporting and investigation of Contacts. The agency’s procurement record must demonstrate compliance with these new
requirements.

Accordingly, neither a potential vendor nor a person acting on behalf of the vendor should contact any individual at State University other than
the person designated in this solicitation as State University’s Designated Contact, nor attempt to unduly influence award of the contract.
State University will make a record of all Contacts, and such records of Contact will become part of the procurement record for this
solicitation. A determination that a vendor or a person acting on behalf of the vendor has made intentionally a Contact or provided inaccurate
or incomplete information as to its past compliance with State Finance Law §§139-j and 139-k is likely to result in denial of the award of
contract under this solicitation. Additional sanctions may apply.

Please complete the following:

1. As defined in State Finance Law §§ 139-j (1)(a), has a governmental agency made a determination of non-responsibility with respect to the
Offeror within the previous four years where such a finding was due to a violation of State Finance Law §§ 139-j or the intentional provision of
false or incomplete information with respect to previous determinations of non-responsibility?
NO YES If yes, attach explanation

2. Has a governmental entity terminated or withheld a procurement contract with the Offeror because of violations of State Finance Law §§
139-j or the intentional provision of false or incomplete information with respect to previous determinations of non-responsibility?
NO YES If yes, attach explanation.

CERTIFICATION:
By signing below the Bidder affirms and certifies that it: (1) has reviewed and understands the Policy and Procedure of SUNY, related to SFL
§§ 139-j and 139-k, (2) agrees to comply with SUNY’s procedure relating to Contacts with respect to this procurement, and (3) has provided
information that is complete, true, and accurate with respect to SFL §§ 139-j and 139-k. Bidder understands that SUNY reserves the right to
terminate any resulting contract in the event it is found that the certification filed by the Bidder in accordance State Finance Law §§139-j and
139-k was intentionally false or intentionally incomplete. Upon such finding, SUNY may exercise its termination right by providing written
notification to the Bidder in accordance with the written notification terms of the contract.

Firms Name and Address:

FEIN #:

Telephone Number: (___)___-____

Fax Number: (___) ___-____

Email Address:

Bidder’s Name and Title:

Bidder’s Signature:

Date:

45
ATTACHMENT 5: NON-COLLUSIVE BIDDING CERTIFICATION

46
 Attachment 5: Non-Collusive Bidding Certification

This attachment must be completed and submitted with your proposal.

By Submission Of This Bid, Bidder And Each Person Signing On Behalf Of Bidder Certifies, And In The Case Of Joint
Bid, Each Party Thereto Certifies As To Its Own Organization, Under Penalty Of Perjury, That To The Best Of His/Her
Knowledge And Belief:

1. The prices of this bid have been arrived at independently, without collusion, consultation, communication, or
agreement, for the purposes of restricting competition, as to any matter relating to such prices with any other Bidder
or with any competitor; and
2. Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed
by the Bidder and will not knowingly be disclosed by the Bidder prior to opening, directly or indirectly, to any other
Bidder or to any competitor; and
3. No attempt has been made or will be made by the Bidder to induce any other person, partnership or corporation to
submit or not to submit a bid for the purpose of restricting competition.
A Bid Shall Not Be Considered For Award Nor Shall Any Award Be Made Where [1], [2], [3] Above Have Not Been
Complied With; Provided However, That If In Any Case The Bidder(S) Cannot Make The Foregoing Certification, The
Bidder Shall So State And Shall Furnish Below A Signed Statement Which Sets Forth In Detail The Reasons Therefore:

[AFFIX ADDENDUM TO THIS PAGE IF SPACE IS REQUIRED FOR STATEMENT.]

Subscribed to under penalty of perjury under the laws of the State of New York, this day of
, 20 as the act and deed of said corporation of partnership.

IF BIDDER(S) (ARE) A PARTNERSHIP, COMPLETE THE FOLLOWING:

NAMES OF PARTNERS OR PRINCIPALS LEGAL RESIDENCE
____________________________________________ _____________________________
____________________________________________ _____________________________
____________________________________________ _____________________________
____________________________________________ _____________________________

47
IF BIDDER(S) (ARE) A CORPORATION, COMPLETE THE FOLLOWING:
NAME LEGAL RESIDENCE
___________________________________________ _____________________________
President:
___________________________________________ _____________________________
Secretary:
___________________________________________ _____________________________
Treasurer:
___________________________________________ _____________________________
President:
___________________________________________ _____________________________
Secretary:
___________________________________________ _____________________________
Treasurer

Identifying Data

Potential Contractor
Address

Telephone
Name of Responsible Corporate Officer
Title of Responsible Corporate Officer

Signature:

Joint or combined bids by companies or firms must be certified on behalf of each participant.
____________________________________ ______________________________________
Legal name of person, firm or corporation Legal name of person, firm or corporation

By _____________________________ By _____________________________
Name: Name:
Title: Title:
Address:

48
ATTACHMENT 6: DIVERSITY PRACTICES QUESTIONNAIRE

49
 Attachment 6: Diversity Practices Questionnaire
This attachment must be completed and submitted with your proposal.

I, ___________________, as __________________ (title) of _______________firm or company (hereafter referred to as the

company), swear and/or affirm under penalty of perjury that the answers submitted to the following questions are
complete and accurate to the best of my knowledge:

1. Does your company have a Chief Diversity Officer or other individual who is tasked with supplier diversity
initiatives? Circle one: Yes / No

If Yes, provide the name, title, description of duties, and evidence of initiatives performed by this individual or
individuals.

2. What percentage of your company’s gross revenues (from your prior fiscal year) was paid to New York State
certified minority and/or women-owned business enterprises as subcontractors, suppliers, joint-venturers,
partners or other similar arrangement for the provision of goods or services to your company’s clients or
customers? __________%

3. What percentage of your company’s overhead (i.e. those expenditures that are not directly related to the
provision of goods or services to your company’s clients or customers) or non-contract-related expenses (from
your prior fiscal year) was paid to New York State certified minority- and women-owned business enterprises as
suppliers/contractors?1 __________%

4. Does your company provide technical training2 to minority- and women-owned business enterprises? Circle one:
Yes / No

If Yes, provide a description of such training which should include, but not be limited to, the date the program
was initiated, the names and the number of minority- and women-owned business enterprises participating in
such training, the number of years such training has been offered and the number of hours per year for which
such training occurs.

1
Do not include onsite project overhead.
2
Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical
components of their jobs. Training can include technology applications, products, sales and service tactics, and more. Technical
skills are job-specific as opposed to soft skills, which are transferable.

50
 5. Is your company participating in a government approved minority- and women-owned business enterprise
mentor-protégé program? Circle one: Yes / No

If Yes, identify the governmental mentoring program in which your company participates and provide evidence
demonstrating the extent of your company’s commitment to the governmental mentoring program.

6. Does your company include specific quantitative goals for the utilization of minority- and women-owned
business enterprises in its non-government procurements? Circle one: Yes / No

If Yes, provide a description of such non-government procurements (including time period, goal, scope and
dollar amount) and indicate the percentage of the goals that were attained.

7. Does your company have a formal minority- and women-owned business enterprise supplier diversity program?
Circle one: Yes / No

If Yes, provide documentation of program activities and a copy of policy or program materials.

8. Does your company plan to enter into partnering or subcontracting agreements with New York State certified
minority- and women-owned business enterprises if selected as the successful respondent? Circle one: Yes /
No

If Yes, complete the MWBE Utilization Plan, Form No. 7557-107.

All information provided in connection with the questionnaire is subject to audit and any fraudulent statements are
subject to criminal prosecution and debarment.

Signature of Owner/Official

Printed Name of Signatory

Title

Name of Business

Address

City, State, Zip

51
ATTACHMENT 7: RESERVED.

[NOT APPLICABLE]

52
ATTACHMENT 8: NYS BUSINESS SUBCONTRACTOR IDENTIFICATION FORM

53
 Attachment 8 – NYS Business Subcontractor Identification Form

Encouraging the use of New York State Businesses in Contract Performance

New York State businesses have a substantial presence in SUNY contracts and strongly contribute to the economies of New
York and the nation. In recognition of their economic activity and leadership in doing business in New York State,
bidders/proposers/contractors for this contract for commodities, services or technology are strongly encouraged and expected
to consider New York State businesses in the fulfillment of the requirements of the contract. Such partnering may be as
subcontractors, suppliers, protégés or other supporting roles.

Bidders/proposers/contractors need to be aware that to the maximum extent practical and consistent with legal requirements,
they are strongly encouraged to use responsible and responsive New York State businesses in purchasing commodities that
are of equal quality and functionality and in utilizing services and technology. Furthermore, bidders/proposers/contractors are
reminded that they must continue to utilize small, minority and women-owned businesses, consistent with current State law.

Utilizing New York State businesses in SUNY contracts will help create more private sector jobs, rebuild New York’s
infrastructure, and maximize economic activity to the mutual benefit of the contractor and its New York State business
partners. New York State businesses will promote the contractor’s optimal performance under this contract, thereby fully
benefiting the public sector programs that are supported by associated procurements.

Public procurements can drive and improve the State’s economic engine through promotion of the use of New York businesses
by its contractors. SUNY therefore expects bidders/proposers to provide maximum assistance to New York businesses in their
use of the contract. The potential participation by all kinds of New York businesses will deliver great value to New York State
and its taxpayers.

Bidders/proposers can demonstrate their commitment to the use of New York State businesses by responding to the question
below:

Will New York State Businesses be used in the performance of this contract? Circle one: YES / NO

If YES, identify New York State Business(es) that will be used by attaching identifying information, e.g., contact
information, dollar value of the subcontract or supply contract.

This form, along with accompanying information as required above, must be completed and submitted with your
proposal.

54
ATTACHMENT 9: CONSULTANT INFORMATION INCLUDING FORMS A & B

55
 Attachment 9 – Consulting Forms A and B
Form A must be completed and submitted with your proposal.

Contractor shall comply with Section 163(4)(g) of the New York State (“State”) Finance Law (“NYSFL”) requiring all contractors
(including subcontractors), which provide consulting services for State purposes pursuant to a contract, submit (i) the
Contractor’s Planned Employment – Form A, and (ii) the Contractor’s Annual Employment Report – Form B, for each such
contract.

Section 8(17)(f) of the NYSFL defines a contract for consulting services to be any contract entered into by a state agency for
analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health and
mental health services, accounting, auditing, paralegal, legal, or similar services. The employment report shall include for
each employment category (O*NET, http://online.onetcenter.org), within the contract, the number of employees employed to
provide services under the contract, the number of hours they work and their total compensation under the contract.
Contractor shall be responsible for submitting employment reports to (i) the State agency that awarded the contract, (ii) the
State Department of Civil Service and (iii) the State Department of Audit and Control. The Contractor’s Planned Employment
– Form A, and the Contractor’s Annual Employment Report – Form B shall be available for public inspection and copying
pursuant to Section 87 of the State Public Officers Law provided that in disclosing such reports, the State agency making the
disclosure shall redact the name or social security number of any individual employee that is included in such document.

Form A- should be completed and returned with your bid submission. It is a one-time report of planned employment data for
the entire term of a consulting contract on a projected basis.

Form B – should is required to be submitted each year the contract is in effect, detailing actual employment data for the most
recently concluded State fiscal year (April 1-March 31). The report is due no later than May 15th of each year and should be
submitted to:

SUNY Upstate Medical University New York State Office of the State Comptroller
Contracts Office, Suite 2050 SLC Bureau of Contracts, Consultant Reporting
750 E. Adams Street 110 South State Street, 11th Floor
Syracuse, NY 13210 Albany, NY 12236

And New York State Department of Civil Service

Attn: Executive Office
Alfred E. Smith State Office Building
Albany, NY 12239

56
 FORM A

New York State Consultant Services

Contractor’s Planned Employment
From Contract Start Date Through the End of the Contract Term

State Agency Name: SUNY Upstate Medical University

State Agency Department ID: 3320211 Agency Business Unit: SNY01
Contractor Name: Contract Number:
Contract Start Date: / / Contract End Date: / /

Number of Number of Hours to Amount Payable

Employment Category Employees be Worked Under the Contract
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
Total this Page 0.00 0.00 $ 0.00
Grand Total
Name of person who prepared this report:
Title: Phone #:
Preparer’s Signature: ________________________________
Date Prepared: / /
(Use additional pages, if necessary) Page of

Available on-line at:

http://www.osc.state.ny.us/agencies/forms/ use AC 3271 S for Form A
and AC3272 S for Form B

57
 FORM B

New York State Consultant Services

Contractor’s Annual Employment Report
Report Period: April 1, to March 31,
Contracting State Agency Name: SUNY Upstate Medical University
Contract Number: Agency Business Unit: SNY01
Contract Term: / / to / / Agency Department ID: 3320211
Contractor Name:
Contractor Address:
Description of Services Being Provided:

Scope of Contract (Choose one that best fits):

Analysis Evaluation Research Training
Data Processing Computer Programming Other IT consulting
Engineering Architect Services Surveying Environmental Services
Health Services Mental Health Services
Accounting Auditing Paralegal Legal Other Consulting

Number of Number of Amount Payable

Employment Category Employees Hours Worked Under the Contract
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
0.00 0.00 $0.00
Total this Page 0.00 0.00 $ 0.00
Grand Total

Name of person who prepared this report:

Title: Phone #:
Preparer’s Signature: ________________________________
Date Prepared: / /
(Use additional pages, if necessary)
Page of

58
ATTACHMENT 10: NY STATE FINANCE LAW §139-L CERTIFICATION

59
 Attachment 10: NY State Finance Law 139-L Certification

This Attachment must be completed and submitted with your proposal.

By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a
joint bid each party thereto certifies as to its own organization, under penalty of perjury, that the bidder has and has
implemented a written policy addressing sexual harassment prevention in the workplace and provides annual sexual
harassment prevention training to all of its employees. Such a policy shall, at a minimum, meet the requirements of
section two hundred one-g of the labor law.

If the bidder cannot make the foregoing certification, such bidder shall so state and shall furnish with the bid a signed
statement that sets forth in detail the reasons that the bidder cannot make the certification.

Bidder Name: ____________________________________________________

By (signature): ____________________________________________________

Name: ____________________________________________________

Title: ____________________________________________________

Date: ___________________ ____, 20__

60
ATTACHMENT 11: NY HUMAN RIGHTS LAW EXECUTIVE ORDER 177 CERTIFICATION

61
 Attachment 11: NY Human Rights Law Executive Order 177 Certification

This attachment must be completed and submitted with your proposal.

In accordance with Executive Order No. 177, the Bidder hereby certifies that it does not have institutional policies or
practices that fail to address the harassment and discrimination of individuals on the basis of their age, race, creed,
color, national origin, sex, sexual orientation, gender identity, disability, marital status, military status, or other
protected status under the Human Rights Law.

Executive Order No. 177 and this certification do not affect institutional policies or practices that are protected by
existing law, including but not limited to the First Amendment of the United States Constitution, Article 1, Section 3 of
the New York State Constitution, and Section 296(11) of the New York State Human Rights Law.

Bidder Name: ____________________________________________________

By (signature): ____________________________________________________

Name: ____________________________________________________

Title: ____________________________________________________

Date: ___________________ ____, 20__

62
ATTACHMENT 12: FALSE CLAIMS ACT AND ACKNOWLEDGMENT FORM

63
 Attachment 12: False Claims Act
Information for Contractors and Agents of the
State University of New York Upstate Medical University

Federal and State false claims laws are important in detecting fraud, waste and abuse in health care programs. The State University of New
York (SUNY) Upstate Medical University (University Hospital) is required by law to provide information to all our contractors and agents
regarding the following:

1. Federal False Claims Act

2. New York State laws regarding civil or criminal penalties for false claims and payments
3. Administrative remedies for false claims and statements
4. Whistleblower protections under these laws

This information should be provided to all employees in your organization who:

1. Have contact in any way with SUNY Upstate Medical University (University Hospital) contracts
2. Provide health care items or services to SUNY Upstate Medical University (University Hospital)
3. Perform billing or coding functions
4. Are otherwise involved with SUNY Upstate Medical University (University Hospital)

FEDERAL FALSE CLAIMS ACT

The Federal False Claims Act allows a civil action to be brought against a person or entity who:
• Knowingly presents, or causes to be presented, a false or fraudulent claim for payment or approval to any federal employee;
• Knowingly makes, uses or causes to be made or used a false record or statement to get a false or fraudulent claim paid or approved;
• Conspires to defraud the government by getting a false or fraudulent claim allowed or paid; or
• Knowingly makes, uses or causes to be made or used a false record or statement to conceal, avoid or decrease an obligation to pay
the government.

Under the Federal False Claims Act, a “claim” is any request or demand for money or property if the Federal government provides any portion
of the money or property in question. This includes requests or demands submitted to a contractor of the Federal government, including but
not limited to Medicaid and Medicare claims.

The Federal False Claims Act broadly defines the terms “knowing” and “knowingly”. Specifically, knowledge will have been proven for
purposes of the Federal False Claims Act if the person or entity:
• Has actual knowledge of the information;
• Acts in deliberate ignorance of the truth or falsity of the information; or
• Acts in reckless disregard of the truth or falsity of the information.

The Federal False Claims Act provides that a specific intent to defraud is not required in order to prove the law has been violated.

A federal false claims action may be brought about by the United States Attorney via the United States Department of Justice (DOJ) or an
individual may file a qui tam action on behalf of the government for violations of the Federal False Claim Act. The government may decide to
intervene with the individual’s lawsuit, in which case, the U.S. Department of Justice will direct the prosecution. If the government does not
intervene, the individual may still continue to pursue the lawsuit. If the qui tam lawsuit is successful, the individual may receive between 10 –
30% of the recovery, depending upon, among other things, the level of government participation. Reasonable attorney fees and other costs
may also be covered. However, any person who brings about a clearly frivolous case can be held liable for the defendant’s attorney fees and
costs.

A person or entity found guilty of violating the Federal False Claims Act will be obligated to repay all falsely obtained reimbursement and will
be liable for a civil penalty between $5,500 - $11,000, plus up to three times the amount of damages incurred by the government for each
violation of the Act. Additionally, the United States Department of Health and Human Services (DHHS) of the Office of the Inspector General
(OIG) may exclude the violator from participation in federal health care programs, such as Medicaid and Medicare.

Under the Federal False Claims Act, an action may be brought up to 6 (six) years after the date of the violation or 3 (three) years after the date
when material facts with respect to the violation are known or should have been known by the government, however, no later than 10 (ten)
years after the date on which the violation was committed.

Federal law prohibits an employer from discriminating against an employee in the terms and conditions of his/her employment because the
employee initiated or otherwise assisted in a false claims action. The employee is entitled to all relief necessary to make the employee whole
with remedies including: reinstatement with comparable seniority as the employee would have had except for the discrimination; two times
the amount of any back pay plus interest; and compensation for reasonable damages sustained as a result of such discrimination, including
litigation costs and reasonable attorney fees.
64
FEDERAL PROGRAM FRAUD CIVIL REMEDIES ACT
The Federal Program Fraud Civil Remedies Act establishes an administrative remedy against any person who makes, presents or submits, or
causes to be made, presented or submitted a claim for property, services or money to certain federal agencies, including the DHHS, that the
person or entity “knows or has reason to know” is:
• False, fictitious or fraudulent;
• Includes or is supported by any written statement which asserts a material fact that is false, fictitious or fraudulent;
• Includes or is supported by any written statement which omits a material fact, is false, fictitious or fraudulent because of the omission
and is a statement which the person or entity has a duty to include as a material fact; (or)
• Is for the provision of items or services which the person or entity has not provided as claimed.

Additionally, it is illegal to make, present or submit, or cause to be made, presented or submitted any written statement with respect to a
claim or to obtain the approval or payment of a claim if the person or entity “knows or has reason to know” such statement:

• Asserts a material fact which is false, fictitious or fraudulent (or)

• Omits a material fact which makes the statement false, fictitious or fraudulent.

Similar to the Federal False Claims Act, a person who “knows or has reason to know” is defined as one who:
• Has actual knowledge of the information;
• Acts in deliberate ignorance of the truth or falsity of the information; (or)
• Acts in reckless disregard of the truth or falsity of the information.

The law specifically provides that a specific intent to defraud is not required to prove a violation.

A violation of the Federal Program Fraud Civil Remedies Act can result in a civil monetary penalty up to $5,000 per false claim and, in certain
circumstances, an assessment of twice the amount of any false claim. Additionally, under certain circumstances, a penalty of $5,000 per
false statement may be imposed.

Unlike the Federal False Claims Act, a violation of this law occurs when a false claim is submitted, not when it is paid. Also, unlike the Federal
False Claims Act, the determination of whether a claim is false and the imposition of fines and penalties is made by the administrative agency,
not by prosecution in the federal court system.

NEW YORK STATE FALSE CLAIMS ACT

The New York State False Claims Act allows a civil action to be brought against a person or entity who:

• Knowingly presents or causes to be presented, a false or fraudulent claim for payment or approval to any New York State or local
government employee;
• Knowingly makes, uses or causes to be made or used a false record or statement to get a false or fraudulent claim paid or approved;
• Conspires to defraud New York State or a local government by getting a false or fraudulent claim allowed or paid;
• Has possession, custody or control of property or money used or to be used by New York State or a local government and, intending to
defraud New York State or a local government or willfully to conceal the property or money, delivers less property or money than the
amount for which the person receives a receipt;
• Is authorized to make or deliver a receipt for property used or to be used by New York State or a local government and intending to
defraud New York State or a local government makes or delivers a receipt without completely knowing the information on the receipt
is true;
• Knowingly buys or receives as a pledge public property from an officer or employee of New York State or a local government knowing
that the officer or employee may not lawfully sell or pledge such property; (or)
• Knowingly makes, uses or causes to be made or used a false record or statement to conceal, avoid or decrease an obligation to pay or
transmit money or property to New York State or a local government.

Under the New York State False Claims Act, a “claim” is any request or demand for money or property which is made to New York State or a
local government or to any contractor, grantee or other recipient if New York State or a local government provides any portion of the money
or property in question.

The terms “knowing” and “knowingly” are defined as that under the Federal False Claims Act. New York State law, like Federal law, provides
that a specific intent to defraud is not required in order to prove the law has been violated. New York State law excludes acts arising out of
mistake or mere negligence.

The New York State Attorney General has authority to investigate claims and to bring action on behalf of New York State or a local government.
A local government may also investigate claims and bring action on its behalf. The Attorney General must consult with the Office of Medicaid
Inspector General before bringing a claim related to the Medicaid program.

An individual may file a qui tam action on behalf of the New York State or local government for violations of the New York State False Claim
Act. In a qui tam action, an individual must file his/her complaint and written disclosure of substantially all material evidence and information
65
s/he possesses in New York State Supreme Court, where it will remain under seal for at least 60 (sixty) days. New York State may decide to
intervene or to authorize a local government to intervene with the lawsuit. If neither New York State nor a local government intervenes, the
individual may still continue the lawsuit independently. If a qui tam lawsuit is successful, the individual may receive between 15 – 30% of the
recovery, depending upon, among other things, the level of the State’s or local government’s participation. Reasonable attorney fees and
other costs may also be covered. The individual’s share may be reduced to no more than 10% if the Court finds the action was based primarily
on disclosure of specific information not provided by the individual relating to allegations or transactions in a criminal, civil or administrative
hearing. An individual’s share of any recovery may also be reduced if the individual planned or initiated the violation in question. If an individual
is convicted of criminal conduct arising from his/her role in the violation, s/he is not entitled to any portion of the recovery.

No action may be filed against the Federal government, the State or a local government or any officer or employee thereof acting in his/her
official capacity.

A person or entity found guilty of violating the New York State False Claims Act is obligated to repay all the falsely obtained reimbursement
and will be liable for a civil penalty between $6,000 - $12,000, plus up to three times the amount of damages incurred by New York State or a
local government for each violation of the Act. If the person committing the violation furnished information regarding such violation to the
appropriate New York State or local government official within 30 (thirty) days of obtaining such information and cooperated fully in the
investigation, additional damages are caped at twice the amount.

The time periods for bringing a claim under the New York State False Claims Act are the same as under the Federal False Claims Act.

The New York State False Claims Act prohibits an employer from discriminating against an employee in the terms and conditions of his/her
employment because the employee initiated or otherwise assisted in a false claims action. The employee is entitled to all relief necessary to
make the employee whole with remedies including: reinstatement with comparable seniority as the employee would have had except for the
discrimination; two times the amount of any back pay plus interest; and compensation for reasonable damages sustained as a result of such
discrimination, including litigation costs and reasonable attorney fees.

OTHER NEW YORK STATE LAWS

Various other New York State laws also prohibit false claims. Certain relevant portions of the New York State Code are as follows:

New York Social Services Law 145-b

It is unlawful for a person or entity to knowingly make a false statement or representation, or to deliberately conceal any material fact, or
engage in any other fraudulent scheme or device, to obtain or attempt to obtain payments under the New York State Medicaid program. For
violations of this law, the local social services district or New York State has the right to recover civil damages equal to three time the amount
by which any figure is falsely overstated. In the case of non-monetary false statements, the local social service district or New York State may
recover three times the damages or $5000, whichever is greater, for damages sustained by the government due to the violation.

A “statement or representation” includes a claim for payment, an acknowledgement, certification or report of data which serves as a basis
for a claim or rate of payment.

The New York Social Services Law also empowers the New York State Department of Health to impose a monetary penalty on any person or
entity that, among other actions, causes Medicaid payments to be made if the person or entity knew or had reason to know that the:

• Payment involved care, services or supplies that were medically improper, unnecessary or excessive;
• Care, services or supplies were not provided as claimed;
• Person who ordered or prescribed the improper, unnecessary or excessive care, services, or supplies was suspended or excluded
from the Medicaid program at the time of the care, services or supplies were furnished; (or)
• Services or supplies were not in fact provided.

The monetary penalty cannot exceed $2000 for each item or service determined to be inappropriate, unless a penalty under the section has
been imposed within the previous 5 (five) years, in which case the penalty cannot exceed $7,500 per item or service.

New York Social Services Law 366-b(2)

Any person who, with intent to defraud, presents for allowance or payment any false or fraudulent claim for furnishing services or
merchandise, knowingly submits false information for the purpose of obtaining compensation greater than that which s/he is legally entitled
for furnishing services or merchandise or knowingly submits false information for the purposes of obtaining authorization for furnishing
services or merchandise shall be guilty of a class A misdemeanor. If such an act constitutes a violation of a provision of the penal law of the
State of New York, the person committing the act will be punished in accordance with the penalties fixed by such law.

New York Penal Law Article 155

A person, who with intent to deprive another of his property obtains, takes or withholds such property by means of trick, embezzlement, false
pretense, false promise, including a scheme to defraud or other similar behavior is guilty of larceny. Larceny is a felony with the applicable
class being based on the value of the property involved.

New York Penal Law Article 175

Four crimes are specified which relate to filing false information or claims.
66
Under 175.05 it is a Class A misdemeanor to falsify business records, including entering false information, omitting material information or
altering an enterprise’s business records with the intent to defraud.

Under 175.10 falsifying business records as provided in 175.05 with the intent to commit another crime or conceal its commission is a Class
E felony.

Under 175.30 it is a Class A misdemeanor to present a written instrument, including a claim for payment, to a public office knowing that it
contains false information.

Under 175.35 it is a Class E felony to submit a claim as provided in 175.30 with the intent to defraud New York State or a political subdivision.

New York Penal Law Article 176

This article applies to intentional filing of a health insurance claim knowing that it is false. Violation of this law is either a misdemeanor or
felony, with the applicable class being based on the value of the claim involved.

New York Penal Law 177

This law establishes the crime of “health care fraud”. A person commits such a crime when, with the intent to defraud Medicaid or other
health plans, including non-government plans, s/he knowingly and willfully provided materially false information or omits material
information for the purpose of requesting payment for a heath care item of service and as a result of the false information or omission, s/he
or another person receives a payment in an amount to which s/he or such other person is not entitled. Health care fraud is punished with fines
and jail time based on the amount of payment inappropriately received due to the commission of the crime; the higher the payments received
in a one year period, the more severe the punishments, which currently range up to 25 (twenty-five) years if more than $1 million in improper
payments are involved.

New York Labor Law 740

New York law affords protections to employees who may notice and report inappropriate activities. An employer may not take any retaliatory
action against an employee because the employee:

• Discloses or threatens to disclose to a supervisor or to a public body an activity, policy or practice of the employer that is in violation
of law, rule or regulation which violation creates and presents a substantial and specific danger to the public health or safety or which
constitutes health care fraud;
• Provides information to, or testifies before any public body conducting an investigation, hearing or inquiry into any such violation of a
law, rule or regulation by such employer; (or)
• Objects to, or refuses to participate in any such activity, policy or practice in violation of a law, rule or regulation.

In order to be protected when disclosing information to a public body, an employee must first bring the alleged violation to the attention of a
supervisor of the employer and give the employer a reasonable opportunity to correct the allegedly unlawful practice. The law allows
employees who are the subject of a retaliatory action to bring a civil action in court and seek relief such as injunctive relief to restrain continued
retaliation; reinstatement, back-pay and compensation of reasonable costs. If the court finds that a health care employer’s retaliatory action
was in bad faith, it may impose a civil penalty up to $10,000 on the employer. The law also provides employees who bring an action without
basis in law or fact may be held liable to the employer for its attorney’s fees and costs.

New York Labor Law 741

Under certain circumstances, New York law provides additional protections to employees of health care service providers, which include the
Hospital. A health care service provider may not take any retaliatory action against an employee because the employee:

• Discloses or threatens to disclose to a supervisor or to a public body an activity, policy or practice of the employer or agent that the
employee, in good faith, reasonably believes constitutes improper quality of patient care; (or)
• Objects to or refuses to participate in any such activity, policy or practice of the employer or agent that the employee, in good faith,
reasonably believes constitutes improper quality of patient care.

In order to claim this protection, the employee must first bring the issue to the attention of a supervisor of the employer and give the employer
a reasonable opportunity to correct the allegedly improper activity or practice. However, this is not required and an employee may disclose
an alleged improper quality of patient care to a public body or interest, if the alleged improper quality of healthcare presents an imminent
threat to public health or safety or to the health of a specific patient and the employee reasonably believes in good faith that reporting to a
supervisor would not result in corrective action.

SUNY Upstate Medical University (University Hospital) Policies

67
In addition to Federal and New York State law, University Hospital has policies and procedures regarding the detection and prevention of
fraud, waste and abuse. This includes the Institutional Compliance Code of Conduct and the “Prevention of False Claims” policy. Copies of
these policies are available upon request.

PREVENTION OF FALSE CLAIMS

If you observe something that is not right, University Hospital encourages you to report your concern for further investigation to the University
Hospital Institutional Compliance Office for Hospital Affairs by:

1. Calling 315-464-4343 to speak with the Institutional Compliance Officer

2. Faxing information to the Institutional Compliance Office at 315-464-4342
3. Writing to the Institutional Compliance Officer for Hospital Affairs, 750 East Adams Street, Syracuse, New York, 13210
4. If you are not comfortable reporting your concern directly, you may utilize the anonymous Institutional Compliance Office hotline
number at 315-464-6444.
5. While you are encouraged to report your concerns to the University Hospital Institutional Compliance Office for Hospital Affairs, this
is not required and you may report possible false claims act violations to the federal Department of Justice.

BIDDER MUST COMPLETE THE ACKNOWLEDGMENT FORM ON THE FOLLOWING PAGE!

68
 Attachment 12 - FALSE CLAIMS ACKNOWLEDGMENT FORM

This attachment must be completed and submitted with your proposal.

Contractor Affirmation with respect to Federal and State false claims laws.

Procurement Description: ________________________________________________________

RFP/IFB or Contract # (if applicable): _________________

Contracting Agency: SUNY Upstate Medical University

“Contractor affirms that it has reviewed and understands the document entitled “Information for Contractors and Agents of the
State University of New York Upstate Medical University”, which provides information related to Federal and State false claims
laws, including SUNY Upstate Medical University’s Compliance Program.

Name of Contractor:

Address:

Person Submitting Form on behalf of Contractor:

Signature

Name:

Title:

69
ATTACHMENT 13: FINANCIAL PROPOSAL

70
SUNY Upstate Medical University RFP S-1484
Optimization of ED and Inpatient Acute Care Capacities Attachment 13: Financial Proposal
IMPORTANT!
#1. Please review the instructions provided in section 3, Bidder Qualifications & Technical Components ,
subsection C, Pricing , prior to completing this attachment.
#2. The Bidder must fill in the blue fields. The orange and green fields will calculate automatically.

Phase I: Initial Consultant Services (up to 12 months) SUBTOTAL

#1 Fee for Consultant Services: $0.00 $0.00
BI CE T F JU *
#2 Fees for Travel (estimated): $0.00 $0.00
EX EE D
D L R LI **
(a) Number of anticipated site visits (used for planning):
D V O A 0.00
SH

PHASE I TOTAL $0.00

ER E M S
Phase II: On-going Support (est. 12 - 18 months) SUBTOTAL
#3 Hourly Fee (est. # of hours, per month) $ x Hours x 18 months

(a) Senior Consultant (est. 5.0 hours/month) $0.00 $0.00

M SI A TP
**
(b) Associate Consultant (est. 5.0 hours/month) $0.00 $0.00
AN

U O N H
*
(c) Staff Consultant (est. 5.0 hours/month)
ST N A I $0.00 $0.00
#4 Fees for Travel (estimated): $0.00 $0.00
R D U

(a) Number of anticipated site visits (used for planning): 0.00

PHASE II TOTAL $0.00

R
EQ C O
Phase I & II: Incidental Fees
#5 List anticipated fees by category:
Enter description $0.00 $0.00
O
U OS LD
Enter description $0.00 $0.00
F
ES T
Enter description $0.00 $0.00
Enter descriptionT $0.00 $0.00
Enter description $0.00 $0.00
R

Enter description $0.00 $0.00

N

Enter description $0.00 $0.00

GRAND TOTAL $0.00

N
.

Company Name:

Signature: Title:

Printed Name: Date:

71
EXHIBIT A: STATE UNIVERSITY OF NEW YORK STANDARD CONTRACT CLAUSES

72
Standard Contract Clauses
State University of New York
EXHIBIT A June 21, 2023
The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "contract") agree to be bound by the following clauses which are hereby
made a part of the contract (the word "Contractor" herein refers to any party other than the State or State University of New York, whether a Contractor, licensor, licensee, lessor,
lessee or any other party; the State University of New York shall hereinafter be referred to as “SUNY”):

1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the the State Finance Law, if this contract was awarded based upon the submission of
State shall have no liability under this contract to the Contractor or to anyone else beyond competitive bids, Contractor affirms, under penalty of perjury, that its bid was arrived at
funds appropriated and available for this contract. independently and without collusion aimed at restricting competition. Contractor further
affirms that, at the time Contractor submitted its bid, an authorized and responsible person
2. PROHIBITION AGAINST ASSIGNMENT. In accordance with Section 138 of the State executed and delivered to SUNY a non-collusive bidding certification on Contractor’s behalf.
Finance Law, this contract may not be assigned by the Contractor or its right, title or
interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the
the State’s previous written consent, and attempts to do so are null and void.
Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000, the
Notwithstanding the foregoing, such prior written consent of an assignment of a contract
Contractor agrees, as a material condition of the contract, that neither the Contractor nor
let pursuant to Article XI of the State Finance Law may be waived at the discretion of
any substantially owned or affiliated person, firm, partnership or corporation has
SUNY and with the concurrence of the State Comptroller where the original contract was
participated, is participating, or shall participate in an international boycott in violation of the
subject to the State Comptroller’s approval, where the assignment is due to a
federal Export Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or
reorganization, merger or consolidation of the Contractor’s business entity or enterprise.
regulations thereunder. If such Contractor, or any of the aforesaid affiliates of Contractor,
SUNY retains its right to approve an assignment and to require that any Contractor
is convicted or is otherwise found to have violated said laws or regulations upon the final
demonstrate its responsibility to do business with SUNY. The Contractor may, however,
determination of the United States Commerce Department or any other appropriate agency
assign its right to receive payments without SUNY’s prior written consent unless this
of the United States subsequent to the contract's execution, such contract, amendment or
contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance
modification thereto shall be rendered forfeit and void. The Contractor shall so notify the
Law.
State Comptroller within five (5) business days of such conviction, determination or
disposition of appeal (2 NYCRR § 105.4).
3. COMPTROLLER'S APPROVAL. (a) In accordance with Section 112 of the State
Finance Law, the State Comptroller’s approval is required for the following contracts: (i)
goods, services, construction, and construction-related services for State University 9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory
hospital or healthcare facilities which exceed $150,000; (ii) purchases utilizing an Office rights of set-off. These rights shall include, but not be limited to, the State 's option to
of General Services (OGS) centralized contract which exceed $200,000 (iii) goods, withhold for the purposes of set-off any moneys due to the Contractor under this contract
services, construction, and construction-related services not described in (i) or (ii) and up to any amounts due and owing to the State with regard to this contract, any other contract
which exceed $75,000; with any State department or agency, including any contract for a term commencing prior to
the term of this contract, plus any amounts due and owing to the State for any other reason
(b) If this contract exceeds the threshold amounts listed above in Paragraph 3(a), or, if including, without limitation, tax delinquencies, fee delinquencies or monetary penalties
this is an amendment for any amount to a contract which, as so amended, exceeds said relative thereto. The State shall exercise its set-off rights in accordance with normal State
threshold amounts, or if, by this contract, the State agrees to give something other than practices including, in cases of set-off pursuant to an audit, the finalization of such audit by
money when the value or reasonably estimated value of such consideration exceeds SUNY, its representatives, or the State Comptroller.
$25,000, it shall not be valid, effective or binding upon the State, and the State shall bear
no liability, until it has been approved by the State Comptroller and filed in his or her office. 10. RECORDS. The Contractor shall establish and maintain complete and accurate books,
4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the records, documents, accounts and other evidence directly pertinent to performance under
State Finance Law, this contract shall be void and of no force and effect unless the this contract (hereinafter, collectively, "the Records"). The Records must be kept for the
Contractor shall provide and maintain coverage during the life of this contract for the balance of the calendar year in which they were made and for six (6) additional years
benefit of such employees as are required to be covered by the provisions of the Workers' thereafter. The State Comptroller, the Attorney General and any other person or entity
Compensation Law. authorized to conduct an examination, as well as SUNY and any other agencies involved in
this contract, shall have access to the Records during normal business hours at an office of
5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the the Contractor within the State of New York or, if no such office is available, at a mutually
Executive Law (also known as the Human Rights Law) and all other State and Federal agreeable and reasonable venue within the State, for the term specified above for the
statutory and constitutional non-discrimination provisions, the Contractor will not purposes of inspection, auditing and copying. SUNY shall take reasonable steps to protect
discriminate against any employee or applicant for employment, nor subject any individual from public disclosure any of the Records which are exempt from disclosure under Section
to harassment, because of age, race, creed, color, national origin, citizenship or 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely
immigration status, sexual orientation, gender identity or expression, military status, sex, inform an appropriate SUNY official, in writing, that said Records should not be disclosed;
disability, predisposing genetic characteristics, familial status, marital status, or domestic and (ii) said Records shall be sufficiently identified; and (iii) designation of said Records as
violence victim status or because the individual has opposed any practices forbidden exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any
under the Human Rights Law or has filed a complaint, testified, or assisted in any way adversely affect, SUNY’s or the State's right to discovery in any pending or future
proceeding under the Human Rights Law. Furthermore, in accordance with Section 220- litigation.
e of the Labor Law, if this is a contract for the construction, alteration or repair of any
public building or public work or for the manufacture, sale or distribution of materials, 11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION.
equipment or supplies, and to the extent that this contract shall be performed within the (a) Identification Number(s). Every invoice or New York State Claim for Payment
State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason submitted to SUNY by a payee, for payment for the sale of goods or services or for
of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against transactions (e.g., leases, easements, licenses, etc.) related to real or personal property
any New York State citizen who is qualified and available to perform the work; or (b) must include the payee's identification number. The number is any or all of the following: (i)
discriminate against or intimidate any employee hired for the performance of work under the payee’s Federal employer identification number, (ii) the payee’s Federal social security
this contract. If this is a building service contract as defined in Section 230 of the Labor number, and/or (iii) the payee’s Vendor Identification Number assigned by the Statewide
Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor Financial System. Failure to include such number or numbers may delay payment. Where
its subcontractors shall by reason of race, creed, color, national origin, age, sex or the payee does not have such number or numbers, the payee, on its invoice or Claim for
disability: (a) discriminate in hiring against any New York State citizen who is qualified Payment, must give the reason or reasons why the payee does not have such number or
and available to perform the work; or (b) discriminate against or intimidate any employee numbers.
hired for the performance of work under this contract. Contractor is subject to fines of
$50.00 per person per day for any violation of Section 220-e or Section 239 as well as (b) Privacy Notification. (1) The authority to request the above personal information from
possible termination of this contract and forfeiture of all moneys due hereunder for a a seller of goods or services or a lessor of real or personal property, and the authority to
second or subsequent violation maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this
information by the seller or lessor to SUNY or the State is mandatory. The principal purpose
6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article for which the information is collected is to enable the State to identify individuals, businesses
8 of the Labor Law or a building service contract covered by Article 9 thereof, neither and others who have been delinquent in filing tax returns or may have understated their tax
Contractor's employees nor the employees of its subcontractors may be required or liabilities and to generally identify persons affected by the taxes administered by the
permitted to work more than the number of hours or days stated in said statutes, except Commissioner of Taxation and Finance. The information will be used for tax administration
as otherwise provided in the Labor Law and as set forth in prevailing wage and purposes and for any other purpose authorized by law. (2) The personal information is
supplement schedules issued by the State Labor Department. Furthermore, Contractor requested by the purchasing unit of SUNY contracting to purchase the goods or services or
and its subcontractors must pay at least the prevailing wage rate and pay or provide the lease the real or personal property covered by this contract or lease. The information is
prevailing supplements, including the premium rates for overtime pay, as determined by maintained in the Statewide Financial System by the Vendor Management Unit within the
the State Labor Department in accordance with the Labor Law. Additionally, effective Bureau of State Expenditures, Office of the State Comptroller, 110 State Street, Albany,
April 28, 2008, if this is a public work contract covered by Article 8 of the Labor Law, the New York 12236.
Contractor understands and agrees that the filing of payrolls in a manner consistent with 12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN.
Subdivision 3-a of Section 220 of the Labor Law shall be a condition precedent to payment In accordance with Section 312 of the Executive Law and 5 NYCRR Part 143, if this contract
by the State of any State- -approved sums due and owing for work done upon the project. is: (i) a written agreement or purchase order instrument, providing for a total expenditure in
excess of $25,000.00, whereby a contracting agency is committed to expend or does
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of expend funds in return for labor, services, supplies, equipment, materials or any 73
combination
of the foregoing, to be performed for, or rendered or furnished to the contracting agency; Law §165 (Use of Tropical Hardwoods), which prohibits purchase and use of tropical
or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is hardwoods, unless specifically exempted, by the State or any governmental agency or
committed to expend or does expend funds for the acquisition, construction, demolition, political subdivision or public benefit corporation. Qualification for an exemption under this
replacement, major repair or renovation of real property and improvements thereon; or law will be the responsibility of the contractor to establish to meet with the approval of the
(iii) a written agreement in excess of $100,000.00 whereby the owner of a State assisted State.
housing project is committed to expend or does expend funds for the acquisition,
construction, demolition, replacement, major repair or renovation of real property and
In addition, when any portion of this contract involving the use of woods, whether supply or
improvements thereon for such project, then the following shall apply and by signing this
installation, is to be performed by any subcontractor, the prime Contractor will indicate and
agreement the Contractor certifies and affirms that it is Contractor’s equal employment
certify in the submitted bid proposal that the subcontractor has been informed and is in
opportunity policy that:
compliance with specifications and provisions regarding use of tropical hardwoods as
detailed in Section 165 of the State Finance Law. Any such use must meet with the approval
(a) The Contractor will not discriminate against employees or applicants for
of the State, otherwise, the bid may not be considered responsive. Under bidder
employment because of race, creed, color, national origin, sex, age, disability or marital
certifications, proof of qualification for exemption will be the responsibility of the Contractor
status, shall make and document its conscientious and active efforts to employ and utilize
to meet with the approval of the State.
minority group members and women its workforce on State contracts and will undertake
or continue existing programs of affirmative action to ensure that minority group members
and women are afforded equal employment opportunities without discrimination. 19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair
Affirmative action shall mean recruitment, employment, job assignment, promotion, Employment Principles (Chapter 807 of the Laws of 1992) , the Contractor hereby stipulates
upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall
compensation; take lawful steps in good faith to conduct any business operations in Northern Ireland in
accordance with the MacBride Fair Employment Principles (as described in Section 165of
(b) at SUNY’s request, Contractor shall request each employment agency, labor the New York State Finance Law), and shall permit independent monitoring of compliance
union, or authorized representative of workers with which it has a collective bargaining or with such principles.
other agreement or understanding, to furnish a written statement that such employment
agency, labor union or representative will not discriminate on the basis of race, creed,
20. OMNIBUS PROCUREMENT ACT OF 1992.
color, national origin, sex, age, disability or marital status and that such union or
It is the policy of New York State to maximize opportunities for the participation of New York
representative will affirmatively cooperate in the implementation of the Contractor's
State business enterprises, including minority and women-owned business enterprises as
obligations herein; and
bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available
(c) the Contractor shall state, in all solicitations or advertisements for employees, that,
from:
in the performance of the State contract, all qualified applicants will be afforded equal
employment opportunities without discrimination because of race, creed, color, national
NYS Department of Economic Development
origin, sex, age, disability or marital status.
Division for Small Business and Technology Development
Contractor will include the provisions of "a," "b," and "c" above, in every subcontract over 625 Broadway
$25,000.00 for the construction, demolition, replacement, major repair, renovation, Albany, NY 12245
planning or design of real property and improvements thereon (the "Work") except where Telephone: 518-292-5100
the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i)
A directory of certified minority and women-owned business enterprises is available from:
work, goods or services unrelated to this contract; or (ii) employment outside New York
State. The State shall consider compliance by a contractor or sub-contractor with the NYS Department of Economic Development
requirements of any federal law concerning equal employment opportunity which Division of Minority and Women’s Business Development
effectuates the purpose of this clause. SUNY shall determine whether the imposition of 633 Third Avenue 33rd Floor
the requirements of the provisions hereof duplicate or conflict with any such federal law New York, NY 10017
and if such duplication or conflict exists, SUNY shall waive the applicability of Section 312 646-846-7364
to the extent of such duplication or conflict. Contractor will comply with all duly email: mwbebusinessdev@esd.ny.gov
promulgated and lawful rules and regulations of the Department of Economic https://ny.newnycontracts.com/FrontEnd/searchcertifieddirectory.asp
Development’s Division of Minority and Women's Business Development pertaining
hereto. The Omnibus Procurement Act of 1992 (Chapter 844 of the Laws of 1992, codified in
State Finance Law § 139-i and Public Authorities Law § 2879(3)(n)–(p)) requires that by
signing this bid proposal or contract, as applicable, Contractors certify that whenever the
13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract
total bid amount is greater than $1 million:
(including any and all attachments thereto and amendments thereof) and the terms of this
Exhibit A, the terms of this Exhibit A shall control. (a) The Contractor has made reasonable efforts to encourage the participation of New
York State Business Enterprises as suppliers and subcontractors, including certified
14. GOVERNING LAW. This contract shall be governed by the laws of the State of New minority and women-owned business enterprises, on this project, and has retained the
York except where the Federal supremacy clause requires otherwise. documentation of these efforts to be provided upon request to SUNY;

(b) The Contractor has complied with the Federal Equal Employment Opportunity Act
15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor of 1972 (P.L. 92-261), as amended;
for late payment shall be governed by Article 11-A of the State Finance Law to the extent
required by law. (c) The Contractor agrees to make reasonable efforts to provide notification to New
York State residents of employment opportunities on this project through listing any such
16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged positions with the Job Service Division of the New York State Department of Labor, or
breach thereof, may not be submitted to binding arbitration (except where statutorily providing such notification in such manner as is consistent with existing collective bargaining
authorized) but must, instead, be heard in a court of competent jurisdiction of the State of contracts or agreements. The Contractor agrees to document these efforts and to provide
New York. said documentation to the State upon request; and
(d) The Contractor acknowledges notice that the State may seek to obtain offset credits
17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State from foreign countries as a result of this contract and agrees to cooperate with the State in
Civil Practice Law & Rules ("CPLR"), Contractor hereby consents to service of process these efforts.
upon it by registered or certified mail, return receipt requested. Service hereunder shall
be complete upon Contractor's actual receipt of process or upon the State's receipt of the
return thereof by the United States Postal Service as refused or undeliverable. Contractor 21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if
must promptly notify the State, in writing, of each and every change of address to which their principal place of business is located in a country, nation, province, state or political
service of process can be made. Service by the State to the last known address shall be subdivision that penalizes New York State vendors, and if the goods or services they offer
sufficient. Contractor will have thirty (30) calendar days after service hereunder is will be substantially produced or performed outside New York State, the Omnibus
complete in which to respond. Procurement Act of 1994 and 2000 amendments (Chapter 684 and Chapter 383,
respectively, codified in State Finance Law § 165(6) and Public Authorities Law § 2879(5))
require that they be denied contracts which they would otherwise obtain.
18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor
NOTE: As of May 2023, the list of discriminatory jurisdictions subject to this provision
certifies and warrants that all wood products to be used under this contract award will be
includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and
in accordance with, but not limited to, the specifications and provisions of State Finance

74
Hawaii. certification shall be a material breach of this contract and this contract may be terminated,
by providing written notification to the Contractor in accordance with the terms of the
22. COMPLIANCE WITH BREACH NOTIFICATION AND DATA SECURITY LAWS. contract, if SUNY determines that such action is in the best interests of the State.
Contractor shall comply with the provisions of the New York State Information Security
Breach and Notification Act (General Business Law § 899-aa, § 899-bb, and State 27. IRAN DIVESTMENT ACT. By entering into this contract, Contractor certifies in
Technology Law § 208). accordance with State Finance Law §165-a that it is not on the “Entities Determined to be
Non-Responsive Bidders/Offerers pursuant to the New York State Iran Divestment Act of
23. COMPLIANCE WITH CONSULTANT DISCLOSURE LAW. If this is a contract for 2012” (“Prohibited Entities List”) posted at: https://ogs.ny.gov/iran-divestment-act-2012.
consulting services, defined for purposes of this requirement to include analysis,
evaluation, research, training, data processing, computer programming, engineering, Contractor further certifies that it will not utilize on this contract any subcontractor that is
environmental health and mental health services, accounting, auditing, paralegal, legal or identified on the Prohibited Entities List. Contractor agrees that should it seek to renew or
similar services, then in accordance with Section 163(4)(g) of the State Finance Law (as extend this contract, it must provide the same certification at the time the contract is renewed
amended by Chapter 10 of the Laws of 2006), the Contractor shall timely, accurately and or extended. Contractor also agrees that any proposed Assignee of this contract will be
properly comply with the requirement to submit an annual employment report for the required to certify that it is not on the Prohibited Entities List before the contract assignment
contract to SUNY, the Department of Civil Service and the State Comptroller. will be approved by the State.

24. PURCHASES OF APPAREL AND SPORTS EQUIPMENT. In accordance with State During the term of the contract, should SUNY receive information that a person (as defined
Finance Law Section 165(7), SUNY may determine that a bidder on a contract for the in State Finance Law §165-a) is in violation of the above-referenced certifications, SUNY
purchase of apparel or sports equipment is not a responsible bidder as defined in State will review such information and offer the person an opportunity to respond. If the person
Finance Law Section 163 based on (a) the labor standards applicable to the manufacture fails to demonstrate that it has ceased its engagement in the investment activity which is in
of the apparel or sports equipment, including employee compensation, working violation of the Act within 90 days after the determination of such violation, then SUNY shall
conditions, employee rights to form unions and the use of child labor; or (b) bidder’s failure take such action as may be appropriate and provided for by law, rule, or contract, including,
to provide information sufficient for SUNY to determine the labor conditions applicable to but not limited to, imposing sanctions, seeking compliance, recovering damages, or
the manufacture of the apparel or sports equipment. declaring the Contractor in default.

25. PROCUREMENT LOBBYING. To the extent this contract is a “procurement contract” SUNY reserves the right to reject any bid, request for assignment, renewal or extension for
as defined by State Finance Law §§ 139-j and 139-k, by signing this contract the an entity that appears on the Prohibited Entities List prior to the award, assignment, renewal
Contractor certifies and affirms that all disclosures made in accordance with State Finance or extension of a contract, and to pursue a responsibility review with respect to any entity
Law §§ 139-j and 139-k are complete, true and accurate. In the event such certification that is awarded a contract and appears on the Prohibited Entities list after contract award.
is found to be intentionally false or intentionally incomplete, the State may terminate the
contract by providing written notification to the Contractor in accordance with the terms of 28. ADMISSIBILITY OF REPRODUCTION OF CONTRACT. Notwithstanding the best
the contract. evidence rule or any other legal principle or rule of evidence to the contrary, the
Contractor acknowledges and agrees that it waives any and all objections to the
26. CERTIFICATION OF REGISTRATION TO COLLECT SALES AND admissibility into evidence at any court proceeding or to the use at any examination
COMPENSATING USE TAX BY CERTAIN STATE CONTRACTORS, AFFILIATES AND before trial of an electronic reproduction of this contract, in the form approved by the
SUBCONTRACTORS. To the extent this contract is a contract as defined by Tax Law State Comptroller, if such approval was required, regardless of whether the original of
§ 5-a, if the Contractor fails to make the certification required by Tax Law § 5-a or if during said contract is in existence.
the term of the contract, the Department of Taxation and Finance or SUNY discovers that
the certification, made under penalty of perjury, is false, then such failure to file or false

THE FOLLOWING PROVISIONS SHALL APPLY ONLY TO THOSE CONTRACTS TO WHICH A HOSPITAL OR OTHER HEALTH SERVICE FACILITY IS A PARTY

29. Notwithstanding any other provision in this contract, the hospital or other health service facility remains responsible for insuring that any service provided pursuant to this contract
complies with all pertinent provisions of Federal, state and local statutes, rules and regulations. In the foregoing sentence, the word "service" shall be construed to refer to the health care
service rendered by the hospital or other health service facility.
30. (a) In accordance with the 1980 Omnibus Reconciliation Act (Public Law 96-499), Contractor hereby agrees that until the expiration of four years after the furnishing of services under
this agreement, Contractor shall make available upon written request to the Secretary of Health and Human Services, or upon request, to the Comptroller General of the United States or any
of their duly authorized representatives, copies of this contract, books, documents and records of the Contractor that are necessary to certify the nature and extent of the costs hereunder.

(b) If Contractor carries out any of the duties of the contract hereunder, through a subcontract having a value or cost of $10,000 or more over a twelve-month period, such subcontract
shall contain a clause to the effect that, until the expiration of four years after the furnishing of such services pursuant to such subcontract, the subcontractor shall make available upon written
request to the Secretary of Health and Human Services or upon request to the Comptroller General of the United States, or any of their duly authorized representatives, copies of the
subcontract and books, documents and records of the subcontractor that are necessary to verify the nature and extent of the costs of such subcontract.

(c) The provisions of this section shall apply only to such contracts as are within the definition established by the Health Care Financing Administration, as may be amended or modified
from time to time.

31. Hospital Retained Authority: Hospital Retained Authority: The Hospital retains direct, independent authority over the appointment and/or dismissal, in its sole discretion, of the facility’s
management level employees (including but not limited to, the Facility/Service Administrator/Director, the Medical Director, the Director of Nursing, the Chief Executive Officer, the Chief
Financial Officer and the Chief Operating Officer) and all licensed or certified health care staff. The Hospital retains the right to adopt and approve, at its sole discretion, the facility’s operating
and capital budgets. The Hospital retains independent control over and physical possession of the facility’s books and records. The Hospital retains independent control over and physical
possession of the facility’s operating policies and procedures. The Hospital retains full authority and responsibility for, and control over, the operations and management of the facility. The
Hospital retains the right and authority to independently adopt, approve and enforce, in its sole discretion, policies affecting the facility’s delivery of health care services. The Hospital retains
the right to independently adopt, approve and enforce, at its sole discretion, the disposition of assets and authority to incur debts. The Hospital retains the right to approve, at its sole discretion,
contracts for administrative services, management and/or clinical services. The Hospital retains the right to approve, at its sole discretion, any facility debt. The Hospital retains the right to
approve, at its sole discretion, settlements of administrative proceeding or litigation to which the facility is a party. No powers specifically reserved to the Hospital may be delegated to, or
shared by, the Contractor or any other person. In addition, if there is any disagreement between the parties to this Agreement regarding control between the Hospital and the Contractor, the
terms of this Section shall control.

75
EXHIBIT A-1: STATE UNIVERSITY OF NEW YORK AFFIRMATIVE ACTION CLAUSES

76
Affirmative Action Clauses
State University of New York EXHIBIT A-1 March 31, 2020
or assumed by a business enterprise business enterprise goal and the
1. DEFINITIONS. The following not controlled by the prime women-owned business enterprise
terms shall be defined in accordance contractor. goal.
with Section 310 of the Executive
Law: WOMEN-OWNED BUSINESS MINORITY-OWNED BUSINESS
ENTERPRISE herein referred to as ENTER- PRISE herein referred to as
STATE CONTRACT herein referred
"WBE", shall mean a business "MBE", shall mean a business
to as "State Contract”, shall mean: (a)
enterprise, including a sole enterprise, including a sole
a written agreement or purchase order
proprietorship, partnership or proprietorship, partnership or
instrument, providing for a total
corporation that is: (a) at least fifty- corporation that is: (a) at least fifty-
expenditure in excess of twenty-five
one percent (51%) owned by one or one percent (51%) owned by one or
thousand dollars ($25,000.00),
more United States citizens or more minority group members; (b) an
whereby the State University of New
permanent resident aliens who are enterprise in which such minority
York (“University”) is committed to
women; (b) an enterprise in which the ownership is real, substantial and
expend or does expend funds in return
ownership interest of such women is continuing; (c) an enterprise in which
for labor, services including but not
real, substantial and continuing; (c) an such minority ownership has and
limited to legal, financial and other
enterprise in which such women exercises the authority to control
professional services, supplies,
ownership has and exercises the independently the day-to-day business
equipment, materials or a
authority to control independently the decisions of the enterprise; (d) an
combination of the foregoing, to be
day-to-day business decisions of the enterprise authorized to do business
performed for, or rendered or
enterprise; (d) an enterprise in this state and independently
furnished to the University; (b) a
authorized to do business in this owned and operated; (e) an enterprise
written agreement in excess of one
state and independently owned and owned by an individual or
hundred thousand dollars
operated; (e) an enterprise owned by individuals, whose ownership, control
($100,000.00) whereby the University
an individual or individuals, whose and operation are relied upon for
is committed to expend or does
ownership, control and operation are certification, with a personal net worth
expend funds for the acquisition,
relied upon for certification, with a that does not exceed fifteen million
construction, demolition,
personal net worth that does not dollars ($15,000,000.00), as adjusted
replacement, major repair or
exceed fifteen million dollars annually on the first of January for
renovation of real property and
($15,000,000), as adjusted annually inflation according to the consumer
improvements thereon; (c) and ( d) a
on the first of January for inflation price index of the previous year; and
written agreement in excess of one
according to the consumer price (f) an enterprise that is a small
hundred thousand dollars
index of the previous year; and (f) an business pursuant to subdivision
($100,000.00) whereby the
enterprise that is a small business twenty of this section.
University as an owner of a state
pursuant to subdivision twenty of this
assisted housing project is committed MINORITY GROUP MEMBER
section.
to expend or does expend funds for the shall mean a United States citizen or
acquisition, construction, demolition, permanent resident alien who is and
A firm owned by a minority group
replacement, major repair or can demonstrate membership in one
member who is also a woman may be
renovation of real property and of the following groups: (a) Black
certified as a minority-owned
improvements thereon for such persons having origins in any of the
business enterprise, a women-owned
project. Black African racial groups; (b)
business enterprise, or both, and
SUBCONTRACT herein referred to may be counted towards either a Hispanic persons of Mexican, Puerto
as "Subcontract”, shall mean any minority-owned business enterprise Rican, Domini- can, Cuban, Central
agreement for a total expenditure in goal or a women-owned business or South American of either Indian or
excess of $25,000 providing for enterprise goal, in regard to any Hispanic origin, regardless of race;
services, including non-staffing Contract or any goal, set by an agency (c) Native American or Alaskan
expenditures, supplies or materials of or authority, but such participation native persons having origins in any
any kind between a State agency and may not be counted towards both such of the original peoples of North
a prime contractor, in which a portion goals. Such an enterprise's America. (d) Asian and Pacific
of the prime contractor’s obligation participation in a Contract may not be Islander persons having origins in any
under the State contract is undertaken divided between the minority-owned of the Far East countries, South East

77
Asia, the Indian Subcontinent or employment, will undertake or quarterly basis during the term of the
Pacific Islands. continue existing programs of contract to report the actual workforce
affirmative action to ensure that utilized in the performance of the
CERTIFIED ENTERPRISE OR minority group members and women contract by the specified categories
BUSINESS shall mean a business are afforded equal employment listed including ethnic background,
verified as a minority or women- opportunities without discrimination, gender, and Federal occupational
owned business enterprise pursuant and shall make and document its categories. The Workforce Report
to section 314 of the Executive Law. conscientious and active efforts to must be submitted to report this
A business enterprise which has been employ and utilize minority group information.
approved by the New York Division members and women in its work force (ii) Separate forms shall be completed
of Minority & Women Business on State Contracts;(ii) The Contractor by Contractor and any subcontractor
Development (“DMWBD”) for shall state in all solicitations or performing work on the
minority or women-owned enterprise advertisements for employees that, in Contract.
status subsequent to verification that the performance of the State Contract, (iii) In limited instances, Contractor
the business enterprise is owned, all qualified applicants will be may not be able to separate out the
operated, and controlled by minority afforded equal employment workforce utilized in the
group members or women, and that opportunities without discrimination; performance of the Contract from
also meets the financial requirements (iii) At the request of the University Contractor's and/or
set forth in the regulations. the Contractor shall request each subcontractor’s total
employment agency, labor union, or workforce. When a separation can be
authorized representative of workers made, Contractor shall submit the
2. TERMS. The parties to the with which it has a collective Workforce Report and indicate that
attached State Contract agree to be bargaining or other agreement or the information provided related to
bound by the following provisions understanding, to furnish a written the actual workforce utilized
which are made a part hereof (the statement that such employment on the Contract. When the workforce
word "Contractor" herein refers to agency, labor union, or representative to be utilized on the contract cannot
any party other than the University: will not discriminate, and that such be separated out from Contractor's
union or representative will and/or subcontractor's total
1(a) Contractor and its Subcontractors affirmatively cooperate in the workforce, Contractor shall submit the
shall undertake or continue existing implementation of the Contractor’s Workforce Report and indicate that
programs of affirmative action to obligations herein. the information provided is
ensure that minority group members (d) Form 108 - Staffing Plan To ensure Contractor's total workforce during
and women are afforded equal compliance with this Section, the the subject time frame, not
employment opportunities without Contractor shall submit a staffing plan limited to work specifically under the
discrimination. For these purposes, to document the composition of the contract.
affirmative action shall apply in the proposed workforce to be utilized in (f) Contractor shall comply with the
areas of recruitment, employment, job the performance of the Contract by the provisions of the Human Rights Law,
assignment, promotion, upgrading, specified categories listed, including all other State and Federal statutory
demotion, transfer, layoff, or ethnic background, gender, and and constitutional non-discrimination
termination and rates of pay or other Federal occupational categories. provisions. Contractor and
forms of compensation. Contractors shall complete the subcontractors shall not discriminate
(b) Prior to the award of a State Staffing plan form and submit it as against any employee or applicant for
Contract, the Contractor shall submit part of their bid or proposal or within employment because of race, creed
an equal employment opportunity a reasonable time, but no later than the (religion), color, sex, national origin,
(EEO) policy statement to the time of award of the contract. sexual orientation, military status, age,
University within the time frame (e) Form 112 - Workforce disability, predisposing genetic
established by the University. Employment Utilization Report characteristic, marital status or
(c) As part of the Contractor’s (“Workforce Report”) domestic violence victim status, and
EEO policy statement, the Contractor, (i) Once a contract has been awarded shall also follow the requirements of
as a precondition to entering into a and during the term of Contract, the Human Rights Law with regard to
valid and binding State Contract, shall Contractor is responsible for updating non-discrimination on the basis of
agree to the following in the and providing notice to SUNY of any prior criminal conviction and prior
performance of the State Contract: (i) changes to the previously arrest.
The Contractor will not discriminate submitted Staffing Plan. This
against any employee or applicant for information is to be submitted on a

78
 (g) The Contractor shall include DMWBD shall provide a contracting 4. PARTICIPATION BY
the provisions of this section in every agency with a model plan of an MINORITY GROUP MEMBERS
Subcontract in such a manner that the affirmative action program. AND WOMEN. The University shall
requirements of the provisions will be (k) Upon request, DMWBD shall determine whether Contractor has
binding upon each Subcontractor as to provide the University with made conscientious and active efforts
work in connection with the State information on specific recruitment to employ and utilize minority group
Contract, including the requirement sources for minority group members members and women to perform this
that Subcontractors shall undertake or and woman, and contracting agencies State Contract based upon an analysis
continue existing programs of shall make such information available of the following factors:
affirmative action to ensure that to Contractors (a) Whether Contractor
minority group members and women established and maintained a current
are afforded equal employment 3. Contractor must provide the list of recruitment sources for
opportunities without discrimination, names, addresses and federal minority group members and women,
and, when requested, provide to the identification numbers of certified and whether Contractor provided
Contractor information on the ethnic minority- and women-owned business written notification to such
background, gender, and Federal enterprises which the Contractor recruitment sources that contractor
occupational categories of the intends to use to perform the State had employment opportunities at the
employees to be utilized on the State Contract and a description of the time such opportunities became
Contract. Contract scope of work which the available.
(h) To ensure compliance with Contractor intends to structure to (b) Whether Contractor sent
the requirements of this paragraph, increase the participation by Certified letters to recruiting sources, labor
the University shall inquire of a minority- and/or women-owned unions, or authorized representatives
Contractor whether the work force to business enterprises on the State of workers with which contractor has
be utilized in the performance of the Contract, and the estimated or, if a collective bargaining or other
State Contract can be separated out known, actual dollar amounts to be agreement or understanding
from the Contractor’s and/or paid to and performance dates of each requesting assistance in locating
Subcontractors' total work force and component of a State Contract which minority group members and women
where the work of the State Contract the Contractor intends to be performed for employment.
is to be performed. For Contractors by a certified minority- or woman- (c) Whether Contractor
who are unable to separate the portion owned business enterprise. In the disseminated its EEO policy by
of their work force which will be event the Contractor responding to including it in any advertising in the
utilized for the performance of this University solicitation is joint venture, news media, and in particular, in
State Contract, Contractor shall teaming agreement, or other similar minority and women news media.
provide reports describing its entire arrangement that includes a minority- (d) Whether Contractor has
work force by the specified ethnic and women owned business attempted to provide information
background, gender, and Federal enterprise, the Contractor must submit concerning its EEO policy to
Occupational Categories, or other for review and approval: i. the name, Subcontractors with which it does
appropriate categories which the address, telephone number and federal business or had anticipated doing
agency may specify. identification of each partner or party business.
(i) The University may require the to the agreement; ii. the federal (e) Whether internal procedures
Contractor and any Subcontractor to identification number of the joint exist for, at a minimum, annual
submit compliance reports, pursuant venture or entity established to dissemination of the EEO policy to
to the regulations relating to their respond to the solicitation, if employees, specifically to employees
operations and implementation of applicable; iii. A copy of the joint having any responsibility for hiring,
their affirmative action or equal venture, teaming or other similar assignment, layoff, termination, or
employment opportunity program in arrangement which describes the other employment decisions. Such
effect as of the date the State Contract percentage of interest owned by each dissemination may occur through
is executed. party to the agreement and the value distribution of employee policy
(j) If a Contractor or added by each party; iv. A copy of the manuals and handbooks, annual
Subcontractor does not have an mentor-protégé agreement between reports, staff meetings and public
existing affirmative action program, the parties, if applicable, and if not postings.
the University may provide to the described in the joint venture, teaming (f) Whether Contractor
Contractor or Subcontractor a model agreement, or other similar encourages and utilizes minority
plan of an affirmative action program. arrangement. group members and women
Upon request, the Director of

79
employees to assist in recruiting other plan rooms and reduce fees for firms participation by NYS
employees. who are disadvantaged. Certified minority- and
(g) Whether Contractor has (c) Whether Contractor has women-owned enterprises on
apprentice training programs utilized the services of organizations the State contract;
approved by the N.Y.S. Department which provide technical assistance iii. insert the estimated or, if
of Labor which provides for training in connection with M/WBE known, actual dollar amounts
and hiring of minority group participation. to be paid to and performance
members and women. (d) Whether Contractor has dates of each component of a
(h) Whether the terms of this structured its Subcontracts so that State contract which the
section have been incorporated into opportunities exist to complete Contractor intends to be
each Subcontract which is entered smaller portions of work. performed by a NYS
into by the Contractor. e) Whether Contractor has Certified minority- or
encouraged the formation of joint women-owned business; and
5. PARTICIPATION BY MINORITY ventures, partnerships, or other
AND WOMEN-OWNED BUSINESS similar arrangements among (c) Any modifications or changes to
ENTERPRISES. Based upon an Subcontractors. the agreed participation by NYS
analysis of the following factors, the (f) Whether Contractor has Certified MWBEs after the Contract
University shall determine whether requested the services of the Award and during the term of the
Contractor has made good faith Department of Economic contract must be reported on a revised
efforts to provide for meaningful Development (DED) to assist MWBE Utilization Plan and
participation by minority-owned and Subcontractors' efforts to satisfy submitted to the SUNY University-
women-owned business enterprises bonding requirement. wide MWBE Program Office.
which have been certified by (g) Whether Contractor has made
DMWBD: progress payments promptly to its (d) The University will review the
(a) Whether Contractor has Subcontractors. MWBE Utilization Plan and will
actively solicited bids for (h) Whether the terms of this issue the Contractor a written notice
Subcontracts from qualified section have been incorporated into of acceptance or deficiency within
M/WBEs, including those firms listed each Subcontract which is entered twenty (20) day of its receipt. A
on the Directory of Certified Minority into by the Contractor. It shall be the notice of deficiency shall include the:
and Women- Owned Business responsibility of Con- tractor to
Enterprises, and has documented its ensure compliance by every i. list NYS Certified minority-
good faith efforts towards meeting Subcontractor with these provisions. and women-owned business
minority and women owned business enterprises which the
enterprise utilization plans by 6. MWBE Utilization Plan. Contractor intends to use to
providing, copies of solicitations, (a) The Contractor represents and perform the State contract;
copies of any advertisements for warrants that Contractor has ii. name of any MWBE which is
participation by certified minority- submitted an MWBE Utilization Plan not acceptable for the
and women-owned business prior to the execution of the contract. purpose of complying with
enterprises timely published in the MWBE participation
appropriate general circulation, trade (b) MWBE Utilization Plan (Form goals;
and minority- or women-oriented 7557-107). iii. reasons why it is not an
publications, together with the Contractors are required to submit a acceptable element of the
listing(s) and date(s) of the Utilization Plan on Form 7557-107 Contract scope of work
publications of such advertisements; with their bid or proposal. Complete which the MWBE Program
dates of attendance at any pre-bid, the following steps to prepare the Office has determined can be
pre-award, or other meetings, if any, Utilization Plan: reasonably structured by the
scheduled by the University, with i. list NYS Certified minority- Contractor to increase the
certified minority- and women- and women-owned business likelihood of participation in
owned business enterprises, and the enterprises which the the Contract by MWBEs; and
reasons why any such firm was not Contractor intends to use to iv. other information which the
selected to participate on the project. perform the State contract; MWBE Program Office
(b) Whether Contractor has ii. insert a description of the determines to be relevant to
attempted to make project plans and contract scope of work which the MWBE Utilization Plan.
specifications available to firms who the Contractor intends to
are not members of associations with structure to increase the

80
(e) The Contractor shall respond to occurrence of such a material breach, 9. GOALS. (a) GOALS FOR
the notice of deficiency within seven SUNY shall be entitled to any remedy MINORITY AND WOMEN WORK
(7) business days of receipt by provided herein, including but not FORCE PARTICIPATION.
submitting to the University a written limited to, a finding of Contractor (i) The University shall include
remedy in response to the notice of non-responsiveness. relevant work force availability data,
deficiency. which is provided by the DMWBD,
i. If the written remedy that is 7. Waivers. in all documents which solicit bids
submitted is not timely or is (a) For Waiver Requests Contractor for State Contracts and shall make
found to be inadequate, the should use (Form 7557-114) – efforts to assist Contractors in
University-wide MWBE Waiver Request. utilizing such data to determine
Program Office shall notify expected levels of participation for
the Contractor and direct the (b) If the Contractor, after making minority group members and women
Contractor to submit, within good faith efforts, is unable to comply on State Contracts.
five (5) business days, a with MWBE goals, the Contractor (ii) Contractor shall exert good
request for partial or total may submit a Request for Waiver faith efforts to achieve such goals for
waiver of MWBE form documenting good faith efforts minority and women's participation.
participation goals on forms by the Contractor to meet such goals. To successfully achieve such goals,
provided by the University- If the documentation included with the employment of minority group
wide MWBE Program the waiver request is complete the members and women by Contractor
Office. University shall evaluate the request must be substantially uniform during
ii. Failure to file the waiver and issue a written notice of the entire term of this State Contract.
form in a timely manner may acceptance or denial within twenty In addition, Contractor should not
be grounds for (20) days of receipt. participate in the transfer of
disqualification of the bid or employees from one employer or
proposal. (c) If University, upon review of the project to another for the sole purpose
MWBE Utilization Plan and updated of achieving goals for minority and
(f) The University may disqualify a Quarterly MWBE Contractor women's participation.
Contractor as being non-responsive Compliance Reports determines that
under the following circumstances: Contractor is failing or refusing to (b) GOALS FOR MINORITY
i. If a Contractor fails to submit comply with the Contract goals and AND WOMEN-OWNED BUSINESS
a MWBE Utilization Plan; no waiver has been issued in regards ENTERPRISES PARTICIPATION.
ii. If a Contractor fails to to such non-compliance, the For all State Contracts in excess of
submit a written remedy to a University may issue a notice of $25,000.00 whereby the University is
notice of deficiency in a deficiency to the Contractor. The committed to expend or does expend
MWBE Utilization Plan; contractor must respond to the notice funds in return for labor, services
iii. If a Contractor fails to submit of deficiency within seven (7) including but not limited to legal,
a request for waiver; or business days of receipt. Such financial and other professional
iv. If the MWBE Program response may include a request for services, supplies, equipment,
Office determines that the partial or total waiver of MWBE materials or an combination of the
Contractor has failed to Contract Goals. foregoing or all State Contracts in
document Good Faith excess of $100,000.00 whereby the
Efforts. 8. MWBE Contractor Compliance University is committed to expend or
Report. does expend funds for the acquisition,
(g) Contractor agrees to use such Contractor is required to submit an construction, demolition,
MWBE Utilization Plan for the MWBE Contractor Compliance replacement, major repair or
performance of MWBEs on the Report (Form 7557-112) to the renovation of real property and
Contract pursuant to the prescribed University by the 5th day following improvements thereon, Contractor
MWBE goals set forth in Section III- each end of quarter over the term of shall exert good faith efforts to
A of this Appendix. the Contract documenting the achieve a participation goal of zero
progress made towards achievement percent (0%) for Certified Minority-
(h) Contractor further agrees that a Owned Business Enterprises and
of the MWBE goals of the Contract.
zero percent (0%) for Certified
failure to submit and/or use such Compliance Reports for construction
MWBE Utilization Plan shall Women-Owned Business
contracts (Form 7557-110) must be
constitute a material breach of the Enterprises.
submitted on a monthly basis.
terms of the Contract. Upon the

81
 finding of non-responsiveness, non- b. All sums actually paid to MWBEs
10. ENFORCEMENT. The responsibility and/or a breach of for work performed or materials
University will be responsible for contract, leading to the withholding supplied under the Contract.
enforcement of each Contractor's of funds or such other actions,
compliance with these provisions. remedies or enforcement proceedings In the event a determination has been
Contractor, and each Subcontractor, as allowed by the Contract. made which requires the payment of
shall permit the University access to liquidated damages and such
its books, records and accounts for 11. DAMAGES FOR NON identified sums have not been
the purpose of investigating and COMPLIANCE. withheld by the University, Contractor
determining whether Contractor or Where the University determines that shall pay such liquidated damages to
Subcontractor is in compliance with Contractor is not in compliance with the University within sixty (60) days
the requirements of Article 15-A of the requirements of the Contract and after such damages are assessed,
the Executive Law. If the University Contractor refuses to comply with unless prior to the expiration of such
determines that a Contractor or such requirements, or if Contractor is sixtieth day, the Contractor has filed a
Subcontractor may not be in found to have willfully and complaint with the Director of the
compliance with these provisions, the intentionally failed to comply with the Division of Minority and Woman
University may make every MWBE participation goals, Business Development pursuant to
reasonable effort to resolve the issue Contractor shall be obligated to pay Subdivision 8 of Section 313 of the
and assist the Contractor liquidated damages to the University. Executive Law in which event the
or Subcontractor in its efforts to Such liquidated damages shall be liquidated damages shall be payable if
comply with these provisions. If the calculated as an amount equaling the Director renders a decision in favor of
University is unable to resolve the difference between: the University.
issue of noncompliance, the
University may file a complaint with a. All sums identified for payment to
the DMWBD. MWBEs had the Contractor achieved
the contractual MWBE goals; and
Failure to comply with all of the
requirements herein may result in a

82
EXHIBIT T: UPSTATE COMPLIANCE & ETHICS PROGRAM EDUCATION

83
 EXHIBIT T

Upstate Compliance & Ethics

Program Education

Contract Attachment Last reviewed July

2024

Compliance & Ethics

Compliance & Ethics efforts are outlined in our
Institutional Compliance Plan and are designed to
establish a culture that promotes:

Prevention, Detection & Resolution

of fraud & abuse, conflicts of interest and other types of

conduct that do not conform to Federal, State and
Private payer health care program requirements, as well
Upstate’s ethical and business policies.

84
 Fraud and Abuse
• Fraud is an intentional deception (lie) or
misrepresentation that a person or business makes
while knowing the lie could result in some type of
unauthorized benefit to that person or business.
• Knowing means:
ü You had actual knowledge of the lie,
ü You acted in deliberate ignorance of the truth,
ü You acted in reckless disregard of the truth.

Fraud and Abuse

• Abuse is to use wrongly or improperly,
misuse.
• Abuse can result in
ü Unnecessarily increased costs
ü Providing unnecessary services
ü Overuse of medical services
ü Failure to conform to professionally
recognized standards

85
 Upstate Institutional Compliance Programs

What We Do
Key Components of our Compliance Program:

Ø Institutional Compliance Plan

o Code of conduct

Ø Institutional Compliance & Ethics Officers

Ø Compliance & Ethics Education

Ø Monitoring & Auditing Programs and an Office of Internal Audit

Ø Enforcement of Disciplinary Standards

Ø Open Lines of Communication to the Compliance & Ethics Office(s)

Ø Processes to Respond to Detected Offenses

86 3
 Code of Conduct
The Code of Conduct is a model for our behavior and must be followed
by all employees and contractors.
Please review the following code of conduct:
THE UPSTATE CODE OF CONDUCT: Expected and acceptable behaviors foster mutual respect.
This includes but is not limited to:
• Holding yourself and others accountable to our mission, vision and values.
• Interacting with others in a considerate, patient and courteous manner.
• Promoting equality and acceptance of people from diverse backgrounds.

• Demonstrating a caring and positive attitude: smile, greet and acknowledge others, make eye contact, say please and
thank you. Giving recognition and praise.
• Respecting confidentiality and privacy at all times.
• Providing a secure, clean and safe environment for patients and fellow staff.

• Working together by promoting cooperation, participation, and sharing of ideas and information to promote team
success. Fostering open and honest communication.
• Actively listening to the perspective of others and seeking to resolve conflicts promptly. Apologizing when mistakes are
made or misunderstandings have occurred.

• Utilizing proper channels to express dissatisfaction with policies and administrative or supervisory actions and without
fear of retaliation.
• Being honest and truthful at all times.

Examples of inappropriate and disruptive communications/behaviors*, include,

but are not limited to:

1. Using abusive language, including repetitive sarcasm.

2. Sexually harassing and making comments, jokes, or innuendoes of a sexual nature.
3. Making direct or indirect threats of violence, revenge, legal action, or financial harm.
4. Using racial, ethnic, or religious slurs.
5. Displaying behavior that would be considered by others to be intimidating, disrespectful, or
dismissive.
6. Exhibiting behavior that threatens or results in verbal and/or physical abuse.
7. Using foul or insulting language, shouting, and rudeness.
8. Criticizing of co-workers or other staff in the presence of others in the workplace or in the
presence of patients.
9. Publicly shaming others.
10. Disregarding or being insensitive to the personal space or boundaries of others.
11. Destruction of Upstate property.
12. Being impaired (e.g., use of alcohol or drugs) in the workplace or academic environment.
13.Failing to be knowledgeable with and follow applicable policies and procedures including those
that govern communication.
* Communication and/or behavior in any format, including, but not limited to, oral, written, visual,
literary, electronic, recorded, or symbolic.

87
 Institutional Compliance & Ethics Officers
Chief Ethics & Compliance Officer for the Hospital & University. Loretta Harris, MBA, CHC, CCEP, CHPC
Ø For Hospital Compliance, Hospital and Campus Ethics and Conflict of Interest questions.
• Harrislo@upstate.edu
• 315-464-4789
Faculty Practice Plan Compliance Officer – Deb Gregoire, MBA, RHIA
Ø For UUMAS/MSG Compliance and Privacy questions.
• BaxterD@upstate.edu
• 315-464-4793
Hospital Regulatory Compliance Officer – Darlene Sovey, CHC
Ø For fraud and abuse billing questions.
• SoveyD@upstate.edu
• 315-464-4346
HIPAA Privacy Officer –Alyssa Kopper
Ø For Institutional Privacy questions
• KopperA@upstate.edu
• 315-464-6135
Chief Research Compliance Officer – Nicole Mason
Ø For Institutional Research questions.
• Masonn@upstate.edu
• 315-464-4317
Information Security Officer- Shawn O’Reilly, CISSP, HCISPP
Ø For Institutional cybersecurity, security and access questions.
• OReillyS@upstate.edu
• 318-464-4093

Monitoring and Auditing

• Annual audit plans are developed to address identified risk
areas. Plans are updated continuously to address new issues
as they arise.

• Monitoring is done through system development, establishing

checks and balances to automate where possible mitigating risk.

• Auditing and monitoring helps:

ü avoid submitting incorrect bills to payers.

ü avoid issues of conflicts of interest.
ü maintain adherence with internal controls.

• Please help by reporting potential issues for review to your

manager or the Compliance Office.

10

88
 Enforcement of disciplinary standards

• Employees and contractors are subject to disciplinary action for failure to comply
with all Federal and State laws and regulations, and with Upstate Medical
University policies and procedures.

• This may include failure to report a suspected violation of any Federal or State
Healthcare Program requirement or a violation of SUNY Upstate Medical
University's policies.

• There is also a range of penalties, which can apply to individuals or

organizations for violation of Federal and State Healthcare Program regulations.
Such penalties can include monetary fines, civil and criminal legal actions, and
Federal program exclusions.

11

Open line of Communication

Ø Open lines of communication increases our ability to identify
and respond to compliance problems.

Ø All employees and contractors have an obligation to report

known or suspected incidents of potential non- compliance.

Ø Under no circumstances shall the good faith reporting of any

information serve as the basis for any retaliation or reprisal in
any form against any employee or contractor as a result of
that person participating in the compliance efforts.

12

89
 Compliance Hotline
Ø A key element of an effective Compliance Program is good
communication.

Ø All providers and staff are obligated to expose any unethical or illegal
activity if they are aware of it or suspect it.

Ø All physicians and MSG staff are encouraged to contact the Faculty
Practice Plan Compliance Officer, Deb Gregoire or their Department’s
Compliance Officer with any compliance concerns.

Ø All hospital and campus staff should contact Chief Compliance Officer,
Loretta Harris with any concerns.

Ø The Compliance Hotline is available to report concerns

confidentially.
• Compliance Hotline: 464-6444
• Compliance@upstate.edu

13

Response to Detected Problems

Ø Once notified of a potential concern we take necessary
steps to investigate and correct any identified problem.

Ø Most often corrective action will be in the form of education

and training.

Ø The Compliance Office works to make sure adequate

corrective action is put in place to remedy the problem.

14

90
 Ways you can help insure
compliance…
Your involvement can help maintain our culture of compliance. Here’s how:
v When in doubt, check policies or ask your Supervisor

v Take advantage of resources available to you, ask for help to avoidmistakes

v Help to identify problems early

v Follow our code of conduct
v Ask questions, it is better to ask questions and raise issues than to leave matters
unresolved. If it feels wrong, it may very well be wrong – so check it out

v Actively request and seek training/education when you need it

v Regard auditing and monitoring findings as opportunities forimprovement
v When new policies/procedures are implemented, take time to study them and incorporate
them into your job

15

Simply Put, Compliance

Basically Means…

No Lying, No Cheating, No Stealing!

16

91
 CONTRACTOR ACKNOWLEDGMENT
By signing this contract, you are attesting
that you have reviewed and understand
the compliance and ethics program for
SUNY Upstate Medical University and
will adhere to the policies, laws and
regulations contained herein.

17

92
EXHIBIT Z: BUSINESS ASSOCIATE AGREEMENT

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8/21/24

EXHIBIT Z

BUSINESS ASSOCIATE AGREEMENT

THIS BUSINESS ASSOCIATE AGREEMENT is made by 1. PERMITTED USES AND DISCLOSURES OF PHI
and between THE STATE UNIVERSITY OF NEW YORK
(“SUNY”), an educational corporation organized and 1.1 Services. Pursuant to the Underlying Agreement,
existing under the laws of the State of New York, having its Business Associate provides services (“Services”) for
principal offices located at State University Plaza, Albany, Covered Entity that involve the use and disclosure of PHI.
New York 12246, acting for and on behalf of Except as otherwise specified herein, the Business
Associate may make any and all uses of PHI necessary to
Upstate University Hospital perform its obligations under the Underlying Agreement. All
“Covered Entity” other uses not authorized by this Agreement are prohibited.
with its address at Moreover, Business Associate may disclose PHI for the
purposes authorized by this Agreement only: (a) to its
750 East Adams Street employees, subcontractors and agents, in accordance with
Street Address Section 2.1(d), or (b) as otherwise permitted by or as
required by the Privacy or Security Rule.
Syracuse NY 13210
City State Zip 1.2 Business Activities of the Business Associate.
Unless otherwise limited herein and if such use or
and disclosure of PHI would not violate the Privacy or Security
Rules if done by the Covered Entity, the Business Associate
may:
“Business Associate”
with its principal offices at (a) use the PHI in its possession for its proper
management and administration and to fulfill any
present or future legal responsibilities of the Business
Street Address Associate provided that such uses are permitted under
state and federal confidentiality laws.
(b) disclose the PHI in its possession to third parties for the
City State Zip purpose of its proper management and administration
or to fulfill any present or future legal responsibilities of
Facsimile Number: the Business Associate, provided that the Business
Associate represents to Covered Entity, in writing, that
(i) the disclosures are required by law, as provided for
Covered Entity and Business Associate, collectively, may in 45 CFR § 103 or (ii) the Business Associate has
hereinafter be referred to as the “Parties,” as in the parties received from the third party written assurances
to this Agreement. regarding its confidential handling of such PHI as
required under 45 CFR § 164.504(e)(4) and § 164.314,
The Parties have entered into one or more certain and the third party notifies the Business Associate of
agreements (each and together, the "Underlying
any instances of which it is aware in which the
Agreement") under which the Business Associate uses confidentiality of the information has been breached.
and/or discloses PHI in its performance of the Services
described below. The Parties are committed to complying (c) Business Associate may provide data aggregation
with the Standards for Privacy of Individually Identifiable services relating to the health care operations of the
Health Information (the “Privacy Rule”) and the Standards Covered Entity.
for Security of Electronic Protected Health Information (the
“Security Rule) under the Health Insurance Portability and 1.3 Business Associate understands and agrees that
Accountability Act of 1996 (“HIPAA”) including the 2013 its access to Protected Health Information stored in
databases and information systems at the Covered Entity is
HIPAA Omnibus Rule. This Agreement, in conjunction with
the Privacy and Security Rules, sets forth the terms and subject to review and audit by the Covered Entity or agents
conditions pursuant to which PHI (electronic and non- of the State of New York at any time, that remote audits of
electronic) that is created, received, maintained, or such access may occur at any time, if remote access exists,
transmitted by, the Business Associate from or on behalf of that on-site audits of such access will be conducted during
Covered Entity, will be handled between the Business regular business hours, and that any review or audit may
Associate and Covered Entity and with third parties during occur with or without prior notice by the Covered Entity.
the term of their Underlying Agreement and after its
termination. The Parties agree as follows:

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8/21/24

2. RESPONSIBILITIES OF THE PARTIES WITH (g) Within five (5) business days of a request from Covered
RESPECT TO PHI Entity, make available PHI in a designated record set,
i f a p p l i c a b l e , to Covered Entity, as necessary to
2.1 Responsibilities of the Business Associate. satisfy Covered Entity’s obligations under 45 CFR
With regard to its use and/or disclosure of PHI, the Business 164.524.
Associate hereby agrees to do the following:
(h) Within five (5) business days of a request from Covered
(a) Not use or disclose PHI other than as permitted or Entity, make any amendment(s) to PHI, i f
required by the Agreement or as required by law; a p p l i c a b l e , in a designated record set as directed
(b) Use appropriate safeguards, and comply with Subpart or agreed to by the Covered Entity pursuant to 45
C of 45 CFR Part 164 with respect to electronic PHI, CFR 164.526, or take other measures as necessary
to prevent use or disclosure of PHI other than as to satisfy Covered Entity’s obligations under 45 CFR
provided for by the Agreement; 164.526.
(c) Report, in writing, to Covered Entity w i t h i n f i v e ( 5 ) (i) As applicable, maintain and make available the
b u s i n e s s d a y s any use or disclosure of PHI not information required to provide an accounting of
provided for by the Agreement of which it becomes disclosures as necessary to satisfy Covered Entity’s
aware, including breaches of unsecured PHI as obligations under 45 CFR 164.528.
required at 45 CFR 164.410, and any security (j) To the extent Business Associate is to carry out one or
incident of which it becomes aware, and cooperate more of Covered Entity's obligation(s) under Subpart E
with the Covered Entity in any mitigation or breach of 45 CFR Part 164, comply with the requirements of
reporting efforts; this notice shall be deemed sufficient Subpart E that apply to the Covered Entity in the
if it is delivered to the Parties at their respective performance of such obligation(s).
addresses listed above and the Privacy Officer using
the following contact information: (k) Upon request, may make its internal practices, books,
and records available to the Secretary and to the
Loretta Harris Covered Entity for purposes of determining
Pr ivacy Officer compliance with the HIPAA Rules.
750 East Adams Street
S treet Address (l) Comply with minimum necessary requirements under
Syracuse NY 13210 the HIPAA Rules.
Cit y S tat e Zip
2.2 Business Associate hereby acknowledges and
agrees that Covered Entity has notified Business Associate
that Business Associate is required to comply with the
(d) I n accordance with 4 5 CF R 164.502(e)( 1)(ii) an d confidentiality, Disclosure and re-Disclosure requirements
1 64.308 (b)(2), if applicable, t o ensure that any of 10 NYCRR Part 63 to the extent such requirements may
subcontractors that create, receive, maintain, or be applicable.
transmit PHI on behalf of the Business Associate
agree to the same restrictions, conditions, and 2.3 If, in the performance of the Services, Business
requirements that apply to the Business Associate Associate extends, renews or continues credit to patients or
with respect to such information; regularly allows patients to defer payment for services
including setting up payment plans in connection with one
(e) Except as provided in this subsection, ensure that any or more covered accounts, as defined at 15 USC
agent or subcontractor to whom the Business 1681m(e)(4), the Business Associate must comply with the
Associate provides PHI, as well as Business Federal Trade Commission’s “Red Flag” Rules, if
Associate, shall not export PHI beyond the borders of applicable, or develop and implement a written identity theft
the United States of America. If the Business prevention program designed to identify, detect, mitigate
Associate or its agent or subcontractor exports PHI and respond to suspicious activities that could indicate that
beyond the borders of the United States of America, identity theft has occurred in the Business Associate
then, subject to the United States and New York State practice or business.
export control and foreign outsourcing laws, rules and
regulations, the Business Associate will provide to 2.4 Business Associate acknowledges that if Business
Covered Entity prior to such export, a reasonable Associate or any of its agents or subcontractors violate any
assurance, evidenced in writing, that the Business Security provision as Required By Law specified in
Associate, subcontractor, or agent will comply with the subparagraph 2.1(b) above, sections 1176 and 1177 of the
privacy and security obligations of Business Associate Social Security Act 42 USC §1320d-5, 1320d-6 shall apply
the set forth either in this Agreement or in applicable to Business Associate with respect to such violation in the
law, rules and regulations with respect to such PHI. same manner that such sections apply to Covered Entity if
it violates such Security provision, thus resulting in civil or
(f) Agrees to provide the Covered Entity, at the Covered criminal penalties.
Entity’s request, a list of all agents and subcontractors
that create, receive, maintain, or transmit PHI on behalf 2.5 Covered Entity and Business Associate recognize
of Business Associate. that unsecured PHI may contain the social security
numbers, financial account information or driver's license

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8/21/24

number or non-driver identification card number (“private and will not violate any provision of any license,
information” as defined in the New York State Information corporate charter or bylaws.
Security Breach and Notification Act, as amended
(“ISBNA”), General Business Law § 889-aa; State (b) that neither the execution of this Agreement, nor its
Technology Law § 208). Subject to the issue of interim final performance hereunder, will directly or indirectly violate
regulations by the Secretary and any periodic updates or interfere with the terms of another agreement to
thereof all of which are incorporated by reference in this which it is a party, or give any governmental entity the
Agreement, in the event of a Breach of unsecured PHI right to suspend, terminate, or modify any of its
containing an Individual’s private information, Business governmental authorizations or assets required for its
Associate shall, in addition to notifying Covered Entity as performance hereunder. Each Party represents and
required under in subparagraph 2.1(c), comply with the warrants to the other Party that it will not enter into any
provisions of the New York State ISBNA. Business agreement the execution and/or performance of which
Associate shall be liable for the costs associated with such would violate or interfere with this Agreement.
Breach if caused by the Business Associate’s negligent or (c) that it is not currently the subject of a voluntary or
willful acts or omissions, or the negligent or willful acts or involuntary petition in bankruptcy, does not currently
omissions of Business Associate’s agents, officers, contemplate filing any such voluntary petition, and is
employees or subcontractors. not aware of any claim for the filing of an involuntary
3. RESPONSIBILITIES OF COVERED ENTITY. petition.

3.1 With regard to the use and/or disclosure of PHI by (d) that all of its employees and members of its workforce,
the Business Associate, Covered Entity hereby agrees: whose services may be used to fulfill obligations under
this Agreement are or shall be appropriately informed
(a) to inform the Business Associate of any limitations in of the terms of this Agreement and are under legal
the form of notice of privacy practices that Covered obligation to each Party, respectively, by contract or
Entity provides to individuals pursuant to 45 CFR otherwise, sufficient to enable each Party to fully
§164.520, to the extent that such limitation may affect comply with all provisions of this Agreement including,
Business Associate’s use or disclosure of PHI. without limitation, the requirement that modifications or
limitations that Business Associate has agreed to
(b) to inform the Business Associate of any changes in, or adhere to with regards to the use and disclosure of PHI
revocation of, the permission by an individual to use or of any individual that materially affects and/or limits the
disclose PHI, to the extent that such limitation may uses and disclosures that are otherwise permitted
affect Business Associate’s use or disclosure of PHI.
under the Standard will be communicated to the
(c) to notify the Business Associate, in writing and in a Business Associate, in writing, and in a timely fashion.
timely manner, of any restriction on the use or (e) that it will reasonably cooperate with the other Party in
disclosure of PHI that Covered Entity has agreed to or the performance of the mutual obligations under this
is required to abide by under 45 CFR 164.522, to the Agreement.
extent that such restriction may impact in any manner
the use and/or disclosure of PHI by the Business (f) that neither the Party, nor its shareholders, members,
Associate under this Agreement. except if the Business directors, officers, agents, employees or members of
Associate will use or disclose PHI for (and the its workforce have been excluded or served a notice of
Underlying Agreement includes provisions for) data exclusion or have been served with a notice of
aggregation or management and administration and proposed exclusion, or have committed any acts which
legal responsibilities of the Business Associate. are cause for exclusion, from participation in, or had
any sanctions, or civil or criminal penalties imposed
(d) Covered Entity will not request Business Associate to under, any federal or state healthcare program,
use or disclose PHI in any manner that would not be including but not limited to Medicare or Medicaid, or
permissible under the Privacy and Security Rule if have been convicted, under federal or state law
done by the Covered Entity. (including without limitation a plea of nolo contendere
4. REPRESENTATIONS AND WARRANTIES [THIS or participation in a first offender deferred adjudication
SECTION MAY BE REMOVED IF IT IS INCLUDED or other arrangement whereby a judgment of
IN THE UNDERLYING AGREEMENT] conviction has been withheld), of a criminal offense
related to (i) the neglect or abuse of a patient, (ii) the
4.1 Mutual Representations and Warranties of the delivery of an item or service, including the
Parties. Each Party represents and warrants to the other performance of management or administrative
Party: services related to the delivery of an item or service,
(a) that it is duly organized, validly existing, and in good under a federal or state healthcare program, (iii) fraud,
standing under the laws of the jurisdiction in which it is theft, embezzlement, breach of fiduciary responsibility,
organized or licensed, it has the full power to enter into or other financial misconduct in connection with the
this Agreement and to perform its obligations delivery of a healthcare item or service or with respect
hereunder, and that the performance by it of its to any act or omission in any program operated by or
obligations under this Agreement have been duly financed in whole or in part by any federal, state or local
authorized by all necessary corporate or other actions government agency, (iv) the unlawful, manufacture,

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8/21/24

distribution, prescription or dispensing of a controlled 6. CONFIDENTIALITY [THIS SECTION MAY BE

substance, or (v) interference with or obstruction of any REMOVED IF IT IS INCLUDED IN THE
investigation into any criminal offense. UNDERLYING AGREEMENT]
4.2 Each Party further agrees to notify the other Party 6.1 Confidentiality Obligations. In the course of
immediately after the Party becomes aware that any of the performing under this Agreement, each Party may receive,
foregoing representation and warranties may be inaccurate be exposed to or acquire the Confidential Information
or may become incorrect at any time during the term of this including but not limited to, all information, data, reports,
Agreement. records, summaries, tables and studies, whether written or
oral, fixed in hard copy or contained in any computer data
5. TERMS AND TERMINATION base or computer readable form, as well as any information
5.1 Term. The Term of this Agreement shall identified as confidential (“Confidential Information”) of the
commence on the Effective Date, and shall terminate on the other Party. For purposes of this Agreement, “Confidential
termination date of the relevant Underlying Agreement or Information” shall not include PHI, the security of which is
on the date Covered Entity terminates this Agreement for the subject of this Agreement and is provided for elsewhere.
cause as authorized in paragraph 5.2 of this Section, The Parties including their employees, agents,
whichever is sooner. representatives and subcontractors: (a) shall not disclose to
any third party the Confidential Information of the other
5.2 Termination for Cause. Business Associate Party except as otherwise permitted by this Agreement, (b)
authorizes termination of this Agreement by Covered Entity, only permit use of such Confidential Information by
if Covered Entity determines Business Associate has employees, agents, representatives and subcontractors
violated a material term of the Agreement and Business having a need to know in connection with performance
Associate has not cured the breach or ended the violation under this Agreement, and (c) advise each of their
within the time specified by Covered Entity. employees, agents, representatives and subcontractors of
5.3 Obligations of Business Associate upon their obligations to keep such Confidential Information
Termination. Business Associate agrees to return or confidential. Notwithstanding anything to the contrary
destroy all PHI pursuant to 45 CFR § 164.504(e)(2)(I). Prior herein, each Party shall be free to use, for its own business
to doing so, the Business Associate further agrees to purposes, any ideas, suggestions, concepts, know-how or
recover any PHI in the possession of its subcontractors or techniques contained in information received from each
agents. If it is not feasible for the Business Associate to other that directly relates to the performance under this
return or destroy said PHI, the Business Associate will notify Agreement. This provision shall not apply to Confidential
Covered Entity in writing and the Covered Entity may Information: (d) after it becomes publicly available through
disagree with the Business Associate’s determination. Said no fault of either Party; (e) which is later publicly released
notification shall include: (a) a statement that the Business by either Party in writing; (f) which is lawfully obtained from
Associate has determined that it is not feasible to return or third parties without restriction; or (g) which can be shown
destroy the PHI in its possession, and (b) the specific to be previously known or developed by either Party
reasons for such determination. Business Associate further independently of the other Party.
agrees to extend any and all protections, limitations and 7. INSURANCE AND INDEMNIFICATION [THIS
restrictions contained in this Agreement to the Business SECTION MAY BE REMOVED IF IT IS INCLUDED
Associate’s use and/or disclosure of any PHI retained after IN THE UNDERLYING AGREEMENT]
the termination of this Agreement, and to limit any further
uses and/or disclosures to the purposes that make the 7.1 Insurance. Business Associate will procure and
return or destruction of the PHI infeasible. If it is infeasible maintain in effect during the term of this Agreement: (a)
for the Business Associate to obtain from a subcontractor general liability insurance coverage with minimum limits of
or agent any PHI in the possession of the subcontractor or $1 million per occurrence and $3 million aggregate; and (b)
agent, the Business Associate must provide a written as applicable, professional liability insurance coverage
explanation to Covered Entity and require such within minimum limits of $1 million per occurrence and $3
subcontractor or agent to agree to extend any and all million in aggregate; and (c) workers’ compensation
protections, limitations and restrictions contained in this insurance coverage within statutory limits of state law in
Agreement to the subcontractor’s and/or agent’s use and/or which Business Associate is located. Upon request,
disclosure of any PHI retained after the termination of this Business Associate shall provide evidence of continuous
Agreement, and to limit any further uses and/or disclosures coverage to Covered Entity.
to the purposes that make the return or destruction of the 7.2 Indemnification. The Business Associate agrees
PHI infeasible. to indemnify, defend and hold harmless Covered Entity and
5.4 Automatic Termination. This Agreement will Covered Entity’s employees, trustees, officers, agents and
automatically terminate without any further action of the other members of its workforce from any costs, damages,
Parties upon the termination or expiration of the Underlying expenses, judgments, losses, and attorney’s fees arising
Agreement. from any breach of this Agreement by Business Associate
or any of its agents or subcontractors, or arising from any
negligent or wrongful acts or omissions of Business
Associate or any of its agents or subcontractors, including
failure to perform its obligations under the Privacy Rule.

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8/21/24

The Business Associate’s indemnification obligation shall WHETHER SUCH LIABILITY IS ASSERTED ON THE
survive the expiration or termination of this Agreement for BASIS OF CONTRACT, TORT (INCLUDING
any reason. NEGLIGENCE OR STRICT LIABILITY), OR OTHERWISE,
EVEN IF THE OTHER PARTY HAS BEEN ADVISED OF
8. MISCELLANEOUS THE POSSIBILITY OF SUCH LOSS OR DAMAGES.
8.1 Business Associate. For purposes of this
8.10 Changes in Law. The Parties recognize that this
Agreement, Business Associate shall include the named Agreement is at all times subject to applicable state, local,
Business Associate herein. However, in the event that the and federal laws. The Parties further recognize that this
Business Associate is otherwise a Covered Entity under the Agreement may become subject to amendments in such
Privacy or Security Rule, that entity may appropriately laws and regulations and to new legislation. Any provisions
designate a health care component of the entity, pursuant of law that invalidate, or are otherwise inconsistent with, the
to 45 CFR § 164.504(a), as the Business Associate for material terms and conditions of this Agreement, or that
purposes of this Agreement. would cause one or both of the Parties hereto to be in
8.2 Survival. The respective rights and obligations of violation of law, shall be deemed to have superseded the
Business Associate and Covered Entity under this terms of this Agreement and, in such event, the Parties
Agreement, shall survive termination of this Agreement agree to use their best efforts to modify in an executed
indefinitely. written agreement the terms and conditions of this
Agreement to be consistent with the requirements of such
8.3 Amendments; Waiver. This Agreement may not law(s) in order to effectuate the purposes and intent of this
be modified, nor shall any provision hereof be waived or Agreement within thirty (30) days of receipt of notice from
amended, except in a writing duly signed by authorized one Party to the other Party setting forth the proposed
representatives of the Parties. A waiver with respect to one changes. If the Parties fail to so modify this Agreement,
event shall not be construed as continuing, or as a bar to or then either Party may, by giving the other an additional sixty
waiver of any right or remedy as to subsequent events. The (60) days written notice, terminate this Agreement, unless
Parties agree to take such action as is necessary to amend this Agreement would terminate earlier by its terms. In the
this Agreement from time to time as is necessary for event amendments or changes in existing law, general
compliance with the requirements of the HIPAA Rules and instructions, or new legislation, rules, regulations, or
any other applicable law. decisional law preclude or substantially preclude a
8.4 Interpretation. Any ambiguity in this Agreement contractual relationship between the Parties similar to that
shall be interpreted to permit compliance with the HIPAA expressed in this Agreement, then, under such
Rules. circumstances, where renegotiation of the applicable terms
of this Agreement would be futile, either Party may provide
8.5 No Third Party Beneficiaries. Nothing the other at least sixty (60) days advance written notice of
expressed or implied in this Agreement is intended to termination of this Agreement, unless this Agreement would
confer, nor shall anything herein confer, upon any person terminate earlier by its terms. Upon termination of this
other than the Parties and the respective successors or Agreement as hereinabove provided, neither Party shall
assigns of the Parties, any rights, remedies, obligations, or have any further obligation hereunder except for (a)
liabilities whatsoever. obligations occurring prior to the date of termination, and (b)
obligations, promises or covenants contained herein which
8.6 Notices. Any notices to be given hereunder to a
are expressly made and intended either to arise upon the
Party shall be made via U.S. Mail or express courier to such
termination of this Agreement ot to extend beyond the term
Party’s address given above , and/or (other than for the
of this Agreement.
delivery of fees) via facsimile to the facsimile telephone
numbers listed above. A copy of any such notice shall also 8.11 Construction of Terms. The terms of this
be given in the same manner to the Privacy Officer listed Agreement shall be construed in light of any applicable
above. Each Party named above may change its address interpretation or guidance on HIPAA and/or the Privacy
and that of its representative for notice by the giving of Rule issued by the Department of Health and Human
notice thereof in the manner hereinabove provided. Services of the Office of Civil Rights from time to time.
8.7 Counterparts; Facsimiles. This Agreement may 8.12 Contradictory Terms. Any provision of the
be executed in any number of counterparts, each of which Underlying Agreement that is directly contradictory to one
shall be deemed an original. Facsimile copies hereof shall or more terms of this Agreement (“Contradictory Term”)
be deemed to be originals. shall be superceded by the terms of this Agreement as of
the Effective Date of this Agreement to the extent and only
8.8 Disputes. If any controversy, dispute or claim
to the extent of the contradiction, only for the purpose of the
arises between the Parties with respect to this Agreement,
Covered Entity’s compliance with the Privacy Rule and only
the Parties shall make good faith efforts to resolve such
to the extent that it is reasonably impossible to comply with
matters informally.
both the Contradictory Term and the terms of this
8.9 LIMITATION OF LIABILITY. COVERED ENTITY Agreement.
SHALL NOT BE LIABLE TO BUSINESS ASSOCIATE FOR
8.13 Governing Law. This Agreement and any
ANY INCIDENTAL, CONSEQUENTIAL, SPECIAL, OR
Underlying Agreement shall be governed by New York law
PUNITIVE DAMAGES OF ANY KIND OR NATURE,

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8/21/24

notwithstanding any conflicts of law provisions to the IN WITNESS WHEREOF, each of the undersigned has
contrary. caused this Agreement to be duly executed in its name
and on its behalf.
9. DEFINITIONS.
9.1 The following terms used in this Agreement shall
have the same meaning as those terms in the HIPAA Rules:
Breach, Data Aggregation, Designated Record Set, THE STATE UNIVERSITY OF NEW YORK on behalf of
Disclosure, Health Care Operations, Individual, Minimum COVERED ENTITY
Necessary, Notice of Privacy Practices, Protected Health
Information, PHI, Required By Law, Secretary, Security By:
Incident, Subcontractor, Unsecured Protected Health
Information, and Use. Print Name:
9.2 Specific definitions include:
(a) Business Associate. “Business Associate” shall Print Title:
generally have the same meaning as the term
“business associate” at 45 CFR 160.103, and in Date:
reference to the party to this Agreement, shall mean
the Party identified as the Business Associate above.
BUSINESS ASSOCIATE
(b) Covered Entity. “Covered Entity” shall generally have
the same meaning as the term “Covered Entity” at 45 By:
CFR 160.103, and in reference to the party to this
agreement, shall mean the Party identified as the Print Name:
Covered Entity above.
(c) HIPAA Rules. “HIPAA Rules” shall mean the Privacy, Print Title:
Security, Breach Notification, and Enforcement Rules
at 45 CFR Part 160 and Part 164. Date:

(d) Electronic Protected Health Information or Electronic

PHI. “Electronic PHI” shall mean PHI which is
transmitted by Electronic Media (as defined in the
HIPAA Security and Privacy Rule) or maintained in
Electronic Media.
(e) Privacy Officer. “Privacy Officer” shall have the
meaning as set out in its definition at 45 CFR
§ 164.530(a)(1) as such provision is currently drafted
and as it is subsequently updated, amended or revised,
and in reference to this Agreement, shall mean the
person identified as the Privacy Officer above.
(f) Privacy Rule. “Privacy Rule” shall mean the Standards
for Privacy of Individually Identifiable Health
Information at 45 CFR part 160 and part 164.
(g) Security Rule. “Security Rule” shall mean the
Standards for Security of Electronic Protected Health
Information at 45 CFR Parts 160, 162, and 164.
(h) A reference in this Agreement to a section in the HIPAA
Rules means the section as in effect or as amended.

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 RFP S-1484
Optimization of Emergency Department (“ED”) and Inpatient Acute Care Capacities

Questions & Answers

1. In reading the RFP #: S-1484, I believe that in order to obtain a NY Vendor ID, [Bidders] need
to request a form from SUNY. Can you provide?

Bidders need to complete and submit the New York State Substitute W-9 form if they’re not
already registered in New York’s Statewide Financial System (“SFS”). Once the registration
process has been completed, the Bidder will receive an email from SFS with additional
information on finalizing the registration process. The substitute W-9 can be obtained from this
link: https://www.osc.ny.gov/files/vendors/2017-11/vendor-form-ac3237s-fe.pdf.

2. How do the objectives identified in RFP S-1484 relate to SUNY Upstate’s ED Expansion
proposal funded by New York State?

Response: The goal is to identify process improvement opportunities and potential solutions as
we look to build an expansion. We understand that our physical space is one of the factors
impacting the ED operations.

3. How should redlines to the RFP final contract terms as presented in the RFP be submitted?
How will they be considered in the selection of a consultant?

Response: Please refer to section 4, Bid Submission Requirements, paragraph G, Extraneous

Terms, and section 6, General Terms and Conditions, paragraph E, Acceptance of RFP Content
for this information.

4. Will you conduct in-person oral evaluation of any finalists?

Response: No, this procurement does not include a presentation, demonstration or interview
phase.

5. What is the budget that has been approved or allocated for this effort?

Response: This information is not available. Upstate intends to contract with the consultant that
provides the best value as defined in section 2, Project Specifications, paragraph C, Method of
Award.

6. Ready access to data is critical to approximating the timeline for the Assessment and
Implementation of initiatives. What tools and KPIs are used currently to measure and
monitor performance in the ED and IP Capacity areas (e.g. tableau: updated monthly? EPIC
dashboards: real-time capacity? discharge planning?) What is the process and typical
expected timeline for data requests/data transfer?

Response: Upstate utilizes Epic, Business Objects, Tableau, and TeleTracking for real-time and
aggregated clinical and business metrics. Turnaround time depends on the request and type of
data but is typically within days.

7. What is SUNY Upstate’s Electronic Health Record (EHR) and Patient financial system(s)?

Response: Upstate utilizes Epic as its primary electronic health record system and for its patient
financial system. Additionally, Upstate is transitioning to Waystar for its billing clearinghouse.

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 Furthermore, Upstate uses Teletracking via an Epic interface for bed management, throughput,
and capacity functions.

8. Does SUNY Upstate have a system-wide, centralized patient placement or command

center program or Transfer Center that manages patient movement to and between
hospitals?

Response: Yes, Upstate operates a centralized throughput center that optimizes patient care
and coordinates patient bed flow across its two Syracuse campuses. Please see the attached
news article titled “Upstate opens Throughput Operations Center” for additional information.

9. Does SUNY Upstate currently have a physician-led Throughput or Patient Flow Governance
Committee? Please describe role and membership.

Response: Yes, members participant in all facets of this process depending on their area of
expertise. The committee members include physicians and hospital leadership.

10. Are utilization review functions performed by the Case Management Department? If so, do
you practice a triad model where utilization review is a separate function from discharge
planning but reports up through the Case Management director?

Response: Yes. Upstate will share additional information regarding this function with the
awarded consultant.

11. Volumes: What is the current percentage of ED patients that are classified as Left Without
Being Seen (LWBS)?

Reporting Period: January 2025 – February 2025

Location Percentage Numerator/Denominator
Downtown Adult Emergency Department 16.0% 1315/8201
(“AED”)
Peds Emergency Department (“PED”) 3.5% 180/5176
Community Hospital (“CH”) 9.4% 585/6216
All combined 10.6% 2080/19593

12. Volumes: Are there designated “fast tracks” and/or ED observation spaces/processes in
EDs? Which ones if any? What is your current percentage of patients assigned to
Observation status?

Only the AED has a fast track – this is 5 recliner chairs. No ED observation spaces.

Reporting Period: January 2025 – February 2025

Location Percentage Numerator/Denominator
Downtown AED 4.9% 400/8203
PED 7.3% 376/5176
CH 6.7% 414/6216
All combined 6.1% 1190/19593

13. Volumes: What are your IP ED Border volumes and average LOS in the ED after the
admission order is placed?

Response: Upstate will provide this information to the awarded consultant upon execution of the
resulting agreement.

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14. Volumes: What are your current IP LOS and their corresponding O/E ratio for each hospital?
Annual Discharges by Volume? Occupancy rate by level of care or hospital?

Response: Upstate will provide this information to the awarded consultant upon execution of the
resulting agreement.

15. Facilities: How many ED bays/patient rooms do each hospital have? What is the breakdown
of use designations (e.g. trauma, pediatric etc.)

Location Facility/Space Breakdown

AED • Two (2) trauma bays; and
• One (1) psych safe room (tall ceiling, padded walls, bolted bed); and
• Five (5) fast track chairs; and
• Thirty-one (31) regular patient treatment rooms/bays.
PED • Twenty-four (24) regular patient treatment rooms/bays; and
• Ten (10) overflow spaces (4 West). No gases or monitors, restricted to low
acuity.
CH • Twenty-seven (27) regular patient treatment rooms/bays; and
• Two (2) psych safe rooms.

16. Facilities: Are you planning on any capital investments to alter/upgrade/add to your current
facilities?

Response: Upstate has requested that funding be included in New York State’s Fiscal Year 2026
Executive Budget to support an expansion of our emergency department, burn unit and operating
rooms located at our University Hospital-Downtown campus. Please see the attached news
article titled “Gov. Hochul lists $200M for SUNY Upstate Hospital expansion in budget.”

Please note, at the time of this writing New York State’s Fiscal Year 2026 Executive Budget has
NOT been approved.

17. Please clarify if the question in the RFP refers to how the contractor will review written
documentation during the project or to describe our review process for this RFP?
Specifically, 2b, “Please describe in detail the Bidder’s review process of Upstate’s written
documentation, including the sources of evidence, identification and editing process and
the role/responsibilities of the Bidder and Hospital.”

Response: This question pertains to the consultant’s review of written documentation during the
delivery of the requested consulting services.

18. Please clarify the question in the RFP (2.f.) referring to the approach used in assessing
financial viability and return on investments (“ROI”) of service lines and capital
investments within our healthcare system.

Response: Upstate would like a review of the methodologies used to calculate the value of the
investments – financially and other qualitative benefits (e.g., quality of care, intrinsic vs. value,
etc.).

19. Are you seeking examples of (1) methodology used to calculate the financial value of the
recommendations from the assessment (i.e., the identified opportunities for
improvement), (2) the methodology used to track the performance of achieving results, or
(3) both? Specifically, 2.f.i. “For similar ED and acute inpatient care optimization projects,
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 please provide examples of successful cost-benefit analyses conducted by your firm.
Identifying information within the examples can be redacted.”

Response: Upstate is looking for the consultant to make recommendations on both – the
methodology for assessment(s) and tools used to track performance based on the
recommendation

20. If the posting of the Q/A is delayed for any reason, would SUNY consider extending the
proposal deadline to allow for at least seven business days between the posting of answers
to questions and the proposal submission date?

Response: Upstate recently issued Addendum #1 which extended the bid due date until April 17,
2025, at 2:00 PM ET.

21. Can the copies of Attachment 13 (Financial Proposal) and associated USB drive be mailed
in the same box as the technical proposal, provided they are in separate sealed envelopes
within the box?

Response: Yes, one package can be sent with all the separate sealed envelopes inside.

22. What is the organizational impetus for issuing the RFP for consultant services? In other
words, why now?

Response: Upstate is undertaking an initiative to support an expansion of our emergency

department, burn unit and operating rooms located at our University Hospital-Downtown
campus.

23. What efforts has SUNY Upstate already undertaken over the last few years to optimize
throughput? Has performance improved or worsened over that period?

Response: Upstate recently opened a new Throughput Operations Center to further optimize
throughput; the center is relatively new so Upstate is currently reviewing and assessing data.
Upstate will provide additional data and operations information to the awarded consultant upon
execution of the resulting agreement.

24. Does SUNY Upstate have any internal project management or process improvement
resources that can or should be assigned to support the engagement?

Response: Yes, project management and process improvement will support this project.

25. What is SUNY Upstate’s anticipated budget range for the requested scope of work? (RFP
page 11, Section 3.C).

Response: This information is not available. Upstate intends to contract with the consultant that
provides the best value as defined in section 2, Project Specifications, paragraph C, Method of
Award.

26. Are all physicians and advanced practice providers working in the hospitals and EDs
employed?

Response: Physicians providing clinical services are employed by one of Upstate’s faculty
practice plans in accordance with the SUNY Board of Trustees policies. Advanced practice
providers may be employed by an Upstate affiliated entity, such as a faculty practice plan,

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 through Upstate directly (e.g., a State employee), or as a contracted employee through a third
party (e.g., a locum firm).

27. Could you provide an approximate summary of the number of physicians and advanced
practice providers by alignment type (e.g., employed, affiliated) relevant to the scope of this
engagement?

Response: The data noted below is reflective of calendar year 2024.

Employment Category Staffing Notes

Volumes
Physicians/Dentists/Podiatrists 1,185 103 without privileges
Health Professionals/Advanced 624 CRNA, DC, LCSW, Midwives, LMHC,
Practice Providers LMSW, MSW, NP, PA, PhD, PsyD

28. To what extent is an assessment of provider productivity and staffing within the scope of
this engagement? (RFP page 3, Section 2.A).

Response: Upstate’s intended goal from this procurement opportunity is to gain a better
understanding of overall productivity and opportunities for improvement.

29. What other organizational initiatives are in flight or planned that might impact this
engagement (e.g., facility changes, organizational restructuring, EHR implementations,
new technology)?

Response: Upstate has been developing plans for an Emergency Department renovation at the
AED, however, funding and related requests are still being reviewed by Upstate, SUNY and State
leadership.

30. What roles will be included in the governance committee overseeing this work? Will there
be a connection to the board of governors?

Response: Yes, Upstate’s hospital executive team and ED leadership. The Hospital CEO will
report to the governing body.

31. What is the health system’s relationship to post-acute care entities, and what is their level
of engagement in SUNY initiatives?

Response: We have good collaboration with post-acute entities and have a division that works
to facilitate and expand these relationships.

32. Would the university consider extending the proposal deadline to allow adequate time for
us to review and incorporate insights from the responses to our questions into our proposal
before the hard copy submission deadline? (RPF page 13; Section 4 A.8) If a deadline
extension is not possible, would the university accept proposals in which the hard copy
submission is postmarked and an electronic copy is submitted via email by the deadline?

Response: Upstate recently issued Addendum #1 which extended the bid due date until April 17,
2025, at 2:00 PM ET. Proposals must be submitted in accordance with the instructions set forth
in the RFP document; electronic copies submitted via email will not be accepted as proposals
must be secured and sealed until the bid opening takes place.

33. For any forms completed by subcontracted firms or individuals where a signature is
required, does that need to be an original (hard copy) or will a scanned signature suffice?
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 Do you require notary for any subcontractors signatures? (RPF page 21,22; Section 6.P and
6.R)

Response: Yes, Upstate requires an original, hard copy for any document that requires the
signature be acknowledged by a notary. A scanned signature will suffice for any forms that do
not require a notary, so long as it is a scan of a wet ink signature and not a digital (e.g., DocuSign,
Adobe) signature.

34. Attachment 2, Minimum Bidder Qualifications. Please advise if the attachment is missing a
question pertaining to the 18-months of ongoing support.

Response: Thank you for bringing this to Upstate’s attention. Upstate previously issued
Addendum #1, which updated Attachment 2 to reflect the missing question.

35. Please confirm whether the bid opening will be conducted in person or if there is a virtual
option available. Additionally, could you provide the date of the bid opening?

Response: The public bid opening will occur on Thursday, April 17, 2025, at 2:00 PM ET. Upstate
will offer a virtual option, which may be accessed using this link:
https://events.teams.microsoft.com/event/80f5accd-e17d-43b4-806d-
784bcba4e444@5cf50a66-5e26-41dd-89f8-83cf73ffee98.

Please refer to the section 4, Bid Submission Requirements, subsection E, Bid Opening, for
further information.

36. Status Assignment at Portals of Entry: Does discharge planning start on admission?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

37. Status Assignment at Portals of Entry: Is the patient’s status and level-of-care assignment
accurate?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

38. Status Assignment at Portals of Entry: Is Utilization Review included in your transfer
processes?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

39. Utilization Management and Documentation: How are you managing observation patients
throughout the hospital?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

40. Utilization Management and Documentation: Do you have patients spend the night after
planned/scheduled outpatient procedure or surgeries such as cardiac catheterization or
laparoscopic cholecystectomies?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.
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41. Utilization Management and Documentation: Are you performing reviews for medical
necessity and reacting appropriately to support revenue cycle integrity?

Response: Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

42. Care Coordination and Discharge Planning: Does the case management department have
the right staffing and skill mix to collaboratively manage the patient’s case and plan for
discharge?

Response: Yes, however, Upstate remains committed to continuous improvement. Upstate

would like the awarded consultant to share recommendations for improvement where
applicable. Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

43. Care Coordination and Discharge Planning: Are you proactively meeting to discuss
discharge barriers?

Response: Yes, however, Upstate remains committed to continuous improvement. Upstate

would like the awarded consultant to share recommendations for improvement where
applicable. Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

44. Care Progression and Multidisciplinary Collaboration: Are multidisciplinary rounds concise
and effective in communicating the medical plan, discharge milestones and barriers?

Response: Yes, however, Upstate remains committed to continuous improvement. Upstate

would like the awarded consultant to share recommendations for improvement where
applicable. Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

45. Care Progression and Multidisciplinary Collaboration: Is there a physician escalation

process to timely resolve identified barriers?
Response: Yes, there is. However, Upstate remains committed to continuous improvement.
Upstate would like the awarded consultant to share recommendations for improvement where
applicable. Specific clinical and operational processes, including the relevant supporting data,
will be provided to the awarded consultant upon execution of the resulting agreement.

46. Physician Escalation and Governance: Do processes and culture support physician-to-
physician discussions on patient cases based on medical necessity and documentation?

Response: Yes, we have a process. However, we recognize this as an area for improvement and
would like to explore the awarded consultant’s recommendations. Specific clinical and
operational processes, including the relevant supporting data, will be provided to the awarded
consultant upon execution of the resulting agreement.

47. Data and Management Systems: Are you tracking the appropriate KPIs to drive changes?

Response: Yes, however, Upstate is looking to review this with the awarded consultant for
continuous improvement/. Specific clinical and operational processes, including the relevant
supporting data, will be provided to the awarded consultant upon execution of the resulting
agreement.

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48. Data and Management Systems: How are you communicating results and improvements to
your teams?

Response: Upstate has various platforms for communicating results and improvements,
however, this is potential area for improvements.

49. Data and Management Systems: Does Upstate currently use any advanced analytics, AI-
driven forecasting tools, or capacity management software? If so, which ones?

Response: Upstate has various platforms and tools; however, this is an area we’ve identified
where potential consolidation/integration and improvements may be achievable. Some
examples of advanced analytics include Teletracking for our Throughput Center and natural
language processing software. Specific clinical and operational processes, including the
relevant supporting data, will be provided to the awarded consultant upon execution of the
resulting agreement.

50. Emergency Department: Are there any ongoing or recently completed initiatives related to
ED optimization or inpatient capacity improvements that we should consider in our
recommendations?

Response: Upstate has requested that funding be included in New York State’s Fiscal Year 2026
Executive Budget to support an expansion of our emergency department, burn unit and operating
rooms located at our University Hospital-Downtown campus. Please see the attached news
article titled “Gov. Hochul lists $200M for SUNY Upstate Hospital expansion in budget.”

Please note, at the time of this writing New York State’s Fiscal Year 2026 Executive Budget has
NOT been approved.

51. Emergency Department: Are there specific reporting formats or dashboard tools preferred
by Upstate for tracking ED and inpatient performance improvements?

Yes. The list below is not comprehensive, however, represents some of the frequently used
formats and dashboards. Specific clinical and operational processes and tools, including the
relevant supporting data, will be provided to the awarded consultant upon execution of the
resulting agreement.
a. Bed Ready – Off The Floor (time it takes for an assigned bed to be marked clean/ready
to the time it takes for the patient to leave the ED); and
b. Boarder Hours; and
c. Left Without Being Seen; and
d. Discharge before noon; and
e. Door to needle for stroke; and
f. Door to Cath Lab for STEMI.
g. Formats include Tableau, Business Objects, EPIC reports.

52. Collective Bargaining Agreements: Are there CBAs in place? If so, which employees?

Response: Individuals employed directly by SUNY Upstate Medical University may be

represented by a collective bargaining agreement (“CBA”).
• Civil Service Employees Association – Institutional Services Unit (“CSEA – ISU”)
represents titles that provide therapeutic and custodial care. This includes titles such as
hospital attendants, nursing assistants, and medical assistants.
• Civil Service Employees Association – Administrative Services Unit (“CSEA – ASU”)
represents secretarial and clerical staff. This includes titles such as nursing station
clerks, hospital patient service clerks and supply assistants.
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 • Civil Service Employees Association – Operational Services Unit (“CSEA – OSU”)
represents craft, maintenance and repair personnel. This includes titles such as
maintenance assistants, cleaners, janitors and plant utility engineers.
• New York State Correctional Officers and Police Benevolent Association – Security
Services Unit (“NYSCOPBA”) represents state security and institutional safety
personnel. This includes titles such as hospital treatment assistant, security and safety
officer, and campus public safety offer.
• Police Benevolent Association of New York State – Agency Police Services Unit (“PBANYS
- APSU”) represents personnel who have police duties and responsibilities. This includes
titles such as university police officers and investigators.
• Public Employees Federation (“PEF”) represents staff that may be required to possess
professional experience, a license, or a degree as a prerequisite to being hired in a
represented title. This includes titles such as staff RNs and clinical leaders.
• United University Professions (“UUP”) represents faculty and professional employees
within the SUNY system. This includes titles such as physical therapist and radiology
techs.

Employees not entitled to union representation are classified as Management/Confidential

(“M/C”).

53. Collective Bargaining Agreements: Are there mandated staffing models in place for any
departments?

Response: No, we do not have mandated staffing models for any departments, nor do the
applicable CBAs require specific staffing models.

54. Collective Bargaining Agreements: Are negotiations scheduled for any bargaining units?

Response: The collective bargaining agreements for the units noted above have terms that are
set to expire in 2026. Negotiation schedules are contingent upon various factors, including the
unions, their membership, SUNY, and the State’s Office of Employee Relations. Specific
timetables for negotiations are not available.

55. Electronic Scheduling Tools: Do any of the departments included in the scope of work
utilize electronic scheduling technology?

Response: For applicable staff (e.g., nursing clinical staff), Upstate’s schedules are entered into
the Kronos workforce solution.

56. Electronic Scheduling Tools: If so, do employees have the opportunity to self-schedule?

Response: Yes, Upstate refers to it as a “shared scheduling” model and it is available to any
clinical area that wishes to use it; however, it’s not required. Specific clinical and operational
processes, including the relevant supporting data, will be provided to the awarded consultant
upon execution of the resulting agreement.

57. Acuity Measurement: Does the organization utilize a patient acuity measurement tool? If
so, which tool?

Response: The institution uses a Kronos product called OptiLink, however, it’s only used for
inpatient areas.

58. Acuity Measurement: Are these data utilized to inform staffing and scheduling?

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 Response: Yes, however, please refer to question #57 regarding present day utilization.

59. Are there any other systems, software or tools used by Upstate for workforce/human
capital management, scheduling, timekeeping, position management, and productivity
outside of UKG?

Response: PageUp (for hiring and on-boarding), AppSpace (HR employee communication
platform launching soon).

60. Are there any other systems/platforms used by Upstate for patient
communications/engagement, care management, and population health outside of Epic?

Response: No.

61. What business intelligence tools does Upstate currently use for dashboarding? Tableau,
Power BI, something else (i.e., reports generated by systems)?

Response: Upstate utilizes Tableau.

62. Does Upstate have a Command Center in-place (at one or all facilities)?

Response: Yes, Upstate operates a centralized throughput center that optimizes patient care
and coordinates patient bed flow across its two Syracuse campuses. Please see the attached
news article titled “Upstate opens Throughput Operations Center” for additional information.

63. What benchmark(s) does Upstate utilize? (EDBA? Vizient? Syntellis/Strata? PHIS, internal
benchmarking? Others?)

Response: Vizient.

64. Can you provide any additional specifics on the expected scope or activities pertaining to
'optimizing staffing' and 'resource management'? Would this be looking at productivity
metrics or the scheduling processes? Reviewing staffing grids in alignment with demand
and patient characteristics? Position management?

Response: Upstate is looking for a collaborative partnership with the awarded consultant to
review staffing models, metrics, and related activities in an effort to identify areas for
improvement. Specific clinical and operational processes, including the relevant supporting
data, will be provided to the awarded consultant upon execution of the resulting agreement.

65. Is Upstate able to provide the baseline (denominators) numbers pertaining to the Technical
Specifications so we have an understanding of magnitude and effort of the objectives set
forth? (for example, we understand 2,357 patients LWBS at the Downtown Campus (July
2025 YTD), but what is the total number of patients so we can calculate the rate?

a. What is the current ED LOS?

Location LOS
AED 10.2 hours
PED 5.9 hours
CH 7.89 hours
All combined 8.3 hours

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 b. What is the current Adult Emergency Department LWBS rate?

Please refer to the response provided to question #11.

c. What is the current Pediatric Emergency Department LWBS rate? How is the arrival time
captured? (As both peds and adults enter through the Adams St doors)

The arrival time is capture upon check in to the ED Greeter. Please refer to the response
provided to question #11.

d. What is the current Community Campus Emergency Department LWBS rate?

Please refer to the response provided to question #11.

66. Can we reference the content in Section 3 of the technical response document instead of
re-entering the information on the Bidder Qualifications Submission Form?

Response: Bidders must ensure this attachment is submitted with their proposal and the
responses provided are in the format of Attachment 2. A bidder may convert the Attachment 2
to Word for purposes of providing responses. If a bidder requires additional space to respond,
the bidder should include a note on the Attachment 2 referencing those additional pages and/or
documentation.

67. Is there an affiliation with EMS or are they facility-based? Will there be representatives
available to identify bottlenecks from their perspective and work on process
improvements?

Response: We work closely with EMS providers and there will be access to a representative.

68. Do you have a performance improvement department? What existing committees, if any,
review operational and performance improvement opportunities within the organization?

Response: Each department has performance improvement initiatives, which is overseen by

Upstate’s oversight committees. Specific clinical and operational processes, including the
relevant supporting data, will be provided to the awarded consultant upon execution of the
resulting agreement.

69. Do you have or utilize a preferred change management methodology?

Response: No.

70. Is this the first time Upstate has sought outside assistance to support this work? If not, are
the previous deliverables available for review? Why wasn't the previous effort successful?

Response: Upstate has not partnered with a consultant to support this work in the past.

71. What are the collective bargaining unit expectations for notification timeframe regarding
changes to scheduling/policy?

Response: The State’s bargaining units expect that they be engaged in active and on-going
discussions related to scheduling and or policy changes. For example, schedules for our PEF-
represented staff must be posted 30 days in advance of the pay period. Furthermore, a CBA may
require certain notification periods, however, that’s dependent on the specific bargaining unit,
the employee’s classification, and many other factors.
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72. Are patient satisfaction scores available for the children's hospital?

Response: Yes.

73. What have you felt has been successful in training staff in the past?

Response: Active and hands-on training and ensuring professional development for ongoing
training is readily available and accessible.

74. Will all training materials/courses live on your LMS?

Response: Yes.

75. Are the training materials required to be 508 compliant, SCORM compliant, or AICC
compliant?

Response: Yes.

76. Do you have OCM staff that the chosen vendor will work with? If so, what role will they play
in the change effort?

Response: Yes, we have staff involved in change management, however, the awarded consultant
with primarily work with the hospital executive team. Upstate views change management as a
potential area for improvement and wish to explore recommendations with the consultant.

77. Has there been a recent internal or external audit / survey (or a review by an accrediting
body) of Upstate ED or hospital systems that may have prompted the RFP? If yes, when and
by which organization?

Response: No, not at is relates to the scope of work requested with this RFP. Upstate’s intent is
to improve its current operations.

78. Are there any clinical affiliations, partnerships, or the like that will need to be considered
when validating the agreed upon implementation plan?

Response: SUNY Upstate has clinical affiliations with its various faculty practice plans, Upstate
University Medical Associates at Syracuse (“UUMAS”) which has oversight of the faculty practice
plans, Upstate Community Medical (“UCM”), the captive professional corporation (“PC”) which
operates at our Community campus.

79. Has an Upstate project sponsor team been identified? Will there be an executive steering
committee, and has that team been identified?

Response: Yes.

80. On Page 6&7, Bidder is requested to respond to Item j under RFP file Section 3.A: The bidder
must be able to provide up to eighteen (18) months of on-going support beyond the initial
phase of the project. For purposes of this solicitation, ongoing support shall be categorized
by various experience levels, as set forth below. These levels shall align the complexity of
tasks with the consultant’s expertise. However, Item j is not included on Page 39&40,
Attachment 2: Bidder Qualifications Submissions Form. Should the bidder add item j to
Attachment 2 to respond?

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 Response: Thank you for bringing this to Upstate’s attention. Upstate previously issued
Addendum #1, which updated Attachment 2 to reflect the missing question.

81. Is there an editable version of Page 39 & 40 - Attachment 2? If not, can the bidder convert it
to the same formatted table for editing?

Response: Only a PDF version of the solicitation document is available. Bidders must ensure
this attachment is submitted with their proposal and the responses provided are in the format of
Attachment 2. A bidder may convert the Attachment 2 to Word for purposes of providing
responses. If a bidder requires additional space to respond, the bidder should include a note on
the Attachment 2 referencing those additional pages and/or documentation.

82. On Page 22, Form 7564-107 - SDVOB Utilization Plan is required to be submitted with all bids
under Section 6. R, while it is not included on Page 37, Attachment 1: Bid Submission
Checklist. Please clarify.

Response: Thank you for bringing this to Upstate’s attention. Upstate previously issued
Addendum #1, which updated Attachment 1 to reflect the SDVOB utilization form.

83. Confirm facilities in scope include all of Upstate: University Hospital with 486 licensed beds
and Community Hospital with 314 licensed beds with the inclusion of Golisano Children's
within the UH campus.

Response: Yes, that is correct.

84. Are training plans to be documented and included in deliverables, or are training sessions
expected to be held with staff as part of the primary engagement?

Response: Training plans are expected in the deliverables.

85. Does the SUNY team have an anticipated cadence to the ongoing implementation support?

Response: Monthly reviews of progress to validate effectiveness of the plan, however Upstate is
open to flexibility if it results in improvements.

86. Are improvements as outlined in the technical specifications 'targets' or is the contractor
committing to those levels of improvement in an at-risk manner?

Response: They are intended to be targets.

87. Are the hospitals [owned] by the University and to what extent will the University be
[involved] in the contracting process and the engagement?

Response: SUNY owns both the university and the two (2) hospital campuses – they are not
distinct, separate entities. The State University of New York, through and on behalf of SUNY
Upstate Medical University, will be responsible for executing the resulting contract.

88. Regarding section 3(A)(b), specifically, what evidence must be provided to meet the
conditions set forth in this sub-section?

Response: Evidence may vary from bidder to bidder; however, some examples include sales tax
registration, Certificate of Authority, licenses/permits/certifications, articles of incorporation or
similar proof that the bidder is actively conducting business in New York State.

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89. What are the GSA per diem rates set forth for Syracuse, New York for Lodging?

Response: Per diem rates for the Syracuse, New York area may be obtained by visiting
https://www.gsa.gov/travel/plan-book/per-diem-rates.

90. Is the bidder qualification form to be submitted as an [independent] form and if the bidder
qualification form duplicates [information] already contained in the Technical Proposal are
call-outs to those sections of the Technical Proposal allowable?

Response: Yes, the Bidder Qualification form is to be submitted as an independent form. Please
refer to Attachment 1: Bidder Submission Checklist to verify the items that need to be returned
with your proposal.

Upstate prefers that direct responses be provided to each section and question in the order they
appear in the RFP. If callouts to specific exhibits, appendices, or related attachments are
necessary, bidders may do so within the applicable response(s).

91. When does a fiscal year at SUNY begin & end?

Response: SUNY’s fiscal year runs July 1 – June 30.

92. Does SUNY have a project management office (PMO) and or dedicated Process
Improvement resources and if so, how many?

Response: Project management resource will be available to support the project. The number
of resources provided will be dependent on the needs of Upstate and the awarded consultant as
the time of engagement. Upstate expects fluidity with its partnership so that we’re efficiently
dedicating resources to support this project, while also meeting our operational needs.

93. To confirm, SUNY requires wet signatures vs. e-signatures?

Response: Correct, SUNY requires wet signatures, no e-signatures (e.g., DocuSign).

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Upstate opens Throughput Operations Center | Upstate News | SUNY Upstate 3/12/25, 2:22 PM


Upstate News

Written by Darryl Geddes

Published on Thursday, February

20, 2025

News

Upstate opens Throughput Operations Center

Looking like something out of NASA’s mission control, Upstate University Hospital has opened a state-of-the-art
Throughput Operations Center (TOC) designed to optimize patient flow across its two hospital campuses
(Downtown and Community) and throughout the region with the goal of revolutionizing the way patient care is
managed, ensuring more efficient use of resources and ultimately improving patient outcomes.

The $2.38 million center, located on the first floor of Telergy Building off Carrier Circle, is chock full of technology
with 22 live feed monitors and 28 computer stations offering hospital officials a real-time view of operations,
including capacity demands, bed census, open beds, covid information and patient transport status, among other
data feeds.

The center also features live feeds of Upstate’s helipad and EMS ambulance offload bays outside the region’s only
trauma center.

“This facility is like our mission control,” said Upstate University Hospital CEO Robert Corona, DO, MBA. “It’s like
the heartbeat of the hospital. By streamlining patient flow, enhancing communication, and minimizing
bottlenecks, it enables the hospital to deliver timely, efficient care while improving patient outcomes and
operational efficiency across the board. Bringing real-time data and resources under one roof, we will ensure
patients receive the right care, at the right time, in the right setting.”

Upstate Chief Nursing Officer Scott Jessie, MSN, MBA, said this expanded Throughput Operations Center will have
a great benefit on nurses. “This Throughput Operations Center plays a critical role in enhancing the care and
efficiency that our nursing teams can provide to patients,” he said. “By streamlining patient flow and minimizing
delays in admissions, discharges, and transfers, we enable our nurses to focus on what they do best—delivering
compassionate, high-quality care.”

The Throughput Operations Center will integrate a variety of critical data streams from all areas of the hospital
system, allowing for real-time monitoring and management of patient progress. This will allow healthcare
professionals to optimize care delivery, anticipate bottlenecks, and reduce delays in patient care, resulting in a
smoother, faster experience for patients and clinicians alike.

Using integrated technologies from software provider TeleTracking Technologies Inc., the center will track patient
movement, assign appropriate resources, and monitor bed availability in real time, ensuring the most efficient
use of space and staff.

In addition to streamlining patient flow, the new command center will provide executives, clinicians, and
administrators with comprehensive analytics and dashboards, enabling real-time reporting and strategic decision-
making.

https://www.upstate.edu/news/articles/2025/2025-02-20-toc1.php Page 1 of 2

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Upstate opens Throughput Operations Center | Upstate News | SUNY Upstate 3/12/25, 2:22 PM

The center will be operational 24/7 and employ more than a dozen people. Among the professionals based at the
center will be nurses specializing in bed management, transfer center protocols, dispatchers for patient transport
services and environmental services. In the near future, the center is expected to house a dispatcher for AMR,
telehealth nurses and case managers.

In developing the center, Upstate officials visited other sites to see similar throughput centers in operation,
including Kettering Health Clinic in Ohio, Carilion Clinic in Virginia and Yale New Haven Hospital

“It was important for us to see these centers in operation and to speak with officials about what works best,” said
Kyle Choquette, MSN, MBA, associate director of nursing for throughput operations. “Understanding the
successes and challenges faced by established centers will provide invaluable insights, allowing us to build a
foundation of excellence and innovation tailored to the needs of our community."

Prior to the opening of the new Throughput Operations Center in the Telergy Building, Upstate dedicated a small
room in its basement with four monitors to track information. Choquette said that operation was key in helping
Upstate manage patient flow during the pandemic, but it no longer fulfills Upstate needs to maximize operations.

Caption: The Upstate Throughput Operations Center is chock full of technology with 22 live feed monitors and 28
computer stations offering hospital officials a real-time view of operations, including capacity demands, bed
census, open beds, covid information and patient transport status.

https://www.upstate.edu/news/articles/2025/2025-02-20-toc1.php Page 2 of 2

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Gov. Hochul lists $200M for SUNY Upstate Hospital expansion in budget 3/12/25, 2:25 PM

Gov. Hochul lists $200M for SUNY

Upstate Hospital expansion in budget
SYRACUSE, N.Y. —

Governor Kathy Hochul announced $200 million for SUNY Upstate Hospital
as part of her proposed Fiscal Year 2026 Executive Budget on Tuesday.

The money will be used to expand Upstate's emergency department, burn

unit and operating rooms.

“The $200 million outlined in the Executive Budget provides an incredible

foundation for the annex plan that will help Upstate address some of its most
pressing needs," SUNY Upstate Spokesperson Darryl Geddes said. "With
this support from Governor Hochul and the Legislature, we can begin these
essential infrastructure upgrades and recognize Upstate’s crucial role as the
region’s only Level 1 trauma center and emergency department for adults
and children.”

Previously, SUNY Upstate requested $450 million for the upgrades. In

December, 10 legislators signed a letter to Governor Hochul asking that she
approve a $450 million capital investment requested by the SUNY Board of
Trustees and argued that the hospital fills a critical role in the region and its
needs have been neglected by New York State.

You can read more details about Governor Hochul's budget at this link.

https://cnycentral.com/news/local/upstate Page 1 of 1

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