For your assigned sections, review the request for proposal (RFP). A

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New York State

Office for People With Developmental Disabilities (OPWDD)

Division of Service Delivery

Andrew M. Cuomo

Governor

REQUEST FOR PROPOSAL (RFP)

ELECTRONIC HEALTH RECORD

Prepared by:

Assistant Deputy Commissioner

NYS OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES

Division of Service Delivery

44 Holland Avenue

Albany, NY 12229

Revised October 15, 2014.

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Table of Contents

Section 1: Overview ……………………………………………………………………………………………………………………………………… 6

1.1 Purpose …………………………………………………………………………………………………………………………. 6

1.2 Background …………………………………………………………………………………………………………………… 6

1.3 Current Technology Environment …………………………………………………………………………………. 7

Section 2: Procurement Information and Requirements ………………………………………………………………………………. 10

2.1 Title of the RFP …………………………………………………………………………………………………………….. 10

2.2 Issuing Agency ………………………………………………………………………………………………………………. 10

2.3 Contract Duration …………………………………………………………………………………………………………. 10

2.4 Closing Date for Bidders’ Questions ………………………………………………………………………………. 10

2.5 Bidders Conference ……………………………………………………………………………………………………….. 10

2.6 Date for Response to Questions ……………………………………………………………………………………… 10

2.7 Primary Point of Contact ………………………………………………………………………………………………. 11

2.8 Procurement Timetable …………………………………………………………………………………………………. 12

2.9 Letters of Intent …………………………………………………………………………………………………………….. 12

2.10 Proposal Delivery Instructions ……………………………………………………………………………………….. 13

2.11 Late Bids ………………………………………………………………………………………………………………………. 13

2.12 Bidder Covenant …………………………………………………………………………………………………………… 14

2.13 Offeror/ Vendor Presentations ……………………………………………………………………………………….. 14

2.14 OPWDD Rights Declaration ………………………………………………………………………………………….. 14

2.15 Right to Information ……………………………………………………………………………………………………… 14

2.16 Incurred Costs ………………………………………………………………………………………………………………. 16

2.17 Content of Proposals ……………………………………………………………………………………………………… 16

2.18 Period of Validity ………………………………………………………………………………………………………….. 16

2.19 Public Information Requirements ………………………………………………………………………………….. 16

2.20 Notification of Award ……………………………………………………………………………………………………. 16

2.21 Debriefing Procedures …………………………………………………………………………………………………… 16

2.22 Prime Contractor Responsibilities ………………………………………………………………………………….. 17

2.23 Contract ……………………………………………………………………………………………………………………….. 17

2.24 Award Contract in Event of Unsuccessful Negotiation ……………………………………………………. 17

2.25 Federal Requirements ……………………………………………………………………………………………………. 17

2.26 Multi-Agency and Local Human Services District/County Use ………………………………………… 19

2.27 Order of Precedence ……………………………………………………………………………………………………… 19

2.28 Contacts with Employees ……………………………………………………………………………………………….. 19

2.29 Public Officers Law……………………………………………………………………………………………………….. 19

2.30 Omnibus Procurement Act …………………………………………………………………………………………….. 19

2.31 Information Technology Services Review ……………………………………………………………………….. 20

2.32 Procedure for Handling of Protests/Appeals of Bid Specifications and Proposed Awards …. 20

2.33 Reservation of Rights and Responsibilities of the OPWDD ……………………………………………… 21

2.34 Procurement Activity Prior to Final Protest Activity ………………………………………………………. 21

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2.35 Record Retention of Bid Protests ……………………………………………………………………………………. 22

2.36 Information Security Breach and Notification Act ………………………………………………………….. 22

2.37 New York State Sales and Compensating Use Taxes ……………………………………………………….. 22

2.38 Vendor Responsibility ……………………………………………………………………………………………………. 22

2.39 Suspension of Work (for Non-Responsibility) …………………………………………………………………. 23

2.40 Termination (for Non-Responsibility) …………………………………………………………………………….. 23

2.41 Workers’ Compensation Contract Requirements …………………………………………………………… 23

2.42 Minority and Women-Owned Business Enterprises (MWBE) …………………………………………. 23

2.43 MWBE Reporting Requirements and Forms ………………………………………………………………….. 24

2.44 Vendor Responsibility Status …………………………………………………………………………………………. 24

2.45 Tax Provisions ………………………………………………………………………………………………………………. 24

2.46 Security Breach Notification ………………………………………………………………………………………….. 25

2.47 Termination ………………………………………………………………………………………………………………….. 25

2.48 Contractor Transition Responsibilities …………………………………………………………………………… 26

Section 3. Project scope ………………………………………………………………………………………………………………………………. 27

3.1 Functions ………………………………………………………………………………………………………………………. 27

3.2 Electronic Health Record. ……………………………………………………………………………………………… 27

3.2.1 Data integration from existing systems. …………………………………………………………………. 28

3.2.2 Assessments. ………………………………………………………………………………………………………… 28

3.2.3 Electronic Individualized Service Plan (eISP). ………………………………………………………. 30

3.2.4 Service Monitoring and Recording. ………………………………………………………………………. 30

3.2.5 Self-Directed Care and Portal. ……………………………………………………………………………… 31

3.2.6 Quality Assurance Activities. ………………………………………………………………………………… 31

3.2.7 Financial Tracking and Billing. …………………………………………………………………………….. 31

3.2.8 Analytical and Reporting Requirements. ………………………………………………………………. 32

3.2.9 Federally Certified Medical Electronic Health Record. ………………………………………….. 32

3.2.10 HIPAA Security and Confidentiality. ……………………………………………………………………. 32

3.2.11 System Performance. …………………………………………………………………………………………. 33

3.2.12 System Interoperability Requirements. …………………………………………………………………….. 33

3.2.14 Mandatory Deliverable 1: System Modifications and Acceptance Testing. …………………. 34

3.2.16 Mandatory Deliverable 3: Successful Full Implementation (Full Rollout). ……………… 35

3.3 Data Conversion Requirements. …………………………………………………………………………………….. 38

3.4 Development Lifecycle. ………………………………………………………………………………………………….. 38

3.5 Implementation Plan. …………………………………………………………………………………………………….. 39

3.6 Training Plan. ……………………………………………………………………………………………………………….. 39

3.7 System Maintenance and Help Desk Support. ………………………………………………………………… 40

3.8 Additional Services Change Orders: ………………………………………………………………………………. 41

3.9 Change Order Project Schedule. ……………………………………………………………………………………. 41

3.10 Issuance of Change Orders ……………………………………………………………………………………………. 41

3.11 Testing and Acceptance. ………………………………………………………………………………………………… 42

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3.12 Virus Warranty. ……………………………………………………………………………………………………………. 43

3.13 Date/Time Warranty. …………………………………………………………………………………………………….. 43

3.14 Vulnerability Assessment ………………………………………………………………………………………………. 43

3.15 Penalties for vulnerabilities. …………………………………………………………………………………………… 43

3.16 Penalties for System Downtime and Incident Resolution. ………………………………………………… 44

3.17 Dispute Procedure …………………………………………………………………………………………………………. 44

Section 4. MANDATORY BIDDER REQUIREMENTS ……………………………………………………………………………….. 45

4.1 Qualifications of Prospective Bidders. ……………………………………………………………………………. 45

4.2 Structure of Bid. ……………………………………………………………………………………………………………. 45

4.3 Non-responsive determination. ………………………………………………………………………………………. 45

Section 5. COVER LETTER SUBMISSION ………………………………………………………………………………………………… 46

5.1 Cover Letter Requirement. ……………………………………………………………………………………………. 46

5.2 Check List of Submission Requirements. ……………………………………………………………………….. 47

Section 6. TECHNICAL PROPOSAL SUBMISSION ………………………………………………………………………………….. 48

6.1 Technical Proposal. ……………………………………………………………………………………………………….. 48

6.1.1 Bidder Experience and Qualifications …………………………………………………………………… 48

6.1.2 Application Processing Capabilities and Proposed Solution …………………………………… 49

6.1.3 Proposed Implementation Plan …………………………………………………………………………….. 50

6.1.4 Training Plan ………………………………………………………………………………………………………. 51

Section 7. COST PROPOSAL REQUIREMENTS………………………………………………………………………………………… 53

7.1 Cost Proposal ………………………………………………………………………………………………………………… 53

7.2 Most Favored Nation Clause: ………………………………………………………………………………………… 53

7.3 Extension of Use (Piggybacking): …………………………………………………………………………………… 53

Section 8. EVALUATION OF PROPOSALS ……………………………………………………………………………………………….. 54

8.1 Evaluation Method. ……………………………………………………………………………………………………….. 54

8.2 Evaluation Process. ……………………………………………………………………………………………………….. 54

8.3 Level 1: Mandatory Requirements. ……………………………………………………………………………….. 54

8.4 Level 2: Technical Evaluation. ……………………………………………………………………………………….. 54

8.4.1 Bidder’s Experience and Qualifications. …………………………………………………………………. 55

8.4.2 Effectiveness of Proposed Project Application Solution in Meeting OPWDD’s Needs. … 55

8.4.3 Proposed Implementation Plan. ……………………………………………………………………………… 55

8.4.4 Training Proposal ………………………………………………………………………………………………… 56

8.5 Level 3: Cost Evaluation ……………………………………………………………………………………………….. 56

8.6 Level 4: Oral Presentation …………………………………………………………………………………………….. 56

8.7 Tie Bids …………………………………………………………………………………………………………………………. 56

Section 9. CONTRACT AWARD ………………………………………………………………………………………………………………… 58

9.1 Period of Contract Award. …………………………………………………………………………………………….. 58

9.2 Contract Renewal. …………………………………………………………………………………………………………. 58

9.3 Notification of Award. …………………………………………………………………………………………………… 58

9.4 Debriefing Unsuccessful Bidders. …………………………………………………………………………………… 58

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9.5 Expenses Prior Contract. ……………………………………………………………………………………………….. 58

9.6 Contract Negotiations and Approval. …………………………………………………………………………….. 58

9.7 Rights to Materials Produced. ……………………………………………………………………………………….. 58

APPENDIX A …………………………………………………………………………………………………………………………………………… 59

APPENDIX A: SUPPLEMENT …………………………………………………………………………………………………………………….. 68

ADDENDUM TO APPENDIX A: SUPPLEMENT ………………………………………………………………………………………. 71

Appendix B ………………………………………………………………………………………………………………………………………………….. 82

Appendix C ………………………………………………………………………………………………………………………………………………… 87

Appendix D …………………………………………………………………………………………………………………………………………………. 88

Appendix E …………………………………………………………………………………………………………………………………………………. 90

Appendix F …………………………………………………………………………………………………………………………………………………. 91

Appendix G ………………………………………………………………………………………………………………………………………………… 92

Appendix H ………………………………………………………………………………………………………………………………………………… 93

Appendix I ………………………………………………………………………………………………………………………………………………….. 94

Section 10. ATTACHMENTS ……………………………………………………………………………………………………………………… 99

Attachment 1……………………………………………………………………………………………………………………………… 100

Attachment 2……………………………………………………………………………………………………………………………… 101

Attachment 3……………………………………………………………………………………………………………………………… 102

Attachment 4……………………………………………………………………………………………………………………………… 128

Attachment 5……………………………………………………………………………………………………………………………… 129

Attachment 6……………………………………………………………………………………………………………………………… 134

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Section 1: Overview

1.1 Purpose

The New York State Office for People With Developmental Disabilities (OPWDD) is seeking proposals

for a Vendor–hosted automated electronic health record for OPWDD’s state-run and operated residential,

clinic, and day service systems. Proposals are limited to Bidders with existing comprehensive electronic

heath record systems that:

 Serve the unique needs of individuals with developmental disabilities.

 Are federally certified as meeting federal meaningful use (stage one and stage two) standards or

are seeking federal certification.

 Have experience hosting an Electronic Health Record (EHR) application.

 Has been successfully implemented in at least one other organization serving individuals with

developmental disabilities.

 Can be accessed by employees, individuals/families receiving services, and other healthcare

providers.

The successful Bidder will be responsible for software customization, data conversion, maintenance, and

OPWDD staff training in the use of the application. It is anticipated that OPWDD will implement the

system initially in Region 3 (see http://www.opwdd.ny.gov/node/1211 ). This initial implementation in

only Region 3 will be the pilot phase which will provide an opportunity to identify and remediate any

potential problems or issues related to system implementation. Upon successful completion of the pilot

phase, the Bidder will phase in implementation at remaining sites across New York State.

All data accessed under the contract with the successful Bidder must remain in the United States.

1.2 Background

The New York State Office for People with Developmental Disabilities (OPWDD) is a New York State

executive agency responsible for the provision, regulation and oversight of services to New York citizens

with developmental disabilities. Individuals served by OPWDD have a documented history of

experiencing diagnoses which could include, but are not necessarily limited to, intellectual disabilities,

cerebral palsy, epilepsy, neurological impairments, or autism spectrum disorders.

OPWDD operates as either a direct service provider through state operations or oversees and monitors

services delivered by an extensive network of more than 800 not-for-profit service providers who employ

more than 70,000 people. More than 126,000 New York citizens are served by either state operated,

voluntary, or the combined public/private service system. OPWDD has extensive investment in

stakeholder groups comprised of self-advocates, families, advocates, state and local human service

agencies, state and local government, and the business community. It is overseen by a host of federal,

state, and other oversight agencies.

The OPWDD State Operations system is divided into six regions, each having two districts with the

exception of the Region 5 which covers the New York City area (see

http://www.opwdd.ny.gov/node/1211 ). There are approximately 22,000 OPWDD employees, of which

approximately 50-75% will directly access and utilize an EHR, although employee user roles and access

authorization will vary by job function.

As a direct care provider, OPWDD performs a major role within New York’s service system.

Approximately 34,000 individuals receive services solely from OPWDD and an additional 28,000

individuals’ services plans involve both OPWDD and voluntary agency programs. Settings in which

OPWDD services are provided include:

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 Home: Many individuals served by OPWDD chose to live at home which could include their

own home, apartment, or the home of a family member. Services and supports are placed into the

home so the person can live as independently as possible. The types of services and supports

provided vary and are based on the individual’s needs.

 Family Care- Certified Private Home: Individuals may choose to live in a home that is certified

through OPWDD. Services can be provided by a family member or a house parent with other

providers offering supports and services as needed.

 Supervised Community Residence: In this environment individuals have access to a supervised

and supportive environment that can include staff available up to 24 hours a day depending on the

individual’s need. The residence offers a “home like” atmosphere with supports offered so

individuals can access independent and community-integrated living. The extent of the supports

provided varies depending on the individual’s needs.

 Individualized Residential Alternative (IRA): Individuals served through an IRA reside in a

community home where they receive room, board, and individualized services. These programs

offer 24 hour staff support and supervision.

 Intermediate Care Facility (ICF): Individuals served through an ICF typically cannot live

independently and therefore have a need for supervision, structure, and support that is more

intensive than in other settings. Individuals receive a variety of therapies and day services as well

as 24 hour staff support and supervision. Intensive clinical and direct support services are

provided to assist with adaptive, medical, and behavioral needs.

 Article 16 Clinics: Article 16 Clinics provide a wide array of clinical services to individuals.

Clinical services could include rehabilitation/habilitation services, medical/dental services,

pharmacy, medication management, and health care services which could include nursing,

dietetics and nutrition, occupational and physical therapy (OT/PT), speech and language

pathology, audiology, podiatry, psychology, and rehabilitative counseling. Clinical services

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