C041220 - SMI Prescreen and Eval IFB.pdf

Invitation for Bids

IFB # - C041220

Mental Health Prescreen and Evaluation Services

Issued: June 24, 2025

DESIGNATED CONTACT:

Pursuant to State Finance Law §§ 139-j and 139-k, the New York State Department of Health (hereinafter referred to as the “Department”) identifies the following designated person to whom all communications attempting to influence the Department’s conduct or decision regarding this procurement must be made.

Ryan Vandervoort Bureau of Contracts New York State Department of Health Corning Tower, Room 2827 Governor Nelson A. Rockefeller Empire State Plaza Albany, New York 12237 Telephone: 518-474-7896 Email Address: ryan.vandervoort@health.ny.gov

PERMISSIBLE SUBJECT MATTER CONTACT:

Pursuant to State Finance Law § 139-j(3)(a), the Department identifies the following allowable person to contact for communications related to the submission of written bids, written questions, pre-bid questions, and debriefings.

Jordan Gobrecht New York State Department of Health Office of Community Transitions 875 Central Avenue Albany, NY 12206 Telephone: (518) 603-3449 Email Address: commtran@health.ny.gov mailto:ryan.vandervoort@health.ny.gov mailto:commtran@health.ny.gov

TABLE OF CONTENTS

(Hyperlinked; click to go directly to desired topic)

1. CALENDAR OF EVENTS

2. OVERVIEW

2.1. Introductory Background

2.2 Important Information

2.3. Term of Agreement

3. MINIMUM QUALIFICATIONS TO BID

3.1. References

4. DETAILED SPECIFICATIONS

4.1. Service Requirement

4.2. Historical and Estimated Quantities

4.3. Security Requirements

4.4. Payment

4.5. Subcontracting

4.6. Contract Insurance Requirements

4.7. Minority & Women-Owned Business Enterprise (M/WBE) Requirements

4.8. Equal Employment Opportunity (“EEO”) Reporting

5. ADMINISTRATIVE INFORMATION

5.1. Restricted Period

5.2. Questions

5.3. Right to Modify IFB

5.4. DOH’s Reserved Rights

5.5. Freedom of Information Law (“FOIL”)

5.6. Debriefing

5.7. Protest Procedures

5.8. Piggybacking

6. BID FORMAT AND CONTENT

6.1. Mandatory Bid Requirements

6.1.2. Bidder’s Minimum Qualifications to Bid

6.1.3 References

6.1.4 Bid Form

6.1.5 Bidder’s Certified Statements

6.2. Other Bid Documents

6.2.1. Bidder’s Disclosure of Prior Non-Responsibility Determinations

6.2.2. Vendor Responsibility Questionnaire

6.2.3. Vendor Assurance of No Conflict of Interest or Detrimental Effect

6.2.4. EO 177 Prohibiting Contracts with Entities that Support Discrimination

6.2.5. Executive Order 16 Prohibiting Contracting with Businesses Conducting Business in Russia

6.2.6. M/WBE Forms

6.2.7. Encouraging Use of New York Businesses in Contract Performance

6.2.8. State Finance Law Consultant Disclosure Provisions

6.2.9. Sales and Compensating Use Tax Certification (Tax Law, § 5-a)

6.2.10. Freedom of Information Law – Bid Redactions

7. BID SUBMISSION

7.1. No Bid Form

8. METHOD OF AWARD

8.1. General Information

8.2. Submission Review

8.3. Reference Checks

8.4. Award Recommendation

ATTACHMENTS

ATTACHMENT A

BID PACKAGE CHECKLIST

ATTACHMENT B

BID FORM – IFB# C041220: Mental Health Prescreen and Evaluation Services

1. CALENDAR OF EVENTS

IFB C041220 – Mental Health Prescreen and Evaluation Services

EVENT DATE

Issuance of Invitation for Bids June 24, 2025

Deadline for Submission of Written Questions Questions Due By July 15, 2025 5:00 p.m. ET

Responses to Written Questions Posted by the Department

Responses to be Posted On or About August 13, 2025

Deadline for Submission of Bids Bids Due on Or Before Date September 3, 2025 5:00 p.m. ET

Anticipated Contract Start Date August 1, 2026

2. OVERVIEW

Through this Invitation for Bids (“IFB”), the New York State (“NYS”) Department of Health (the “Department”) is seeking competitive bids from qualified organizations to provide mental health prescreen and evaluation services for people seeking admission to Transitional Adult Homes (TAH) as further detailed in Section 4 (Detailed Specifications). It is the Department’s intent to award one (1) contract from this procurement.

2.1. Introductory Background

The Department strives to prevent the unnecessary segregation of people with Serious Mental Illness (SMI) in adult homes. Certain adult homes, predominantly located in New York City, have been found to have a high concentration of residents with SMI and are defined as Transitional Adult Homes (TAHs). A TAH is defined, per 18 NYCRR §487.3, as an adult home with a certified capacity of 80 beds or more in which 25 percent or more of the resident population are persons with serious mental illness as defined in 18 NYCRR §487.2(c). As required, TAHs must reduce the number of residents with SMI below the threshold of 25 percent in order to be considered an integrated setting. To achieve this reduction, TAHs are barred from admitting additional residents with SMI.

As regulator of adult homes, the Department developed a process to ensure Transitional Adult Homes do not unnecessarily admit additional residents with Serious Mental Illness. This process is outlined in Section 4 of this IFB and is governed by regulations at 18 NYCRR §487.4(e).

The Department seeks a vendor to respond to and fulfill preadmission requests from Transitional Adult Homes for prospective residents (applicants) to determine if applicants have a Serious Mental Illness.

2.2 Important Information

The Bidder must review, and is requested to have its legal counsel review, Attachment 8, the Department’s Agreement (Standard Contract), as the successful Bidder must be willing to enter into the Contract awarded pursuant to this IFB in the terms of Attachment 8, subject only to any https://www.nimh.nih.gov/health/statistics/mental-illness https://www.nimh.nih.gov/health/statistics/mental-illness https://govt.westlaw.com/nycrr/Document/I71fc8202a0fd11e2a69b0000845b8d3e?viewType=FullText&listSource=Search&originationContext=Search+Result&transitionType=SearchItem&contextData=(sc.Search)&navigationPath=Search%2fv1%2fresults%2fnavigation%2fi0a89945d0000019393c0dcf09f4b714c%3fppcid%3d654527eca68744ed9ffe0dc4a57b82f7%26Nav%3dNYREGULATION_PUBLICVIEW%26fragmentIdentifier%3dI71fc8202a0fd11e2a69b0000845b8d3e%26startIndex%3d1%26transitionType%3dSearchItem%26contextData%3d%2528sc.Default%2529%26originationContext%3dSearch%2520Result&list=NYREGULATION_PUBLICVIEW&rank=15&t_title=18&t_part=487 https://govt.westlaw.com/nycrr/Document/I50d04056cd1711dda432a117e6e0f345?viewType=FullText&listSource=Search&originationContext=Search+Result&transitionType=SearchItem&contextData=(sc.Search)&navigationPath=Search%2fv1%2fresults%2fnavigation%2fi0a89945d0000019393c0dcf09f4b714c%3fppcid%3d654527eca68744ed9ffe0dc4a57b82f7%26Nav%3dNYREGULATION_PUBLICVIEW%26fragmentIdentifier%3dI50d04056cd1711dda432a117e6e0f345%26startIndex%3d1%26transitionType%3dSearchItem%26contextData%3d%2528sc.Default%2529%26originationContext%3dSearch%2520Result&list=NYREGULATION_PUBLICVIEW&rank=4&t_title=18&t_part=487 https://govt.westlaw.com/nycrr/Document/I50d04056cd1711dda432a117e6e0f345?viewType=FullText&listSource=Search&originationContext=Search+Result&transitionType=SearchItem&contextData=(sc.Search)&navigationPath=Search%2fv1%2fresults%2fnavigation%2fi0a89945d0000019393c0dcf09f4b714c%3fppcid%3d654527eca68744ed9ffe0dc4a57b82f7%26Nav%3dNYREGULATION_PUBLICVIEW%26fragmentIdentifier%3dI50d04056cd1711dda432a117e6e0f345%26startIndex%3d1%26transitionType%3dSearchItem%26contextData%3d%2528sc.Default%2529%26originationContext%3dSearch%2520Result&list=NYREGULATION_PUBLICVIEW&rank=4&t_title=18&t_part=487 https://govt.westlaw.com/nycrr/Document/I50d0405ccd1711dda432a117e6e0f345?viewType=FullText&listSource=Search&originationContext=Search+Result&transitionType=SearchItem&contextData=(sc.Search)&navigationPath=Search%2fv1%2fresults%2fnavigation%2fi0a89945d0000019393c0dcf09f4b714c%3fppcid%3d654527eca68744ed9ffe0dc4a57b82f7%26Nav%3dNYREGULATION_PUBLICVIEW%26fragmentIdentifier%3dI50d0405ccd1711dda432a117e6e0f345%26startIndex%3d1%26transitionType%3dSearchItem%26contextData%3d%2528sc.Default%2529%26originationContext%3dSearch%2520Result&list=NYREGULATION_PUBLICVIEW&rank=6&t_title=18&t_part=487 https://www.health.ny.gov/funding/forms/attachment_8.pdf amendments to the Standard Contract agreed by the Department during the Question and Answer Phase of this IFB (see Section 5.2). Please note that this IFB and the awarded Bidder’s Bid will become part of the Contract as Appendix B and C, respectively.

It should be noted that Appendix A of Attachment 8, “Standard Clauses for New York State Contracts”, contains important information, terms and conditions related to the Contract to be entered into as a result of this IFB and will be incorporated, without change or amendment, into the Contract entered into between the Department and the successful Bidder. By submitting a response to this IFB, the Bidder agrees to comply with all the provisions of the Contract, including all of the provisions of Appendix A.

Note, Attachment 7, the Bidder’s Certified Statements, must be submitted by each Bidder and includes a statement that the Bidder accepts, without any added conditions, qualifications or exceptions, the contract terms and conditions contained in this IFB including any exhibits and attachments, including, without limitation, Attachment 8. It also includes a statement that the Bidder acknowledges that, should any alternative proposals or extraneous terms be submitted with its Bid, such alternate proposals or extraneous terms will not be evaluated by the Department.

Any qualifications or exceptions proposed by a Bidder to this IFB should be submitted in writing using the process set forth in Section 5.2 (Questions) prior to the deadline for submission of written questions indicated in Section 1 (Calendar of Events). Any such qualifications or exceptions that are not proposed prior to the deadline for the submission of written questions will not be considered by the Department after contract award. Any amendments the Department makes to the IFB as a result of questions and answers will be publicized on the Department’s web site and will be available and applicable to all Bidders equally.

2.3. Term of Agreement

The term of the Contract that will be entered into pursuant to this IFB between the Department and the successful Bidder is expected to be for a period of five years commencing on the date shown on the Calendar of Events in Section 1, subject to availability of sufficient funding and approvals from the New York State Attorney General (AG) and the Office of the State Comptroller (OSC).

3. MINIMUM QUALIFICATIONS TO BID

The Department will only accept Bid proposals from Bidders who meet all of the following specified minimum requirements:

• Bidder has a minimum of three years’ experience evaluating/assessing individuals suspected of having a Serious Mental Illness.

• Bidder has a minimum of three years’ experience working with and on behalf of governmental entities making and issuing determinations based on an evaluation that an individual does or does not have a Serious Mental Illness.

• Bidder has an existing web-based intake, workflow, and reporting system to support all contract deliverables.

For the purposes of this IFB, a “prime Contractor” is defined as one who, in relation to a given project, job or product, has the contract with the owner of a project or job, or entity procuring the product, and has full responsibility for the successful completion or delivery of the project or job or product pursuant to the terms of the contract.

https://www.health.ny.gov/funding/forms/attachment_7.pdf

3.1. References

Bidders must provide references using Attachment 9 (References), for three organizations for whom the bidder has provided serious mental illness prescreening evaluations, assessments, and determinations. These organizations should be current or prior (within the last five years) customers, excluding the Department as a customer. Provide firm names, addresses, contact names, telephone numbers, and email addresses.

Failure to meet these Minimum Qualifications will result in a Bid being found non-responsive and eliminated from consideration.

4. DETAILED SPECIFICATIONS

This Section describes the mental health prescreen and evaluation services that are required to be provided by the successful Bidder. The selected Bidder must be able to provide all of these products or services throughout the contract term.

PLEASE NOTE: To be considered responsive, a Bidder will be required to provide responses that address all of the requirements of this IFB as part of its Bid.

For purposes of this IFB, the terms “shall”, “must” and “will” are used interchangeably when describing the requirements for a Bidder’s responsive Bid or the Contractor’s duties under the Contract to be entered into between the Department and the successful Bidder.

4.1. Service Requirement

The Contractor must establish workflows to support the pre-screenings, mental health evaluations, and decision notifications for all TAH applicants. Specifically, the workflows must encompass the following services:

A. Prescreen The Contractor will complete the following steps associated with the prescreen phase of the preadmission process within three business days of receiving a complete referral from a TAH. If an incomplete prescreen referral is received, the Contractor must notify the requesting TAH through the system or alternate means as requested by the TAH. Only complete referrals resulting in a determination may be billed. All notifications required herein must be recorded and made available within the Contractor’s web-based system and communicated to requesting TAHs via secure email.

1. Receive referral from the requesting TAH via the contractor’s web-based system to prescreen an applicant. Complete referrals must include the applicant’s:

a. Name

b. Date of birth

c. Guardianship information, if applicable

d. Medicaid identification number, if applicable

e. Completed New York State Office of Mental Health’s Psychiatric Services and

Clinical Knowledge Enhancement System (PSYCKES) consent form

2. Access PSYCKES record for the applicant, determine the status of a mental health placement flag (“flag”), and notify the requesting TAH of the results within three business days of receiving a complete referral.

a. If a flag is present, then proceed to notify the requesting TAH that their applicant is suspected of having SMI and that a mental health evaluation must be completed if https://www.health.ny.gov/funding/forms/attachment_9.pdf chrome-extension://efaidnbmnnnibpcajpcglclefindmkaj/https:/omh.ny.gov/omhweb/psyckes_medicaid/about/psyckes_consent_form_pdf_english.pdf chrome-extension://efaidnbmnnnibpcajpcglclefindmkaj/https:/omh.ny.gov/omhweb/psyckes_medicaid/about/psyckes_consent_form_pdf_english.pdf the TAH wishes to continue with the preadmission process.

b. If a flag is not present, review the totality of the applicant’s PSYCKES record and determine:

i. If sufficient information is available to support a finding that SMI is not suspected, notify the requesting TAH that the applicant does not require the Contractor’s mental health evaluation prior to admission; or,

ii. If the information is insufficient to determine that the applicant is not suspected as having a serious mental illness, notify the requesting TAH that they have three options:

1. Provide additional information (see below Mental Health Evaluation

1. a.- g.) to the Contractor for review and determination if the applicant is suspected of having an SMI;

2. Request that the Contractor perform a mental health evaluation using DOH-Form 5075 to determine if the applicant has an SMI; or,

3. Request that the Contractor close the referral from further consideration.

B. Mental Health Evaluations Following a prescreen the TAH may submit a referral for a mental health evaluation. The Contractor will perform the following steps within seven business days of receiving a complete mental health evaluation referral from a TAH. If an incomplete mental health evaluation referral is received, the Contractor must notify the requesting TAH through the system or alternate means as requested by the TAH. Only complete referrals resulting in a determination may be billed. All notifications required herein must be recorded and made available within the Contractor’s web-based system and communicated to requesting TAHs via secure email.

1. Receive referral from the requesting TAH via the Contractor’s web-based system to perform a mental health evaluation. Complete referrals must include the applicant’s:

a. Signed NYSDOH Authorization for Release of Health Information (Including Alcohol/ Drug Treatment and Mental Health Information) and Confidential HIV/AIDS Related Information form DOH-5032 or other form as directed by the Department

b. Medical information/interview, if completed by the TAH

c. Health history and physical

d. Medical/nursing notes

e. Medication Administration Record (MAR)

f. Minimum Data Set (MDS) if applicant is in a nursing home

g. Relevant treatment notes, such as psychiatric/psychological notes

2. Schedule and perform a mental health evaluation using the Adult Care Facility Mental Health Evaluation DOH-Form 5075 or other form as directed by the Department.

a. Mental health evaluations must be face to face with the applicant on site, typically at a hospital, nursing home or community setting in the New York City area with some additional mental health evaluations scattered throughout the remainder of the State.

b. If a mental health evaluation cannot be completed face to face, permission must be requested from the Department prior to evaluating the applicant remotely.

3. Notify the requesting TAH of the mental health evaluation results within seven business days of receiving a complete referral as follows:

a. If the results confirm the applicant has an SMI, notify the requesting TAH that they may seek a waiver from the Department if they wish to continue the preadmission process; or,

b. If the results indicate the applicant does not have an SMI, notify the requesting TAH that the applicant does not require a waiver from the Department prior to admission.

chrome-extension://efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5075.pdf https://chrome-extension/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5032.pdf https://chrome-extension/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5032.pdf https://chrome-extension/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5032.pdf https://chrome-extension/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5075.pdf https://chrome-extension/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.health.ny.gov/forms/doh-5075.pdf

C. Records, System Access, and Training The Contractor will provide and maintain systems to ensure timely and effective communication with requesting TAHs and the Department to support all work outlined within the scope of this IFB.

In addition, the Contractor will ensure designated staff at TAHs, and the Department are trained on the necessary systems. Specifically, the Contractor will:

1. Maintain a secure, web-based system to collect, document, notify, and report the following:

a. TAH requests for prescreens and mental health evaluations;

b. Case record and applicant record of the prescreens;

c. Case record and applicant record of the mental health evaluations;

d. Notifications of outcomes to requesting TAHs; and,

e. Monthly reports documenting all activities.

2. Provide access to the system for requesting TAHs and designated Department staff.

3. Accommodate TAHs who request to use an alternative system for submissions such as fax or secure email.

4. Provide a toll-free phone number for use by TAHs to ask questions and receive support from the Contractor and ensure the phone number is answered during business hours.

Business hours are defined as Monday through Friday, 8 a.m. to 5 p.m., excluding State holidays.

5. Provide web-based trainings to any TAH designated staff and any designated Department staff upon their request or at the request of the Department. The Contractor will provide a web-based training at the start of the contract for all TAHs and repeat this training shortly thereafter for staff who were unable to attend the first training. The Contractor will record the first training and will provide a link to the training upon written request. Training topics will include but are not limited to how to request system access; how to access records;

how to initiate a referral; how to find the status and outcomes of referrals; and how to troubleshoot issues that may arise in utilizing the system (how to access help).

D. Quality Assurance/Process Improvement The Contractor will maintain a system to verify the appropriateness of evaluator findings and to take the appropriate corrective action, including but not limited to, individualized annual evaluator education and competency reviews (administrative and on-site reviews) necessary to support the goals of the prescreening and mental health evaluation process. The Contractor and staff assigned to work on this contract will implement and maintain policies, an internal control process for oversight and monitoring, and procedures to ensure the confidentiality of personal identifiable data and protected health information. The contractor will maintain confidentiality as it relates to HIPAA and will maintain confidentiality in collecting all information described in this IFB.

E. Staffing All prescreens and mental health evaluations must be completed by a psychiatrist or other physician, physician assistant, psychologist, nurse practitioner, registered nurse, or social worker, licensed or certified and acting within their scope of practice, who has a minimum of three years’ experience in the assessment and treatment of mental illness. The Contractor is responsible for recruiting and training appropriately trained, credentialed, and qualified individuals to perform the work outlined in Section 4. The Contractor must submit resumes of the staff hired under the terms of the contract for the Department to review prior to the start of work. The Department reserves the right to approve or disapprove any of the Contractor’s proposed staffing. The Department reserves the right to require the Contractor to replace evaluators at any time during the contract period. The Contractor has up to four weeks to submit proposed replacement candidates for the Department to approve prior to the start of work.

The Contractor must assign a high-level contract manager to oversee all required services of the contract. This person must have the authority to speak on behalf of the Contractor and will liaise with

Department staff on billing, staffing, contract deliverables, and any issues that arise during the contract term.

F. Reporting Cumulative reporting is to be provided on a monthly basis. Monthly reports must be emailed to the Department within 15 days of the close of the reporting period. All reports containing personally identifiable information or protected health information will need to be encrypted according to the Department’s security standards. Reports must include:

o Applicant’s Information First and last name Date of Birth Medicaid ID Guardianship information, if applicable Current address Phone number o Name of requesting TAH o County of requesting TAH o Review type

Preadmission screening Mental health evaluation o Case outcome Prescreening – meets SMI criteria, may not admit without an evaluation Prescreening – does not meet SMI criteria, may consider for admission Prescreening – not enough Medicaid information Mental health evaluation – does not meet SMI criteria, may consider for admission Mental health evaluation – confirmed SMI, not suitable for admission Administrative closure (case withdrawn, discharge elsewhere, insufficient information, deceased) o Turnaround Time

Date the completed referral was received o Date the requestor was notified of the outcome

G. Transition The transition represents a period when the current contract activities performed by the Contractor must be turned over to the Department, another Department agent, or successor Contractor during or at the end of the Contract Term. The Contractor must ensure that any transition to the Department, Departmental agency, or successor Contractor be done in a way that provides the Department with uninterrupted services. This includes a complete and total transfer of all data, files, reports, and records generated from the inception of the Contract through the end of the Contract to the Department or another Department agent should that be required during or upon expiration of its contract. The Contractor shall provide technical and business process support as necessary and required by the Department to transition and assume contract requirements to the Department or another Department agent should that be required during or at the end of the Contract.

The Contractor shall manage and maintain the appropriate number of staff to meet all requirements listed in the IFB during the transition. All reporting and record requirements, security standards, and performance standards are still in effect during the transition period. The Contractor is required to develop a work plan and timeline to securely and smoothly transfer any data and records generated from the inception of the Contract through the end of the Contract to the Department or another Department agent should that be required during or upon expiration of its Contract. The plan and documentation must be submitted to the Department no later than twelve months before the last day of its Contract with the Department of Health or upon request of the Department.

4.2. Historical and Estimated Quantities

The number of completed referrals (for prescreens or mental health evaluations) can vary depending on the number of TAHs and admission trends. In 2022, there were approximately 23 TAHs; in 2023, there were approximately 18 TAHs; and in 2024, there are approximately 14 TAHs.

Average Monthly Volume of Completed Referrals 2022 2023 2024 Completed Prescreen Referrals 154 144 182 Completed Mental Health Evaluation Referrals 28 25 41

On average, email volume is a total of 300 inbound and outbound emails monthly, and the average monthly call volume is 50-70 calls (includes both inbound and outbound).

The Contractor must be able to complete approximately 2,400 prescreen referrals annually, approximately 600 mental health evaluation referrals annually, and handle approximately 4,000 inbound/outbound emails and 800 inbound/outbound calls annually. There is no guarantee of work and the Contractor will only be paid for the actual number of completed prescreen referrals and completed mental health evaluation referrals.

4.3. Security Requirements

The application and all systems and components supporting it, including, but not limited to, any forms and databases that include Personal Health, Personal Identification or other New York State information, must comply with all NYS security policies and standards listed at http://its.ny.gov/tables/technologypolicyindex.htm.

The selected Contractor shall comply with all privacy and security policies and procedures of the Department (https://its.ny.gov/policies) and applicable State and Federal law and administrative guidance with respect to the performance of the Contract. The Contractor is required, if applicable, to execute a number of security and privacy agreements with the Department including a Business Associate Agreement (Appendix H) and a Data Use Agreement (DUA) at contract signing.

The Contractor is expected to provide secure and confidential backup, storage and transmission for hard copy and electronically stored information. Under no circumstances will any records be released to any person, agency, or organization without specific written permission of the Department. The Contractor is obligated to ensure any Subcontractor hired by Contractor who stores, processes, analyzes or transmits MCD on behalf of Contractor has the appropriate security requirements in place. The Contractor is required to include in all subcontracts and Business Associate Agreements with their Subcontractors language surrounding the security and privacy requirements as well as the language contained in the Confidentiality Language for Third Parties section of the DUA. If any breach or suspected breach of the data or confidentiality occurs, whether the breach occurred with the Contractor or Subcontractor, the Department must be notified immediately.

The Contractor is required to maintain and provide to the Department upon request their data confidentiality plans and procedures for as well as a plan for meeting Health Insurance Portability and Accountability Act (HIPAA) requirements as they relate to the deliverables and services within this IFB, including all plans as they relate to subcontractor work where applicable.

The Contractor will develop and maintain adequate fully trained staff to respond to all stakeholder inquiries while protecting confidentiality and maintaining the security and integrity of all systems.

Staff must be trained to understand and observe requirements related to confidentiality and operating guidelines for functions included in this IFB.

http://its.ny.gov/tables/technologypolicyindex.htm https://its.ny.gov/policies

The Contractor will comply fully with all current and future updates of the security procedures of the Department as well as with all applicable State and Federal requirements, in performance of the Contract. Within the first 60 days of the contract start date, the Contractor must provide to the Department for approval a security plan that describes their security and compliance with all applicable New York State Information Technology Services (ITS) security policies and standards (http://its.ny.gov/eiso/policies/security), including, but not limited to:

• NYS-P10-006 – Identity Assurance Policy

• NYS-S13-001 – Secure System Development Life Cycle Standard

• NYS-S13-002 – Secure Coding Standard (if applicable)

• NYS-S13-004 – Identity Assurance Standard

• NYS-S14-003 – Information Security Controls Standard

• NYS-S14-005 – Security Logging Standard

• NYS-S14-007 – Encryption Standard

• NYS-S14-013 – Account Management / Access Control Standard

• NYS-S15-001 – Patch Management Standard (if applicable)

• NYS-S15-002 – Vulnerability Scanning Standard

4.4. Payment

Payment of invoices and/or vouchers submitted by the successful Bidder pursuant to the terms of the Contract entered into pursuant to this IFB by the Department shall be made in accordance with Article XI-A of the New York State Finance Law.

The Contractor shall submit invoices and/or vouchers to the State's designated payment office:

Preferred Method: Email a .pdf copy of your signed voucher to the BSC at:

AccountsPayable@ogs.ny.gov with a subject field as follows:

Subject: Unit ID: 3450503 Contract # C041220

Alternate Method: Mail vouchers to BSC at the following U.S. postal address:

NYS Department of Health Unit ID 3450503 c/o NYS OGS BSC Accounts Payable Building 5, 5th Floor, 1220 Washington Ave.

Albany, NY 12226-1900

Payment for invoices and/or vouchers submitted by the CONTRACTOR shall only be rendered electronically unless payment by paper check is expressly authorized by the Commissioner, in the Commissioner's sole discretion, due to extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State procedures and practices. The CONTRACTOR shall comply with the State Comptroller's procedures to authorize electronic payments. Authorization forms are available at the State Comptroller's website at www.osc.state.ny.us/epay/index.htm, by email at epayments@osc.state.ny.us or by telephone at 518-474-6019. The CONTRACTOR acknowledges that it will not receive payment on any invoices and/or vouchers submitted under this Contract if it does not comply with the State Comptroller's electronic payment procedures, except where the Commissioner has expressly authorized payment by paper check as set forth above. In addition to the Electronic Payment Authorization Form, a Substitute Form W-9 must be on file with the Office of the State Comptroller, Bureau of Accounting Operations. Additional information and procedures or enrollment can be found at http://www.osc.state.ny.us/epay.

Completed W-9 forms should be submitted to the following address:

NYS Office of the State Comptroller Bureau of Accounting Operations Warrant & Payment Control Unit http://its.ny.gov/eiso/policies/security http://www.osc.state.ny.us/epay

110 State Street, 9th Floor Albany, NY 12236

Payment of such invoices and/or vouchers by the State (NYS Department of Health) shall be made in accordance with Article XI-A of the New York State Finance Law.

Payment will be made monthly, upon receipt of voucher and supporting documentation of completion of preadmission screens and mental health evaluations and required reports (see Section 4.1.F Reporting), as required by the State.

4.5. Subcontracting

Bidders may propose the use of a subcontractor. The Contractor shall obtain prior written approval from the Department before entering into an agreement for services to be provided by a subcontractor. The Contractor is solely responsible for assuring that all the requirements of the IFB is met. All subcontracts shall contain provisions specifying that the work performed by the subcontractor must be in accordance with the terms of the prime contract, and that the subcontractor specifically agrees to be bound by the confidentiality provisions set forth in the agreement between the Department and the Contractor. The Department reserves the right to request removal of any Bidder’s staff or subcontractor’s staff if, in the Department’s discretion, such staff is not performing in accordance with the Agreement.

NOTE: Subcontractors whose contracts are valued at or above $100,000 will be required to submit the Vendor Responsibility Questionnaire upon selection of the prime Contractor.

4.6. Contract Insurance Requirements

Prior to the start of work under this Contract, the Contractor shall procure, at its sole cost and expense, and shall maintain in force at all times during the term of this Contract, insurance of the types and in the amounts set forth in Attachment 8, the New York State Department of Health Contract, Section IV. Contract Insurance Requirements as well as below.

Data Breach and Privacy Liability Insurance (Cyber Insurance):

The Contractor shall carry and maintain applicable coverage during and for a period of one (1) year after completion of this contract, Data Breach and Privacy/Cyber Liability Insurance, including coverage for failure to protect confidential information and failure of the security of the Contractor’s computer systems, the Department’s 21 Authorized Users’ systems, or other State computer systems and programs including but not limited to the Office of Mental Health’s PSYCKES Database, due to the actions of the Contractor which results in the unauthorized access to the State’s data. Said insurance shall be maintained in the following limits, as applicable:

Data Breach and Privacy/Cyber Liability Software - $1,000,000 Hardware - $1,000,000 Cloud *

Low Risk - $2,000,000 Moderate Risk - $5,000,000 High Risk - $10,000,000

Implementation - $1,000,000

* See NYS-S14-002 Information Classification Standard for additional information relating to risk categories.

The Contractor must maintain minimum insurance coverage for the level of risk for which the Contractor provides Products and submit documentation in accordance with the terms of this https://its.ny.gov/information-classification

Contract. Said Insurance shall provide coverage for damages arising from, but not limited to the following:

- Breach of duty to protect the security and confidentiality of nonpublic proprietary corporate information;

- Personally identifiable information (PII) (e.g., medical, financial, or personal in nature in electronic or non-electronic form);

- Privacy notification costs;

- Regulatory defense and penalties;

- Website media liability; and,

- Cyber theft of customer’s property, including but not limited to money and securities.

If the policy is written on a Claims-Made basis, the Contractor must submit to the Agency an Endorsement providing proof that the policy provides the option to purchase Tail Coverage for no less than one (1) year after work is completed in the event that coverage is canceled or not renewed. This requirement applies to both primary and Excess Liability Policies, as applicable.

Technology Errors and Omissions Liability Insurance:

The Contractor shall maintain, during the term of the contract, Technology Errors and Omissions Liability Insurance for Claims for damages arising from professional errors, acts, or omissions arising out of computer related services including, but not limited to, the following: consulting, data processing, programming, system integration, hardware or software development, installation, distribution or maintenance, systems analysis or design, training, staffing or other support services, any electronic equipment, and computer software developed, manufactured, distributed, licensed, marketed or sold. The policy shall include coverage for third-party fidelity including cyber theft. If the policy is written on a Claims-Made basis, the Contractor must provide to the Agency proof that the policy provides the option to purchase Tail Coverage providing coverage for no less than one

(1) year after work is completed in the event that coverage is canceled or not renewed. This requirement applies to both primary and Excess Liability Policies, as applicable.

Professional Liability:

The Contractor, and any subcontractor retained by the Contractor to work on the Contract to which such insurance coverage may be applicable, shall procure and maintain during and for a period of three (3) years after completion of the Contract, Professional Liability Insurance/Errors and Omissions Liability Insurance in the amount of $2,000,000 issued to, and covering damage for liability imposed on, the Contractor (or applicable subcontractor) by the Contract or law arising out of any negligent act, error, or omission in the rending of or failure to render professional services required by the Contract. The Professional Liability Insurance/Errors and Omissions Liability Insurance may be issued on a Claims-Made Policy form, in which case the Contractor (or applicable subcontractor) shall purchase, at its sole expense, Tail Coverage of up to three (3) years after work is completed if coverage is cancelled or not renewed.

4.7. Minority & Women-Owned Business Enterprise (M/WBE) Requirements Pursuant to New York State Executive Law Article 15-A, the Department recognizes its obligation to promote opportunities for maximum feasible participation of certified minority-and woman-owned business enterprises and the employment of minority group members and women in the performance of the Department’s contracts.

Business Participation Opportunities for M/WBEs

For purposes of this RFP, the Department hereby establishes an overall goal of 30% for M/WBE participation, 15% for Minority-Owned Business Enterprises (“MBEs”) participation and 15% for Women-Owned Business Enterprises (“WBEs”), based on the current availability of qualified MBEs and WBEs and outreach efforts to certified M/WBE firms. The successful Bidder who becomes the Contractor under the Contract entered into with the Department pursuant to this RFP must document good faith efforts to provide meaningful participation by M/WBEs as subcontractors or suppliers in the performance of the Contract consistent with the M/WBE participation goals established for this procurement, and the Contractor must agree that the Department may withhold payment pending receipt of the required M/WBE documentation. For guidance on how the Department will determine “good faith efforts,” refer to 5 NYCRR §142.8.

The directory of New York State Certified M/WBEs can be viewed at:

https://ny.newnycontracts.com/. The directory is found in the upper right-hand side of the webpage under “Search for Certified Firms” and accessed by clicking on the link entitled “MWBE Directory”.

Engaging with firms found in the directory with like product(s) and/or service(s) is required, and all communication efforts and responses should be well documented to establish the Contractor’s “good faith efforts”.

By submitting a Bid in response to this IFB, for contracts with an MWBE goal above, a Bidder agrees to complete and submit an M/WBE Utilization Plan (Attachment 5, Form #1) prior to award.

The Department will review the submitted M/WBE Utilization Plan. If the Plan is not accepted, the Department may issue a notice of deficiency. If a notice of deficiency is issued, Bidder agrees that it shall respond to the notice of deficiency within seven (7) business days after Bidder’s receipt of such notice.

The Department may disqualify a Bidder as being non-responsive to this IFB under the following circumstances:

a) If a Bidder fails to submit a M/WBE Utilization Plan;

b) If a Bidder fails to submit a written remedy to a notice of deficiency;

c) If a Bidder fails to submit a request for waiver (if applicable); or

d) If the Department determines that the Bidder has failed to document good-faith efforts to provide meaningful participation by M/WBEs under the Contract in accordance with the goals for this RFP established by the Department.

The Contractor will be required to attempt to utilize, in good faith, any MBE or WBE identified in its M/WBE Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract Award may be made at any time during the term of the Contract to the Department but must be made no later than prior to the submission of a request for final payment on the Contract.

The Contractor will be required to submit a Contractor’s Quarterly M/WBE Contractor Compliance & Payment Report to the Department, by the 10th day following each end of quarter over the term of the Contract, documenting the progress made toward achievement of the M/WBE goals of the Contract.

If (a) the Department determines that the Contractor is not in compliance with the M/WBE requirements of the Contract and the Contractor refuses to comply with such requirements, or (b) the Department finds that the Contractor has willfully and intentionally failed to comply with the M/WBE participation goals established in the Contract, the Contractor may be required to pay to the Department liquidated damages and will be considered during future Vendor Responsibility Profile reviews should the bidder bid on future opportunities with the Department https://ny.newnycontracts.com/ https://www.health.ny.gov/funding/forms/attachment_5.pdf

Such liquidated damages shall be calculated as an amount equaling the difference between: (1) all sums identified for payment to M/WBEs had the Contractor achieved the contractual M/WBE goals; and (2) all sums actually paid to M/WBEs for work performed or materials supplied under the Contract.

A New York State certified Minority- and Women-Owned Businesses (M/WBE) may request that their firm’s contact information be included on a list of M/WBE firms interested in serving as a subcontractor for this procurement. The listing will be publicly posted on the Department’s website for reference by the bidding community. A firm requesting inclusion on this list should send contact information and a copy of its NYS M/WBE certification to commtran@health.ny.gov before the Deadline for Questions as specified in Section 1. (Calendar of Events). Nothing prohibits an M/WBE Vendor from proposing as a prime Contractor.

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.)

4.8. Equal Employment Opportunity (“EEO”) Reporting

By submission of a bid in response to this solicitation, the Bidder agrees with all of the terms and conditions of Attachment 8, Appendix A, including Clause 12 - Equal Employment Opportunities for Minorities and Women. Additionally, the successful bidder will be required to certify they have an acceptable Equal Employment Opportunity (“EEO”) policy statement in accordance with Section III of Appendix M in Attachment 8.

Further, 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.

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, 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.

To ensure compliance with this Section, the Bidder should submit, with the bid or proposal, an Equal Employment Opportunity Staffing Plan (Attachment 5, Form #4) identifying the anticipated work force to be utilized on the Contract. Additionally, the Bidder should submit a Minority and Women-Owned Business Enterprises and Equal Employment Opportunity Policy Statement (Attachment 5, Form # 5), to the Department with their bid.

bookmark://_CALENDAR_OF_EVENTS/ https://www.health.ny.gov/funding/forms/attachment_8.pdf https://www.health.ny.gov/funding/forms/attachment_8.pdf

5. ADMINISTRATIVE INFORMATION

The following administrative requirements, terms and information will apply to this IFB. Failure to comply fully with any of these requirements or terms, or this information, may result in disqualification of a Bidder’s Bid.

5.1. Restricted Period

“Restricted Period” means the period of time (a) commencing with the earliest written notice, advertisement, or solicitation of this Invitation for Bids, soliciting a response from Bidders and intending to result in a procurement contract with the Department and (b) ending with the final Contract award and approval by the Office of the State Comptroller.

Pursuant to State Finance Law Sections 139-j and 139-k, the Department has identified a “Designated Contact” and a “Permissible Subject Matter Contact” on the Face Page of this IFB to whom all communications with regard to this procurement during the Restricted Period must be made.

During the Restricted Period of this IFB, any oral, written, or electronic communication between a potential Bidder and the Department, except communications between a potential Bidder and the Designated Contact or the Permissible Subject Matter Contact specified on the Cover Page of this IFB, under circumstances where a reasonable person would infer that the communication was intended to influence this procurement, is prohibited by law. The violation of the requirements described in this Section may be grounds for a determination that a Bidder is non-responsible and therefore ineligible for a contract award pursuant to this IFB. Two violations within four years of the rules against impermissible contacts during a “Restricted Period” may result in the violator being debarred from participating in all procurements by New York State agencies and authorities for a period of four years.

5.2. Questions

Potential Bidders may submit written questions and requests for clarification pertaining to this IFB between the issuance of this IFB and the deadline for the submission of written questions specified in Section 1 (Calendar of Events). All questions and requests for clarification of this IFB should cite the relevant IFB, including the IFB number and title (IFB #C041220 – Mental Health Prescreen and Evaluation Services), the section and paragraph number of this IFB or of the Attachment to this IFB to which the question relates, where applicable, and must be submitted via email to commtran@health.ny.gov no later than the Deadline for Submission of Written Questions specified in Section 1 (Calendar of Events). Questions received after the deadline may not be answered.

If a potential Bidder discovers any ambiguity, conflict, discrepancy, omission, or other apparent error in this IFB, the Bidder shall immediately notify the Department of such error in writing at commtran@health.ny.gov and request that the Department clarify or modify the Terms of this IFB.

If, prior to the deadline for the Submission of Bids, a Bidder fails to notify the Department of a known error or an error that reasonably should have been known, the Bidder shall assume the risk of bidding notwithstanding such apparent ambiguity, conflict, discrepancy, omission or other error.

If awarded the Contract pursuant to the terms of this IFB, the Bidder shall not be entitled to an amendment to the terms of the Contract to correct or clarify any such ambiguity, conflict, discrepancy,…