County of Glenn
Enterprise Document Management System (EDMS)
REQUEST FOR PROPOSAL
Glenn County Information Services Committee County of Glenn 525 West Sycamore Street Willows, CA 95988 Main Phone: 530‐934‐6514 Fax: 530‐934‐6521 [email protected] www.countyofglenn.netTable of Contents
1. Purpose ... 4
2. Company Information & Background ... 4
3. Project Description ... 4
a. Project Goals and Objectives ... 4
b. Project Background ... 4
c. Network and Information Systems Architecture ... 5
Section 1 - Enterprise Requirements ... 6
Section 2 – Department Requirements ... 7
Current Payroll Document Workflows ... 8
Employee File ... 8
Payroll Reports ... 8
Fiscal Department Requirements ... 8
Section 3 – Technical Requirements ... 9
Section 4 – Software/Vendor Experience Requirements ... 11
Section 5 – Administrative Information ... 11
5.1 Proposal Submission Information ... 11
5.2 Relevant Dates and Schedules ... 11
5.3 Confidentiality ... 12
5.4 Vendor Acknowledgment ... 12
5.5 Retention of Proposals ... 13
5.6 Amendments to RFP ... 13
5.7 Exceptions to the RFP ... 13
5.8 Product Use Requirements ... 13
5. 9 Vendor Communications ... 13
5.10 Vendors’ Conference and Site Visit ... 14
5.11 Prime Contractor Relationship ... 14
5.12 Oral Presentations ... 14 5.13 Vendor Demonstration ... 15 5.14 Contract Award ... 15 5.15 Protests ... 15 5.16 Proposal Preparation ... 16 5.16.1 Economy of Preparation ... 16
5.16.2 Alternate Proposal and Options ... 16
5.16.3 Supplemental Information ... 16
5.16.4 Compliance Matrix... 16
5.16.5 News Release ... 17
Section 6 – Proposal Guidelines ... 17
Section 6.2 Proposal Presentation ... 17
Section 6.2.1 Page Size and Typing ... 17
Section 6.2.2 Indexing ... 18
Section 6.2.3 Cross-Referencing ... 18
Section 6.2.4 Format of Major Sections ... 18
a) Executive Summary ... 18
b) Technical Section ... 19
c) Management Section ... 19
Section 7 – Proposal Review and Evaluation Criteria ... 21
Section 8 – RFP Attachments ... 23
1. Purpose
The purpose of the Request for Proposal (RFP) is to solicit proposals from qualified suppliers for furnishing, installing, and supporting Enterprise Content Management equipment. This system shall be bid as a turn‐key installation by a prime vendor. This project has been funded with the goal to select, award, and install equipment that best meets the economic and technological requirements set forth in this RFP.
This RFP contains sufficient information and instructions to enable qualified bidders to prepare and submit bids and supporting material. To be considered responsive, vendors must submit a complete bid that substantially satisfies all requirements as stated in this RFP. This RFP contains all systems requirements, evaluation criteria, and vendor responsibilities if a contract is negotiated. This RFP also contains all major terms and conditions that the successful vendor will be expected to accept.
Due to short intervals associated with the schedule for this project, including preparation for the demonstration, it is suggested that vendors meet the requirements of this RFP with standard, currently available products and services. This approach will ensure that minimum time and effort is spent in developing new products and that the associated costs will be as low as possible.
2. Company Information & Background
The County of Glenn consists of multiple Government agencies. This includes, but is not limited to Planning & Public Works, Public Health, Alcohol & Drug Services, Mental Health, Social Services and Community Action Division.
The County of Glenn has recently consolidated the Human Resource Agency and Health Services Agency into one agency named Glenn County Health and Human Services Agency. Part of this consolidation effort has been merging the technology for all County of Glenn offices into one Enterprise Class environment.
3. Project Description
a. Project Goals and Objectives
The goal of this project is to migrate and consolidate all County of Glenn document imaging systems into a single solution, while providing security and compliance for Health Insurance Portability and Accountability Act of 1996 (HIPAA), Personally identifiable information (PII) and Sensitive Personal Information (SPI) standards.b. Project Background
Multiple County of Glenn offices currently use an Enterprise Document Management System (EDMS) called Sire which is provided by Hyland. Currently this system is installed on 3 or moreservers belonging to each different department. Hyland was procured by OnBase, and development for the Sire product has been discontinued. The Glenn County Information Services Committee has been exploring different solutions in order to consolidate document management/imaging systems into one solution hosted from the Enterprise infrastructure. The consolidation effort made by the County of Glenn has introduced the need for a new solution.
c. Network and Information Systems Architecture
Current EDMS Provider: Sire Version: 6.0
HRA Database: SQL Server 2008 R2 33811.75MB in size 18 Cabinets, Permissions based on accounts built‐in to Sire (Not integrated with Active Directory) Licensing: 5 EDMS, 1 Capture, 2 API HSA Database: SQL Server 2008 60.00MB in size 30 Cabinets, Permissions based on accounts built‐in to Sire (Not integrated with Active Directory) Licensing: 2 Read, 2 Capture, 2 EDMS PPWA Database: SQL Server 2008 R2 61 Cabinets , Permissions based on accounts built‐in to Sire (Not integrated with Active Directory) 85MB in size Licensing: 5 EDMS, 2 API, 1 Capture Item Description Network Topology Ethernet, TCP/IP, 10/100/1000 Authentication Protocols Active Directory Network Server OS Windows Server 2012/2008R2 Storage System Dell EqualLogic SAN(s) Email System Microsoft Exchange 2010 Database System Microsoft SQL Server 2014 Network Client OS Windows 7, Windows 10 Web Browsers Internet Explorer 10, 11, Firefox (latest Version), (Virtualization) End Points Wyse t10, t10d, Xenith2, Xenith, 2030Section 1 ‐ Enterprise Requirements
The following are enterprise requirements Glenn County has outlined for the EDMS project.
Section Requirement Priority (M)andatory (D)esired (O)ptional
Describe how the proposed solution meets the requirement. Comments 1.1 ‐ Document Management Requirements 1.1.1 Scan paper documents at 200 or 300 dpi using ISIS or Twain on desktop scanners M 1.1.2 Support indirect scan integration from multi‐ function devices M 1.1.3 Support direct scan integration from multi‐ function devices D 1.1.4 Automatic Barcode/Zone recognition to index scanned documents M 1.1.5 Ability to save identify and search for documents based upon document type M 1.1.6 Ability to report on stored documents (analyze data) M 1.1.7 Security: ability to grant/deny document viewing, editing and deletion based upon group or user accounts from Active Directory D 1.1.8 Audit capability: ability to view document access and modification audit trail M 1.1.9 Export: ability to export single or multiple documents M 1.1.10 Ability to full text search documents M 1.1.11 Ability to index and search for documents based upon text, date, numeric, formatted or list fields. M 1.1.12 Ability to save electronic file formats in system (PDF, Word, Excel, PowerPoint) M 1.1.13 Support for concurrent M
system usage 1.1.14 Ability to perform redaction without altering source document D 1.2 ‐ Systems Management Requirements 1.2.1 Ability to self manage the system without continued vendor involvement M 1.2.2 System and software must be hosted “in house” (no SAAS) O 1.3 ‐ Records Management Requirements 1.3.1 Ability to automatically track and dispose of documents based upon type and age D 1.4 ‐ Workflow and Electronic Forms Requirements (the requirements below are for future consideration only) 1.4.1 Web based user and administrative interface D 1.4.2 Workflow processes can be used by multiple departments D 1.4.3 View and annotate documents throughout the workflow process D 1.4.4 Report and audit document and workflow status D 1.4.5 Web base electronic forms D 1.4.6 Electronic forms security based upon Active Directory D Section 2 – Department Requirements County of Glenn has determined the HHSA Fiscal department, HHSA Mental Health, and the Planning and Public Works Agency will be the EDMS pilot group(s). Their use of the system outlined below will be generally representative of other departments’ use of the EDMS in the future. When preparing a proposal in response to this RFP, the following should be included in the cost estimate: 1. Consolidation and migration of databases for Health Services and Human Resource Agency’s existing Sire databases into one system
2. Creation and migration of existing Planning and Public Works Sire into a separate database in the new EDMS 3. Initial setup costs for new EDMS system deployment 4. Cost per seat 5. On‐going support and/or maintenance cost
Current Payroll Document Workflows
No current workflows are implemented.Employee File
Paper documents are procured from clients and scanned into Sire by use of desktop scanner or Konica Minolta BizHub. The documents scanned into the system are then sorted and placed into different “Cabinets” based on the department needs. Employees can only see documents pertaining to their department and/or duties.Payroll Reports
Reports are printed from State resources, custom software applications such as TimeTracker and Cost Accounting Management System (CAMS). These reports are then scanned and filed in the appropriate Sire cabinet.Fiscal Department Requirements
Section Requirement Priority (M)andatory (D)esired (O)ptional
Describe how the proposed solution meets the requirement. Comments 2.1 ‐ Scanning Requirements 2.1.1 System compatibility with Fujitsu and Konica Minolta Bizhub scanning M 2.1.2 Support Black & White and Color scanning D 2.1.3 Support image cleanup and enhancement M 2.1.4 Support TWAIN and/or ISIS scan drivers via USB 2.0 M 2.1.5 Daily Duty Cycle up to 3,000 pages M 2.2 ‐ Document Library Requirements 2.2.1 Access for 15 concurrent scanning/viewing users M 2.2.1 Store documents in an cabinet or folder based upon the following fields: First Name Last Name M
Employee ID SSN DOB Department Document Type Numeric field 2.2.2 Store documents in a “Confidential” archive with the following restrictions: Restricted users cannot see items in the archive Restricted users cannot contribute or delete folders M 2.2.3 Integration with CAMS (Cascade Software Systems) D 2.3 ‐ Backfile Scan Requirements 2.3.1 Data existing in Sire databases will need to be migrated to the new system as part of this project M Section 3 – Technical Requirements The following are the technical requirements Glenn County has outlined for the EDMS project.
Section Requirement Priority (M)andatory (D)esired (O)ptional
Describe how the proposed solution meets the requirement. Comments 3.1 ‐ EDMS Requirements 3.1.1 Server operating system support for Windows 2008/2012 Server M 3.1.2 Windows client operating system support for Windows 7, 10 M 3.1.3 Solution must be supported by VMWare and Citrix XenDesktop solutions M 3.1.4 Microsoft 2008/2014 SQL Server database technology M 3.1.5 Must be capable of complete data separation D
(multiple SQL databases) for multiple document archives 3.1.6 Active Directory integration for document access D 3.1.7 Must work with Dell EqualLogic SAN infrastructure M 3.1.8 Any web based technology must support IE 10 or newer and Firefox current version M 3.1.9 Email system integration Exchange 2010 D 3.2 ‐ EDMS User Interface Requirements 3.2.1 End user interface requirements (search , view, index and print documents from EDMS) Zero foot print web access client for user activities (requires no additional software installed on the Virtual Machine, including activex controls) D 3.2.2 User access controlled by IT Administrators and appointed Power Users M 3.2.3 Administrative user (system administration and maintenance) should be available from anywhere on the network. Non Administrative users should not see any of the Administrative functions within their console M 3.2.4 Document search and view via SharePoint WSS and MOSS 2007 (or above) D 3.2.5 Document search and view via Office 2007 interfaces O 3.2.6 Document search and view with Office 2010 interfaces D 3.2.7 Document search and view via Office 2013 interfaces D
Section 4 – Software/Vendor Experience Requirements
The following are Software/Vendor Experience requirements Glenn County has outlined for the EDMS project.
Section Requirement Priority (M)andatory (D)esired (O)ptional
Describe how the proposed solution meets the requirement. Comments 4.1 Training materials M Post installation training for staff provided by vendor M Section 5 – Administrative Information This section provides the RFP administrative information and guidelines necessary for suppliers to respond to this request.
5.1
Proposal Submission Information
Proposals will be due with the following requirements for submission: Due Date: 6/10/2016 Time: 5:00 PM No. of Copies: 1 complete proposal and pricing in electronic format Send completed RFP to: [email protected] Bids must be sent in electronic format.5.2 Relevant Dates and Schedules
The following table lists the activities relevant to this RFP process. Glenn County reserves the right to change these dates and will notify suppliers in such a case.RFP Issued: 5/6/2016 Vendors’ Conference and Site Visit: 5/17/2016 Deadline for written questions 5/24/2016 Questions and Answers posted 5/27/2016 Deadline for proposal submission: 6/10/2016 by 5:00 PM Anticipated presentation dates 6/29/2016 & 6/30/2016 Notice of Intent to Award 7/5/2016 Protest period 7/5/16 – 7/15/2016 COUNTY responds to protest no later than 7/22/2016 Contract Start date 7/26/2016 Begin Installation: 8/1/2016 Project Complete: 9/30/2016
5.3
Confidentiality
This document is released for the sole purpose of responding to this RFP and must be considered confidential. Use, reproduction, or disclosure of the requirements, specifications, or other material in this RFP is strictly prohibited. Vendors who are not bidding on this RFP are requested to return this document to the address listed in section 1.10.
Upon contract award, the winning vendor will be required to sign a non‐disclosure agreement with Glenn County. Glenn County agrees to sign a vendor‐supplied non‐disclosure agreement.
5.4
Vendor Acknowledgment
All vendors who are interested in submitting a proposal are strongly encouraged to return the following information to the address in section 5.2 above upon receipt of this RFP. Failure to return this information may result in not receiving important information, amendments and/or answers to questions regarding this RFP.
Vendor name Vendor mailing address Vendor email address Vendor phone number Vendor contact for this RFP
5.5
Retention of Proposals
All proposals submitted become the property of Glenn County. Glenn County will make all reasonable efforts to maintain proposals in confidence and will release proposals only to personnel involved with the evaluation of the project. Proprietary information should be identified in each proposal. After contract award, Glenn County will maintain one copy of each proposal and destroy all other copies.
5.6
Amendments to RFP
If this RFP is amended by Glenn County, the amendment will be sent to each vendor in writing. No oral amendments will be considered or acknowledged. Vendors are required to acknowledge each amendment received in their transmittal letter.
5.7
Exceptions to the RFP
Glenn County requires each vendor to provide a list of exceptions taken to this RFP. Any exceptions taken must be identified and explained in writing. An exception is defined as the vendor’s inability to meet a mandatory requirement in the manner specified in the RFP. If the vendor provides an alternate solution when taking an exception to a requirement, the benefits of this alternative solution must be explained.
5.8
Product Use Requirements
This RFP requires that all hardware and system software product bids be currently in use by at least one other customer and generally available by the vendor) for a period of six months. System software is defined as that general software required by the hardware for the operation such as the operating system, database management systems, compilers, commercially available off‐the‐shelf software, and communications software. Unreleased or Beta Test hardware and software must have prior approval by Glenn County before it is proposed. It is understood that applications software required to be built is excluded from this provision.
5. 9 Vendor Communications
After the RFP issue date and thereafter, all communications between vendors and Glenn County must be in writing. No oral questions will be accepted. All questions concerning the RFP must reference the RFP page number, section number, and paragraph number. The question must be concisely stated and be numbered in a sequential order. All questions must be submitted to the address listed below by the date listed in section 5.3. Answers will be posted and returned to those vendors who have expressed an interest in submitting a proposal by date
listed in section 5.3l. Glenn County will make questions and answers available to all vendors that have formally expressed an interest in the project as outlined above in Section 5.5. All questions should be sent to: GLENN COUNTY [email protected]
5.10 Vendors’ Conference and Site Visit
A vendors’ conference will be held (Date listed in section 5.3)at 420 E. Laurel Street, Willows, CA 95988, to allow Glenn County the opportunity to make oral presentation of the RFP and to answer questions about Glenn County and the RFP. The following ground rules apply: 1. Attendance is recommended. Bidders not represented will not be disqualified. 2. Representatives will be limited to two per company. 3. Representatives must have proper identification for their company. 4. Written questions submitted prior to the conference will be answered first and a printed answer will be available. Answers to all questions will also be posted and sent out on to all interested bidders by date listed in section 5.3. 5. Oral questions will be answered as time permits except when the question is deemed too technical or too complex to be understood by all and adequately answered. All questions asked during the conference will be responded to in writing by date listed in section 5.3. Vendors are limited to two representatives. Glenn County is not responsible for costs incurred by the vendors for the site visit.5.11 Prime Contractor Relationship
Glenn County intends to contract only with the vendor of the winning proposal, to be known as the Prime Contractor. The vendor selected shall be solely responsible for contractual performance.Joint ventures between two or more vendors will not be considered, nor will any sharing of the performance obligation with a third‐party be considered.
Vendors who bid components for which he/she is not an authorized dealer shall bear the responsibility to ensure that the replacement, service, training, and maintenance of said components shall equal or exceed those of the original manufacturer or the authorized dealer. Original manufacturer upgrades, fixes, or any other enhancement to such components shall be made available to Glenn County under the same conditions as the original equipment manufacturer or dealer provides.
5.12 Oral Presentations
Selected vendors will be required to make an oral presentation of their proposal. This presentation will be made to the evaluation staff and executive staff responsible for awarding
this contract. This opportunity is given to allow vendors the chance to further define the primary features and benefits of their proposal, to allow clarification of weak areas in their proposal, and to permit limited questions from the audience. Oral presentations are mandatory if requested.
Presentation format is left to the discretion of the vendor. The presentation room will be equipped with audio/visual equipment as required. Presentations will be limited to a one‐hour period, which includes questions and answers.
5.13 Vendor Demonstration
The successful vendor will be required to demonstrate the functionality of equipment/systems proposed. The demonstration must be conducted with the products bid, and must be able to achieve the functionality, speed, and capacity as stated in the vendor’s proposal. Failure to use the products bid or achieve the performance proposed might disqualify the vendor, and the demonstration will be concluded. Failure to agree to the demonstration will disqualify the vendor, and contract negotiations will resume with the vendor who was runner‐up.5.14 Contract Award
Glenn County reserves the right to award the contract according to the evaluation criteria set forth in Section 7 of this RFP. Glenn County also reserves the right to withhold an award if it is deemed that no single proposal fully meets the requirements of this RFP. The contract award will not be based solely on price, but a combination of factors determined to be in the best interest of Glenn County. Given that the expertise required for this RFP is highly specialized, Glenn County reserves the right to negotiate a contract with the successful bidder including to further negotiate the proposed scope of work, method of delivery and amount of compensation.The vendor chosen for award should be prepared to have his or her proposal incorporated, along with all other written correspondence concerning this contract, into the contract. Any false or misleading statements found in the proposal will be grounds for disqualification.
5.15 Protests
Following notification to bidders of the recommendation for award of contract, protests may be submitted to Glenn County regarding the RFP process and selection of the Contractor. Protests shall be received within ten (10) calendar days immediately following the recommendation to award a contract. Glenn County shall consider any protest or objection regarding the award of the contract, providing it is submitted in the time period stated above. Protests shall be in writing and shall be addressed to: GLENN COUNTY [email protected]
Protests shall state the reason for the protest, citing the law, rule, regulation, or practice on which the protest is based. Glenn County shall respond in writing to the protestor within ten (10) working days of the end of the protest period. The response shall include the final decision on the protest and the basis for the decision.
5.16 Proposal Preparation
5.16.1 Economy of Preparation
Glenn County assumes no responsibility for the cost of preparation or other proposal expenses incurred by responding to this RFP.
5.16.2 Alternate Proposal and Options
Vendors may submit more than one proposal, each of which must satisfy the mandatory requirement of the solicitation, including any benchmark tests, in order to be considered. If alternate proposals are submitted, such alternatives will be clearly labeled and identified on the cover page of each separate document. Each proposal submitted will be evaluated on its own merits.
All vendors who wish to submit an alternate proposal must submit a baseline proposal that is fully compliant to all requirements. No alternate proposals will be accepted as stand‐alone proposals; all alternate proposals submitted must be submitted under separate cover and include a complete pricing section. Alternate proposals must have a foreword section that briefly describes the deviation from the baseline proposal and the basic advantage(s) of the alternate proposal.
Vendors may wish to propose enhancements or equipment that provides increased performance as an option to the baseline equipment proposed. Any option proposed must be included in a separate proposal and contain a brief description of the enhancement, the actual benefit to be gained, and the cost of the enhancement.
5.16.3 Supplemental Information
Vendors may provide supplemental information for a requirement being answered. This information should be provided under separate cover as an appendix to the proposal. Information to be included in the appendix should be referenced in the main body of the proposal and easily accessed in the appendix. Information such as product brochures, financial reports, manuals, sample contracts, or marketing collateral should be put into the appendix.
5.16.4 Compliance Matrix
A compliance matrix shall be provided that develops a matrix of all RFP requirements. The matrix format is given in Section 3c, Sections 1‐4.
5.16.5 News Release
Vendors submitting proposals in response to this RFP are not at liberty to discuss this RFP with anyone other than those people within the company who are required to participate in the response. Any public release of information about participation in this RFP will disqualify that vendor. The successful winner may not release details of the RFP for public information. Any news release or public briefing must be approved by the management of Glenn County.
Section 6 – Proposal Guidelines
Section 6.1 Introduction
This section of the RFP provides specific instructions on the format and content of the proposal. Proposals shall include all data and information required by this RFP. Non‐conformance with the instructions may be cause for rejection of the proposal.
The proposal for the Glenn County program shall be clear, coherent, legible, and prepared in sufficient detail for effective evaluation by Glenn County evaluation team. Elaborate documentation, expensive binding, detailed art work, or other embellishments are neither necessary nor desirable. The vendor shall assume that the evaluation team has no previous knowledge of this technology and will base its evaluation on the information presented in the proposal. Proposals shall address and track the numerical sequence of the specific information requested by these instructions and shall be consistent with the requirements of the technical section. In preparing the proposal, emphasis should be placed on brief, complete, and factual data in (as a minimum) the areas that are set forth in the RFP. Maximum use should be made of tables and information summaries in describing the proposed effort.
The vendor’s proposal will make it clear that the vendor will comply with all specifications. Paraphrasing the specifications or parts thereof is considered insufficient. Phrases such as “yes,” “will comply,” “standard procedures will be employed,” “industry standards are followed,” or, “well‐known techniques will be used,” will be considered insufficient and reason for rejection of the proposal. Content and quality of the responses are more important than quantity.
Section 6.2 Proposal Presentation
Proposal must be submitted in a common electronic format (.pdf, .doc, .docx, etc.).
Section 6.2.1 Page Size and Typing
Page size shall be 8‐1/2 x 11 inches. Pages shall be typed using 1‐1/2 line spacing with a minimum of 12 characters per inch. A 3/4‐inch margin minimum shall be used on all pages for top, bottom, and sides.
Section 6.2.2 Indexing
The proposal shall contain a master Table of Contents for the total proposal, which shall identify major paragraphs by sections, number, title, and page number. See the following example. Section 1. Executive Summary 1.1 Introduction ...1‐1 1.2 Technical Solution ...1‐5
Section 6.2.3 Cross‐Referencing
Cross‐referencing material in the proposal to the appendices is permitted; however, its use should be limited and apply only where a long technical explanation could add benefit to the evaluation.
Section 6.2.4 Format of Major Sections
a) Executive Summary
The executive summary shall serve to familiarize Glenn County executives and evaluators with the key elements and unique features of the proposal by briefly describing how the vendor is going to accomplish the task. The executive summary shall contain the following: A summary of your approaches to the program, including a summary of the most important aspects of all sections. Any material presented in this section shall not be considered as meeting any technical requirement.
A master milestone schedule of all major efforts to be undertaken in the program. Dates shall begin as listed in this RFP.
A list of exceptions taken to this RFP and the reason for exceptions to the requirement. A list of high‐risk areas that are reasons for concern such as schedule deadlines,
uncomplimentary technologies, or overly tight specifications. Any request to delete, change, or relax a requirement must be fully supported in this section. Vendors will not be evaluated on this paragraph and cannot lose evaluation points by listing areas of concern. These concerns will be addressed with the successful vendor during negotiation.
A discussion of your cost proposal, which should contain, but not be limited by, the following:
How pricing was computed
Projected life cycle cost of equipment/program Projected return of investment (ROI)
Projected yearly incremental costs Hidden or related costs that Glenn County has not anticipated
b) Technical Section
The technical proposal shall consist of complete answers to all questions listed in the technical sections. This RFP was designed to facilitate the vendors’ responses to the requirements and to provide the evaluation committee with a standard method for comparing vendors’ responses. Each technical requirement in this RFP will begin with a narrative description of the problem, background material as needed for understanding the problem, and the resultant requirement. Each narrative paragraph(s) will be accompanied by a list of questions that ask for responses given the previous information. Vendors are encouraged to answer all questions without references to manuals, data sheets, product brochures, or other supporting material. When necessary, vendors may support answers by reference to other material, but answers should be understandable without reading the other material. Answers such as “See Appendix A, Technical Manual” will be marked as non‐responsive. Any supporting material cited in an answer must be referenced by appendix, name of document, and page(s) to be reviewed. Failure to comply with the requirements outlined in this section will result in disqualification.c) Management Section
In this section, the vendor shall provide information organized into the following sections.
Project Management – The vendor shall present his or her company’s approach and
capability to control and integrate the system proposed. The vendor shall describe their project organizational structure, listing all key personnel functions. More consideration will be given to vendors who can list personnel by name, placement in the project structure, title, qualifications, and experience.
Supporting rationale shall be provided to show that the organization is adequate to support overall effort and to justify the number and allocation of personnel involved.
A master integrated schedule depicting all activities and milestones from contract award throughout the life of the contract shall be provided. Major sub schedules (tasks) shall be presented as separate tables.
The vendor shall also discuss how his or her company will control the proposed schedule and how it will identify and report achievement of tasks and milestones. The vendor will also discuss how it will identify, resolve, and report resolution of problems such as schedule slippage or engineering anomalies.
Vendors shall describe their approach to formal review meetings with Glenn County, the organization of the typical meeting, and methods of documenting and approving all meeting notes.
Maintenance – Vendors shall provide a detailed description of all maintenance activities,
supply channels and parts depots, typical daily or monthly support activities, principal period of maintenance, and support the above with an organizational chart of the vendor’s headquarters support operation, the proposed support organization for this project, and the escalation procedures for reporting problems.
Vendors shall provide a sample maintenance handbook and one typical operations guide as an appendix to the proposal for evaluation.
Education and Training – Vendors shall provide a detailed description of all education and
training required for this project. This section shall have an introductory section that justifies the training programs described, the basic approach taken, an organization chart of the headquarters education operation, an organization chart for this project, and the benefits for Glenn County.
Vendors shall also list recommended classes and Glenn County personnel who should attend. This list shall also contain a description of all classes, typical classroom environment, student‐instructor ratio, and instructor’s qualifications. Vendors shall discuss ability to provide on‐site education and, if available, provide pricing information in the pricing section.
Glenn County prefers live classroom training with instructors providing a greater percentage of the actual training versus audiovisual, computer‐aided instruction, or self‐paced instruction. Vendors shall identify all classes as to the type of instruction provided. Vendors shall discuss their ability to produce unique classes for this project if so warranted. Pricing estimates for typical customized classes shall be provided in the pricing section. Vendors shall provide one sample training handbook for evaluation. This handbook shall be placed in an appendix to the proposal and marked as such. Vendor Information – Vendors shall provide a brief description of the overall organization
of their company including headquarters organization, divisions, and operations. This description shall include how long the company has been in operation and if it is owned by a parent company or if it owns other companies as a parent company.
Vendors shall provide a description of their major facilities, unique or special manufacturing equipment, and any other facilities that will provided support for this program.
Vendors shall provide a minimum of five related contracts awarded within the last three years. The vendor shall provide a synopsis of each contract and discuss its relevancy to this project and proposal. Referenced contracts may be arranged to demonstrate competency in functional areas. For example, Contract A may be listed only to demonstrate competency in Project Management. The referenced contract must include the following information: Contract award and completion dates Contract award dollar value
Customer contact for information
In addition, vendor shall provide permission from at least two of the above references for site visits by Glenn County personnel. These visits will be made only in the company of the vendors’ representatives.
Vendor shall provide a realistic discussion of the success in achieving technical, management, and budget for one of the above references.
Vendor shall supply as an appendix a current annual report and other information that is pertinent to establish the financial stability of the company.
Price Section ‐‐ These instructions are to assist vendors in submitting pricing data.
Compliance with these instructions is mandatory. Failure to comply will result in rejection of your proposal. The burden of proof for pricing credibility rests with the vendor.
Proposers must be aware that the submission of a proposal in response to this RFP shall create a contractual liability to perform according to the proposed contract if the proposal is accepted by Glenn County for the award of the contract.
Appendices ‐‐ Any reference material, shall be placed in an Appendix to the proposal.
Appendices shall be identified by letter: Appendix A, Appendix B, etc. Material in an appendix shall have been referenced in your proposal. Section 7 – Proposal Review and Evaluation Criteria 1) The evaluation team will evaluate proposals to determine a bidder’s responsibility and responsiveness. 2) A responsible bidder is one whose proposal substantially complies with all requirements of the RFP. 3) A responsible bidder is one who: a) Possesses the competency, experience and education required to effectively perform the duties as enumerated in the Agreement, attached as Attachment 1. b) Has no record of unsatisfactory performance, lack of integrity, or poor business ethics, and c) Is otherwise qualified and eligible to receive an award under applicable statutes and regulations, and d) Has the experience of successfully performing similar services, and e) Has articulated a comprehensive approach to completing the required work, and f) Has acceptable references. 4) The following Evaluation Criteria will also be used in evaluating the proposal using the following Matrix:
Evaluation Criteria
Rating
1‐10
1. Cost of implementation 2. Cost of migration from Sire to new EDMS 3. Ongoing support cost 4. Scalability 5. The proposed system meets all requirements set as mandatory within this RFP. 6. Ease of use of the system 7. Training and information provided 8. Technical support onsite/remote 9. System compatibility 10. Future development and product upgrades 5) Any proposal may be declared irregular and not considered for award of the contract if it is conditional, incomplete, or not responsive to the RFP, or contains any alteration of form or irregularity that would prevent it from being compared to other Proposals. 6) Glenn County reserves the right to waive any proposal irregularity; however, this will not relieve the Contractor from full compliance with the bidding requirements if awarded the contract. 7) Glenn County reserves the right to reject any and all Proposals, and to cancel the procurement process. 8) After review of all Proposals and a recommendation for award of contract is made, all bidders shall be notified in writing of the recommendation.Section 8 – RFP Attachments Attachment & Appendices Description Attachment 1: Proposed Agreement If selected the Contractor submitting a proposal must sign an agreement with these terms and conditions Attachment 2: Vendor Assurance of Compliance Certifying nondiscrimination as required by state and federally assisted programs Attachment 3: Business Associates Agreement Required on contracts in which client’s Protected Health Information could at some point be used or disclosed to the contractor
Attachment 1 AGREEMENT BETWEEN THE GLENN COUNTY HEALTH AND HUMAN SERVICES AGENCY
AND
[INSERT CONTRACTOR’S NAME]
This agreement is entered into by and between the County of Glenn ("County") and [Insert Contractor’s Name] (“Contractor”) for the purpose of providing the County with an Enterprise
Document Management System.
1. RESPONSIBILITIES OF CONTRACTOR
During the term of this agreement, Contractor shall, as directed by the County, provide
professional services, support, maintenance and supplies as outlined in Attachment A, which is attached hereto and made a part hereof. Contractor shall comply with the Vendor Assurance of Compliance Agreement and the Business Service Agreement as required by the funding sources, which is attached hereto as Attachment B and C) and made a part of this Agreement.
2. RESPONSIBILITIES OF THE COUNTY
County shall pay Contractor upon receipt and approval of the invoice(s).
3. COMPENSATION
The total amount of this agreement shall not meet or exceed $__________ during the Term of Agreement.
4. BILLING AND PAYMENT
Contractor shall submit all monthly invoices to the Glenn County Health and Human Services Agency, P.O. Box 611, Willows, CA 95988, Attention: HHSA Fiscal Manager, by the 15th of the
month following the invoice month. The final invoice for Fiscal Year 2016/17 shall be received no later than June 10, 2017.
5. TERM OF AGREEMENT
This agreement shall commence on July 1, 2016 and shall terminate on June 30, 2017. This Agreement may be amended prior to termination by written consent of both parties. This Agreement may be extended for additional 12-month periods upon written agreement of the parties not to exceed three (3) years.
6. TERMINATION OF AGREEMENT
If Contractor fails to perform their duties to the satisfaction of County, or if Contractor fails to fulfill in a timely and professional manner their obligations under this agreement, or if Contractor violates any of the terms or provisions of this agreement, then County shall have the right to terminate this agreement effective immediately upon County giving written notice thereof to Contractor. Either party may terminate this agreement on 30 days written notice. County shall pay Contractor for all work satisfactorily completed as of the date of notice. County may terminate this contract immediately upon oral notice should funding cease or be materially decreased.
7. ENTIRE AGREEMENT; MODIFICATION.
This agreement supersedes all previous agreements and constitutes the entire understanding of the parties hereto. Contractor shall be entitled to no other benefits other than those specified herein. No changes, amendments, or alterations shall be effective unless in writing and signed by both parties. Contractor specifically acknowledges that in entering into and executing this agreement, Contractor relies solely upon the provisions contained in this agreement and no others.
8. NONASSIGNMENT OF AGREEMENT.
Inasmuch as this agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate or sublet any interest herein without the prior written consent of County.
9. EMPLOYMENT STATUS.
Contractor shall, during the entire term of this agreement, be construed to be an independent contractor and nothing in this agreement is intended nor shall be construed to create an employer-employee relationship, a joint venture relationship, or to allow County to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this agreement, provided always, however, that the services to
be provided by Contractor shall be provided in a manner consistent with the professional standards applicable to such services. The sole interest of County is to ensure that the services shall be rendered and performed in a competent, efficient, and satisfactory manner. Contractor shall be fully responsible for payment of all taxes due to the State of California or the Federal Government which would be withheld from compensation if Contractor were a County employee. County shall not be liable for deductions for any amount for any purpose from Contractor’s compensation. Contractor shall not be eligible for coverage under County’s Workers’ Compensation Insurance Plan nor shall Contractor be eligible for any other County benefit.
10. INSURANCE REQUIREMENTS.
Contractor shall procure and maintain for the duration of this contract, insurance against claims for injuries to persons or damage to property that may arise from, or be in connection with, the performance of the work hereunder by Contractor, Contractor’s agents, representatives, employees, and subcontractors. At the very least, Contractor shall maintain the insurance coverage, limits of coverage and other insurance requirements as described below.
Contractor shall furnish to the County certificates of insurance. All certificates of insurance to be received and approved by the County before work under the contract has begun. The County reserves the right to require complete, certified copies of all insurance policies required by this contract. Contractor agrees to notify County within two working days of any notice from an insuring agency that cancels, suspends, and reduces in coverage or policy limits the insurance coverages described herein.
Any deductibles or self-insured retention must be declared on certificates of insurance and approved by the County. At the option of the County, either the contractor shall reduce or eliminate such deductibles or self-insured retentions, as respects the County, its officers, officials, employees and volunteers, or the Contractor shall procure a bond guaranteeing payment of losses and related investigations, claims administration and defense expenses.
Insurance is to be placed with insurers who are licensed to sell insurance and who possess a Best rating of A or higher.
Exception: Workers’ Compensation coverage issued by the State Compensation Insurance
Fund (SCIF) shall be acceptable. 11. INSURANCE.
A. General liability: At least $1,000,000 combined single limit per occurrence coverage for bodily injury, personal injury and property damage. If a general aggregate limit is used, then either the general aggregate limit shall apply separately to this project/location, or the general aggregate limit shall be twice the required per occurrence limit. The contractor or contractor’s insurance carrier shall notify County if incurred losses covered by the policy exceed 50% of the annual aggregate limit.
B. Automobile Liability: At least $100,000 to cover bodily injury for one person and $300,000 for two or more persons, and $50,000 to cover property damages.
C. Workers’ Compensation and Employer’s Liability: Workers’ Compensation insurance up to statutory limits and Employer Liability insurance with policy limits of at least $1,000,000 for bodily injury or disease.
D. Professional Liability insurance (only applies when contracting for professional services). Professional liability insurance covering professional services shall be provided in an amount of at least $1,000,000 per occurrence or $1,000,000 on a claims-made basis. However, if coverage is written on a claims-made basis, the policy shall be endorsed to provide at least a two-year extended reporting provision.
Such insurance shall include Glenn County, its elected officials, officers, and employees as an additional insured, and shall not be reduced or canceled without 30 days written prior notice delivered to County. Contractor shall provide County with a certificate of insurance as evidence of insurance protection provided. Insurance certificates provided by any insurance company or underwriter shall not contain the language “endeavor to” and “but failure to mail
such notice shall impose no obligation or liability of any kind upon the company,” or similar language. If Contractor has employees, he/she shall obtain and maintain continuously Workers’ Compensation Insurance to cover Contractor and Contractor’s employees and partners.
12. INDEMNIFICATION CLAUSES
Contractor shall indemnify, defend, and hold harmless the County and its directors, officers, employees and volunteers from and against any and all liability loss, damage, expense, and costs (including without limitation litigation costs and attorney fees) of every nature arising out of or in connection with contractor’s performance of this contract or its failure to comply with any of its obligations contained in the contract, except such loss or damage caused by the sole negligence or willful misconduct of the County.
Provider and/or Contractor shall also indemnify County of any adverse determination made by the Internal Revenue Service or the State Franchise Tax Board against County with respect to Provider and/or Contractor’s independent Provider and/or Contractor’s status that would establish a liability for failure to make social security or income tax withholding.
13. INDEPENDENT CONTRACTOR CLAUSE.
It is specifically and expressly understood between the parties that this Agreement creates no relationship of employer/employee between the parties and that contractor is, and shall remain throughout the term of this Agreement, an independent contractor. Contractor agrees that he is not, and will not become, an employee, partner, agent, or principal of County while this Agreement is in effect. Contractor agrees that he is not entitled to the rights or benefits afforded to County’s employees, including disability or unemployment insurance, workers’ compensation, medical insurance, sick leave, or any other employment benefit. Contractor is responsible to pay or provide from his own expense, all federal and state income taxes, including estimated taxes, social security, and any other payroll tax obligations that he may owe as a result of compensation received for services rendered pursuant to this Agreement. Contractor is further responsible for providing, at his own expense, disability, unemployment,
and other insurance, workers’ compensation, training, permits, and licenses for himself and for his employees and subcontractors. Contractor agrees to indemnify County for any claims, costs, losses, fees, penalties, interest, attorney’s fees, or damages suffered by the County resulting from Contractor’s failure to comply with these provisions.
14. NON-DISCRIMINATION.
Contractor shall not discriminate in employment practices or in the delivery of services on the basis of race, religious creed, color, national origin, disability, marital status, political affiliation, sex, age, or sexual orientation of any person. The Contractor shall comply with Executive order 11246, entitled “Equal Employment Opportunity,” as amended by Executive Order 11375 and as supplemented in Department of Labor regulation (41 CAR Part 60). The Contractor agrees to comply with the requirements as listed in the Vendor Assurance of Compliance form
(Attachment B).
15. NOTICES.
Any notice required to be given pursuant to the terms and provisions of this agreement shall be in writing and shall be sent first-class mail to the following addresses:
If to County: Glenn County Health and Human Services Agency
Attn: Christine Zoppi, Director
P.O. Box 611
Willows, CA 95988
(530) 934-6514
If to Contractor: [Insert Contractor’s Name]
[Insert Contractor’s Address and Contact Information]
Notice shall be deemed to be effective two days after mailing.
16. AVAILABILITY OF FUNDS
All funding under the Contract is subject to the availability of State or Federal funds. 17. RIGHT TO AUDIT AND MONITOR
County reserves the right to monitor and/or audit all work performed, as well as to review all records and procedures to assure that the expenditure of funds is in conformity with this agreement and applicable Federal and State regulations.
IN WITNESS WHEREOF, County and Contractor have executed this agreement on the day and year set forth below.
[INSERT CONTRACTOR’S NAME]:
_______________________________________ ________________________
By:________________________ Date
GLENN COUNTY HEALTH AND HUMAN SERVICES AGENCY APPROVED AS TO CONTENT AND FUND AVAILABILITY:
_______________________________________ _________________________ Director Date
APPROVED AS TO FORM:
County Counsel
Glenn County, California
□ Approved by Deputy Director Administration ______ □ Approved by Deputy Director Program ______ □ Approved by Fiscal Manager ______
VENDOR ASSURANCE OF COMPLIANCE WITH
THE GLENN COUNTY HEALTH AND HUMAN SERVICES AGENCY NONDISCRIMINATION IN STATE
AND FEDERALLY ASSISTED PROGRAMS
__________________________________________________________________
NAME OF VENDOR/RECIPIENT: [Insert Contractor Name]
HEREBY AGREES THAT it will comply with Title VI and VII of the Civil Rights Act of 1964 as amended; Section 504 of the Rehabilitation Act of 1973 as amended; the Age Discrimination Act of 1975 as amended; the Food Stamp Act of 1977, as amended and in particular section 272.6; Title II of the Americans with Disabilities Act of 1990; California Civil Code Section 51 et seq., as amended; California Government Code section 11135-11139.5, as amended; California Government Code section 12940 (c), (h) (1), (i), and (j);California Government Code section 4450; Title 22, California Code of Regulations section 98000 – 98413; Title 24 of the California Code of Regulations, Section 3105A(e); the Dymally-Alatorre Bilingual Services Act (California Government Code Section 7290-7299.8); Section 1808 of the Removal of Barriers to Interethnic Adoption Act of 1996; and other applicable federal and state laws, as well as their implementing regulations [including 45 Code of Federal Regulations (CFR) Parts 80, 84, and 91, 7 CFR Part 15, and 28 CFR Part 42], by ensuring that employment practices and the administration of public assistance and social services programs are nondiscriminatory, to the effect that no person shall because of ethnic group identification, age, sex, color, disability, medical condition, national origin, race, ancestry, marital status, religion, religious creed or political belief be excluded from participation in or be denied the benefits of, or be otherwise subject to discrimination under any program or activity receiving federal or state financial assistance; and HEREBY GIVE ASSURANCE THAT it will immediately take any measures necessary to effectuate this agreement.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and all federal and state assistance; and THE VENDOR/RECIPIENT HEREBY GIVES ASSURANCE THAT administrative methods/procedures which have the effect of subjecting individuals to discrimination or defeating the objectives of the California Department of Social Services (CDSS) Manual of Policies and Procedures (MPP) Chapter 21, will be prohibited.
BY ACCEPTING THIS ASSURANCE, the vendor/recipient agrees to compile data, maintain records and submit reports as required, to permit effective enforcement of the aforementioned laws, rules and regulations and permit authorized CDSS and/or federal government personnel, during normal working hours, to review such records, books and accounts as needed to ascertain compliance. If there are any violations of this assurance, CDSS shall have the right to invoke fiscal sanctions or other legal remedies in accordance with Welfare and Institutions Code section 10605, or Government Code section 11135-11139.5, or any other laws, or the issue may be referred to the appropriate federal agency for further compliance action and enforcement of this assurance.
THIS ASSURANCE is binding on the vendor/recipient directly or through contract, license, or other provider services, as long as it receives federal or state assistance.
_______________________________ ______________________________
Date Vendor/Recipient Signature
GLENN COUNTY BUSINESS ASSOCIATE AGREEMENT
[This addition to the contract is required for every contract in which the service contracted for involves the provision of medical, dental, pharmaceutical, psychological, psychiatric or any other service in which client’s Protected Health Information could at some point be used or disclosed to the contractor.]This Business Associate Agreement (“Agreement”) supplements and is made a part of the contract (“Contract”) by and between the Glenn County Health and Human Services Agency referred to herein as “County”, and [INSERT NAME OF CONTRACTOR], referred to herein as “Business Associate”, dated December 1, 2015.
The County and Business Associate intend to protect the privacy and provide for the security of protected health information (PHI) disclosed to Business Associate pursuant to the Contract in compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), the Health Information Technology for Economic and Clinical Health Act (HITECH), and regulations promulgated there under by the U.S. Department of Health and Human Services and other applicable laws.
As part of the HIPAA Regulations, the Privacy and Security Rules require the County enter into a contract containing specific requirements with its Business Associates prior to disclosure of PHI. In consideration of the mutual promises below and the exchange of information pursuant to this Agreement, the parties agree as follows:
DEFINITIONS
Terms used but not otherwise defined in this Agreement shall have the same meaning as those terms used in the above referenced regulations.
OBLIGATIONS OF BUSINESS ASSOCIATE
1. Compliance: Business Associate shall comply with, and assist the County in complying
with the Health Insurance Portability and Accountability Act (including but not limited to 42 U.S.C. 1320d et seq.; “HIPAA”) and its implementing regulations (including but not limited to 45 CFR Parts 142, 160, 162 and 164). Business Associate shall further comply with, and assist the County in complying with the Health Information Technology for Economic and Clinical Health Act (including but not limited to 42 U.S.C. 17921 “HITECH”).
2. Independent Contractor: It is specifically and expressly understood between the parties
that the Contract and this Agreement creates no relationship of employer/employee between the parties and that contractor is, and shall remain throughout the term of this Contract and Agreement, an independent contractor. Contractor agrees that he is not, and will not
Attachment #__3__ (Con’t.) GLENN COUNTY BUSINESS ASSOCIATE AGREEMENT
become, an employee, partner, agent, or principal of County while this Agreement is in effect.
3. Permitted Uses and Disclosures: Business Associate shall not use or disclose protected
health information (PHI) except for the purpose of performing Business Associate’s obligations under the Contract, as permitted under the Contract and Agreement, and as required by law. Business Associate shall not disclose PHI in any manner that would constitute a violation of the Privacy Rule or the HITECH Act. Business Associate shall not use or further disclose PHI other than as permitted or required by this Agreement, or as required by law.
4. Prohibited Uses and Disclosures: Business Associate shall not use or disclose PHI for
fundraising or marketing purposes. Except as otherwise required by law, Business Associate shall not disclose PHI to a health plan for payment or health care operations purposes if the patient has requested this special restriction, and has paid out of pocket in full for the health care item or service to which the PHI solely relates. Associate shall not directly or indirectly receive remuneration in exchange for PHI, except with prior written consent of the County and as permitted by the HITECH Act. However, this prohibition shall not affect payment by the County to Business Associate for services provided pursuant to the Contract.
5. Appropriate Safeguards: Business Associate shall implement appropriate administrative,
physical and technical safeguards that reasonably and appropriately protect the confidentiality, integrity and availability of PHI that it creates, receives, maintains or transmits on behalf of the County, from use or disclosure other than as provided for by this Agreement. Business Associate shall comply with 45 C.F.R. Sections 164.308, 164.310, and 164.312. Business Associate shall also comply with the policies and procedures and documentation requirements of the HIPAA Security Rule, including but not limited to, 45 C.F.R. Section 164.316.
6. Report of Improper Access, Use, or Disclosure: Business Associate shall report to the
County any access, use, or disclosure of the PHI not permitted by this Agreement, including but not limited to security incidents of which the Business Associate becomes aware.
7. Business Associate’s Agents: Business Associate shall ensure that any agents, including
subcontractors, to whom it provides PHI received from, created, or received by Business Associate on behalf of the County, agrees in writing to the same restrictions and conditions that apply through this Agreement to Business Associate with respect to such information. 8. Access to PHI: Business Associate shall, within ten (10) days of receipt of a request from
the County, provide access to PHI maintained by the Business Associate, or its agents or subcontractors, in a Designated Record Set. This PHI will be released to the County or, as directed by the County, to an Individual, in order to meet the requirements under 45 CFR
Attachment #__3__ (Con’t.) GLENN COUNTY BUSINESS ASSOCIATE AGREEMENT
164.524. If Business Associate maintains an Electronic Health Record (EHR), Business Associate shall provide such information in electronic format to enable the County to fulfill its obligations under the HITECH Act.
9. Amendment of PHI: Business Associate shall, within ten (10) days of receipt of a request
from the County, make any amendment(s) to PHI maintained in a Designated Record Set that the County directs, pursuant to 45 CFR 164.526, at the request of the County or an Individual. If any individual requests an amendment of PHI directly from the Business Associate, or its agents or subcontractors, Business Associate must, within five (5) days of the request, notify the County in writing. Any approval or denial of amendment to PHI maintained by the Business Associate, or its agents or subcontractors, shall be the responsibility of the County.
10. Accounting Rights: Business Associate shall, within ten (10) days of notice by the County, make available to the County information required to provide an accounting of disclosures to enable the County to fulfill its obligations under section 164.528 of the Privacy Rule and the HITECH ACT. Business Associate agrees to implement a process that allows for an accounting to be collected and maintained by Business Associate, and its agents or subcontractors, for at least six (6) years prior to the request.
a. If Business Associate uses or maintains an EHR with respect to PHI (1) the exception for tracking disclosures of PHI related to treatment, payment or health care operation purposes no longer applies and (2) information relating to disclosures are required to be collected and maintained for only three (3) years prior to the request. This only applies to the extent the Business Associate uses or maintains an EHR.
b. In the event that the request for an accounting is delivered directly to the Business Associate, or its agents or subcontractors, Business Associate shall within five (5) days of a request, forward it to the County in writing. It shall be the County’s responsibility to prepare and deliver any such accounting requested.
c. At a minimum, the information collected and maintained shall include: (1) the date of the disclosure; (2) the name of the entity or person; (3) a brief description of PHI disclosed; and (4) a brief statement of purpose of the disclosure that reasonably informs the individual of the basis for the disclosure, or in lieu of such statement, a copy of the individual’s authorization, or a copy of the written request for disclosure. 11. Government Access: Business Associate shall make internal practices, books, and records
relating to the use and disclosure of PHI available to the County; or at the request of the County, to the Secretary of the United States Department of Health and Human Services (“Secretary”), in a time and manner designated by the County or the Secretary, for purposes of determining compliance with the Privacy Rule. Business Associates shall provide to the
Attachment #__3__ (Con’t.) GLENN COUNTY BUSINESS ASSOCIATE AGREEMENT
County a copy of any PHI that Business Associate provides to the Secretary concurrently with providing such information to the Secretary.
12. Minimum Necessary: Business Associate, and its agents or subcontractors, shall request, use and disclose only the minimum amount of PHI necessary to accomplish the purpose of the request, use, or disclosure. Business Associate understands and agrees that the definition of “minimum necessary” is in flux and shall keep itself informed of guidance issued by the Secretary with respect to what constitutes “minimum n