D--ICD10 Essence Software Maintenance Palo Alto VA Medical Center One Year Period of Performance - Remotely

DRAFT - Performance Work Statement ESSENCE Software ICD-10-CM/PCS Adaptation for HAIISS Office of Public Health Surveillance and Research Office of Public Health - VAPAHCS 1.0 Background Information 1.1 The Office of Public Health Surveillance and Research (OPHSR), within the Office of Public Health (OPH), conducts public health surveillance and research in the Department of Veterans Affairs (VA). OPHSR was established in 2006 as the surveillance arm of the Office of Public Health with a primary goal of developing the Healthcare-Associated Infections and Influenza Surveillance System (HAIISS). HAIISS utilizes standardized, objective data from the Veterans Health Information Systems and Technology Architecture (VistA) Electronic Health Record (EHR) thereby helping the Veterans Health Administration (VHA) meets its goal of establishing itself as a leader in the fields of Bio-surveillance, healthcare-associated infections (HAI) prevention, and monitoring of infection and antimicrobial resistance trends of national significance. 1.2 Specific surveillance and research initiatives within HAIISS include: 1.2.1 Healthcare-Associated Infections (HAIs) 1.2.2 Bio-surveillance for detection of influenza and other emerging infectious disease syndromes 1.2.3 Characterization of organisms/infections of epidemiologic significance 1.2.4 Monitoring antimicrobial usage and resistance 1.3 HAIISS utilizes VistA EHR to form the basis of the HAIISS Data Warehouse (HDW). The HDW's two data marts feed specific data elements directly into two integrated software systems: 1.3.1 Vecna QC PathFinder® HAI Surveillance System 1.3.2 Johns Hopkins University Applied Physics Laboratory's (JHU/APL) Electronic Surveillance System for the Early Notification of Community-Based Epidemics (ESSENCE) Bio-surveillance System 1.4 The service required in this contract is support for software adaptive maintenance of OPHSR's current Bio-surveillance system for the VA. The Bio-surveillance system, the Healthcare-Associated Infections and Influenza Surveillance System (HAIISS), is based, in part, on an automated disease surveillance system known as Electronic Surveillance System for the Early Notification of Community-based Epidemics (ESSENCE). 2.0 Scope of Work: 2.1 The Contractor shall perform software adaptive maintenance to process diagnosis International Classification of Diseases, Tenth Revision, Clinical modification/Procedure Coding System, abbreviated as (ICD-10-CM/PCS) codes into all current versions of the VHA ESSENCE system (including but not limited to inpatient, outpatient, Joint Incentive Fund (JIF), and training ESSENCE), documentation, and software user support regarding ICD-10-CM/PCS codes in ESSENCE. This transition will include incorporating ICD-10-CM/PCS codes into the ESSENCE application, as well as implementing software modifications to allow ICD-10-CM/PCS specific searches using these codes for dates after October 1, 2014. In addition, the syndrome groupings in ESSENCE will be updated to include ICD-10-CM/PCS codes based on the coding information provided by OPHSR. Finally, the existing algorithms in ESSENCE will be adapted to alert users of high disease activity using ICD-10-CM codes. The Contractor shall adhere to the requirements and tasks as written in this Performance Work Statement (PWS) and services to be provided under this PWS will be conducted from the Contractor's own premises (remotely). 2.2 The Contractor shall provide Project Management and utilize the VA's established online tools for Project Management and Tracking, which is currently IBM Rational Tools TM. 2.3 The Contractor shall track and organized all documentation pertaining to support requests from ESSENCE users associated with the transition of ICD-9-CM to ICD-10-CM/PCS codes. The Contractor will maintain and keep current all pending work that shall be accumulated and organized in chorological order to be prioritized by OPHSR. 2.4 As needed, the Contractor shall participate in monthly scheduled and/or ad hoc conference calls with OPHSR to provide a report of on-going issues to coordinate activities with the Government or other OPHSR Contractors, to review work plans and to establish collaboration with other teams. 2.5 The Contractor shall perform regular sprints/version releases using an incremental development approach (i.e., Agile). 3.0 Period of Performance (POP) and Hours of Maintenance (Adaptive) 3.1 The POP will begin on/about 1 Sep 2014 for one year. 3.2 Hours of Coverage: The Contractor shall provide coverage Monday through Friday, 8:00 AM to 6:00 PM, for all Time Zones within continental United States. 3.3 Location of Performance: Services shall be conducted from the Contractor's own premises (remotely). 4.0 Competency of Contractor Personnel Servicing the Software - ESSENCE 4.1 The Contractor shall utilize staff experienced and fully qualified in working with the software, ESSENCE, in the capacity required for the type of work involved (i.e., software engineer vs. project manager) and appropriate to the specific task. 4.2 "Fully Qualified" is based upon training (i.e., software engineer with bachelor's degree in computer science or higher level of training) and experience working with the ESSENCE software as well as ICD-CM/PCS Codes, administration of Oracle RAC 11g, Microsoft SQL, engineers fluent with design architecture of medical domain objects (MDO) software framework in C++, Rational ClearCase, or as a project manager if that is the capacity in which the contractor is working. 5.0 Contractor's Quality Control Program 5.1 The Contractor shall develop, maintain and implement a comprehensive Quality Control (QC) Program that shall ensure that all aspects of the PWS meet performance standards and are performed completely and appropriately. The Contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set-forth by the contract. 5.1.1 The Contractor shall develop and submit a Quality Control Plan (QCP) for Government approval in compliance with the contract. Once accepted, the Contractor then uses the QCP to guide and to rigorously document the implementation of the required management and quality control actions to achieve the specified results. 5.1.2 As part of their proposal the Contractor shall provide one-(1) copy of the QCP within 15 days after contract award. The QCP shall include but is not limited to the following: 5.2 Should the Contractor's QCP identify Key Personnel, then in instance where there is a major turnover of Key Personnel, the Contactor shall update their QCP to reflect any necessary changes. The COR will have the authority to determine whether a major turnover has occurred. 5.3 The QCP shall contain processes for corrective actions without dependence upon Government direction and shall maintain records of all Contractor QC inspections and corrective actions. The Contractor shall have a method and/or methods for identifying deficiencies in the quality of services performed before the performance deficiency becomes unacceptable. 5.3.1 A method of recording or logging Contractor daily activities, which would demonstrate the Contractor's ability to maintain the minimum requirements of this contract. 5.4 The Government will conduct surveillance oversight of the Contractor's quality control efforts using the Contractor's QCP to assure timely, effective and that the Contractor is delivering the results specified in the contract and the Government Quality Assurance Surveillance Plan (QASP) as established by the COR, OPHSR Project Owner and Project Manager. 5.5 The Contractor shall provide a monthly QC Assurance Report. It shall include the results of the reviews, identification of problems and a plan of correction. 5.6 Security Plan. The Contractor shall include a written Security Plan to assure that the requirements of the contract are met as specified herein. The Security Plan shall be for the physical facility at the Contractor's place of business. It shall address security issues, including the identification of the security system employed to maintain patient confidentiality and the virus protection to be used. 5.7 Quality Control Plan Deliverables: 5.7.1 Quality Control Plan specific to the requirements of the PWS. 5.7.2 Monthly Quality Control Assurance Report 5.7.3 Security Plan 6.0 Quality Assurance Surveillance Plan (QASP) 6.1 Quality Assurance Surveillance Plan (QASP). The Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to ensure the systematic quality assurance methods are used in the administration of the Performance-Based Service Contract (PBSC) Standards included in this contract. The intent of the QASP is to ensure that the Contractor performs in accordance with (IAW) the performance metrics and that the Government receives the quality of services called for in the contract. The Government's QASP will be provided to the Contractor 30 days after award of contract. The QASP pertaining to this action will be used by the Government to monitor and evaluate Contractor's performance using information derived from Customer Complaints. 6.2. Contractor Performance Assessment Report System (CPARS) - The Government for this procurement will address the Quality of Service; Schedule; Business relations, Management of Key Personnel, and other important areas. As this information may affect future source selections throughout VA as well as other Agencies, an Interim, Annual and/or Final CPARS will be used as a complementary performance oversight and communication tool along with the QASP. 6.2.1 The Contractor performance will be recorded by the COR and/or Designated Representative (DR) and when an observation indicates Defective Performance, the COR will request the Project Manager and/or DR to initial the observation. 6.2.2 The following Government resources shall have responsibility for the implementation of the QASP: 6.2.2.1 Contracting Officer (CO) - The CO ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract and safeguards the interests of the United States in the contractual relationship. It is the CO that assures the Contractor receives impartial, fair and equitable treatment under the contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor's performance 6.2.2.2 Contracting Officer Representative (COR) - The COR is responsible for technical administration of the contract and assures proper Government surveillance of the Contractor's performance. The COR is NOT empowered to make any contractual commitments or to authorize any changes on the Government's behalf. Any changes that the contractor deems may affect contract price, terms or conditions shall be referred to the CO for action. 7.0 Major Tasks with sub-tasks 7.1 Task 1-Kick-Off Meeting 7.1.1 The Contractor shall organize and hold a Project Kick-Off Meeting with the OPHSR Program Manager. The primary objective of the Kick-Off Meeting is to ensure the integrated Project Team (technical, contracts, legal, end-user, etc.) knows exactly what support and outcomes are expected. The key elements to be addressed by the Contactor for the Kick-Off Meeting are as follows: " Distributing the agenda and any relevant documentation before the meeting. " Beginning and ending on time. Stick to the meeting plan. " Introduction of the project team and key project members. Make sure everyone is clear on roles and responsibilities as well as expectations. " Description of the acquisition objective. " Explanation of the approach to accomplishing the acquisition including the schedule and critical path. Review the work plan, major milestones and deliverables. " Review of the change management process that will be followed to ensure schedule compliance and document quality while allowing for sufficient reviews and industry comment (if relevant). " Definition of success criteria so that everyone is clear about the system and/or services user expectations. " Identifying any risks, challenges and project constraints especially unique to this acquisition and identifying any risk mitigation actions for this most probable/highest impact risks. " Allowance for time to respond to everyone's concerns about project success and an open discussion while there is still time to change the plan. " Ensuring that everyone understands the necessary project control and status requirements including documentation standards and quality reviews. Additionally, clarify charging requirements for labor and other direct charges like travel expenses. " Review of any support tools, documents and support needs. " Preparation of a Written Record that identifies the decisions made and any action assignments 7.1.2 The purpose of the kick-off meeting is for the contract parties to meet to establish a clear and mutual understanding of the contract requirements and respective roles and responsibilities. The Contractor shall coordinate with the COR as required to schedule the kick-off meeting. The kick-off meeting should take place within five (5) business days after the contract is awarded. If this is not possible, the kick-off meeting must take place within two (2) weeks after the contract is awarded. 7.1.3 At the Kick-Off Meeting, the Contractor shall present: " Staffing Plan and Resume for Key Personnel of the Contractor's team " Project Management Plan (PMP) Template " Meeting Agenda Templates " Monthly Progress Report Template 7.1.4 Task 1 Deliverables: 7.1.5 Organize and Participate in Kick-Off Meeting 7.1.5.1 Prepare Kick-Off Meeting Minutes to include but not limited to names of attendees, discussion topics, revisions to project schedule/work plan, action items, issues, and decisions 7.1.5.2 Using Microsoft Project Format present Work Plan and Project Schedule 7.2 Task 2 - Project Management Plan (PMP) 7.2.1 The Contractor shall provide a detailed plan for carrying out activities related to the transition from ICD-9-CM to ICD-10-CM/PCS codes within all versions of the VHA ESSENCE application (including but not limited to Outpatient, Inpatient, JIF, and Training ESSENCE). The PMP should describe the agile development methodology which will be utilized for the work of this contract. The Contractor shall provide feedback to OPHSR in the form of regular (i.e., weekly) reports and/or calls on the progress of above activities, and present any problems encountered and potential solutions. 7.2.2 The Contractor shall prepare a monthly report documenting progress made in transitioning from ICD-9-CM/PCS to ICD-10-CM/PCS codes. 7.2.3 Task 2 Deliverables: 7.2.3.1 Project Management Plan (PMP) 7.2.3.2 Staffing Report - Initial staffing report is due at the kick-off meeting. Thereafter, a report will be required within (3) business days after a significant personnel change occurs. Significant personnel changes will be defined by the COR and OPHSR Project Owner. 7.2.3.3 Monthly Report of progress made in transition as described in Section 8.0 7.2.3.4 Maintenance of product backlog with ongoing issues related to the ICD-10-CM/PCS transition 7.3 Task 3 - ESSENCE ICD-10-CM/PCS Adaptation Services 7.3.1 The Contractor shall be responsible for performing all maintenance related to ICD-10-CM/PCS codes in ESSENCE. This includes perfective, adaptive, and corrective maintenance. The Contractor shall provide an initial deployment of the ICD-10-CM/PCS installation as well as patch releases to maintain software functionality, and correct software bugs identified and prioritized by OPHSR staff. 7.3.1.1 The Contractor shall maintain records of maintenance performed. Any expected application downtime shall be communicated ahead of time to the COR, OPHSR Project Owner, and ESSENCE users. 7.3.1.2 Perfective maintenance refers to enhancements made to improve software performance, maintainability, or understandability. 7.3.1.3 Adaptive maintenance consists of any effort which is initiated as a result of changes in the environment (including rules, laws, regulations, hardware configurations, data formats, file structures, system software) in which a software system must operate. 7.3.1.4 Corrective maintenance refers to changes necessitated by actual errors (induced or residual "bugs") in a system. 7.3.2 The Contractor shall ensure that the ESSENCE application is able to accept and utilize ICD-10-CM/PCS data and that the appropriate mapping takes place to ensure that data is recognized and correctly utilized (including but not limited to syndrome groupings and algorithms) within the application as described in the Scope of Work (Section 2.0). New mappings will be tested by OPHSR and the Contractor is expected to respond to the corrective maintenance needed. 7.3.3 Task 3 Deliverables: 7.3.3.1 Initial deployment of ICD-10-CM/PCS codes within the ESSENCE application 7.3.3.2 Proposed sprint plan for initial Agile sprint and subsequent releases 7.3.3.3 Sprint/patch releases with release notes and test plans describing all work addressing the transition from ICD-9-CM/PCS to ICD-10-CM/PCS, functional features, and corrections. 7.3.3.4 Source Code and system documentation including Runbook for all ICD-10-CM/PCS related work in the application 8.0 Reporting Requirements 8.1 The Contractor shall provide the COR and OPHSR Project Manager with monthly Progress Reports in electronic form in Microsoft Word and maintain a schedule in MS Project format. The report shall include detailed instructions/explanations for each required data element, to ensure that data is accurate and consistent. These reports shall reflect data as of the last day of the preceding month. 8.2 The Monthly Progress Reports shall cover all work completed during the reporting period and work planned for the subsequent reporting period. Additionally, the report shall identify any problems that arose and a description of how the problems were resolved. If problems have not been completely resolved, the Contractor shall provide an explanation including their plan and timeframe for resolving the issue. The Contractor shall monitor performance against the PMP and report any deviations. The Contractor shall communicate with the COR or designated representative accordingly so that issues that arise are transparent to both parties to prevent escalation of outstanding issues. 8.3 Deliverable: 8.3.1 Monthly Progress Report 9.0 Travel: There is no travel associated and/or included in this contract. 10.0 Definitions and Acronyms: 10.1 Acceptance Signature - COR or VA designee signature; indicates COR accepts work status as stated in PWS. 10.2 CO - Contracting Officer 10.3 COR - Contracting Officer's Representative 10.4 CPARS - Contractor Performance Assessment Report System 10.5 DR - Designated Representative 10.6 EHR - Electronic health record 10.7 ESSENCE - Electronic Surveillance System for the Early Notification of Community-Based Epidemics 10.8 HAI - Healthcare-Associated Infections 10.9 HAIISS - Healthcare-Associated Infections and Influenza Surveillance System 10.10 HDW - HAIISS Data Warehouse 10.11 IAW - In Accordance With 10.12 ICD-9-CM - International Classification of Diseases, Ninth Revision, Clinical modification 10.13 ICD-9- PCS- International Classification of Diseases, Ninth Revision, Procedure Coding System 10.14 ICD-10-CM - International Classification of Diseases, Tenth Revision, Clinical modification 10.15 ICD-10-PCS- International Classification of Diseases, Tenth Revision, Procedure Coding System 10.16 JHU/APL - Johns Hopkins University Applied Physics Laboratory 10.17 JIF - Department of Defense / VA Joint Incentive Fund 10.18 MDO - Medical Domain Objects 10.19 OPH - Office of Public Health 10.20 OPHSR - Office of Public Health Surveillance and Research 10.21 PBSC - Performance-Based Service Contract 10.22 PCS - Procedure Coding System 10.23 PMP - Project Management Plan 10.24 POP - Period of Performance 10.25 PWS - Performance Work Statement 10.26 QASP - Quality Assurance Surveillance Plan 10.27 QC - Quality Control 10.28 QCP - Quality Control Plan 10.29 VA- Department of Veterans Affairs 10.30 VHA - Veterans Health Administration 10.31 VistA - Veterans Health Information Systems & Technology Architecture 10.32 VPN - Virtual Private Network 11.0 Security Requirements and Remote Access 11.1 VA Acquisition Regulation (VAAR) 852.273-75 Security Requirements for Unclassified Information Technology Resources (Interim October 2008) applies and a Security Accreditation Package is applicable and required. 11.2 The Contractor and their personnel shall be subject to the same Federal laws, regulations, standards and VA policies as VA personnel, regarding information and information system security. These include, but are not limited to Federal Information Security Management Act (FISMA), Appendix III of OMB Circular A-130 and guidance and standards, available from the Department of Commerce's National Institute of Standards and Technology (NIST). Additionally, this includes the use of common security configurations available from NIST's Web site at: http://checklists.nist.gov. 11.3 To ensure that appropriate security controls are in place, the Contractor shall follow the procedures set forth in "VA Information and Information System Security/Privacy Requirements for IT Contracts" located at the following Web site: http://www.iprm.oit.va.gov/docs/Security_and_Privacy_Requirements_for_IT_Contracts_Attachment.pdf. 11.5 The Contractor shall comply with all applicable requirements as outlined in VA Handbook 6500.6 "Contract Security" (Attachment B). The Contractor and their personnel shall be subject to the Federal laws, regulations, standards, and VA Directives and Handbooks regarding information and information system security as delineated in this contract. 11.6 The Contractor is required to complete and submit the Contractor Security Control Assessment (CSCA), version 1.2, dated 05/15/2009, or the latest version available. (Attachment C) 11.7 Privacy Act: The Contractor shall be responsible for safeguarding all confidential information. The Contractor shall keep all information confidential pursuant to, and comply with all provisions of, the Privacy Act of 1974, HIPAA, the Freedom of Information Act, M-1, Part 1, Chapter 9 and other VA regulations. 11.8 Violation of the Privacy Act of 1974 may involve the imposition of criminal penalties. The Contractor shall protect against loss or misuse of all dictated and transcribed documents. The documents described in this solicitation are irreplaceable medication information. The Contractor shall insure the confidentiality of all patient information, and shall be held liable in the event of breach of confidentiality. 11.9 The Contractor shall ensure the confidentiality of all patient and provider information. The Contractor shall not retain information longer than herein required for sensitive or patient identifying data and shall comply with all directives and regulations pertaining to the Privacy Act of 1974, Freedom of Information Act, and VA Manual M-1, Par, Chapter 9. Due to the nature of the work to be performed under this Contract, the Contractor and all contract employees shall be required to sign Confidentiality Statements. 11.10 The Contractor shall adhere to the following policies and laws applicable to all services to be provided under this contract. These policies and laws are retrievable via the worldwide web. 11.10.1 Healthcare Insurance Portability and Accountability Act of 1996 (HIPPA) 11.10.2 Fraud and Related Activity in Connection with Access Devices and Computers, 18 U.S.C. 1029-1030 11.10.3 Electronic Communications Privacy Act of 1986, PL 99-508 11.10.4 Title 38, U.S.C. 5701, VA Claims Confidentiality Statute 11.10.5 Title 38, U.S.C. 5705, Confidentiality of Healthcare Quality Assurance Records 11.10.6 Title 38, U.S.C. 7332, Confidentiality of Certain Medical Records 11.11 VHA Business Associate Agreement (BAA): The Contractor shall execute a BAA upon award of the contract. (Attachment A) 11.12 The Contractor shall have and maintain a VA-approved site-to-site virtual private network (VPN) connection for remote service. 12.0 Summary Table of Contract Deliverables Deliverable Delivery Schedule 5.0 Contractor Quality Control (QC) Plan Due 15 calendar days after contract starts. Thereafter, updates occur on the 5th of each month. 5.7.2 Monthly QC Assurance Report Due on the 5th business day of each month for the previous month reporting period. 5.7.3 Security Plan Due 15 days after contract starts. 7.1 Kick-off meeting 2 weeks after the contract starts, ideally within 5 days of contract awarded. 7.1.5.1 Kick-off meeting minutes 5 business days after the kick off meeting. 7.2.1 Present Work Plan and Project Schedule At kick-off meeting (2 weeks after the contract starts, ideally within 5 days of contract awarded). 7.2.3.1 Project Management Plan (PMP) Updated on the 5th business day of each month. 7.2.3.2 Staffing Report At kick-off meeting. 7.2.3.2 Staffing Changes Report On the 3rd business day following a significant staffing change as defined by COR and OPHSR Project Owner. 7.2.3.3/8.3.1 Monthly Progress Report On the 5th business day of the month for the reporting period of the previous month. 7.2.3.4 Maintenance of product backlog related to ICD-10-CM transition Ongoing but at least monthly until contract ends. 7.3.3.1 Initial deployment of ICD-10-CM/PCS codes within ESSENCE applications Due 8 weeks into the contract. 7.3.3.2 Proposed Sprint Plans Due at the beginning of each scheduled Agile Sprint. 7.3.3.3 Sprint/Patch Releases Due at least monthly. 7.3.3.3 Release Notes and Test Plans Due on the day of each Patch Release. 7.3.3.4 Source Code, Runbook, and Documentation Due on the day of each Patch Release. 8.3.1 Monthly Progress Report Due on the 5th business day of each month for the previous month reporting period. 13.0 Payments and Invoicing 13.1 The Contractor shall submit monthly invoices in arrears. The invoice shall include the Contract number, current Purchase Order number, Order Date, POP and a Description of Services provided during the month. The Contractor shall forward the invoice to the COR or designated representative for prior approval before submitting to OB10 for verification. OB10 shall forward the Contractor's invoice directly to DFAS Austin (also known as Finance Service Center) for payment. 20.2 OB10 electronic registration. VA entered into a relationship with OB10, a global provider of electronic invoicing. With OB10, all Contractors will be able to securely submit invoices directly from their existing billing systems. Contractors can easily submit invoices electronically through OB10. By submitting invoices electronically through OB10, the Contractor will experience prompt payment with reduced exceptions. Your participation is required in order to continue providing products or services to the VA in compliance with the Improper Payments Elimination and Recovery Act of 2010 (IPERA) and Mandate AN97. The rule mandating electronic invoice submission was published on Nov 27, 2012, and has an effective date of Dec 27, 2012. Mandata AN97 can be located on the Federal Registry at the link provided: https://federalregister.gov/a/2012-28612 . 20.2.1 "How-to register with OB10" instructions will be provided to the winning offeror. ATTACHMENTS: Attachment A: VHA Business Associate Agreement, revised Sep 2013, 8 pages Attachment B: VA Handbook 6500.6 Contract Security dated 12 Mar 2010, 48 pages Attachment C: Contractor Security Control Assessment template as 15 May 2009, 18 pages Attachment D: Contractor Personnel Security Requirement as 1 Mar 2011, 5 pages Attachment E: Wage Determination Santa Clara No. 2005-2061, Revision 13, dated 6/19/2013 Attachment F. Past Performance Survey Template, 4 pages