WTC NRHP contract RFP.pdf

PAGES

15A. NAME

AND

ADDRESS

OF

OFFEROR

SEC. PAGE(S) SEC. PAGE(S)

(Date) (Hour)

CALENDAR DAYS

14. ACKNOWLEDGMENT OF AMENDMENTS

(The offeror acknowledges receipt of amend-ments to the SOLICITATION for offerors and related documents numbered and dated:

(Type or Print)

SOLICITATION, OFFER AND AWARD 1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR 700)

RATING

PAGE OF

1 78

2. CONTRACT NO.

3. SOLICITATION NO.

2010-N-12135

4. TYPE OF SOLICITATION

SEALED BID (IFB)

X NEGOTIATED (RFP)

5. DATE ISSUED

07/1/2010

6. REQUISITION/PURCHASE

NO.

7. ISSUED BY CODE 3635 8. ADDRESS OFFER TO (If other than Item 7) Ctrs for Disease Control & Prevention (Pgh)

Acquisition & Assistance Field Branch PO Box 18070, 626 Cochrans Mill Rd Pittsburgh, PA 15236-0070

Approved as to Form and Legality: _____________________________ NOTE: In sealed bid solicitations “offer” and “offeror” mean “bid” and “bidder.”

SOLICITATION

9. Sealed offers in original and 5 handcarried, in the depository located in See Section L.11 until 4:00 p.m. local time 08/04/2010 copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if

CAUTION -- LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR INFORMATION

CALL:

A. NAME

Ruben Cruz

B. TELEPHONE (NO COLLECT CALLS)

AREA CODE NUMBER: EXT:

(412) 386-6724

C. E-MAIL ADDRESS

rcruz@cdc.gov

11. TABLE OF CONTENTS

(x) DESCRIPTION (x) DESCRIPTION

PART I – THE SCHEDULE PART II – CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 2 X I CONTRACT CLAUSES 31

X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 9 X J LIST OF ATTACHMENTS 39

X D PACKAGING AND MARKING 10 PART IV – REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 11 REPRESENTATIONS, CERTIFICATIONS, AND

X F DELIVERIES OR PERFORMANCE 12 X K OTHER STATEMENTS OF OFFERORS 40

X G CONTRACT ADMINISTRATION DATA 16 X L INSTRS., CONDS., AND NOTICES TO OFFERORS 48

X H SPECIAL CONTRACT REQUIREMENTS 24 X M EVALUATION FACTORS FOR AWARD 70

OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within 90 calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT

(See Section I, Clause No. 52-232-8)

10 CALENDAR DAYS

20 CALENDAR DAYS

30 CALENDAR DAYS

AMENDMENT NO. DATE AMENDMENT NO. DATE

CODE FACILITY 16. NAME AND ADDRESS OF PERSON AUTHORIZED TO SIGN OFFER

15B. TELEPHONE NO.

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS

IS DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

17. SIGNATURE

18. OFFER DATE

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION

10 U.S.C. 2304(c)( ) 41 U.S.C. 253(c)( ) 23. SUBMIT INVOICES TO ADDRESS SHOWN IN (4 copies unless otherwise specified)

ITEM

24. ADMINISTERED BY (If other than Item 7) CODE 3635 25. PAYMENT WILL BE MADE BY CODE 434

Centers for Disease Control and Prevention (FMO) PO Box 15580 404-498-4050

Atlanta GA 30333-0080

26. NAME OF CONTRACTING OFFICER (Type or print)

Ruben Cruz

27. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

28. AWARD DATE

IMPORTANT -- Award will be made on this form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 33 (REV. 9-97)

PREVIOUS EDITION IS UNUSABLE Prescribed by GSA

FAR (48 CFR) 53.214©

K

Section B - Supplies Or Services And Prices/Costs

Base Year:

ITEM SUPPLIES / SERVICES QTY / UNIT UNIT PRICE EXTENDED PRICE

0001 Operations & Management

All work to be performed in accordance with the Performance Work Statement.

Period of performance: 30 September 2010 through 29 September 2011

Cost Plus Fixed Fee (CPFF)

1 Year NOT TO EXCEED:

0002 Case Management

Period of performance: 30 September 2010 through 29 September 2011

0003 Member Services

Period of performance: 30 September 2010 through 29 September 2011

0004 Monitoring/Treatment Services

Period of performance: 30 September 2010 through 29 September 2011

Reimbursable at cost only (COST)

0005 Pharmacy Benefit

Period of performance: 30 September 2010 through 29 September 2011

Reimbursable at cost only (COST)

Option Year 1:

000101 Operations & Management

Period of performance: 30 September 2011 through 29 September 2012

000201 Case Management

Period of performance: 30 September

000301 Member Services

Period of performance: 30 September

000401 Monitoring/Treatment Services

Period of performance: 30 September

000501 Pharmacy Benefit

Period of performance: 30 September

Option Year 2:

000102 Operations & Management

Period of performance: 30 September 2012 through 29 September 2013

000202 Case Management

Period of performance: 30 September

000302 Member Services

Period of performance: 30 September

000402 Monitoring/Treatment Services

Period of performance: 30 September

000502 Pharmacy Benefit

Period of performance: 30 September

Option Year 3:

000103 Operations & Management

Period of performance: 30 September 2013 through 29 September 2014

000203 Case Management

Period of performance: 30 September

000303 Member Services

Period of performance: 30 September

000403 Monitoring/Treatment Services

Period of performance: 30 September

000503 Pharmacy Benefit

Period of performance: 30 September

Option Year 4:

000104 Operations & Management

Period of performance: 30 September 2014 through 29 September 2015

000204 Case Management

Period of performance: 30 September

000304 Member Services

Period of performance: 30 September

000404 Monitoring/Treatment Services

Period of performance: 30 September

000504 Pharmacy Benefit

Period of performance: 30 September

Cost/Fee Tables

Base Year

ITEM ESTIMATED COST FIXED FEE TOTAL

0001 – Operations & Management $ $ $

0002 – Case Management $ $ $

0003 – Member Services $ $ $

0004 – Monitoring/Treatment $ N/A $

0005 – Pharmacy Benefit $ N/A $

Total $ $ $

Option Year 1

000101 – Operations & Management $ $ $

000201 – Case Management $ $ $

000301 – Member Services $ $ $

000401 – Monitoring/Treatment $ N/A $

000501 – Pharmacy Benefit $ N/A $

Option Year 2

000102 – Operations & Management $ $ $

000202 – Case Management $ $ $

000302 – Member Services $ $ $

000402 – Monitoring/Treatment $ N/A $

000502 – Pharmacy Benefit $ N/A $

Option Year 3

000103 – Operations & Management $ $ $

000203 – Case Management $ $ $

000303 – Member Services $ $ $

000403 – Monitoring/Treatment $ N/A $

000503 – Pharmacy Benefit $ N/A $

Option Year 4

000104 – Operations & Management $ $ $

000204 – Case Management $ $ $

000304 – Member Services $ $ $

000404 – Monitoring/Treatment $ N/A $

000505 – Pharmacy Benefit $ N/A $

Total (All Years)

0001 – Operations & Management $ $ $

0002 – Case Management $ $ $

0003 – Member Services $ $ $

0004 – Monitoring/Treatment $ N/A $

0005 – Pharmacy Benefit $ N/A $

Section C - Description/Specification/Work Statement

Please see Section J for the World Trade Center National Responder Health Program Performance Work Statement.

Section D - Packaging And Marking

There are no clauses/provisions included in this section.

Section E - Inspection And Acceptance

FAR SOURCE TITLE AND DATE

52.246-5 Inspection of Services – Cost Reimbursement (Apr 1984)

E.1 Inspection and Acceptance (Jul 1999)

Inspection and acceptance of the articles, services, and documentation called for herein shall be accomplished by the Contracting Officer, or his duly authorized representative (who for the purposes of this contract shall be the Contracting Officer’s Technical Representative - COTR) at the destination of the articles, services or documentation.

(End of Clause)

Section F - Deliveries Or Performance

52.242-15 Stop-Work Order (Aug 1989) – Alternate I (Apr 1984)

F.1 Period of Performance

The period of performance of the contract shall be as follows:

Base Period: 30 September 2010 through 29 September 2011 Option Year 1: 30 September 2011 through 29 September 2012 Option Year 2: 30 September 2012 through 29 September 2013 Option Year 3: 30 September 2013 through 29 September 2014 Option Year 4: 30 September 2014 through 29 September 2015

F.2 Deliverable Schedule

(a) Documentation

The following is a list of required documentation to be delivered to the Government as a part of contract performance.

Report Title Date Due

Draft Project Management Plan With Offeror’s Proposal

Project Management Plan 2 weeks after Contract award

Draft Fraud and Abuse Compliance Plan With Offeror’s Proposal

Fraud and Abuse Compliance Plan 2 weeks after Contract Award

Draft, project-specific Quality Assurance Plan Prior to the end of the Transition-in Phase

Draft Coordination Plan 3 weeks after Contract award

Coordination Plan Prior to the end of the Transition-in Phase

Draft NRHP Contract Operations Manual Prior to the end of the Transition-in Phase

Assurance of System and Operational Readiness Prior to the end of the Transition-in Phase

Transition Out Plan With NRHP Contract Operations Manual

Turnover Plan 60-90 days prior to end of the contract

Transition-Out Phase Results Report At Contract Close

NRHP Monthly Status Report Monthly (10th day of month)

Ad Hoc Reports As Requested

(b) Report Content (NRHP Monthly Status Report)

The NRHP contractor shall submit monthly progress reports on the technical, administrative, and financial status of the contract. The progress reports shall provide sufficient detail to track all significant program activities and progress. The reports shall summarize the activities and accomplishments of the past month, projected work for the next reporting period, identify any potential risks to continued program success (along with the plans to mitigate the risk) and an abbreviated financial status. The NRHP Monthly Status Report shall include the following subsections:

• Health Care Data Report

• Financial Data Report

• Administrative Data Report.

In addition to the Monthly Status Reports, the NRHP contractor shall summarize the data from the preceding periods on a quarterly, semi-annual, and annual basis.

Health Care Data Monthly Report All reports due on the 10th day of the month for previous month’s activities

Medical Monitoring Exams Diagnosis and/or Treatment Total number of medical monitoring exams performed and dates performed

Total number of each type of diagnosis and/or treatment performed and dates performed

Provider that performed the medical monitoring exam

Provider that performed the diagnosis and/or treatment

Listing of the numbers of members receiving medical monitoring exams

Listing of the numbers of members receiving the diagnosis and/or treatment

City-Level Zip Location of members receiving medical monitoring exams

Location of members receiving the diagnosis and/or treatment

Whether or not treatment or additional diagnosis has been recommended and, if so, for what conditions

Whether or not additional diagnosis and/or treatment has been recommended and, if so, for what conditions

A listing of medications or durable products that have been prescribed, and for what conditions.

This list should also be broken down by provider and by receiving member.

Listing of the numbers of members receiving in-patient care

In addition to these data, the Health Care Data Report shall include a summary of Case Management activities, social services counseling activities, medical appeals, hospitalizations, emergency care, and any other information that will give NIOSH a complete understanding of the overall health of the cohort. This additional information shall also include:

• Total number of responders who were treated for physical health conditions in the past quarter and year.

• Total number of responders who were treated for mental health conditions in the past quarter and year.

• Number of responders who were treated for particular subcategories of physical and mental health conditions in the past quarter and year. These subcategories include:

Pulmonary Conditions Chronic Cough Syndrome Upper airway hyperreactivity Chronic rhinosinusitis Chronic nasopharyngitis Chronic laryngitis Chronic Respiratory Disorder Asthma Reactive Airways Dysfunction Syndrome WTC-exacerbated chronic obstructive pulmonary disease

Interstitial lung diseases Sleep apnea exacerbated by or related to the above conditions

Gastrointestinal Conditions Gastro-esophageal Reflux Disorder Mental Health Conditions Post Traumatic Stress Disorder Major Depressive Disorder Panic Disorder Generalized Anxiety Disorder Anxiety Disorder (not otherwise specified) Depression (not otherwise specified) Acute Stress Disorder Dysthymic Disorder Adjustment Disorder Substance Abuse

Musculoskeletal Disorders Low back pain Carpal Tunnel Syndrome (CTS) Other musculoskeletal disorders

• Number of responders who were admitted for in-patient care during the past quarter and year, as well as the amount of money spent on in-patient care in those time periods.

• Breakout of insurance information reported by responders at monitoring visits and for responders who are in treatment for the past quarter and year.

Financial Data Monthly Report

Medical Monitoring Exams Diagnosis and Treatment Dollars paid for medical monitoring exams. The report should include each cost element of the exam, the provider conducting the exam, and the date and location the exam was performed.

Dollars paid for diagnosis and/or treatment. The report should include each diagnosis and treatment code and the associated medical condition, the provider performing the diagnosis and/or treatment, and the date and location of the diagnosis and /or treatment

Dollars paid for all in-patient care

Administrative Data Monthly Report

Dollars billed to the WTC NRHP other than the fee-for-service payments to providers (i.e., claims). This information should be broken down by date and type of expense within each of the major areas of responsibility of the NRHP contractor.

Insurance information reported by responders during the medical monitoring exam.

F3. Delivery of Reports

The Contractor shall submit one hard copy and an electronic copy of each of the reports as required by the contract to:

Centers for Disease Control and Prevention Acquisition and Assistance Field Branch Post Office Box 18070 Pittsburgh, PA 15236-0070

Attention: Ruben Cruz, Contracting Officer rcruz@cdc.gov

All remaining copies of deliverables/reports shall be delivered as an email attachment concurrent with shipping hard copies, prepaid, as required by the contract to the Contracting Officer’s Technical Representative designated by the Contracting Officer.

mailto:rcruz@cdc.gov�

Section G - Contract Administration Data

G.1 Contracting Officer (Jul 1999)

(a) The Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds. No person other than the Contracting Officer can make any changes to the terms, conditions, general provisions, or other stipulations of this contract.

(b) No information, other than that which may be contained in an authorized modification to this contract, duly issued by the Contracting Officer, which may be received from any person employed by the United States Government, or otherwise, shall be considered grounds for deviation from any stipulation of this contract.

(End of Clause)

G.2 Contracting Officers Technical Representative (COTR) Technical Guidance (Sep 2009)

Performance of the work hereunder shall be subject to the technical directions of the designated COTR for this contract.

As used herein, technical directions are directions to the Contractor which fill in details, suggests possible lines of inquiry, or otherwise completes the general scope of work set forth herein. These technical directions must be within the general scope of work, and may not alter the scope of work or cause changes of such a nature as to justify an adjustment in the stated contract price/cost, or any stated limitation thereof. In the event that the Contractor feels that full implementation of any of these directions may exceed the scope of the contract, he or she shall notify the originator of the technical direction and the Contracting Officer in a letter separate of any required report(s) within two (2) weeks of the date of receipt of the technical direction and no action shall be taken pursuant to the direction.

If the Contractor fails to provide the required notification within the said two (2) week period that any technical direction exceeds the scope of the contract, then it shall be deemed for purposes of this contract that the technical direction was within the scope. No technical direction, nor its fulfillment, shall alter or abrogate the rights and obligations fixed in this contract.

The Government COTR is not authorized to change any of the terms and conditions of this contract. Changes shall be made only by the Contracting Officer by properly written modification(s) to the contract.

The Government will provide the Contractor with a copy of the delegation memorandum for the COTR. Any changes in COTR delegation will be made by the Contracting Officer in writing with a copy being furnished to the Contractor.

(End of Clause)

G.3 Reimbursement of Cost (Apr 2000)

(a) For the performance of this contract, the Government shall reimburse the Contractor the cost determined by the Contracting Officer to be allowable (hereinafter referred to as allowable cost) in accordance with the clause entitled “Allowable Cost and Payment” in Section I, Contract Clauses. Examples of allowable costs include, but are not limited to, the following:

(1) All direct materials and supplies which are used in the performing of the work provided for under the contract, including those purchased for subcontracts and purchase orders.

(2) All direct labor, including supervisory , that is properly chargeable directly to the contract, plus fringe benefits.

(3) All other items of cost budgeted for and accepted in the negotiation of this basic contract or modifications thereto.

(4) Special expenditures which, upon request from the Contractor, the Contracting Officer approves as being an allowable cost under this contract, such as purchase or lease of office furniture or equipment, etc..

(5) All travel costs plus per diem or actual subsistence for personnel while in an actual travel status in direct performance of the work and services required under this contract. These costs will be in accordance with the Contractor’s policy and subject to the following:

(i) Air travel shall be by the most direct route using “air coach” or “air tourist” (less than first class) unless it is clearly unreasonable or impractical (e.g., not available for reasons other than avoidable delay in making reservations, would require circuitous routing or entail additional expense offsetting the savings on fare, or would not make necessary connections).

(ii) Rail travel shall be by the most direct route, first class with lower berth or nearest equivalent.

(iii) Costs incurred for lodging, meals, and incidental expenses shall be considered reasonable and allowable to the extent that they do not exceed on a daily basis the per diem rates set forth in the Federal Travel Regulation (FTR).

(iv) Travel via privately owned automobile shall be reimbursed at not more than the current General Services Administration (GSA) FTR established mileage rate.

(b) Except as stated herein, the Contractor shall not incur costs unless the prior written authorization of the Contracting Officer has been obtained. When costs are incurred without such prior authorization, with the intent of claiming reimbursement as direct costs, it shall be at the contractor’s risk.

(End of Clause)

G.4 Payment, Selected Items of Cost Reimbursement Contracts

(a) Travel Costs (Including Foreign Travel) The Contractor shall be reimbursed for travel costs in accordance with FAR 31.205-46.

(b) Per Diem Expenses for subsistence and lodging shall be reimbursed to the Contractor only to the extent where overnight stay is necessary for performance under this contract. Incurred costs shall be considered to be reasonable and allowable only to the extent that they do not exceed, on a daily basis, the maximum per diem rates in effect at the time of travel as set forth in the Federal Travel Regulations. See FAR 31.205-46(2).

(c) Cost of Materials The cost of materials furnished or used under this contract shall be reimbursed in accordance with paragraph (b) of the clause entitled "Allowable Cost and Payment (FAR 52.216-7)" for cost reimbursement contracts. Expendable material costs for items such as office supplies, report paper, etc., and tools of the trade shall be priced in accordance with the Contractor’s approved accounting practices or standards, as applicable. The Contractor shall be required to support all material costs claimed.

(d) Relocation Costs In accordance with FAR 31.205-35, relocation costs, either direct charged or included in the contractor's indirect cost pools, associated with an individual not completing a term of service equal to one year working under this contract shall be an unallowable cost under this contract.

G.5 Negotiated Indirect Cost Rates (Feb 2000)

(a) Notwithstanding the provisions of the clause entitled “Allowable Cost and Payment” in Section I, Contract Clauses, allowable indirect costs under this contract shall be determined by applying the following negotiated indirect rates to the bases specified below:

Type Rate Base Location

(b) The above rates are provisional billing rates only and shall apply from the date of award until such time as the contract is amended. Any modification to change the above rates will also state the effective period covered for the new rates.

(End of Clause)

G.6 Payment of Fixed Fee (Jan 2000)

The fixed fee for each performance period stated in the contract will be paid in equal monthly or bi-monthly amounts up to 85% of the fee for that period. In accordance with FAR 52.216-8, Fixed Fee, incorporated by reference in Section I, the Contracting Officer may withhold the final 15% of the fee for each period, or $100,000 whichever is less, until audited final rates are determined or until a closeout agreement is negotiated.

(End of Clause)

G.7 Evaluation of Contractor Performance (Service) (Jan 2000)

(a) Purpose

In accordance with FAR 42.1502, the Contractor's performance will be periodically evaluated by the Government, in order to provide current information for source selection purposes. These evaluations will therefore be marked “Source Selection Information.”

(b) Performance Evaluation Period

The Contractor's performance will be evaluated at least semiannually.

(c) Evaluators

The performance evaluation will be completed jointly by the COTR and the Contracting Officer.

(d) Performance Evaluation Factors

The contractor's performance will be evaluated in accordance with the attachment listed in Section J.

(e) Contractor Review

A copy of the evaluation will be provided to the contractor as soon as practicable after completion of the evaluation.

The contractor shall submit comments, rebutting statements, or additional information to the Contracting Officer within 30 calendar days after receipt of the evaluation.

(f) Resolving Disagreements Between the Government and the Contractor

Disagreements between the parties regarding the evaluation will be reviewed at a level above the Contracting Officer. The ultimate conclusion on the performance evaluation is a decision of the contracting agency. Copies of the evaluation, contractor's response, and review comments, if any, will be retained as part of the evaluation.

(g) Release of Contractor Performance Evaluation Information

The completed evaluation will not be released to other than Government personnel and the contractor whose performance is being evaluated. Disclosure of such information could cause harm both to the commercial interest of the Government and to the competitive position of the contractor being evaluated as well as impede the efficiency of Government operations.

(h) Source Selection Information

Departments and agencies may share past performance information with other Government departments and agencies when requested to support future award decisions. The information may be provided through interview and/or by sending the evaluation and comment document to the requesting source selection official.

(i) Retention Period

The agency will retain past performance information for a maximum period of three years after completion of contract performance for the purpose of providing source selection information for future contract awards.

(End of Clause)

G.8 Contract Communications/Correspondence (Jul 1999)

The Contractor shall identify all correspondence, reports, and other data pertinent to this contract by imprinting thereon the contract number from Page 1 of the contract.

(End of Clause)

G.9 Payment by Electronic Funds Transfer (Dec 2005)

(a) The Government shall use electronic funds transfer to the maximum extent possible when making payments under this contract. FAR 52.232-33, Payment by Electronic Funds Transfer – Central Contractor Registration, in Section I, requires the contractor to designate in writing a financial institution for receipt of electronic funds transfer payments.

(b) In addition to Central Contractor Registration, the contractor shall make the designation by submitting the form titled “ACH Vendor/Miscellaneous Payment Enrollment Form” to the address indicated below. Note: The form is either attached to this contract (see Section J, List of Attachments) or may be obtained by contacting the Contracting Officer or the CDC Financial Management Office at (404) 498-4050.

(c) In cases where the contractor has previously provided such designation, i.e., pursuant to a prior contract/order, and been enrolled in the program, the form is not required unless the designated financial institution has changed.

(d) The completed form shall be mailed after award, but no later than 14 calendar days before an invoice is submitted, to the following address:

The Centers for Disease Control and Prevention Financial Management Office (FMO) P.O. Box 15580 Atlanta, GA 30333 Or – Fax copy to: 404-638-5342

(End of Clause)

G.10 Electronic Subcontracting Reporting System (eSRS) (Dec 2005)

The contractor shall register with the Electronic Subcontracts Reporting System (eSRS) for the submission of its Individual Subcontract Report (SF 294) and the Annual Summary Reports (SF 295). Before registering in eSRS, the contractor information must be correct in Central Contractor Registration database. The eSRS is a world wide web-based application available at: http://www.esrs.gov. The eSRS website provides training and instruction for data submission.

(End of Clause)

G.11 Billing Instructions for Negotiated Cost-Type Contracts (Mar 2006)

Centers for Disease Control and Prevention

Reimbursement procedures related to negotiated cost-type contracts require that Contractors submit to the Government adequately prepared claims. The instructions that follow are provided for Contractors’ use in the preparation and submission of invoices or vouchers requesting reimbursement for work performed. The preparation of invoices or vouchers as outlined below will aid in the review and approval of claims and enable prompt payment to the Contractor.

Introduction

1. Forms to Be Used

In requesting reimbursement, Contractors may use the regular Government voucher form, Standard Form 1034, “Public Voucher for Purchases and Services Other Than Personal,” and Standard Form 1035, “Continuation Sheet,” or the Contractor’s own invoice form. If the Contractor desires to use the Government’s standard forms, a request for the forms should be submitted to the Contracting Officer. If the Contractor uses his own invoice, the billing must conform with the instructions set forth herein.

2. Submission of Invoices or Vouchers

Invoices or vouchers shall be submitted per Section G of the contract. All original invoices or vouchers shall also be submitted via email to the following:

Financial Management Office (FMO): FMOAPINV@CDC.GOV Contracting Officer: rcruz@cdc.gov Contracting Officer’s Technical Representative: To Be Determined (TBD)

REMINDER: Failure to submit vouchers in the proper format will delay your payment.

3. Preparation of Invoices or Vouchers

a. Summary of All Costs

As shown on Standard Form 1034, a summary of all current costs must be shown. This summary consists of a list identifying the general categories and the amounts incurred during the period covered by the billing, together with the portion of fixed fee (if any) payable for that period. The reimbursable costs incurred and the dates of the period for which the charges are claimed must fall within the period specified in the contract.

b. Details of Costs Claimed

As shown on Standard Form 1035, a detailed breakdown must be provided to substantiate the categories shown on the summary of costs. The following describes some of the categories that might appear on your billings:

(1) Direct Labor

Direct Labor costs consist of salaries and wages paid for scientific, technical, and other work performed directly for the contract and pursuant to the contract terms. Labor costs, excluding fringe benefits and overtime premium pay, will be billed as follows:

List the titles and amounts for employees whose salaries or wages, or portions thereof, were charged to the contract; show the rate (or hours) worked, and amount for each individual. The cost of direct labor, which is charged directly to the contract, must be supported by time records maintained in the contractor’s office.

http://www.esrs.gov/� mailto:FMOAPINV@CDC.GOV� mailto:rcruz@cdc.gov�

(2) Fringe Benefits

If it is the Contractor’s established practice to treat fringe benefits as a direct cost, such costs should be billed separately as a single item.

NOTE: Fringe benefits, bonuses, etc., are usually treated as indirect costs for inclusion in the overhead pool;

however, they may be treated as direct labor costs or as an “Other Direct Charge” if such treatment is in accordance with the Contractor’s established accounting procedures.

(3) Premium Pay

Premium pay is the difference between the rates and amounts paid for overtime or shift work and amount normally paid on a straight time basis. Generally such pay is not included in the direct labor base and should not be included in the billing for “direct labor” unless the Contractor has consistently followed this practice in the past as a matter of policy. Premium pay of any kind unless provided for in the contract must be authorized by the Contracting Officer in advance. Billings for unauthorized premium pays have caused frequent delays in payment due to suspensions and exchange of correspondence. Citations of authorization for premium pay will avoid delays in payment. Authorized premium pay may be shown as a single item on the summary of costs. However, it must be separately itemized for each position, or job category, showing the amount, and a citation of the Contracting Officer’s letter of authorization on the continuation sheet of the invoice or voucher.

(4) Materials and Supplies

Only those items, which the Contractor normally treats as “direct costs”, should be claimed under this heading.

Major classifications of material only should be billed separately under appropriate classification. Items costing less than $25.00 may be listed by category of materials or supplies. Show the description and dollar amount of individual classifications. All such charges must be supported by the Contractor’s office records.

(5) Travel

When authorized in the contract as a direct cost, travel costs that are directly related to specific contract performance may be billed as a direct cost. Travel cost detail should show:

(a) Name of traveler and official title,

(b) Purpose of trip,

(c) Dates of departure and return to starting point (station or airport),

(d) Transportation costs, identified as to rail, air, private automobile (including mileage and rate) and taxi.

e) If claim for subsistence is on per diem basis, show number of days, rate and amount, as authorized in contract.1

(f) Reference to Contracting Officer’s letter of authorization if required by contract.

If claim is based on actual cost of subsistence, show, on a daily basis, the amounts claimed for lodging and meals separately.

(6) Consultant Fees Identify the consultant by name, number of days utilized, and amount of fee.

(7) Equipment Nonexpendable personal property must be specifically approved in writing by the Contracting Officer or authorized by the terms of the contract. Billing data should include a description of item, make model, quantity, unit cost, total cost, and date approved by the Contracting Officer, if applicable. A copy of the vendor’s bill may be submitted in lieu of the identifying information.

1 For purposes of computing per diem charges in lieu of actual subsistence charges, unless otherwise provided in the contract, a day is divided into four quarters that begin at 12 midnight, 6:00 AM, 12 noon, and 6:00 PM. For example, at an authorized per diem rate of $35.00 per day, a traveler who departed at 9:15 AM on July 15 and returned at 6:45 PM on July 18 would be entitled to $131.25.

(8) Burden Pending establishment of final contract indirect cost rates for each of the Contractor’s fiscal years, the Contractor will be reimbursed based on his submittal of provisional rates as set forth in the contract. The contract may provide for more than one type indirect cost rate, such as overhead rate, and general and administrative expense rate, in which case the direct cost bases (e.g., direct labor, total direct cost, etc.)

(9) Fixed Fee Ordinarily the fixed fee is stated in the contract as a lump sum and may be billed in the ratio of incurred costs to total estimated cost as set forth in the contract, with the final 15 percent to be billed on the final invoice or voucher.

Contract terms govern the method of payments.

c. Cumulative Amount Claimed As shown on Standard Form 1035, the Contractor must show the cumulative amounts claimed by categories from the contract award date through the date of the current invoice or voucher, as well as the estimated cost to complete per category.

QUICK CHECKLIST FOR INVOICE SUBMISSION:

• Standard Forms 1034 and 1035 recommended. If submitting own forms, statement must conform to billing instructions

• Quarterly billing as a minimum

• Invoice or Voucher must contain the minimum requirements per Voucher/Invoice Submission in Section G of the contract

• Vouchers should be collated

• Detail of Cost Claimed

G.12 Voucher/Invoice Submission - Cost Contracts (Mar 2006)

(a) Contractor voucher requests for reimbursement shall conform to the form, format, and content requirements of the Billing Instructions for Negotiated Cost Type Contracts, made a part of the contract in Section G, as may be supplemented by specific instructions of the Contracting Officer.

(b) The Contractor shall submit the original contract invoice/voucher to the address shown below:

The Centers for Disease Control and Prevention Financial Management Office (FMO) P.O. Box 15580 Atlanta, GA 30333

Or – The Contractor may submit the original invoice/voucher or progress payment via facsimile or email:

Fax: 404-638-5324

Email: FMOAPINV@CDC.GOV

NOTE:

Submit to only one (1) of the above locations.

(c) The contractor shall submit 2 copies of the invoice/voucher or progress payment to the cognizant contracting office previously identified in this contract. These invoices/voucher copies shall be addressed to the attention of the Contracting Officer.

(d) The Contractor is , is not required to provide a copy of each voucher request for reimbursement to the

COTR.

mailto:FMOAPINV@CDC.GOV�

(e) In accordance with 5 CFR part 1315 (Prompt Payment), CDC’s Financial Management Office is the designated billing office for the purpose of determining the payment due date under FAR 32.904.

(f) The Contractor shall include (as a minimum) the following information on each invoice:

(1) Contractor’s Name & Address

(2) Contractor’s Tax Identification Number (TIN)

(3) Purchase Order/Contract Number and Task Order Number, if Appropriate

(4) Invoice Number

(5) Invoice Date

(6) Contract Line Item Number and Description of Item

(7) Quantity

(8) Unit Price & Extended Amount for each line item

(9) Shipping and Payment Terms

(10) Total Amount of Invoice

(11) Name, title and telephone number of person to be notified in the event of a defective invoice

(12) Payment Address, if different from the information above

(13) DUNS + 4 Number

(g) The Contractor shall, in addition to the above requirements, submit a detailed breakout of costs as supporting backup and shall place the following signed Contractor Certification on each invoice/voucher submitted under this contract:

I certify that this voucher reflects (fill in Contractor’s name) request for reimbursement of allowable and allocable costs incurred in specific performance of work authorized under Contract (fill in contract number) and that these costs are true and accurate to the best of my knowledge and belief.

(Original Signature of Authorized Official) Typed Name and Title of Signatory

Section H - Special Contract Requirements

H.1 Prohibition on the Use of Appropriated Funds for Lobbying Activities (Jul 1999)

The contractor is hereby notified of the restrictions on the use of Department of Health and Human Service's funding for lobbying of Federal, State and Local legislative bodies.

Section 1352 of Title 10, United Stated Code (Public Law 101-121, effective 12/23/89), among other things, prohibits a recipient (and their subcontractors) of a Federal contract, grant, loan, or cooperative agreement from using appropriated funds (other than profits from a federal contract) to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions; the awarding of any Federal contract; the making of any Federal grant; the making of any Federal loan; the entering into of any cooperative agreement; or the modification of any Federal contract, grant, loan, or cooperative agreement. For additional information of prohibitions against lobbying activities, see FAR Subpart 3.8 and FAR Clause 52.203-12.

In addition, the current Department of Health and Human Services Appropriations Act provides that no part of any appropriation contained in this Act shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support, or defeat legislation pending before the Congress, or any State or Local legislature except in presentation to the Congress, or any State or Local legislative body itself.

The current Department of Health and Human Services Appropriations Act also provides that no part of any appropriation contained in this Act shall be used to pay the salary or expenses of any contract or grant recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress, or any State or Local legislature.

(End of Clause)

H.2 Smoke Free Environment (Jul 1999)

In compliance with Department of Health and Human Services (DHHS) regulations, all contractor personnel performing work within CDC/ATSDR facilities shall observe the CDC/ATSDR smoke-free working environment policy at all times. This policy prohibits smoking in all CDC/ATSDR buildings and in front of buildings which are open to the public. This policy is also applicable to contractor personnel who do not work full-time within CDC/ATSDR facilities, but are attending meetings within CDC/ATSDR facilities.

(End of Clause)

H.3 Representations, Certifications and Other Statements of Offerors (Jul 1999)

The Representations, Certifications and Other Statements of Offerors submitted by ORCA dated [offeror insert ORCA date if submission of representations and certifications via ORCA is applicable] are hereby incorporated by reference, with the same force and effect as if they were given in full text.

H.4 Dissemination of Information (May 1998)

No information related to data obtained under this contract shall be released or publicized without the prior written consent of the COTR and the Contracting Officer.

H.5 Identification of Data (May 1998)

The Contractor shall identify the technical data delivered to the Government as required by this contract with the number of the contract and the name and address of the Contractor or subcontractor that generated the data.

H.6 Review and Comment (May 1998)

All materials developed or information of whatever nature resulting from work performed under this contract shall be submitted to the Contracting Officer’s Technical Representative for review and comment prior to publication or dissemination.

H.7 Record Retention

The Contractor is responsible for records retention and CDC/NIOSH is not implementing a document destruction program authorizing the destruction of medical documents. However, in an effort to reduce associated costs for storing medical documents, the Department of Justice (DOJ) has agreed that electronic imaging is an acceptable method of storage. This provides contractors the opportunity to destroy the paper documents, as long as the following conditions are met:

(1) Contractors must certify the image is absolutely an identical replication of the paper document in every way;

(2) The scanned image becomes the record keeping copy and is verified and documented as an identical replication of the paper document; and

(3) Contractors must maintain accessibility and the ability to read the document in accordance with changes in technology.

Under no circumstances are contractors to destroy the only copy of any information, data, or files that CDC/NIOSH, DOJ, DHHS' Office of General Counsel or the OIG have identified as relating to a current investigation or litigation/negotiation, ongoing Workers' Compensation set aside arrangements, or documents which prompt suspicions of fraud or abuse of over utilization of services. Contractors can either retain the image copy or the hardcopy. This will satisfy evidentiary needs and discovery obligations critical to the agency's litigation interest.

H.8 Use of Government Data (Reports/Files/Computer Tapes or Discs)

Any data given to the contractor by the Government shall be used only for the performance of the contract unless the Contracting Officer specifically permits another use, in writing. Should the Contracting Officer permit the contractor the use of Government-supplied data for a purpose other than solely for performance of this contract and if such use could result in a commercially viable product, the Contracting Officer and the contractor must negotiate a financial benefit to the Government. This benefit should most often be in the form of a reduction in the price of the contract; however, the Contracting Officer may negotiate any other benefits he/she determines are adequate compensation for the use of these data.

Upon the request of the Contracting Officer or the expiration date of this contract, whichever shall come first, the contractor shall, upon instructions from the Contracting Officer, return or destroy all data given to the contractor by the Government. However, the Contracting Officer may direct that the data be retained by the contractor for a specific period of time, which period shall be subject to agreement by the contractor. Whether the data are returned, retained, or destroyed shall be the decision of the Contracting Officer with the exception that the contractor may refuse to retain the data. The contractor shall retain no data, copies of data, or parts thereof, in any form, when the Contracting Officer directs that the data be returned or destroyed. If the data are to be destroyed, the contractor shall directly furnish evidence of such destruction in a form the Contracting Officer shall determine is adequate.

H.9 Privacy Act (Sep 2009)

(a) Notification is hereby given that the Contractor and its employees are subject to criminal penalties for violation of the Privacy Act to the same extent as employees of the Government. The Contractor shall assure that each of its employees knows the prescribed rules of conduct and that each is aware that he or she can be subjected to criminal penalty for violation of the Act. A copy of 45 CFR Part 5b, Privacy Act Regulations, may be obtained at http://ecfr.gpoaccess.gov.

(b) The Contracting Officer’s Technical Representative (COTR) is hereby designated as the official who is responsible for monitoring contractor compliance with the Privacy Act.

H.10 Data Subject to Confidentiality Requirements (May 1998)

The type(s) of data subject to the clause at 352.224-70, Confidentiality of Information, which has been incorporated in full text in Section I, are as follows:

To be determined by COTR

Following are the requirements for handling these data:

The contractor may retain a copy of the data in the duration of the contract but must turn over the entire dataset to NIOSH before the present contract expires. Other data (i.e., subject’s consent form, questionnaires, and other signed documents) will be handled in the same manner. The contractor has no right to disclose the data in any form (conference presentation, journal articles, reports, product development) without the consent of NIOSH. NIOSH reserves the sole right to decide the authorship in any conference presentations, publications, and reports based on the present dataset.

H.11 Data Collection Approval (May 1998)

This contract involves a requirement to collect or record information calling either for answers to identical questions from 10 or more persons other than Federal employees, or information from Federal employees which is outside the scope of their employment, for use by the Federal government or disclosure to third parties; therefore, the Paperwork Reduction Act of 1995 (Pub. L. 104–13) shall apply to this contract. No plan, questionnaire, interview guide or other similar device for collecting information (whether repetitive or single time) may be used without first obtaining clearance from the Office of Management and Budget (OMB). Contractors and COTRs should be guided by the provisions of 5 CFR Part 1320, Controlling Paperwork Burdens on the Public, and seek the advice of the HHS operating division or Office of the Secretary Reports Clearance Officer to determine the procedures for acquiring OMB clearance.

The Contractor shall not expend any funds or begin any data collection until OMB Clearance is received. Once OMB Clearance is received from the COTR, the Contracting Officer shall provide the Contractor with written notification authorizing the expenditure of funds and the collection of data. The Contractor must allow at least 120 days for OMB clearance. Excessive delays caused by the Government which arise out of causes beyond the control and without the fault or negligence of the Contractor will be considered in accordance with the Excusable Delays or Default clause of this contract.

H.12 Health Insurance Portability & Accountability Act of 1996 (Sep 2008)

Pursuant to the Standards for Privacy of Individually Identifiable Health Information promulgated under the Health Insurance Portability and Accountability Act (HIPAA)(45 CFR Parts 160 and 164), covered entities may disclose protected health information to public health authorities “...authorized by law to collect or receive such information for the purpose of preventing or controlling disease, injury, or disability, including, but not limited to, the reporting of disease, injury, vital events such as birth or death, and the conduct of public health surveillance, public health investigations, and public health interventions...” The definition of a public health authority includes “...a person or entity acting under a grant of authority from or contract with such public agency...” The [Insert: Partner name] is acting under contract with the CDC to carry out [Insert: Name of project/activity] which is authorized by [Insert:

statutory authority from Public Health Service Act, Comprehensive Environmental Response, Compensation, and Liability Act, OR other legislation] and therefore may be considered a public health authority under the Privacy Rule for purposes of this project. Further, CDC consider this to be [Insert: type of public health activity, i.e., disease/injury reporting, vital events, surveillance, investigations, intervention, registry] for which http://ecfr.gpoaccess.gov/� http://www.archives.gov/federal-register/laws/paperwork-reduction/� http://www.access.gpo.gov/nara/cfr/waisidx_03/5cfr1320_03.html� disclosure of protected health information by covered entities is authorized by section 164.512(b) of the Privacy Rule (45 CFR 164.512(b)).

H.13 Health Information Technology (April 2009)

Executive Order 13410: Promoting Quality and Efficient Health Care in Federal Government Administered or Sponsored Health Care Programs promotes efficient delivery of quality health care through the use of health information technology, transparency regarding health care quality and price, and incentives to promote the widespread adoption of health information technology and quality of care. To support this mission, the awardee shall, at a minimum, implement the following clauses(s)/condition(s) and, in doing so, the actions and steps taken to implement the clause(s)/condition(s) shall not impose additional costs onto the Federal Government.

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