AHRQ-22-10009.pdf

IDIQ Request for Proposal v. April 2020; FAC 2020-02 AHRQ-22-10009 Healthcare Cost and Utilization Project (HCUP) Page 1 of 196

Request for Proposal No. AHRQ-22-10009

PART I - THE SCHEDULE

SECTION A - SOLICITATION FORM

Date Issued: June 16, 2022 Date Questions Due: June 24, 2022 Please Note: All questions and inquires will be processed on a non-attribution basis.

Date Notice of Intent Due: July 5, 2022 Date and Time Proposals Due: August 1, 2022 10:00 a.m. ET

You are invited to submit a proposal to the Agency for Healthcare Research and Quality (AHRQ) for Request for Proposal (RFP) No. AHRQ-22-10009 entitled “Healthcare Cost and Utilization Project (HCUP)”. Your proposal must be developed and submitted in accordance with the requirements and instructions of this RFP.

Solicitation Information: Please review the table of contents and refer to the appropriate section of this RFP for requirements, proposal instructions and evaluation information. The Government intends to award this contract without negotiations, so it is imperative that all questions are addressed during the solicitation phase, and that all proposals submitted include the required information and accept the terms and conditions as stated. Failure to comply with proposal instructions or submit required information may result in the removal of a proposal from consideration for award. Please review Section L carefully.

Proposal Intent: If you intend to submit a proposal in response to this solicitation, please inform the Contracting Officer of your intent by sending an email to Scott Henderson, Contract Specialist/Contracting Officer at scott.henderson@ahrq.hhs.gov no later than July 5, 2022.

Subject line shall read: Proposal Intent RFP No. AHRQ-22-10009.

Questions: All Questions regarding this solicitation shall be received in this office no later than the date shown above. All questions shall be submitted electronically by e-mail to Scott Henderson, Contract Specialist/Contracting Officer, at the following email address:

scott.henderson@ahrq.hhs.gov. Subject line shall read: Proposal Questions RFP No. AHRQ- 22-10009. Answers to questions and all solicitation amendments will be posted to www.SAM.gov.

It is your responsibility to monitor the web site. Questions should be submitted in a Word table in the following format:

RFP (or Attachment) Page Number

Relevant Section Number or Title

Question

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Additional Information:

• An Indefinite Delivery, Indefinite Quantity, single-award, task order-type contract is contemplated for a period of five years.

• The Government anticipates awarding 1 contract from this solicitation on or about

December 21, 2022.

• Proposals submitted in response to this solicitation must state that they are valid for a period of at least 120 days (reference FAR clause 52.215-1 in Section L of this document.

• The NAICS code for this requirement is 541690 with a size standard of $16.5 million.

Proposal Submission:

To submit a proposal, offerors are required to use the AHRQ Proposal Module. Mailed proposal and E-mailed proposals will not be accepted.

In order to access the AHRQ Proposal Module offerors must be registered in the system before the proposal due date. To ensure your organization is registered in the system, please send the following information to scott.hederson@ahrq.hhs.gov no later than 5:00 PM July 20, 2022:

Official Company name:

Unique Entity Identifier:

Point of Contact name, email, phone number

Failure to respond timely and provide the requested information could result in an inability to submit a proposal.

Before the proposal due date, instructions on how to upload proposals to the AHRQ Proposal Module will be emailed to your organization’s point of contact.

NOTE: For the Business Proposal submission, the offeror must submit two versions. This includes a Word or PDF version AND an Excel document version.

The proposal shall be signed by an authorized official to bind your organization. Signatures can be electronic if necessary.

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System for Award Management: In accordance with Federal Acquisition Regulation, all contractors must be registered in the System for Award Management (SAM) database in order to conduct business with the government [See Section I - FAR clause 52.204-7 System for Award Management]. Access the System for Award Management (SAM) at https://www.sam.gov/SAM/.

Reminder: The Procurement Integrity Act prohibits the unauthorized disclosure of, inquiry about, or acceptance of procurement information. Communications with any other individual outside the AHRQ contracting office may result in rejection of an offeror’s proposal. All requests for any information concerning this RFP should be referred to Scott Henderson, (301) 427-1764 or e-mail: scott.henderson@ahrq.hhs.gov. Please note e-mail requests should state subject as RFP

AHRQ-22-10009.

https://www.sam.gov/SAM/

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Table of Contents

PART I - THE SCHEDULE

SECTION A - SOLICITATION FORM

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

SECTION C - DESCRIPTION/SPECIFICATION/WORK STATEMENT

SECTION D - PACKAGING AND MARKING

SECTION E - INSPECTION AND ACCEPTANCE

SECTION F - DELIVERIES OR PERFORMANCE

SECTION G - CONTRACT ADMINISTRATION DATA

SECTION H - SPECIAL CONTRACT REQUIREMENTS

PART II – CONTRACT CLAUSES

SECTION I CONTRACT CLAUSES

PART III- LIST OF DOCUMENTS, EXHIBITS AND ATTACHMENTS

SECTION J – SOLICITATION LIST OF ATTACHMENTS

PART IV– REPRESENTATIONS AND INSTRUCTIONS

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS

SECTION L - INSTRUCTIONS, CONDITIONS AND NOTICES TO OFFERORS

SECTION M- EVALUATION FACTORS FOR AWARD

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SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 BRIEF DESCRIPTION OF SUPPLIES OR SERVICES

“Healthcare Cost and Utilization Project (HCUP)”. See Section C for a complete description.

B.2 IDIQ CONTRACT

This is a Single Award, Indefinite Delivery/Indefinite Quantity (IDIQ) contract. Refer to the following Sections for more information:

• Section C for Statement of Work requirements,

• Section F for Period of Performance information,

• Section G for invoicing requirements, and

• Section H for ordering procedures for task orders.

B.3 TASK ORDERS AND PRICES

This is an Indefinite Delivery/Indefinite Quantity IDIQ contract. All services will be acquired on an as-needed basis through issuance of Task Orders. Under this IDIQ contract, the minimum is $125,000, while the total maximum amount of all task orders awarded shall not exceed $70,000,000. No costs shall be incurred or reimbursed on this contract unless the cost is associated with an approved, signed Task Order.

B.4 CLIN PRICING

CLIN 0001 HCUP Startup Activities SOW Task: C.5

Period Severable/

Nonseverable Period of Performance Labor

Estimate Materials Estimate

Total Time and Materials Ceiling

Base Period Severable 12/21/2022 – 02/20/2022

CLIN 0002 HCUP Operations SOW Tasks: C.6 – C.27

Period Severable/

Period of Performance Labor

Estimate Materials Estimate

Total Time and Materials Ceiling

Base Period Severable 02/21/2023 – 02/20/2024 Option Period 1 Severable 02/21/2024 – 02/20/2025 Option Period 2 Severable 02/21/2025 – 02/20/2026 Option Period 3 Severable 02/21/2026 – 02/20/2027 Option Period 4 Severable 02/21/2027 – 02/20/2028

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CLIN 0003 Training and Reports SOW Tasks: C.28 – C.31

Severable/

Period of Performance Labor Estimate

Materials Estimate

Total Time and Materials Ceiling

Severable 02/21/2023 – 02/20/2024 Severable 02/21/2024 – 02/20/2025 Severable 02/21/2025 – 02/20/2026 Severable 02/21/2026 – 02/20/2027 Severable 02/21/2027 – 02/20/2028

CLIN 0004 NHQDR

SOW Task: C.32

Severable/

Period of Performance Labor Estimate

Materials Estimate

Total Time and Materials Ceiling

Severable 02/21/2023 – 02/20/2024 Severable 02/21/2024 – 02/20/2025 Severable 02/21/2025 – 02/20/2026 Severable 02/21/2026 – 02/20/2027 Severable 02/21/2027 – 02/20/2028

B.5 LABOR CATEGORIES AND RATES

CLINs 0001 - 0005 SOW Tasks: C.5 – C.33

The following labor categories and rates are used to establish the ceiling or fixed price for all task orders. The periods of performance below are based on the IDIQ award. The reimbursable rates for each task order shall be taken from the table below based on the start date of the task order period of performance.

Example 1: The base period for CLIN0002 is estimated to be 02/21/2023 – 02/20/2024.

The rates used for the entirety of the Base Period for CLIN0002 shall be those listed under the column header “12/21/2022 – 12/20/2023”; the rates used for the entirety of Option Period 1 for CLIN0002 shall be those listed under the column header “12/21/2023

– 12/20/2024” and so on.

Example 2: A task order is issued under CLIN0005 with a period of performance of 06/15/2023 – 06/14/2024. The rates used for the entirety of this task order shall be those listed under the column header “12/21/2022 – 12/20/2023.

Labor Category 12/21/2022 – 12/20/2023

12/21/2023 – 12/20/2024

12/21/2024 – 12/20/2025

12/21/2025 – 12/20/2026

12/21/2026 – 12/20/2027

$ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour $ rate/hour

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B.6 PROVISIONS APPLICABLE TO DIRECT COSTS

a. Unless authorized in writing by the Contracting Officer, the costs of the following items or activities shall be unallowable as direct costs:

(1) Acquisition, by purchase or lease, of any interest in real property;

(2) Rearrangement or alteration of facilities;

(3) Purchase or lease of any item of general purpose-office furniture or office equipment regardless of dollar value;

(4) Travel to attend general scientific meetings;

(5) Foreign Travel;

(6) Any costs incurred prior to the contract's effective date;

(7) Rental of meeting rooms;

(8) Any subcontract agreement (including consultants) not otherwise expressly provided for in the contract;

(9) Information Technology hardware or software; and

(10) Food and Beverages.

Note: Food and Beverages are unallowable costs. Contracting Officer Authorization for Food and Beverages will be only made as specifically authorized by statute, which is extremely rare. The contractor shall not provide food or beverages of any type. The contractor shall not accept food or beverages, even if included in, or provided ‘free’ as part of a meeting/conference ‘package’.

b. Travel Costs

This contract is subject to the provisions of Public Law (P.L.) 99-234 which amends the

Office of Federal Procurement Policy Act to provide that contractor costs for travel, including lodging, other subsistence, and incidental expenses, shall be allowable only to the extent that they do not exceed the amount allowed for Federal employees. The Contractor, therefore, shall invoice and be reimbursed for all travel costs in accordance with Federal Acquisition Regulations (FAR) 31.205-46.

The following applies to Educational Institutions: The Contractor shall invoice and be reimbursed for all travel costs in accordance with OMB Circular A-21 - "Cost Principles for Educational Institutions."

No funding or expenditures will be authorized under this contract for travel or

Healthcare Cost and Utilization Project (HCUP) Page 8 of 196 meeting expenses of any person that is not an employee of the contractor or approved subcontractor in accordance with the terms of the contract. See 31 USC § 1345 for appropriations restrictions.

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SECTION C - DESCRIPTION/SPECIFICATION/WORK STATEMENT

Independently and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities, to perform the Statement of Work:

Statement of Work

INTRODUCTION

The Center for Financing, Access, and Cost Trends (CFACT) within the Agency for Healthcare Research and Quality (AHRQ) of the United States Department of Health and Human Services (DHHS) has established the requirement to conduct and expand the next phase of the Healthcare Cost and Utilization Project.

The Healthcare Cost and Utilization Project (HCUP) is a flagship project of the CFACT program producing health care databases, related software tools and research products. HCUP is made possible through a Federal-State-Industry partnership sponsored by AHRQ and contributes to the CFACT’s goal of giving health care leaders and policy makers the information and tools they need to improve decisions on health care access, coverage, and cost. HCUP is an ongoing project that integrates the data collected by State data organizations, hospital associations, and private data organizations to create a national healthcare information resource of hospital inpatient, ambulatory surgery and services, and emergency department data. HCUP features the largest collection of longitudinal hospital care data in the U.S., containing a wealth of all-payer, encounter-level information beginning in 1988. HCUP databases facilitate cutting-edge research on a broad range of health policy and health services issues, including cost and quality of health services, medical practice patterns, access to health care projects, hospital cost and utilization, and treatment outcomes at the national, state, and local market levels.

To meet the goals of this project, the following activities are required:

• Maintain voluntary data partners, complete data applications, negotiate or update

Memorandums of Agreement for participation, purchase data from HCUP Partners, recruit additional data from existing partners, and establish new partnerships when possible

• Process data obtained from HCUP Partners organizations (~ 35 million records annually) and create annual and quarterly state inpatient and outpatient data files

• Sample the HCUP state databases to create derivative national databases

• Coordinate the centralized distribution of HCUP data, handling all activities directly related to the sales and review of applications for access to the restricted access public release HCUP databases and related HCUP files. (See https://www.hcup-us.ahrq.gov/databases.jsp )

• Maintain and update the HCUP website (HCUP-US) which serves as the project’s primary vehicle for public outreach, and a virtual repository for project information and documentation https://www.hcup-us.ahrq.gov/databases.jsp https://www.hcup-us.ahrq.gov/databases.jsp

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• Develop new products, database enhancements, and services to assist with the productive use of the data

• Deliver user technical support and training on HCUP databases, software tools, linkable files, reports, and all other products developed for the HCUP project

• Conduct data analytics and methods projects using the HCUP data to explore the impact and relative importance of changes in health policy on health care, and to document and analyze trends in health care

• Prepare technical reports and publications

• Prepare data tables for visualizations, query sites, and HCUP-US website

• Conduct outreach to increase use and impact from HCUP

• Support the generation of estimates derived from HCUP data for other federal use, e.g., Congressionally-mandated reports such as the National Healthcare Quality and Disparities Reports

• Develop systems for monitoring and maintaining secure and efficient computing environment

HCUP is a unique data source that provides record-level data on health care utilization for a range of settings including acute inpatient, emergency department, and ambulatory surgery. The information provided in HCUP data includes patient demographics, diagnoses and procedures, how the patient was admitted and discharged, and resource utilization. HCUP is unique because it collects all records in all settings from those data sources that participate. It is also unique because of the derivative databases that can be used to generate national estimates.

A wide range of analysts in federal and State government, non-government organizations, and industry have come to rely on HCUP data and tools to identify, track, analyze, and compare trends at the national, regional, and State levels. In addition to university-based researchers and private sector consultants and analysts, users of HCUP data and tools include but are not limited to:

• National Institutes of Health (NIH)

• Centers for Disease Control (CDC)

• Substance Abuse and Mental Health Administration (SAMHSA)

• Food and Drug Administration (FDA)

• Health Resources and Services Administration (HRSA)

• Assistant Secretary for Planning and Evaluation (ASPE)

• Federal Trade Commission (FTC)

• Bureau of Economic Analysis (BEA)

• Organization for Economic Co-operation and Development (OECD)

• Various State agencies

Background Information Since the 1990s, HCUP has created a family of longitudinal databases and resources beginning with data year 1988 and adds new data as participating data organizations complete and release their annual or quarterly data. Since that time, HCUP has experienced tremendous growth.

Currently, 49 Partners (48 States and the District of Columbia) provide HCUP with statewide

Healthcare Cost and Utilization Project (HCUP) Page 11 of 196 inpatient data, 36 Partners provide ambulatory surgery and services data, and 42 Partners provide emergency department data.

The large size and scope of HCUP databases enables the databases to be analyzed to inform AHRQ and departmental priorities, including changes in the healthcare system due to COVID- 19, disparities in access and quality, maternal health, opioid and other substance use and abuse, and be responsive to other public health threats, such as climate change, hurricanes, and wildfires. HCUP databases include the State Inpatient Databases (SID), the State Ambulatory Surgery and Services (SASD), the State Emergency Department Databases (SEDD), National Inpatient Sample (NIS), the Kids' Inpatient Database (KID), the Nationwide Ambulatory Surgery Sample (NASS), the Nationwide Emergency Department Sample (NEDS), and the Nationwide Readmission Database (NRD). More than one dozen data and analytic software tools and supplemental files are also supported by HCUP to facilitate users’ ability to use the large administrative databases. These databases, tools and files proved critical during the most recent pandemic. HCUP is an important, flexible, and robust source of information on healthcare events occurring in these settings and provide some of the most recent information available to make real-time decisions.

Demand for and use of HCUP data and tools continues to grow. In Calendar Year (CY) 2021, AHRQ received nearly 1,500 applications for restricted access public release HCUP databases and disseminated approximately 6,500 databases. Growth is expected. National and State policymakers use these data and tools in their decision making. In addition, HCUP has a leadership role in efforts to further develop and standardize administrative data.

The focus of HCUP has been to provide the nation with high quality data and information to make evidence-based decisions. The next phase of HCUP will refine the structure of the project that has been developed over the past 30 years and add to the project’s capacity to provide policy relevant data, including quarterly data. Expanding to the timely acquisition, processing and use of quarterly state-specific data files would be a notable expansion of the project and allow AHRQ to be more responsive to policymakers seeking timely information on the performance of the healthcare system with respect to equity in healthcare access and quality during public health emergencies and beyond. By maintaining and strengthening the foundation, which includes a successful partnership with HCUP Partners, AHRQ will broaden the impact of HCUP data and products.

What has not changed over time is the critical role of the HCUP partnerships with state-level data organizations that contribute data to the project. The participation of these data organizations is essential for the success of HCUP and is based on cooperative, detailed agreements made between AHRQ and each HCUP Partner. Partners also serve as a source of ideas for project improvement, expansion, and technical guidance.

Description of HCUP Databases HCUP databases contain a core set of clinical and nonclinical information found in a typical discharge abstract including all-listed diagnoses and procedures, discharge status, patient demographics, and charges for all patients regardless of payer (e.g., Medicare, Medicaid, private

Healthcare Cost and Utilization Project (HCUP) Page 12 of 196 insurance, uninsured). The information is translated into a uniform format to facilitate both multi-State and national-State comparisons and analyses.

The majority of HCUP databases are used for intramural research within AHRQ. Restricted access public release versions of many of the HCUP databases are available to the public. The content of the restricted access public release versions of the HCUP databases is developed in conjunction with the participating HCUP Partners. The HCUP restricted access public release databases are available to users who sign a Data Use Agreement (DUA). This agreement allows the data to be used for research, public health, and aggregate statistical reporting, and prohibits the identification of individual hospitals and individuals and the use of small cell sizes in disseminated materials.

The HCUP family of databases includes:

• HCUP State databases – State-level annual inpatient and outpatient HCUP databases are used to investigate state-specific and multi-state trends in health care utilization, access, charges, quality, and outcomes (See https://www.hcup-us.ahrq.gov/databases.jsp for a description of each type of state database.)

• HCUP national databases – National or nationwide inpatient and emergency department HCUP databases that are used to identify, track, and analyze national trends in health care utilization, access, charges, quality, outcomes, and readmissions with samples derived from the HCUP State databases enabling focused research on special populations (See https://www.hcup-us.ahrq.gov/databases.jsp for a description of each type of national or nationwide database.)

• Other HCUP-related files – supplemental data files that are used to augment information in the HCUP State and national databases (See https://www.hcup-us.ahrq.gov/tools_software.jsp for a description of each type of supplemental file.)

The HCUP State databases are:

State Inpatient Databases (SID) – The SID contain the universe of inpatient discharge abstracts from data organizations. Currently 49 Partners (48 states plus the District of Columbia) participate in the SID. Over half of the many states that participate in HCUP make their restricted access public release SID database available for purchase through the HCUP project.

Files are available beginning with data year 1990.

State Ambulatory Surgery and Services Databases (SASD) – The SASD contain data from ambulatory care encounters in hospital-owned (and sometimes non hospital-owned) ambulatory surgery sites. Currently, 36 states participate in the SASD. Half of the states make their restricted access public release SASD database available for purchase through the HCUP project. Files are available beginning with data year 1997.

State Emergency Department Databases (SEDD) – The SEDD contain data from hospital-affiliated emergency department abstracts for visits that do not result in subsequent hospitalization in the same institution. Currently, 42 States participate in the SEDD. Over half of https://www.hcup-us.ahrq.gov/databases.jsp https://www.hcup-us.ahrq.gov/databases.jsp https://www.hcup-us.ahrq.gov/tools_software.jsp https://www.hcup-us.ahrq.gov/tools_software.jsp

Healthcare Cost and Utilization Project (HCUP) Page 13 of 196 the States make their restricted access public release SEDD database available for purchase through the HCUP project. Files are available beginning with data year 1999.

The National Inpatient Sample (NIS) is the largest publicly available all-payer inpatient care database in the United States, yielding national estimates of hospital inpatient stays. The NIS is derived from billing data submitted by hospitals to statewide data organizations across the U.S.

These inpatient data include clinical and resource use information typically available from discharge abstracts.

The KID is the largest publicly available all-payer pediatric inpatient care database in the United States, yielding national estimates of hospital inpatient stays for patients younger than 21 years of age. The KID's large sample size enables analyses of both common and rare conditions such as congenital anomalies, uncommon treatments, and organ transplantation. The KID is released every three years and the most recent KID was released in 2021.

The Nationwide Ambulatory Surgery Sample (NASS) is the largest all-payer ambulatory surgery database in the United States, yielding national estimates of major ambulatory surgery encounters performed in hospital-owned facilities. Major ambulatory surgeries are defined as selected invasive, therapeutic surgical procedures that typically require the use of an operating room and require regional anesthesia, general anesthesia, or sedation. Procedures intended primarily for diagnostic purposes are excluded.

The Nationwide Emergency Department Sample (NEDS) is the largest publicly available all-payer emergency department database in the United States, yielding national estimates of emergency department visits. The NEDS includes emergency department encounters for patients that are treated and released from the emergency department, as well as patients admitted to the hospital through the emergency department.

The Nationwide Readmissions Database (NRD) is the largest publicly available all-payer readmissions database in the United States that can be used to examine national estimates of readmissions. The NRD uses the SID from HCUP Partner States Partners with verified patient linkage numbers and includes discharges from community hospitals, excluding rehabilitation and long-term acute care hospitals. States, counties, and hospitals are not identifiable in the NRD.

The database includes patients with and without repeat hospital visits during a year and those who have died in the hospital.

The availability and types of HCUP databases can be found at https://www.hcup-us.ahrq.gov/db/availability_public.jsp.

A list of Partner organizations currently participating in HCUP can be found at https://www.hcup-us.ahrq.gov/partners.jsp.

OBJECTIVES

The objectives for this contract are to: 1) maintain and enhance HCUP databases and tools with both more timely and new types of data; 2) increase the usefulness of HCUP data and tools by turning data into timely end user information; 3) expand HCUP capacity for external and internal https://www.hcup-us.ahrq.gov/db/availability_public.jsp https://www.hcup-us.ahrq.gov/db/availability_public.jsp https://www.hcup-us.ahrq.gov/partners.jsp https://www.hcup-us.ahrq.gov/partners.jsp

Healthcare Cost and Utilization Project (HCUP) Page 14 of 196 linkages, data enhancements, and additional data sources; 4) provide technical expertise to make HCUP data and tools available to an expanded and diverse set of public and private users; 5) provide data analytics to identify and interpret healthcare issues and trends and 6) create information using HCUP data and tools to produce important findings about access, cost, quality, safety, effectiveness, equity, and efficiency in healthcare. Considerable effort will be needed for the Contractor to establish and build the infrastructure to simultaneously contact and build a relationship with HCUP Partners, obtain, process, document, and deliver multiple databases of varying structures. It is required that the Contractor shall prepare and coordinate the dissemination of public release databases and files, conduct research, perform special analyses, provide technical support and training, establish secure IT systems and data protection, and successful completion of an Authority to Operate within the first quarter of the base period. All activities require attention to detail and precise documentation. All tasks and activities are described below.

RESOURCES

The contractor and its subcontractors shall furnish all the necessary services, qualified personnel, material, equipment, and facilities, not otherwise provided by the Government as needed to perform the specific requirements below.

The Contractor is responsible for purchasing all data files and software needed for the project on behalf of AHRQ. Data obtained for the purpose of the performance of this contract shall not be used for any other purpose outside of the HCUP Contract.

ORGANIZATION OF CLINS

CLIN0001 includes start-up activities to receive existing HCUP materials and take over responsibilities and operations from the existing contract.

CLIN0002 includes the core of the HCUP operations involved in managing, providing data and IT security, acquiring and processing data to create HCUP state and nationwide databases and accompanying files and tools. It also involves provision of analyses, technical assistance, website hosting, and public release database fulfillment.

CLIN 0003 includes tasks related to training (presentations and outreach) and reports (Statistical Briefs and Analytic and Methods Projects). Presentations involve educational presentations to increase the pool and capability of people who use HCUP products. Outreach efforts promote the use of HCUP and expand its value among current and potential users and stakeholders for research and policymaking. Statistical Briefs Statistical Briefs are quick, easy-to-read statistical reports based on HCUP data, while the Analytic and Methods reports involve detailed exploration of the HCUP data and tools on a healthcare-related or methodological topic.

CLIN004 focuses on the National Healthcare Quality and Disparities Report provided to Congress is a comprehensive overview of the quality of health care received by the general U.S.

population and disparities in care experienced by different racial, ethnic, and socioeconomic groups.

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CLIN005 for the design and development of new resources encompasses many dimensions of HCUP data, tools, products, and reports with a goal for enhancement, improvement or new development.

Unless otherwise noted under a specific task, this Statement of Work applies to the base period and all option periods (if exercised).

RECEIVE HCUP MATERIALS AND TAKE OVER OPERATIONS

HCUP is an on-going project with a collection of data, documentation, and systems to be transferred to the Contractor. The Contractor shall maintain HCUP historical files back to the 1988 data year and related materials to document the project.

The Contractor will be provided with a proposed transition plan report that provides an inventory of and process for transferring HCUP data files, documentation, and software for use under the contract.

Finalize and Implement a Transition Plan to Receive Project Materials Within two weeks of the contract effective date, the Contractor shall modify and finalize the proposed plan for transition and takeover of the HCUP project as approved by the COR. The plan should include at a minimum:

• Transitioning HCUP activities from the prior Contractor

• Taking over the on-going management of the public release database fulfillment process

• Taking over the on-going operation of Technical Assistance, National Quality and

Disparities Report (NHQDR), and the HCUP-US website

• Receiving, inventorying, and safeguarding the project materials including data files, software, and documentation developed under the previous contract

• Developing a security plan for ensuring the confidentiality of data

• Establishing an appropriate accounting system

• Building HCUP databases

• Contacting and building relationships with HCUP Partners during the transition period

• Establishing necessary security system and authorization to operate (ATO) activities.

The final plan, subject to COR review and approval, shall be initiated within four weeks of the Contract Effective Date (CED).

Receive HCUP Materials The Contractor shall receive and review HCUP data and transition documents that will include the following:

• A report summarizing the work accomplished over the duration of this project that includes a description of the project overview, database components, a description of all processes used to generate data files, documentation, all major deliverables, and recommendations for future efforts

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• A report summarizing the recruitment status including an overview of completed activities for recruiting, retaining, and obtaining data from Partners; and the status of receiving and purchasing 2021 and 2022 data

• A report detailing the process and procedures for obtaining source data and producing final HCUP data files. The document will include such activities as the initial review and quality check of the source data files, compliance with Partner agreements and restrictions on data use, and the processing of these State data files.

• A report detailing the sampling designs, processes, and procedures for creating all national databases

• A report detailing the process and procedures for creating the NHQDR data and statistics.

• An accounting of all files (described at a summary level, such as year, state, and data type) that needs to be transferred. It is anticipated that those files will include, but not be limited to:

1) All final (delivered) data files back to 1988

2) Source files from State data Partners that are less than two years old

3) The production programs, logs and listings, format programs that directly contributed to the creation of deliverable data files, final supporting databases, such as the recruitment database which tracks contacts and negotiations with Partners, and the data elements library which displays the data elements provided by each Partner for each database

4) All files and programs from the last two years of data processed, for which the source data is still available

5) Any holdings that would be critical for the Contractor to provide continuing operation of HCUP

6) Annual Report of HCUP Presentation Activities that summarizes presentation and exhibit activities completed and planned.

Along with the files, the prior Contractor will provide a memorandum describing the organization of the files and their contents to assist the Contractor. Limited, minimal assistance will be provided by the prior Contractor to answer questions about the files and data organization, and for questions about making the processor programs operational.

These files are documented in the internal project electronic documentation system, HCUP-US.

The source files are documented through directory path and file naming conventions.

Take Over Ongoing Key Operations Several existing tasks that support HCUP data users and/or ensure data security will remain in operation under the prior Contractor during the transition. These activities include the public release database fulfillment process, the National Healthcare Quality and Disparities Report, the HCUP-US Web site and provision of Technical Assistance. The Contractor shall take over these operations to ensure activities are transferred without interruption to the Public.

Take Over Management of the Public Release Database Fulfillment Process

The Contractor will receive and review the following information on the status of the public release database fulfillment task:

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• A description of the process for managing the public release database fulfillment process, including application review, payment receipt and state fulfillment

• A description of the public release database fulfillment process, including functions of the online ordering and tracking system

• Complete records maintained in the online system

• A list of products and the templates for the hard copy applications and other materials critical to the public release database fulfillment process

• A file documenting the status of amendments related to the public release databases that document agreements with individual HCUP Partners.

• Operations process and policy documentation

• A memo describing the online ordering and electronic tracking system

• Any incomplete orders

The Contractor shall review these materials and identify any additional information or clarification required to take over database fulfillment.

The transfer shall be carried out in two phases.

Phase I: Weeks 1 - 3

In this phase, the prior Contractor will continue normal management of the public release database fulfillment process.

The Contractor shall start the transition of public release database fulfillment activities by preparing staff and establishing protocols and systems to receive, review and fulfill orders.

During phase I, AHRQ will ensure the following occurs:

• Include a transition notice in all e-mails and post relevant transition information on HCUP-US and the online ordering system

• Limited, minimal information will be provided to the Contractor’s staff to answer questions about the public release database fulfillment materials and processes.

• Existing orders are completed, including resolving outstanding payments

• Guidance on procedures for handling payments received from customers after the end of the previous contract

Phase II: Weeks 3 - 6

In this phase, the Contractor shall assume full responsibility for daily operations on a mutually agreed upon date approximately three weeks after the award. The main activities of this phase will be:

• Assuming management of the public release database fulfillment process

• Receiving all project materials

• Reviewing accounts receivable and planning Partner reimbursements

The Contractor will receive and review the following materials:

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• Outstanding data applications, along with their progress toward completion

• Partner-specific data element restrictions, price sheets, and any outstanding relevant e-mail information communications requiring resolution

• Any remaining stock of databases already created

• A final accounting of funds accepted and disbursed

Take Over Technical Support and Expertise

The HCUP-US Technical Support and Expertise task will remain in continuous operation during the transition period. The Contractor will arrange for automatic forwarding of emails and calls to the toll-free telephone number by the fourth week of the contract.

The Contractor shall receive and review the following Technical Support materials:

• A brief guidance document that serves as a procedure manual for providing technical assistance to users. This document will minimally include a description of processes, procedures, specific instructions for particular types of requestors (e.g., Federal Agencies), and an appendix of standard responses to technical assistance requests

• Statistics on the most recent technical assistance contacts

• User support frequently asked questions (FAQs) and standard responses; examples of previous email questions and replies

Take over HCUP-US Website

The HCUP-US website shall also remain functional during the transition period. The Contractor shall provide a transition plan for the operation of the HCUP-US website which will:

• Identify all the steps necessary to complete the transition

• Present the schedule for transition, including any need for overlap with the prior

Contractor to keep the site in production

• At the agreed upon date, will also include an electronic “snap-shot” of the full contents of the entire HCUP-US website

The Contractor shall take over, manage, and run the existing website and will not recreate it.

PROJECT MANAGEMENT

The Contractor shall develop and implement methods to ensure that project tasks and subtasks are coordinated so that work progresses in an orderly, efficient manner. The Contractor shall develop and implement a method for planning future project activities so that tasks are completed within required timeframes and budgets. The Contractor shall implement quality control procedures to monitor and evaluate the quality of the products that shall be delivered.

The Contractor shall document all proposed project management methods and software tools for review by the COR.

Meetings and Conference Calls The Contractor shall confer regularly with the COR and other individuals designated by the COR for their technical expertise or substantive interest in the project. Multiple activities must take

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Less formal communications shall also occur on a more frequent basis, as needed between the COR, and other AHRQ staff as assigned, and the Contractor.

Prepare, Arrange, and Attend an Orientation Meeting

The Contractor shall meet with the COR and HCUP team from AHRQ/CFACT in Rockville, MD within ten working days of the award of the contract. Discussion topics will include, but are not necessarily limited to, the purpose of the project, technical approach, and deliverables, staffing and reporting requirements. The Contractor is to document decisions in a memo to the COR. The Contractor is also required to participate in conference calls with the COR.

In addition to periodic meetings, the Contractor shall participate in formal conference calls with the COR and other staff as assigned, as frequently as once a week, to review progress, identify problems, and discuss possible solutions to problems. In advance of the conference call, the Contractor shall prepare and send an agenda which highlights key activities and any problems encountered by task. The agenda shall include a status report of recruitment activities and data processing.

Prepare an Annual Project Management Plan Prepare and submit an annual project management plan which provides for the budgeting, monitoring, and documentation of all contract activities and costs by major tasks. The plan shall include a work plan for that year for the Contract tasks, including an updated delivery schedule and timeline for the project tasks. The Contractor shall also identify and recommend any changes in approach or process to achieving that year’s tasks. The plan shall include such items as identification of appropriate and available staff, processes to ensure the performance of tasks in a timely manner, and procedures for ensuring data security and confidentiality.

A draft annual project management plan will be due one month after the effective date and a final will be due six weeks after the effective date of award (CED).

Annual Planning Meeting At the start of contract Option Periods 1 through 4, the Contractor shall prepare for and present the project status to the COR and other selected AHRQ staff. Annual planning meetings provide an opportunity to review the previous year’s progress of work, plan for the coming year, discuss management issues, and develop strategies to improve communication and performance. Topics shall include, but not be limited to project budget, staff and other resources, timelines, and deliverables. For the kickoff meeting and the annual meeting in Option Periods 1 and 3, key staff from the Contractors’ team shall travel to the AHRQ offices to conduct the planning meeting over two days.

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Progress Reports The Contractor shall submit to the COR monthly written reports describing major activities of the project, beginning one and one half months following the award date. Each monthly progress report shall list, by major task, key project activities over the past month, the cost of those activities, the anticipated next month's activities, key problems encountered and proposed solutions, milestones, and any other information which has a significant impact on ongoing or planned activities or costs. This report should focus only on major activities and key information and should not report routine communications or progress, nor be overly detailed. For certain tasks (to be identified later), costs shall be reported by sub-tasks as well. The report shall also compare progress and resource expenditures to the original schedule and budget and provide explanations for any variances, assess whether the current total estimated contract cost is sufficient to complete the contract, and describe significant changes in the Contractor's operational personnel.

Bi-annually, the Contractor shall prepare an estimate of “cost-to-complete” showing major tasks and subtasks to evaluate resources for that year’s activities, based on six and 8 months of financial data, respectively.

All documentation prepared and delivered in the support of this contract shall be maintained in an electronic document management system (currently HCUP-US), shall be maintained current throughout the contract life-cycle, and shall remain accessible to the government for review at any time.

The Contractor shall also submit a final project report summarizing the work accomplished at the end of the project (the last Option Period exercised). This report shall include a description of the project overall, database components, a description of all processes used to generate data files, documentation, tools, analytics, research, technical assistance, dissemination, and summary of all major components and their deliverables under the contract, recommendations for future efforts, major problems and resolutions, budget and staffing issues, and other issues as determined in conjunction with the COR.

QUALITY ASSURANCE, SECURITY, AND INFORMATION TECHNOLOGY (IT)

Provide Quality Assurance The Contractor shall establish and adhere to a high level of software development, testing, documentation and quality control standards and procedures, in accordance with the AHRQ System Development Life Cycle Policy (SDLC). Over the course of the project, the Contractor shall continue to review the SDLC and augment processes to further improve quality control, reproducibility, and standardization.

The Contractor shall support efficient and secure computing operations and shall utilize software workflow, document management, and other collaboration tools and products to support efficient operations of functions, processes and tasks performed under this contract. At least twice per year, the Contractor shall evaluate and trim holdings to maintain efficiency. Prior to final closeout and accounting, the Contractor shall create a schedule for trimming holdings. The trimming shall be linked to the destruction of the corresponding source data when convenient.

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The Contractor shall plan to trim back to the final data files and the production programs, logs and listings, format programs and final supporting databases as part of the final close-out procedures.

Confidentiality and Security Protections The Contractor shall protect the confidentiality and security of HCUP databases, project files, and any sensitive or individually identifiable information associated with the project. The Contractor shall develop procedures and mechanisms that adhere to all Federal, Department of Health and Human Services, and AHRQ IT security and confidentiality regulations (See Section H). The Contractor shall review the Attachment # 25, “AHRQ Security and Privacy Language for Information and Information Technology Procurements” for specific requirements.

Information on the existing HCUP System Security Category/Impact Level is provided in the Attachments.

Catalogue and Return All Data All data files provided under this contract are for the sole purpose of supporting the HCUP and may not be used for any other purpose. Data files used under this contract shall be catalogued and returned to the COR or destroyed at the completion of the contract as directed by the COR.

HCUP Security Provisions The Contractor shall comply with the existing confidentiality statutes and regulations governing AHRQ and Contractors to AHRQ (See Section H). These include but are not limited to: 1) Section 944(c) of the Public Health Service Act (42 U.S.C. 299c-3(c)) describing AHRQ’s ‘confidentiality statute’ data protections; 2) the Privacy Act of 1974; and 3) The HCUP Security Plan. Information identifying an individual or an establishment that is collected, assembled, or used by AHRQ and its contractors is protected by the Agency’s confidentiality statute. This statute prohibits the use of information for any purpose other than the purpose for which it was supplied, unless appropriate consent is obtained from the individual or establishment. In the case of the HCUP data, the purpose is limited to use for research, public health, analysis, and aggregate statistical reporting. AHRQ interprets its own confidentiality statute to apply to any person with access to data collected by AHRQ or in connection with a project that AHRQ has funded.

In addition to the statute that deals specifically with AHRQ, the Agency must adhere to the protections included in the Privacy Act of 1974 (as amended) (5 U.S.C. 552a). This Act also restricts the use and dissemination of identifiable information and imposes criminal penalties for violations.