RFP_AHRQ-18-10001.pdf

Request for Proposal No. AHRQ-2018-10001

PART I - THE SCHEDULE

SECTION A - SOLICITATION FORM

Date Issued: June 14, 2017 Date Questions Due: June 28, 2017 11:00 AM EST Please Note: All questions and inquires will be processed on a non-attribution basis.

Date Notice of Intent Due: July 12, 2017 Date Proposals Due: July 31, 2017, 11:00 AM EST

You are invited to submit a proposal to the Agency for Healthcare Research and Quality (AHRQ) for Request for Proposal (RFP) No. AHRQ-2018-10001 entitled “Healthcare Cost and Utilization Project (HCUP) FY 2018-2023.” 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 completing the Proposal Intent Response Form (See section L.10 and Attachment A) and send it to the Contracting Officer no later than July 12, 2017. You may mail it to the address below; fax it to 301-427-1740, Attention: Megan Osele, Contract Specialist or email it to Megan.Osele@ahrq.hhs.gov.

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 Megan Osele, Contract Specialist/Contracting Officer, at the following email address:

Megan.Osele@ahrq.hhs.gov. Subject line shall read: Proposal Questions RFP No. AHRQ- 2018-10001. Answers to questions and all solicitation amendments will be posted to the Federal Business Opportunities web page: www.fbo.gov. It is your responsibility to monitor the web site.

Additional Information:

a. A cost plus fixed fee contract is contemplated for a period of one year, with four one-year options.

Request for Proposal v. Jan-17; FAC 93 AHRQ-2018-10001 Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 1 of 92 mailto:Megan.Osele@ahrq.hhs.gov http://www.fbo.gov/

b. The Government anticipates awarding one contract from this solicitation on or about December 27, 2017.

c. 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.)

d. The NAICS code for this requirement is 541690 with a size standard of $15 Million.

Proposal Submission: The proposal shall be signed by an authorized official to bind your organization and must be received by the due date specified above. The proposal must be submitted to the following address:

Agency for Healthcare Research and Quality (AHRQ)* Division of Contracts Management* 5600 Fishers Lane* Mail Stop 06N34B* Rockville, Maryland 20857* Attn: Megan Osele, (301) 427-1460*

*All boxes must be clearly labeled with this information.

Please read this section carefully. Some mail and package delivery procedures have changed due to security controls. All mail and packages are screened at a local offsite facility before being delivered to 5600 Fishers Lane.

The U.S. Postal Service’s “Express Mail” does not deliver to our Rockville, Maryland address.

Please do not use this means of delivery for proposal submission.

Proposals delivered by commercial package delivery company (example: Fedex, UPS, DHL, etc.): Submit and label as instructed above. These companies are familiar with the delivery procedures at 5600 Fishers Lane.

Hand carried or hand carry courier service: The 5600 Fishers Lane building security does not allow packages to be delivered directly to the building. Hand carried or courier delivered proposals should be labeled as instructed above, however they must be delivered directly to the offsite screening facility at 12225 Wilkins Avenue Rockville MD 20852. Please note that anyone who arrives at the Fishers Lane location with a delivery will be directed to the screening facility, however this will cause delay. Packages will be accepted and date/time stamped at the screening facility. Please allow ample time as proposals cannot be date/time stamped until they have gone through security.

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

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 2 of 92 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 http://www.sam.gov.

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 Megan Osele, (301) 427-1460 or e-mail: Megan.Osele@ahrq.hhs.gov. Please note e-mail requests should state subject as RFP

AHRQ-2018-10001.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 3 of 92 http://www.sam.gov/ mailto:Megan.Osele@ahrq.hhs.gov

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

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 4 of 92

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 BRIEF DESCRIPTION OF SUPPLIES OR SERVICES

“Healthcare Cost and Utilization Project (HCUP) FY 2018-2023.” See Section C for a complete description.

B.2 ESTIMATED COST AND FIXED FEE

a. The Estimated Cost (exclusive of fees) for performance of the work under the base period of this contract, including direct and indirect costs is $To Be Determined (TBD).

b. The Fixed Fee for the base period of this contract is $TBD. The fixed fee shall be paid in installments based on the percentage of completion of work, as determined by the Contracting Officer. Payment shall be subject to the withholding provisions of the Clause ALLOWABLE COST AND PAYMENT and FIXED FEE incorporated herein.

c. The total contract value, represented by the sum of the estimated cost plus the fixed fee for the base period is $TBD.

Period of Performance

Services Estimated Cost Fixed Fee Total

Base Period Severable $TBD $TBD $TBD

B.3 OPTION COSTS

If the Government exercises its option(s) pursuant to the option article in Section H of this contract, the Government’s total contract amount represented by the sum of the estimated cost and fixed fee will be revised as follows:

Period of Performance

Services Estimated Cost Fixed Fee Total

Option Period 1 Severable $ TBD $TBD $ TBD Option Period 2 Severable $ TBD $ TBD $ TBD Option Period 3 Severable $ TBD $ TBD $ TBD Option Period 4 Severable $ TBD $ TBD $ TBD

The base period and each option are separate and distinct from one another for accumulation of costs and billing purposes.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 5 of 92

OPTION TASKS

All option tasks shall be accomplished in their entirety within the given contract year when the modification is issued.

BASE YEAR

SOW

Task #

Title of Section Cost Fee Total Per Task

Max Task Total Per Year

Max # of Times to Exercise

C.15.16.1 Establish Online Acknowledgement of DUA for Non-purchasers

$TBD $TBD $TBD $TBD 2x

C.16.4 Obtain and Renew SAS Licenses

$TBD $TBD $TBD $TBD 1x

C.17.7 Evaluate and Develop Plan for Redesign of the HCUP-US Website

$TBD $TBD $TBD $TBD 2x

C.25.6 Development of New Fast Stats Reporting Path

C.27.4.1 Additional Moderate Analytic Projects

C.27.4.2 Additional Limited 12 month Analytic

$TBD $TBD $TBD $TBD 3x

C.27.4.3 Additional Limited 6 month Analytic

C.27.4.4

Additional Limited 3

C.28.3 Additional Quick Turn-Around and Periodic Data Analysis

C.32 Project Close-out $TBD $TBD $TBD $TBD 1x C.33 Project Transition

And Transfer $TBD $TBD $TBD $TBD 1x

OPTION YEAR 1

SOW

Task #

Title of Section Cost Fee Total Per Task

Max Total Per Year

Max # of Times to Exercise

C.14.2 HCUP Health Insurance File

$TBD $TBD $TBD $TBD 2x

C.14.3 Prepare Health Insurance Analytic Files

C.14.8 Develop Other $TBD $TBD $TBD $TBD 2x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 6 of 92

Supplemental Linkable / Data

C.15.16.1 Establish Online Acknowledgement of DUA for Non-purchasers

C.16.4 Obtain and Renew

$TBD $TBD $TBD $TBD 1x

C.17.7 Evaluate and Develop Plan for Redesign of the

C.17.8 Implement Redesign of the

C.23.3 Expand Impact from HCUP through Outreach

C.24.4 Develop New Software Tools

$TBD $TBD $TBD $TBD 4x

Periodic Data Analysis

$TBD $TBD $TBD $TBD 3x

C.29 – 29.5

New Specialized Encounter-Level Database

C.29.6 Release Specialized

C.33 Project Transition $TBD $TBD $TBD $TBD 1x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 7 of 92

And Transfer

OPTION YEAR 2

SOW

Task #

Title of Section Cost Fee Total Per Task

Max Total Per Year

Max # of Times to Exercise

C.14.2 HCUP Health Insurance File

$TBD $TBD $TBD $TBD 2x

C.14.8 Develop Other Supplemental Linkable / Data of DUA for Non-

$TBD $TBD $TBD $TBD 1x

C.17.7 Evaluate and Develop Plan for Redesign of the

C.19.1 In-Person HCUP Partners Meeting

$TBD $TBD $TBD $TBD 2x

C.23.3 Expand Impact from HCUP through Outreach

$TBD $TBD $TBD $TBD 2x

C.24.4 Develop New Software Tools

Projects

$TBD $TBD $TBD $TBD 2x

C.27.4.2 Additional Limited 12 month Analytic

$TBD $TBD $TBD $TBD 5x

Periodic Data Analysis

$TBD $TBD $TBD $TBD 3x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 8 of 92

C.29 - .29.5

New Specialized Encounter-Level

C.29.6 Release

Database

$TBD $TBD $TBD $TBD 2x

C.32 Project Close-out $TBD $TBD $TBD $TBD 1x C.33 Project Transition

And Transfer

OPTION YEAR 3

SOW

Task #

Title of Section Cost Fee Total Per Task

Max Total Per Year

Max # of Times to Exercise

C.14.2 HCUP Health Insurance File

$TBD $TBD $TBD $TBD 2x

C.14.8 Develop Other Supplemental Linkable / Data of DUA for Non-

$TBD $TBD $TBD $TBD 1x

C.17.7 Evaluate and Develop Plan for Redesign of the

C.19.1 In-Person HCUP Partners Meeting

C.22.4

New Electronic Courseware Partnership

$TBD $TBD $TBD $TBD 2x

C.23.3 Expand Impact from HCUP through Outreach

$TBD $TBD $TBD $TBD 2x

C.24.4 Develop New Software Tools

$TBD $TBD $TBD $TBD 2x

C.25.6 Development of New Fast Stats

$TBD $TBD $TBD $TBD 5x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 9 of 92 month Analytic

Projects

$TBD $TBD $TBD $TBD 3x

C.28.3 Additional Quick Turn-Around and Periodic Data Analysis

$TBD $TBD $TBD $TBD 3x

C.29 - .29.5

New Specialized Encounter-Level Database

$TBD $TBD $TBD $TBD 2x

C.29.6 Release Specialized Database

$TBD $TBD $TBD $TBD 2x

C.32 Project Close-out $TBD $TBD $TBD $TBD 1x C.33 Project Transition

And Transfer $TBD $TBD $TBD $TBD 1x

OPTION YEAR 4

SOW

Task #

Title of Section Cost Fee Total Per Task

Max Total Per Year

Max # of Times to Exercise

C.14.2 HCUP Health Insurance File

$TBD $TBD $TBD $TBD 2x

C.14.3 Prepare Health Insurance Analytic Files

$TBD $TBD $TBD $TBD 2x

C.14.8 Develop Other Supplemental Linkable / Data Files

$TBD $TBD $TBD $TBD 2x

C.15.16.1 Establish Online Acknowledgement of DUA for Non-purchasers

$TBD $TBD $TBD $TBD 2x

C.16.4 Obtain and Renew SAS Licenses

$TBD $TBD $TBD $TBD 1x

C.17.7 Evaluate and Develop Plan for Redesign of the HCUP-US Website

$TBD $TBD $TBD $TBD 2x

C.17.8 Implement Redesign of the HCUP-US Website

$TBD $TBD $TBD $TBD 2x

C.19.1 In-Person HCUP Partners Meeting

$TBD $TBD $TBD $TBD 2x

C.22.5 Update Electronic Courseware

$TBD $TBD $TBD $TBD 2x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 10 of 92

B.4 PROVISIONS APPLICABLE TO DIRECT COSTS

a. Items Unallowable Unless Otherwise Provided

Notwithstanding the clauses, ALLOWABLE COST AND PAYMENT, and FIXED FEE, incorporated into this contract, 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

C.23.3 Expand Impact from HCUP through Outreach

$TBD $TBD $TBD $TBD 2x

C.24.4 Develop New Software Tools

$TBD $TBD $TBD $TBD 2x

C.25.6 Development of New Fast Stats Reporting Path

$TBD $TBD $TBD $TBD 2x

C.27.5.1 Additional Moderate Analytic Projects

$TBD $TBD $TBD $TBD 2x

C.27.4.2 Additional Limited 12 month Analytic Projects

$TBD $TBD $TBD $TBD 4x

C.27.4.3 Additional Limited 6 month Analytic

Periodic Data Analysis

C.29 - .29.5

New Specialized Encounter-Level Database

$TBD $TBD $TBD $TBD 1x

C.29.6 Release

C.33 Project Transition

And Transfer $TBD $TBD $TBD $TBD 1x

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 11 of 92 office equipment regardless of dollar value. (General purpose equipment is defined as any items of personal property which are usable for purposes other than research, such as office equipment and furnishings, pocket calculators, etc.);

(4) Accountable Government property;

(5) Travel to attend general scientific meetings;

(6) Foreign Travel;

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

(8) Rental of meeting rooms not otherwise expressly paid for by the contract;

(9) Any formal subcontract arrangements not otherwise expressly provided for in the contract;

(10) Consultant fees;

(11) Information Technology hardware or software;

(12) Food and Beverages; and

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 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

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 12 of 92

USC § 1345 for appropriations restrictions.

B.5 CONTRACTING OFFICER AUTHORIZATION

Other provisions of this contract notwithstanding, approval of the following items within the limits set forth is hereby granted without further authorization from the Contracting Officer.

To Be Determined

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 13 of 92

SECTION C - DESCRIPTION/SPECIFICATION/WORK STATEMENT

Statement of Work

SEE ATTACHMENT #1

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 14 of 92

SECTION D - PACKAGING AND MARKING

All deliverables required under this contract shall be packaged, marked and shipped in accordance with Government specifications. At a minimum, all deliverables shall be marked with the Contract Number, Contractor Name and Item Number. The Contractor shall guarantee that all required materials shall be delivered in immediate usable and acceptable condition. Note as appropriate on the face page of each deliverable, or on the binding, (1) one volume only, or

(2) volume 1 of 2, etc.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 15 of 92

SECTION E - INSPECTION AND ACCEPTANCE

E.1 INSPECTION AND ACCEPTANCE

a. The Contracting Officer or the duly authorized representative will perform inspection and acceptance of materials and services to be provided.

b. For the purpose of this SECTION the Contracting Officer’s Representative is the authorized technical representative of the Contracting Officer.

c. Inspection and acceptance will be performed at:

Agency for Healthcare Research and Quality 5600 Fishers Lane Rockville, Maryland 20857

E.2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates the following clause by reference, with the same force and effect as if it were given in full text.

FAR Clause No. Title and Date

52.246-5 Inspection of Services-Cost

Reimbursement (April 1984)

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 16 of 92

SECTION F - DELIVERIES or PERFORMANCE

F.1 PERIOD OF PERFORMANCE

a. The base period of performance of this contract shall be from December 27, 2017 through December 26, 2018.

b. If the Government exercises any Options pursuant to the OPTION PROVISION Article in Section H of this contract, the period of performance will be revised as follows:

Option Year Option Period Option Year 1 December 27, 2018 - December 26, 2019 Option Year 2 December 27, 2019 - December 26, 2020 Option Year 3 December 27, 2020 - December 26, 2021 Option Year 4 December 27, 2021 - December 26, 2022

Option Task Option Period C.14.2 5 Months C.14.3 3 Months C.14.8 6 Months C.15.16.1 4 Months C.16.4 2 Months C.17.7 6 Months C.17.8 9 Months C.19.1 6 Months C.22.4 8 Months C.22.5 4 Months C.23.3 8 Months C.24.4 6 Months C.25.6 6 Months C.27.4.1 11 Months C.27.4.2 11 Months C.27.4.3 5 Months C.27.4.4 3 Months C.28.3 2 Months C.29 – 29.5 8 Months C.29.6 6 Months C.32 4 Months C.33 2 Months

F.2 DELIVERABLE SCHEDULE

SEE ATTACHMENT #2

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 17 of 92

F.3 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates the following clause by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSE:

52.242-15, Stop Work Order (AUG 1989) with Alternate I (APRIL 1984).

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 18 of 92

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 KEY PERSONNEL, HHSAR 352.237-75 (DEC 2015)

Pursuant to the Key Personnel clause incorporated in Section I of this contract, the following individual(s) is/are considered to be essential to the work being performed hereunder:

NAME TITLE

(To Be Determined)

The clause cited above contains a requirement for review and approval by the Contracting Officer of written requests for a change of Key Personnel reasonably in advance of diverting any of these individuals from this contract. Receipt of written requests at least 30 days prior to a proposed change is considered reasonable.

G.2 CONTRACTING OFFICER’S REPRESENTATIVE

The following Contracting Officer’s Representative will represent the Government for the purpose of this contract:

(TO BE COMPLETED AT TIME OF CONTRACT AWARD)

The Contracting Officer’s Representative is responsible for: (1) monitoring the contractor's technical progress, including the surveillance and assessment of performance and recommending to the contracting officer changes in requirements; (2) interpreting the statement of work and any other technical performance requirements; (3) performing technical evaluation as required; (4) performing technical inspections and acceptances required by this contract; and (5) assisting in the resolution of technical problems encountered during performance.

The Government may unilaterally change its Contracting Officer’s Representative designation.

G.3 CONTRACTING OFFICER

The Contracting Officer is the only person with authority to act as an agent of the Government under this contract. Only the Contracting Officer has authority to: (1) direct or negotiate any changes in the statement of work; (2) modify or extend the period of performance; (3) change the delivery schedule; (4) authorize reimbursement to the contractor of any costs incurred during the performance of this contract; or (5) otherwise change any terms and conditions of this contract.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 19 of 92

G.4 INVOICE SUBMISSION – Cost Reimbursement

a. INVOICE SUBMISSION

The following directions for the submission of invoices must be followed to meet the requirements of a "proper" payment request pursuant to FAR 32.9, and must be in accordance with the General Provisions clause 52.232-25 Prompt Payment (JUL 2013).

Invoices/financing requests shall be submitted as an original to:

Contracting Officer Agency for Healthcare Research and Quality Division of Contracts Management 5600 Fishers Lane Mail Stop 06N34B Rockville, Maryland 20857

b. INFORMATION ON INVOICES

(1) The Contractor is REQUIRED to include the following minimum information on invoices:

(a) Contractor’s name and invoice date;

(b) Contract Number;

(c) Description and price of services actually rendered;

(d) Other substantiating documentation or information as required by the contract;

(e) Name (where practicable), title, phone number, and complete mailing address or responsible official to whom payment is to be sent; and

(f) The Internal Revenue Service Taxpayer Identification Number.

(2) The Contractor shall furnish the following minimum information in support of costs submitted:

(a) Direct Labor – include all persons, listing the person’s name, title, number of hours or days worked, hourly rate (unburdened), the total cost per person and a total amount of this category.

(b) Fringe Costs - show rate, base and total amount as well as verification/allowability or rate changes (when applicable);

(c) Overhead or Indirect Costs - show rate, base and total amount as well as verification/allowability or rate changes (when applicable);

(d) Consultants - include the name, number of days or hours worked, a total amount per consultant and a total amount for this category;

(e) Travel - include for each airplane or train trip taken the name of the traveler, date of travel, destination, the transportation costs including ground transportation, shown separately, and per diem costs. Other

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 20 of 92 travel costs shall also be listed. A total amount for this category shall be provided;

(f) Subcontractors - include for each subcontractor, the same data that is being provided for the prime contractor. A total number for this category shall be provided.

(g) Data Processing - include all non-labor costs, i.e., computer time, equipment purchase, lease or rental, data tapes, etc. A total amount for this category shall be provided.

(h) Other - include a listing of all other direct charges to the contract, i.e., office supplies, telephone, equipment rental, duplication, etc.

(i) Equipment Cost - itemize and identify separately from material costs including reference to approval in all cases;

(j) G&A - show rate, base and total as well as verification/allowability of rate changes (when applicable);

(k) Fee - show rate, base and total and;

(l) Current amount billed by individual cost element and total dollar amount and cumulative amount billed by individual cost element and total dollar amount.

(3) Payment shall be made by:

Program Support Center 7700 Wisconsin Avenue, 9th Floor

Bethesda, MD 20814 Telephone Number (301) 492-5233

G.5 INDIRECT COST RATES and FEES

In accordance with Federal Acquisition Regulation (FAR) (48 CFR Chapter 1) Clause 52.216-7(d)(2), Allowable Cost and Payment, incorporated by reference in this contract, in Part II, Section I, the primary contact point responsible for negotiating provisional and/or final indirect cost rates is the cognizant contracting official as set forth in FAR Subpart 42.7 - Indirect Cost Rates.

Reimbursement will be limited to the rates and time periods covered by the negotiated agreements. The rates, if negotiated, are hereby incorporated without further action of the Contracting Officer, subject to any specific limitations stated elsewhere in this contract.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 21 of 92

G.6 ELECTRONIC FUNDS TRANSFER

Pursuant to FAR 52.232-33, Payment by Electronic Funds Transfer - Central Contractor Registration (OCT 2003), the Contractor shall designate a financial institution for receipt of electronic funds transfer payments. This designation shall be submitted, in writing, to the finance office designated in the contract.

G.7 POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE

Interim and final evaluations of Contractor performance will be prepared on this contract in accordance with FAR Subpart 42.15. The final performance evaluation will be prepared at the time of completion of work. In addition to the final evaluation, interim evaluation(s) will be prepared annually.

Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the evaluation. The Contractor will be permitted thirty days to review the document and to submit additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level above the Contracting Officer, whose decision will be final.

Copies of the evaluations, Contractor responses, and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions.

Contractors may access evaluations through a secure Web site for review and comment at the following address: https://www.cpars.csd.disa.mil

G.8 GOVERNMENT PROPERTY

The contractor shall provide ALL property required to perform all requirements under the contract. Only in extremely limited circumstances shall property be approved. Refer to FAR 45.102 for additional information. If the Contracting Officer authorizes the use of government property or the acquisition of government property (other than real property), the HHS Publication, entitled, “HHS Contracting Guide for Contract of Government Property” shall apply.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 22 of 92 https://www.cpars.csd.disa.mil/

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 RELEASE AND USE AND COPYRIGHT OF DATA FIRST PRODUCED FROM WORK

PERFORMED UNDER THIS CONTRACT

(a) Release and Use – Data first produced in the performance of the Contract. As permitted in FAR 52.227-17, the provisions of this Section H.1 shall apply to any release or use of data first produced in the performance of the Contract and any analysis, tools, methodologies, or recorded product based on such data.

(b) Release and Use – Requirements related to confidentiality and quality. To ensure public trust in the confidentiality protections afforded participants in Agency for Healthcare Research and Quality (AHRQ)-supported research, AHRQ requires and monitors compliance by its contractors with section 934(c) of the Public Health Service Act (PHS Act) (42 U.S.C. 299c-3(c)), which states in part that

No information, if the establishment or person supplying the information or described in it is identifiable, obtained in the course of activities undertaken or supported under this title, may be used for any purpose other than the purpose for which it was supplied unless such establishment or person has consented...to its use for such other purpose. Such information may not be published or released in other form if the person who supplied the information or who is described in it is identifiable unless such person has consented...to its publication or release in other form.

In addition to this requirement, section 933(b)(1) of the PHS Act (42 U.S.C. 299c-2(b)(1)) requires AHRQ to assure that statistics and analyses developed with Agency support are of high quality, comprehensive, timely, and adequately analyzed. Accordingly --

(1) prior to the release or use of data based upon work performed under this Contract, the Contractor agrees to consult with the Contracting Officer’s Representative and Contract Officers regarding the proposed release or use. The Contractor will in good faith consider, discuss, and respond to any comments or suggested modifications that are provided by AHRQ within two months of receiving the proposed release or use.

The purpose of such consultation is to assure that:

(A) identifiable information is being used exclusively for the purpose(s) for which it was supplied or appropriate consents have been obtained;

(B) the confidentiality promised to individuals and establishments supplying identifiable information or described in it is not violated; and

(C) the quality of statistical and analytical work meets the statutory standards cited above.

(2) The Contractor must satisfy conditions (1)(A) and (1)(B). At the conclusion of any consultation required by paragraph (b)(1) above, if AHRQ and the Contractor cannot agree that a proposed use or release satisfies condition (1)(C) above:

(A) the research professional at the Contractor responsible for the quality of the Contract work will, in advance of any release or use of such data, certify in a letter to the

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 23 of 92

Contracting Officer what differences of opinion cannot be resolved regarding the statutory standards referenced in condition (1)(C) and the basis for Contractor assertions that these standards have been met; and

(B) the Contractor must print prominently on the release or other product, or on any portion that is released, or state prior to any oral presentation or release of such material, the following disclaimer:

THIS PRESENTATION/ PUBLICATION/OR OTHER PRODUCT IS DERIVED

FROM WORK SUPPORTED UNDER A CONTRACT WITH THE AGENCY FOR

HEALTHCARE RESEARCH AND QUALITY (AHRQ) CONTRACT# .

HOWEVER, THIS PRESENTATION/ PUBLICATION/OR OTHER PRODUCT

HAS NOT BEEN APPROVED BY THE AGENCY.

(c) Required Statement Regarding Protected Information. On all written material or other recorded products, or preceding any presentation or other oral disclosure, release or use of material based on identifiable information obtained in the course of work performed under this contract, the Contractor shall make the following statement:

IDENTIFIABLE INFORMATION ON WHICH THIS REPORT, PRESENTATION,

OR OTHER FORM OF DISCLOSURE IS BASED IS PROTECTED BY

FEDERAL LAW, SECTION 934(c) OF THE PUBLIC HEALTH SERVICE ACT, 42 U.S.C. 299c-3(c). NO IDENTIFIABLE INFORMATION ABOUT ANY

INDIVIDUALS OR ENTITIES SUPPLYING THE INFORMATION OR

DESCRIBED IN IT MAY BE KNOWINGLY USED EXCEPT IN ACCORDANCE

WITH THEIR PRIOR CONSENT. ANY CONFIDENTIAL IDENTIFIABLE

INFORMATION IN THIS REPORT OR PRESENTATION THAT IS KNOWINGLY

DISCLOSED IS DISCLOSED SOLELY FOR THE PURPOSE FOR WHICH IT

WAS PROVIDED.

(d) Copyright – Data first produced in the performance of the Contract. Subject to the terms of this Section regarding release and use of data, AHRQ, through its Contracting Officer, will grant permission under FAR 52.227-17(c)(1)(i) to the Contractor to establish claim to copyright subsisting in scientific and technical articles based on or containing data first produced in the performance of this contract that are submitted for publication in academic, technical or professional journals, symposia proceedings or similar works.

When claim to copyright is made, the Contractor shall affix the applicable copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of Government sponsorship (including contract number) to the data when such data are delivered to the Government, as well as when the data are published or deposited for registration as a published work in the U.S. Copyright Office. In such circumstances, the Contractor hereby agrees to grant to AHRQ, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license for all such data to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, by or on behalf of AHRQ. A description of this license will be incorporated into the copyright notices required above.

(e) Subcontracts. Whenever data, analyses, or other recorded products are to be developed by a subcontractor under this Contract, the Contractor must include the terms of H.1 in the subcontract, without substantive alteration, with a provision that the subcontractor may not further assign to another party any of its obligations to the Contractor. No clause may be included to diminish the Government’s stated

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 24 of 92 requirements or rights regarding release or use of products or materials based on data derived from work performed under this contract.

H.2 LACK OF COMPLIANCE WITH REQUIREMENTS FOR RELEASE OR USE

Failure to submit materials for statutorily mandated confidentiality and statistical and analytic quality reviews as required by Section H.1 of this contract will be viewed as a material violation and breach of the terms of this contract, as the requirements of this provision are necessary for AHRQ to carry out its statutory obligations and responsibilities. Records of the Contractor's performance, including the Contractor's performance pertaining to this Contract, will be maintained in AHRQ's Contracts Management Office and will be considered as an element of past performance which is part of all subsequent competitive contract proposal reviews.

H.3 SUBCONTRACTS

The contractor must include in any subcontracts executed or used to provide the support specified in this contract all terms and conditions of this contract, especially Section H. These requirements are to be included without substantive alteration, and no clause may be included to diminish these requirements.

Award of any subcontract is subject to the written approval of the Contracting Officer upon review of the supporting documentation as required by FAR Clause 52.215-12, Subcontractor Cost or Pricing Data, of the General Clauses incorporated into this contract. A copy of the signed subcontract shall be provided to the Contracting Officer.

H.4 LATE PAYMENTS TO THE GOVERNMENT

Late payment of debts owed the Government by the Contractor, arising from whatever cause, under this contract/order shall bear interest at a rate or rates to be established in accordance with the Treasury Fiscal Requirements Manual. For purposes of this provision, late payments are defined as payments received by the Government more than 30 days after the Contractor has been notified in writing by the Contracting Officer of:

a. The basis of indebtedness.

b. The amount due.

c. The fact that interest will be applied if payment is not received within 30 days from the date of mailing of the notice.

d. The approximate interest rate that will be charged.

H.5 SALARY RATE LIMITATION, HHSAR352.231-70 (DEC 2015)

a. Pursuant to the current and applicable prior HHS appropriations acts, the Contractor shall not use contract funds to pay the direct salary of an individual at a rate in excess of the Federal Executive Schedule Level II in effect on the date the funding was obligated.

b. For purposes of the salary rate limitation, the terms ``direct salary,'' ``salary”, and ``institutional base salary'', have the same meaning and are collectively referred to as ``direct salary'', in this clause. An individual's direct salary is the annual compensation that

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 25 of 92 the Contractor pays for an individual's direct effort (costs) under the contract. Direct salary excludes any income that an individual may be permitted to earn outside of duties to the Contractor. Direct salary also excludes fringe benefits, overhead, and general and administrative expenses (also referred to as indirect costs or facilities and administrative [F&A] costs).

The salary rate limitation does not restrict the salary that an organization may pay an individual working under a Department of Health and Human Services contract or order; it merely limits the portion of that salary that may be paid with contract funds.

c. The salary rate limitation also applies to individuals under subcontracts.

d. If this is a multiple-year contract or order, it may be subject to unilateral modification by the Contracting Officer to ensure that an individual is not paid at a rate that exceeds the salary rate limitation provision established in the HHS appropriations act used to fund this contract.

e. See the salaries and wages pay tables on the Office of Personnel Management Web site for Federal Executive Schedule salary levels.

H.6 PERSONNEL SECURITY REQUIREMENTS

BACKGROUND

The Office of Assistant Secretary for Management and Budget, Department of Health and Human Services (DHHS), requires that all DHHS employees and contractor employees (including subcontractors) who will be working in a DHHS-owned or leased space and/or who will have access to DHHS equipment, and non-public privileged, proprietary, or trade secret information, undergo a background investigation.

GENERAL

Notwithstanding other submission requirements stated elsewhere in this contract, the contractor shall appoint and identify a Contractor Security Representative and submit the following information for each employee to the Contracting Officer within thirty (30) calendar days after contract award.

DHHS ID Badge Request (HHS-745)

E-QIP Initiation Request Form Within thirty (30) days after contract award each employee will be required to have electronic fingerprinting performed –– Fingerprinting services are available by appointment only through the Program Support Staff (PSC). Upon receipt of the ID Badge Request Form and E-QIP Initiation Form, a security specialist from PSC will e-mail the contractor with instructions on completing the on-line background investigation questionnaire and making arrangements for the contractor to complete the electronic fingerprints at the Parklawn Building.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 26 of 92

H.7 ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY, HHSAR

352.239-74, (DEC 2015)

(a) Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) supplies and services developed, acquired, or maintained under this contract or order must comply with the “Architectural and Transportation Barriers Compliance Board Electronic and Information Technology (EIT) Accessibility Standards” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in 36 CFR part 1194.

Information about Section 508 is available at http://www.hhs.gov/web/508. The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-section-508-standards.

(b) The Section 508 accessibility standards applicable to this contract or order are identified in paragraph (c) below. The contractor must provide any necessary updates to the submitted HHS Product Assessment Template(s) at the end of each contract or order exceeding the simplified acquisition threshold (see FAR 2.101) when the contract or order duration is one year or less. If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the contract, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

(c) The Section 508 accessibility standards applicable to this contract are: Located in Section F.2.

(d) In the event of a modification(s) to this contract or order, which adds new EIT supplies or services or revises the type of, or specifications for, supplies or services, the Contracting Officer may require that the contractor submit a completed HHS Section 508 Product Assessment Template and any other additional information necessary to assist the Government in determining that the EIT supplies or services conform to Section 508 accessibility standards.

Instructions for documenting accessibility via the HHS Section 508 Product Assessment Template may be found under Section 508 policy on the HHS website:

(http://www.hhs.gov/web/508). If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the contract, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

(e) If this is an Indefinite Delivery contract, a Blanket Purchase Agreement or a Basic Ordering Agreement, the task/delivery order requests that include EIT supplies or services will define the specifications and accessibility standards for the order. In those cases, the Contractor may be required to provide a completed HHS Section 508 Product Assessment Template and any other additional information necessary to assist the Government in determining that the EIT supplies or services conform to Section 508 accessibility standards. Instructions for documenting accessibility via the HHS Section 508 Product Assessment Template may be found at http://www.hhs.gov/web/508. If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the provided documentation, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

(End of clause)

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 27 of 92 http://www.hhs.gov/web/508 http://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-section-508-standards http://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-section-508-standards http://www.ecfr.gov/cgi-bin/text-idx?node=pt48.1.2%23se48.1.2_1101

H.8 AHRQ Publishing and Communications Guidelines

All publications and communications resulting from this contract shall comply with the AHRQ publications and communications guidelines. Products will be reviewed to ensure compliance with these guidelines. Deliverables that are non-compliant are not acceptable.

The AHRQ Publishing and Communications Guidelines can be found at http://www.ahrq.gov/research/publications/pubcomguide/. This will assist the contractor in this effort by coordinating the work with AHRQ Office of Communications (OC).

The Contractor must provide a written request for copyright assertion to the Contracting Officer.

See H.1. Any manuscript or paper must include attribution/disclaimer statement substantially the same as the following:

This project was funded under Contract No. HHSA29020180000XC (revise as appropriate) from the Agency for Healthcare Research and Quality (AHRQ), U.S.

Department of Health and Human Services (HHS). The authors of this manuscript/paper/etc. (revise as appropriate) are responsible for its content. Statements in the manuscript/paper/etc. (revise as appropriate) do not necessarily represent the official views of or imply endorsement by AHRQ or HHS.

H.9 Information Security and Privacy Requirements

1. Adherence to Security and Privacy Policy. The Contractor shall comply with all Federal and Department of Health and Human Services (HHS) security and privacy guidelines in effect at the time of the award of this contract. A list of applicable United States (U.S.) laws, Office of Management and Budget (OMB) requirements, HHS policies, standards and guidance, and Federal Government Computer Security guidelines can be located at http://www.hhs.gov/ocio/securityprivacy/index.html. The Contractor shall perform periodic reviews to ensure compliance with all information security and privacy requirements. The Contractor shall make all system information and documentation produced in support of the Contract available to the agency and agency auditors upon request.

2. Roster. The Contractor (and/or any subcontractor) shall submit a roster by name, position, e-mail address, phone number and responsibility, of all staff working under this acquisition where the Contractor will develop, have the ability to access, or host and/or maintain a federal information system(s). The roster shall be submitted to the Contracting Officer’s Representative (COR), with a copy to the Contracting Officer, within 14 calendar days of the effective date of this contract. Any revisions to the roster as a result of staffing changes shall be submitted within 15 calendar days of the change. The Contracting Officer will notify the Contractor of the appropriate level of investigation required for each staff member.

3. Document Information. The Contractor shall contact the Contracting Officer and/or COR for any templates, policies, forms, and other documents necessary to comply with the requirements of this section.

4. Perimeter Defense and Notification. The Contractor shall ensure that the system and the information it contains are secured using appropriate perimeter defense technologies and that these technologies are monitored for anomalous traffic behavior. The Contractor shall

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 28 of 92 http://www.ahrq.gov/research/publications/pubcomguide/ http://www.hhs.gov/ocio/securityprivacy/index.html immediately report any unauthorized system access to the Agency for Healthcare Research and Quality (AHRQ) Chief Information Security Officer (CISO) and/or System Owner.

5. Protection of Sensitive Information. The Contractor shall ensure that sensitive information is protected by information security and privacy controls commensurate with the risk associated with the potential loss or compromise of this information. For purposes of this contract, information is sensitive if the Federal Information Processing Standard (FIPS) 199 Confidentiality or Integrity security objective is rated Moderate or High by the AHRQ CIO or CISO, as appropriate.

Personally identifiable information (PII) is a subset of sensitive information and is defined as data that can potentially be used to identify, locate, or contact an individual, or potentially reveal the activities, characteristics, or other details about a person.1 PII shall receive a level of protection commensurate with the risk associated with the loss or compromise of sensitive information.

6. Sensitive Information on Public Systems. The Contractor shall ensure that sensitive information is not stored, processed or transmitted on a publicly-available system (via the Internet) without the appropriate controls in place and specific authorization from the AHRQ

CIO.

7. Privacy Requirements. The Contractor (and/or any subcontractor) shall abide by all requirements of the Privacy Act of 1974 (the Act) and FAR Clause 52-239-1 in the design, development, or operation of any system of records on individuals to accomplish an agency function when the contract specifically identifies:

1. The systems of records; and

2. The design, development, or operation work that the Contractor is to perform.

Pursuant to those requirements, the Contractor shall create and publish a System of Records Notice (SORN) in the Federal Register when required and shall publish an updated SORN following a major change to the system, as directed by OMB Memorandum (M) 03- 22, OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002, or subsequent replacement guidance.

In the event of violations of the Act, a civil action may be brought against AHRQ when the violation concerns the design, development, or operation of a system of records on individuals to accomplish an AHRQ function, and criminal penalties may be imposed upon the officers or employees of AHRQ when the violation concerns the operation of a system of records on individuals to accomplish an AHRQ function per 5 USC 552a(i), as amended.

For purposes of the criminal penalties provisions of the Act, when the contract is for the operation of a system of records on individuals to accomplish an AHRQ function, the Contractor (and/or any subcontractor) is considered to be an employee of AHRQ per 5 USC 552a(m)(1), as amended.

1. “Operation of a system of records,” as used in this document, means performance of any of the activities associated with maintaining the system of records, including the

1 HHS Rules of Behavior, August 26, 2010.

Healthcare Cost and Utilization Project (HCUP) FY 2018-2023 Page 29 of 92 collection, use, and dissemination of records.

2. “Record,” as used in this document, means any item, collection, or grouping of information about an individual that is maintained by AHRQ including, but not limited to education, financial transactions, medical history, and criminal or employment history and that contains the person’s name, or the identifying number, symbol, or other identifying…