HHSM-500-2016-RFP-0023.pdf

HHSM-500-2016-RFP-0023

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

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

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______________ calendar days (60 calendar days unless a different period is inserted

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

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

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

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

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

04/27/2016 X

AGG - DSC

CMS,OAGM,AGG,DSC

7500 SECURITY BLVD., MS: B3-30-03

BALTIMORE MD 21244-1850

Mr. William A, Diggs Jr.

Ms. Erin Sparwasser

1000 ES 05/26/2016

Erin Sparwasser 410 erin.sparwasser@cms.hhs.gov

786-1928

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X

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PAGE(S)

Will Diggs

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

2-3

4-5 9-17 18-37

38-43

46-49

50-51

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

HHSM-500-2016-RFP-0023

(A) (B) (C) (D) (E) (F)

Period of Performance: 06/08/2016 to 06/07/2017

OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

NSN 7540-01-152-8067

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 BRIEF DESCRIPTION OF SERVICES

The National Health Expenditure Accounts (NHEA) are estimates of health spending for the United States produced by the National Health Statistics Group (NHSG) in the Office of the Actuary. The NHEA is a matrix designed health spending account that summarizes health spending by major health service categories as well as the major sources of funding for each service category. Included in the source of funds for the NHEA are estimates for health spending under workers’ compensation programs. For purposes of more fully developing workers’ compensation data for the NHEA and evaluating the inclusion of workers’ compensation data for the SHEA, the NHSG would like to purchase a state-level database of workers’ compensation premiums and benefit expenditures.

The NHSG needs to obtain workers’ compensation premiums earned in 2014, as well as medical and cash benefits paid and incurred for injuries occurring in 2014 for each state. The incurred cost data should include benefits paid and reserves set aside for future payments. The data will be used to construct national source of fund estimates for workers’ compensation in the NHEA.

B.2 TYPE OF CONTRACT (FP)

This is a Fixed-Firm Price severable completion contract.

This is a Fixed-Firm Price Contract. The firm fixed price for the base 12 month effort is $TBD at Award.

This is a Fixed-Firm Price Contract. The firm fixed price for the Option Year I effort is $TBD at Award.

This is a Fixed-Firm Price Contract. The firm fixed price for the Option Year II effort is $TBD at Award.

This is a Fixed-Firm Price Contract. The firm fixed price for the Option Year III effort is $TBD at Award.

This is a Fixed-Firm Price Contract. The firm fixed price for the Option Year IV effort is $TBD at Award.

B.3 PERIOD OF PERFORMANCE

Base June 8, 2016 - June 7, 2017 Option Year I June 8, 2017- June 7, 2018 Option Year II June 8, 2018- June 7, 2019 Option Year III June 8, 2019- June 7, 2020 Option Year IV June 8, 2020- June 7, 2021

B.4 CONSIDERATION AND PAYMENT (FP)

The Contractor, upon successful completion of work called for herein, shall be paid in accordance with section G.2, Invoices and Payment.

B.5 PAYMENT INFORMATION

Payment to the Contractor by the Government for hardware, software and services set forth in Section C, DESCRIPTION/SPECIFICATIONS/WORK STATEMENT, shall be made conditionally, upon Contractor delivery and Government receipt, and acknowledged by the Contracting Officer’s Technical Representative (COR).

Receipt will be acknowledged solely by the Contracting Officer’s Technical Representative or his/her designee.

B.6 PAYMENT SCHEDULE

Payment will be made based on the deliverables schedule, commencing the first month after each deliverable is issued. As referenced in Section C, Statement of Work, Items to be Furnished and Deliverable Schedule, payment will be made after each deliverable is received. This schedule will continue for the duration of this contract.

b. Prior to payment the Contracting Officer’s Technical Representative will acknowledge, by signature on each invoice, receipt of the deliverable charges.

Section C— DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

STATEMENT OF WORK

Background

The National Health Expenditure Accounts (NHEA) are estimates of health spending for the United States produced by the National Health Statistics Group (NHSG) in the Office of the Actuary. The NHEA is a matrix designed health spending account that summarizes health spending by major health service categories as well as the major sources of funding for each service category. Included in the source of funds for the NHEA are estimates for health spending under workers’ compensation programs. For purposes of more fully developing workers’ compensation data for the NHEA and evaluating the inclusion of workers’ compensation data for the SHEA, the NHSG would like to purchase a state-level database of workers’ compensation premiums and benefit expenditures.

Project Objectives

The NHSG needs to obtain workers’ compensation premiums earned in 2014, as well as medical and cash benefits paid and incurred for injuries occurring in 2014 for each state. The incurred cost data should include benefits paid and reserves set aside for future payments. The data will be used to construct national source of fund estimates for workers’ compensation in the NHEA.

Scope of Work

The contractor will deliver a PC-based database file to the NHSG by June 18, 2016. The file must include state-level estimates of workers’ compensation premiums and cash and medical claims paid and incurred for all 50 states in 2014. The database file must contain comprehensive estimates of workers’ compensation costs for each state by type of insurer including private carriers, state funds, federal programs, and self-insurers. The file must also contain estimates of the number of workers receiving workers’ compensation benefits in each state, as well as the cost per covered employee and per $100 of worker payroll.

The contractor will provide a report detailing all methods used in generating the data, any idiosyncrasies in the data, and an assessment of trends in the medical costs related to workers’ compensation. The contractor will also be responsible for providing all personnel, materials, supplies, and services required to support the development of the data file and will utilize software that allows for easy data retrieval by the government.

Section 508 Compliance

The deliverables shall comply with the standards, policies, and procedures below. In the event of conflicts between the referenced documents and this SOW the SOW shall take precedence.

Rehabilitation Act, Section 508 Accessibility Standards

1. 29 U.S.C. 794d (Rehabilitation Act as amended)

2. 36 CFR 1194 (508 Standards)

3. www.access-board.gov/sec508/508standards.htm (508standards) http://www.access-board.gov/sec508/508standards.htm

4. FAR 39.2 (Section 508)

5. CMS/HHS Standards, policies and procedures (Section 508)

SECTION D - PACKAGING AND MARKING

All deliverables required under this contract shall be shipped and marked in accordance with contract Section F.1 (Deliverables), the Statement of Work Schedule of Deliverables, and any additional requirements set forth in individual task orders. All deliverables must meet the applicable 508 standard identified in the Statement of work for electronic submission of documentation.

SECTION E - INSPECTION AND ACCEPTANCE

E.1 INSPECTION AND ACCEPTANCE

A. All work under this contract is subject to inspection and final acceptance by the Contracting

Officer or dully authorized representative of the Government.

B. The Government’s Contracting Officer’s Technical Representative is a duly authorized representative of the Government and is responsible for inspection and acceptance of all items to be delivered under this contract.

C. Inspection and acceptance of the Contractor’s performance shall be in accordance with the applicable FAR Clauses in Section E.3 below.

E.2 APPROVAL BY THE CONTRACTING OFFICER’S TECHICAL REPRESENTATIVE

All items to be delivered to the Contracting Officer’s Technical Representative will be deemed to have been approved 60 calendar days after date of delivery, except as otherwise specified in this contract, if written approval or disapproval has not been given within such period. The COR’s approval or revision to the items submitted shall be within the general scope of work stated in this contract.

E.3 FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address:

www.arnet.gov/far/fac/html

• Inspection of Services (Fixed Price) 52.246-4 http://www.arnet.gov/far/fac/html

SECTION F - DELIVERIES OR PERFORMANCE

F.1 DELIVERY SCHEDULE

ITEMS TO BE FURNISHED AND DELIVERABLE SCHEDULE

The Contractor shall submit all required reports and deliverables in accordance with the following schedule. Reports and/or deliverables submitted under this contract shall be in accordance with the Statement of Work entitled Estimates of Workers’ Compensation Costs from the National Academy of Social Insurance (NASI).

Deliverable Schedule

Task Description Due Date

1 PC-based database June 18, 2016 2 Report detailing all methods June 18, 2016

F.2 ACCEPTANCE OF DELIVERABLES

All required contract deliverables shall be reviewed by the Contracting Officer’s Technical Representative to determine their technical acceptance. The Contracting Officer’s Technical Representative will respond within 30 days from receipt of any contract deliverable indicating if final acceptance has been granted. If deficiencies in the Contractor’s deliverables are identified the Contracting Officer’s Technical Representative shall provide feedback to the Contractor prior to the 30-day timeframe for final acceptance. If the Contractor does not receive an indication from the Contracting Officer’s Technical Representative within 60 days, the Contractor shall consider the deliverable to be accepted.

F.3 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address:

www.arnet.gov/far/fac/html

• 52.242-15 Alternate I Stop Work Order-Alternate http://www.arnet.gov/far/fac/html

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 ACCOUNTING & APPROPRIATION DATA

The following accounting & appropriation data are applicable to the funding of this contract:

Requisition Number: TBD Appropriation Number: TBD CAN: Object Class: TBD Amount: TBD

G.2 PAYMENTS - INVOICES (Firm Fixed Price Contracts (OCT 2015)

a. GENERAL: The Contractor shall submit to the Government an invoice for payment in accordance with the instructions below.

b. METHOD OF PAYMENT: CMS shall only make an electronic payment of invoices in accordance with FAR 52.232-33, Payments by Electronic Funds Transfer – System for Award Management.

In order to receive payments, the contractor shall register in the System for Award Management (SAM) database, in accordance with FAR 52.204-7, System for Award Management.

ADDRESS CHANGES: The contractor shall notify CMS’ Division of Accounting Operations of all banking and address changes in SAM via the following email address:

CCRChanges@cms.hhs.gov.

c. CONTENT OF INVOICE - Invoices shall include, at a minimum:

• Contractor’s name and address;

• Contractor’s Tax Identification Number (TIN);

• Contractor’s DUNS Number;

• Invoice date;

• Invoice Number to include the designation of the Contract Payment Category Type as follows:,

• Contract Payment Category Type IA

• Contract and Order Number, as applicable;

• Contract line item number and/or Subcontract line item number;

• Description, quantity, unit of measure, unit price and extended price of the items actually delivered or services rendered;

• Shipping and payment terms;

• Terms of any discount for prompt payment offered;

• Other substantiating documentation or information as required by the contract;

• Name, title, phone number and complete mailing address of responsible official to whom payment is to be sent;

• Name, title, phone number of person to notified in the event of a defective invoice; and,

• Period of performance or delivery date of goods or services provided.

d. MAILINGS: Invoices shall be submitted as follows:

mailto:CCRChanges@cms.hhs.gov

1. ELECTRONIC MAIL: The contractor shall submit an electronic copy of the invoice to both of the following individuals:

• Contract Specialist – Erin.Sparwasser@CMS.HHS.Gov; and

• COR - Joseph.Benson@CMS.HHS.Gov.

2. REGULAR MAIL: An original hard copy shall be submitted to the address below:

Department of Health & Human Services Centers for Medicare & Medicaid Services OFM/Division of Accounting Operations P.O. Box 7520 Baltimore, MD 21207-0520

3. OVERNIGHT MAIL: If the contractor chooses to use an overnight mail carrier, the original hard copy of the invoice shall be submitted to the address below:

Department of Health & Human Services Centers for Medicare & Medicaid Services OFM/Division of Accounting Operations 7500 Security Boulevard/Mailstop: C3-11-03 Baltimore, MD 21244-1850

e. PAYMENTS: The Government shall make payment of all invoices in accordance with

• FAR 52.232-1 Payments, and

• FAR 52.212-4 Contract Terms and Conditions – Commercial Items (If applicable) upon acceptance by the Contracting Officer’s Representative (COR) in accordance with the applicable FAR Inspection and Acceptance clause and the Contracting Officer’s approval, as appropriate.

Reimbursement for invoices submitted under this contract shall be made not later than thirty

(30) calendar days after receipt of an acceptable invoice from the Contractor requested at the paying office designated above. Any discrepancies determined as a result of the audit could delay the processing of the invoice and may result in the invoice being returned to the Contractor for corrections.

f. INTEREST ON OVERDUE PAYMENT

The Prompt Payment Act, Public Law 97-177 (96 Stat.85.31 U.S.C. 1801) is applicable to payments under this contract and requires the payment of interest on payments made more than 30 calendar days after receipt of an invoice by the Division of Accounting Operations.

Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125.

mailto:Erin.Sparwasser@CMS.HHS.Gov mailto:Joseph.Benson@CMS.HHS.Gov

G.3 METHOD OF PAYMENT

A. Payment under this contract will be made by the Government by electronic funds transfer information contained in the Central Contractor Registration System, http://www.ccr.gov/ .

B. In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures; or a different method of payment, notification of such change and the required information must be received by the appropriate Government official 30 days prior to the date such change is to become effective.

C. The documents furnishing the information must be dated and contain the signature, title, and telephone number of the Contractor's official authorized to provide it, as well as the Contractor's name and contract number.

D. Any changes shall be furnished to CMS, Division of Accounting, Chief, Accounting Operations Branch, 7500 Security Boulevard, Baltimore, Maryland 21244. It is the Contractor's responsibility to furnish the changes promptly to avoid payment to erroneous addresses or bank accounts, or delays in payments otherwise properly due.

G.4 GOVERNMENT Contracting Officer’s Representative (COR) /TASK LEADERS

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

Joseph Benson, OACT, 410-786-4166.

The COR is responsible for: (1) monitoring the Contractor's technical progress, including the surveillance and assessment of performance and compliance with all substantive project objectives; (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; (5) assisting in the resolution of technical problems encountered during performance; and (6) providing technical direction in accordance with Section G.5; and, (7)reviewing of invoices/vouchers.

The Contracting Officer’s Technical Representative does not have authority to act as 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 any costs incurred during the performance of this contract; or (5) otherwise change any terms and conditions of this contract.

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

Government Task Leaders (GTLS) may assist the Contracting Officer’s Technical Representative.

The GTL(s) will not have the authority to provide technical direction in accordance with Section G-5, however, they may be responsible for: (1) monitoring the Contractor's technical progress, including the surveillance and assessment of performance and compliance with all substantive http://www.ccr.gov/ project objectives; (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; (5) assisting in the resolution of technical problems encountered during performance; and (6)reviewing of invoices/vouchers.

The Government Task Leaders for this contract are as follows:

G.5 TECHNICAL DIRECTION

Performance of the work under this contract shall be subject to the technical direction of the Contracting Officer’s Technical Representative. The term "technical direction" is defined to include, without limitation, the following:

• Directions to the Contractor which redirect the contract effort, shift work emphasis between work areas or tasks, require pursuit of certain lines of inquiry, fill in details or otherwise serve to accomplish the contractual statement of work.

• Provision of information to the Contractor which assists in the interpretation of drawings, specifications, or technical portions of the work description.

• Review and, where required by the contract, approval of technical reports, drawings, specifications, and technical information to be delivered by the Contractor to the Government under the contract.

Technical direction must be within the general Scope of Work stated in the contract. The Contracting Officer’s Technical Representative does not have the authority to and may not issue any technical directions which:

Constitutes an assignment of additional work outside the general Scope of Work of the contract.

Constitutes a change as defined in the contract clause entitled "Changes - Cost Reimbursement."

In any manner, cause an increase or decrease in the total estimated contract cost, fixed-fee, or the time required for contract performance.

Change any of the expressed terms, conditions, or specifications of the contract.

All technical direction shall be issued in writing by the Contracting Officer’s Technical Representative or shall be confirmed by him/her in writing within 5 working days after issuance.

The Contractor shall proceed promptly with the performance of technical direction duly issued by the Contracting Officer’s Technical Representative in the manner prescribed by this article and within his/her authority under the provisions of this article.

If, in the opinion of the Contractor, any instruction or direction issued by the Contracting Officer’s Technical Representative is within one of the categories as defined in (l) through (4) above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within

5 working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract, accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in his/her opinion, the technical direction is within the scope of this contract. The Contractor shall thereupon proceed immediately with the instructions or direction or upon the contract action to be taken with respect thereto and shall be subject to the provision of the contract clause entitled "Disputes."

G.6 CONTRACTOR PROJECT DIRECTOR

___TDB__ will serve as Project Director. It will be his/her responsibility to obtain the staff necessary and to direct the work for the conduct of this project. The Government reserves the right to approve any necessary successor to be designated as Project Director.

G.7 KEY PERSONNEL

The point of contact for this award is TBD . He/She shall be responsible for all staff employed under this contract.

___TBD__ shall be responsible for all work performed under this contract and shall be held accountable for the outcomes of the contract and the resolution of obstacles to achieving the outcomes necessary for success under this contract.

Other key personnel are identified as follows and, as such, are covered under the HHSAR clauses provided in full text as follows:

HHSAR 352.237-75 Key Personnel (December 18, 2015)

The personnel specified in this contract are considered to be essential to the work being performed hereunder. Prior to diverting any of the specified individuals to other programs, the Contractor shall notify the Contracting Officer reasonably in advance and shall submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the program. No diversion shall be made by the Contractor without the written consent of the Contracting Officer.

Listing of key personnel: TBD

G.8 SUBCONTRACT CONSENT

To facilitate the review of a proposed subcontract by the COR and the Contracting Officer, the Contractor shall submit the information required by the FAR clause 52.244-2 entitled, SUBCONTRACTS, to the COR who shall in turn forward the information with his/her recommendation to the Contracting Officer. The Contracting Officer shall review the request for subcontract approval and the COR’s recommendation and advise the Contractor of his/her decision to consent to or dissent from the proposed subcontract, in writing.

Consent is hereby granted to: TBD

G.9 USE OF GOVERNMENT - DATA (REPORTS/FILES/COMPUTER TAPES OR DISCS)

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

Upon the request of the Contracting Officer, or the expiration date of this contract, whichever shall come first, the Contractor shall return or destroy all data given to the Contractor by the Government. However, the Contracting Officer may direct that the data be retained by the Contractor for a specific period of time, which period shall be subject to agreement by the Contractor. Whether the data are to be returned, retained, or destroyed shall be the decision of the Contracting Officer with the exception that the Contractor may refuse to retain the data.

The Contractor shall retain no data, copies of data, or parts thereof, in any form, when the Contracting Officer directs that the data be returned or destroyed. If the data are to be destroyed, the Contractor shall directly furnish evidence of such destruction in a form the Contracting Officer shall determine is adequate.

G.10 DATA TO BE DELIVERED

Any working papers, interim reports, data given by the government or first produced by the Contractor under the contract or collected or otherwise obtained by the Contractor under the contract, or results obtained or developed by the Contractor (subcontractor or consultants) pursuant to the fulfillment of this contract are to be delivered, documented, and formatted as directed by the Contracting Officer.

In addition, information and/or data, which are held by the Contractor related to the operation of their business and/or institution and which are obtained without the use of Federal funds, shall be considered "PROPRIETARY DATA" and are not "subject data" to be delivered under this contract.

G.11 DISSEMINATION, PUBLICATION AND DISTRIBUTION OF INFORMATION

A. Data and information either provided to the Contractor, or to any subcontractor or generated by activities under this contract or derived from research or studies supported by this contract, shall be used only for the purposes of the contract. It shall not be duplicated, used or disclosed for any purpose other than the fulfillment of the requirements set forth in this contract. This restriction does not limit the contractor's right to use data or information obtained from a non-restrictive source. Any questions concerning "privileged information" shall be referred to the Contracting Officer.

B. Some data or information may require special consideration with regard to the timing of its disclosure so that preliminary findings which could create erroneous conclusions are not stimulated. Also, some data or information, which relate to policy matters under consideration by the Government, may also require special consideration with regard to the timing of its disclosure so that the open and vigorous debate, within the government, of possible policy options is not damaged.

C. Any questions about use or release of the data or information or handling of material under this contract shall be referred to the Contracting Officer who must render a written determination. The Contracting Officer's determinations will reflect the results of internal coordination with appropriate program and legal officials.

D. Written advance notice of at least forty-five (45) days shall be provided to the Contracting Officer of the Contractor's desire to release findings of studies or research or data or information described above. If the Contractor disagrees with the Contracting Officer's determination, and if this disagreement cannot be settled by the Contractor and the Contracting Officer in a mutually satisfactory manner, then the issue will be settled pursuant to the "Disputes" clause.

E. Any presentation of any report, statistical or analytical material based on information obtained from this contract shall be subject to review by the Contracting Officer’s Technical Representative before dissemination, publication, or distribution. Presentation includes, but is not limited to, papers, articles, professional publications, speeches, testimony or interviews with public print or broadcast media. This does not apply to information that would be available under the Federal Freedom of Information Act.

F. The Contracting Officer’s Technical Representative review shall cover accuracy, content, manner of presentation of the information, and also the protection of the privacy of individuals.

If the review finds that the Privacy Act is or may be violated, the release/use of the presentation shall be denied until the offending material is removed or until the Contracting Officer makes a formal determination, in writing, that the privacy of individuals is not being violated.

G. If the review shows that the accuracy, content, or manner of presentation is not correct or is inappropriate in the light of the purpose of the project, the Contracting Officer’s Technical Representative shall immediately inform the Contractor, in writing, of the nature of the problem. If the Contractor disagrees, the Contracting Officer’s Technical Representative may insist that the presentation contain, in a manner of equal importance, materials which show the government's problem with the presentation.

H. The Contractor agrees to acknowledge support by CMS whenever reports of projects funding, in whole or in part, by this contract are published in any medium. The Contractor shall include in any publication resulting from work under this contract, an acknowledgement substantially, as follows:

"The analyses upon which this publication is based were performed under Contract Number [ ], entitled, "[ ]," sponsored by the Health Care Financing Administration, Department of Health and Human Services."

Any deviation from the above legend shall be approved, in writing, by the Contracting Officer.

G.12 REPRESENTATIONS AND CERTIFICATIONS

The Contractor’s Representations and Certifications provided in response to Section K of the Request for Proposal are incorporated at G.13 by reference.

G.13 PAST PERFORMANCE REGISTRATION

a. General:

In accordance with Federal Acquisition Regulation (FAR) 42.15, Contractor Performance Information, past performance evaluations shall be prepared at least annually and at the time the work under a contract or order is completed. Additional interim performance evaluations may be prepared at Contracting Officer discretion, as necessary.

CMS will utilize the Contractor Performance Assessment Reporting System (CPARS), the Governmentwide evaluation reporting tool for all past performance reports on contracts and orders, as appropriate. CPARS is a secure Internet website located at https://www.cpars.gov.

b. CPARS Process:

1. CPARS Training: Contractors may obtain CPARS training material and register for on-line training https://www.cpars.gov.

2. Post-Award Contract Registration: CMS is responsible for registering the contract in

CPARS within 30 calendar days of contract award. The Contractor shall:

i. Designate at least one (1) point of contact that will be responsible for serving as the

Contractor’s Representative (CR). Additional CRs may also be identified; and,

ii. Provide the CMS Contract Specialist with the name(s) and email address(es) of the

CPARS point(s) of contact.

Once CMS registers the contract in CPARS, the CR(s) will receive an automated CPARS email message that contains User IDs and instructions for creating a password for future past performance evaluation processing.

3. Interim, Annual and Final Past Performance Evaluation Reports:

a. Issuing the Evaluation: Once the CMS Assessing Official (AO) issues an evaluation to the

Contractor in CPARS, the CR(s) will receive an email instructing them to login to CPARS to review the evaluation.

b. Contractor Comments: The CR has the option to provide comments on the evaluation, indicate if they concur or do not concur with the evaluation, sign, and then return the evaluation to the AO. The CR has a total of 60 days following the AO’s evaluation signature date to submit comments. If the CR submits comments within the first 14 days following the AO’s signature date and the AO closes the evaluation, the evaluation will become available in Past Performance Information Retrieval System - Report Card (PPIRS-RC) within 1 day.

On day 15 following the AO’s evaluation signature date, the evaluation will become available in PPIRS-RC with or without CR comments and whether or not it has been closed by the AO. If no CR comments have been sent and the evaluation has not been closed, it will be marked as “Pending” in PPIRS-RC.

If the CR sends comments at any time prior to 61 days following the AO’s evaluation signature date, those comments will be reflected in PPIRS-RC within 1 day. On day 61 following the AO’s evaluation signature date, the CR will be “locked out” of the evaluation and may no longer send comments.

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 ADP SYSTEMS SECURITY REQUIREMENTS

In the performance of this contract, the Contractor agrees to comply with the ADP systems security requirements of the Office of Management and Budget (OMB) Circular A-130, "Management of Federal Information Resources", and with the ADP systems security policy of DHHS as outlined in Part 6 of the HHS ADP Systems Manual and in CMS's AIS Guide. The Contractor shall include this requirement in any subcontract awarded under this prime contract

H.2 352.224-7 CONFIDENTIALITY OF INFORMATION (APR 1984)

Confidentiality of Information

(a) Confidential information, as used in this clause, means information or data of a personal nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization.

(b) The Contracting Officer and the Contractor may, by mutual consent, identify elsewhere in this contract specific information and/or categories of information which the Government will furnish to the Contractor or that the Contractor is expected to generate which is confidential.

Similarly, the Contracting Officer and the Contractor may, by mutual consent, identify such confidential information from time to time during the performance of the contract. Failure to agree will be settled pursuant to the "Disputes" clause.

(c) If it is established elsewhere in this contract that information to be utilized under this contract, or a portion thereof, is subject to the Privacy Act, the Contractor will follow the rules and procedures of disclosure set forth in the Privacy Act of 1974, 5 U.S.C. 552a, and implementing regulations and policies, with respect to systems of records determined to be subject to the Privacy Act.

(d) Confidential information, as defined in paragraph (a) of this clause, that is information or data of a personal nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization, shall not be disclosed without the prior written consent of the individual, institution, or organization.

(e) Whenever the Contractor is uncertain with regard to the proper handling of material under the contract, or if the material in question is subject to the Privacy Act or is confidential information subject to the provisions of this clause, the Contractor should obtain a written determination from the Contracting Officer prior to any release, disclosure, dissemination, or publication.

(f) Contracting Officer’s determinations will reflect the result of internal coordination with appropriate program and legal officials.

(g) The provisions of paragraph (d) of this clause shall not apply when the information is subject to conflicting or overlapping provisions in other Federal, State or local laws.

(End of clause)

H.3 - BUSINESS ETHICS, CONFLICT OF INTEREST AND COMPLIANCE

(DEC 2015)

a. General: It is imperative that the Contractor and the services provided under this contract be free, to the greatest extent possible, of all Organizational and Personal Conflicts of Interest. In this clause, all references to Organizational and/or Personal Conflicts of Interests will be referred to individually or collectively, as the text justifies, as Conflicts of Interest (COI). Except as provided below, the Contracting Officer shall not maintain a contract with a Contractor that the Contracting Officer determines has, or has the potential for, an unresolved COI. However, in accordance with FAR 9.503 Waiver, the Contracting Officer may contract with a Contractor that has an unresolved COI if the Contracting Officer determines that it is in the best interest of the Government to do so.

b. Definitions:

Actual COI– means that the COI is currently in existence as determined by the Offeror’s or Contractor’s Compliance Officer and/or as determined by CMS. This form of COI will require avoidance, neutralization or mitigation acceptable to CMS.

Affiliates – As defined in FAR 2.101 means associated business concerns or individual(s) if, directly or indirectly either one controls or can control the other; or a third party controls or can control both.

For purposes of this contract, affiliate control or influence may include, but is not limited to:

(a) Interlocking management or ownership (e.g., individuals serving in similar capacities in several companies);

(b) Identity of interests among family members such as spouse/domestic partner and/or any dependent of the respondent;

(c) Shared facilities and equipment;

(d) Common use of employees; or

(e) A business concern organized just prior to, or immediately following, the release of a solicitation or request for information, which has the same or similar management, ownership, or principal employees as the offeror or Contractor.

Any business, whether or not it is organized for profit or located in the United States or its outlying areas, or person may be found to be an affiliate. Control may be affirmative or negative and it is immaterial whether it is exercised so long as the power to control exists.

Apparent (Perceived) COI – means that the COI on first observation appears to be an actual or potential COI, but may or may not be after analysis. Even if the apparent COI is determined to be non-existent, this perception may still require further explanation.

Avoidance – means Government action taken in one acquisition that is intended to prevent a COI in that acquisition or in a future action. Methods of avoiding COIs include, but are not limited to:

• Drafting the statement of work (SOW) to exclude tasks that require

Contractors to utilize subjective judgment; or

• Obtaining advice from more than one source on any issue on which there are concerns about an COI so that there is no area in which the Government is relying solely on the advice of any one of the sources; or

• Excluding an offeror from participation in a contract award.

Financial Interests/Relationships – means a healthcare related direct or indirect ownership or investment interest (including an option or non-vested interest) in any entity that exists through equity, debt, or other means and includes any indirect ownership or investment interest no matter how many levels removed from a direct interest.

A financial interest/relationship may arise from the following non-exclusive examples:

(a) Compensation, including wages, salaries, commissions, professional fees, or fees for business referrals;

(b) Current or known future arrangements or requirements for which you are defined as an interested party, including, but not limited to, an entity that may create one or more of the three forms of COI;

(c) Consulting relationships, including commercial and professional consulting and service arrangements, scientific and technical advisory board memberships, or serving as an expert witness in litigation;

(d) Services provided in exchange for honorariums including travel expense reimbursements;

(e) Research funding or other forms of research support;

(f) Healthcare related investment in the form of stock or bond ownership, including healthcare sector investment only mutual funds;

(g) Healthcare business ownership or partnership interests;

(h) Patents, copyrights, and other intellectual property interests;

(i) Seeking or negotiating for prospective employment or business; or

(j) Gifts, including travel.

Mitigation– means action taken by the Contractor to reduce the COI risk to a level acceptable to CMS on a present contract.

Neutralization – means excluding or restricting a Contractor from offering, as a prime or subcontractor, on future contracts while allowing the Contractor to perform on the instant contract. This method protects the Government’s interests in cases where the Contractor’s work on the instant contract could be biased or impaired by virtue of its expectation of future work, or when the Contractor would have an unfair advantage in competing for award of the future work.

Organizational Conflict of Interest – In accordance with FAR 2.101 Definitions, means that because of other activities or relationships with other persons, a person is unable, or potentially unable, to render impartial assistance or advice to the Government, or the person’s objectivity in performing the contract work is, or might be, otherwise impaired, or a person has an unfair competitive advantage.

For purposes of this contract, the conflict of interest definition includes direct or indirect relationships including, but not limited to, the Contractor and its parent company, subsidiaries, affiliates, subcontractors, clients and principals.

Personal Conflicts of Interest – A situation in which a person has a financial interest, personal activity, or relationship that could impair the person’s ability to act impartially and in the best interest of the Government when performing under this contract.

(a) Among the sources of personal conflicts of interest are—

(i) Financial interests of the person, spouse/domestic partner and/or any other dependent of the person, as defined for Federal tax purposes;

(ii) Other employment or financial relationships (including seeking or negotiating for prospective employment or business) and,

(iii) Gifts, including travel.

(b) For example, financial interests referred to in paragraph (a)(i) of this definition may arise from—

(i) Compensation, including wages, salaries, commissions, professional fees, or fees for business referrals;

(ii) Consulting relationships;

(iii) Services provided in exchange for honoraria or travel expense reimbursements;

(iv) Research funding or other forms of research support;

(v) Healthcare related investments;

(vi) Real estate investments;

(vii) Patents, copyrights, and other intellectual property interests; or

(viii) Business ownership and investment interests.

Potential COI – means that the COI could become an actual COI due to contingency events and/or as determined by CMS. This form of COI will require avoidance, neutralization or mitigation acceptable to CMS.

Principal – As defined in FAR 52.203-13, Contractor Code of Business Ethics and Conduct, means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager, plant manager, head of a division or business segment, and similar positions).

Three (3) Types of COIs include:

Conflict Types Definitions

Biased Ground Rules

Consists of situations in which a firm, as part of its performance of a Government contract, has helped (or is in a position to help) set the ground rules for another Government contract by, for example, writing the statement of work or the specifications, or establishing source-selection criteria. In these “biased ground rules” cases, the primary concern is that the firm could skew the competition, whether intentionally or not, in favor of itself and/or its affiliates.

Impaired Objectivity

Consists of situations where a firm has an interest (typically financial) that may conflict with the interest of the Government to whom the firm has a contractual obligation, and the firm’s work under the Government contract could give the firm the opportunity to benefit its other business interests. If the firm is providing recommendations, judgment or advice, and its other business interests could be affected by that recommendation, judgment or advice, the firm’s objectivity may be impaired. An example is where the firm was evaluating itself, an affiliate or a competitor, either through an assessment of performance under another contract or an evaluation of proposals.

Unequal Access to Information

“Unfair” access to non-public information – Consists of situations in which a firm has access to nonpublic information (including proprietary information and non-public source-selection information) as part of its performance of a Government contract and that information may provide the firm with a competitive advantage in a later competition for a Government contract. In these “unequal access to information” cases, the concern is limited to the risk of the firm gaining an unfair competitive advantage; there is no issue of bias. Note: Incumbency alone does not constitute “unequal access to information.”

c. Significant Potential Conflict of Interest: The Contracting Officer has determined that this contract may involve significant potential COIs.

1. Nature of Potential Conflict: Although not all inclusive, the Contracting Officer has determined that the following activities are considered to be an actual, potential or apparent COI with the work to be performed under this contract. The Contractor shall promptly notify the Contracting Officer of any relationships with any of the following entities:

For the purpose of identifying entities with actual, potential or apparent COIs, at a minimum, the entity is one that-

(a) Would review or does review, under the contract, Medicare and/or Medicaid services furnished by a provider or supplier that is a direct competitor of the Contractor; or

(b) Prepared work or is under contract to prepare work that would be reviewed under the contract; or

(c) Is affiliated or has a financial relationship, as these terms are explained above, with an entity to be reviewed under the contract.

2. Proposed Restraint on Future Contractor Activities: CMS is proposing to restrain future Contractor activities as follows:

d. Contractor Business Ethics, Conflict of Interest and Compliance Program Requirements: FAR

3.10 and FAR 52.203-13, Contractor Code of Business Ethics and Conduct, identify “…policies and procedures for establishment of Contractor codes of business ethics and conduct, and display of agency Office of Inspector General (OIG) hotline posters.” (See Section I, FAR 52.203- 14 fill-in information for the website where you can find the HHS OIG fraud hotline poster).

The following chart is provided to clarify requirements under this contract:

FAR 52.203-13 Requirements Applicability (X = Applicable)

Contracts < $5 Million

Contracts ≥$5 Million with a Small Business

OR for Commercial

Items (as Defined in FAR

2.101)

Contracts ≥$5 Million with a Large Business

(No Commercial Item Contracts)

CMS COI DISCLOSURES X X X

PLAN FOR

MONITORING/REPORTING COIs (Large Businesses Shall Incorporate COI Monitoring/Reporting as Part of Its Compliance Program) X X X

CODE OF CONDUCT Not Required X X COMPLIANCE PROGRAM Not Required Not Required X

1. COI Oversight Program: The Contractor shall maintain an effective COI Oversight Program.

As part of the program, the contractor shall implement company business…