RAND Contract 75D30121C11807.pdf

10. SUBMIT INVOICES

(4 copies unless other-wise specified) TO THE

ADDRESS SHOWN IN:

AWARD/CONTRACT 1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR 700)

RATING

PAGE OF PAGES

1 27

2. CONTRACT (Procurement, Instruction, Identification) NUMBER 75D30121C11807

3. EFFECTIVE DATE

09/13/2021

4. REQUISITION/PURCHASE REQUEST/PROJECT NUMBER

00HCBCD1-2021-60011

5. ISSUED BY CODE 8219 6. ADMINISTERED BY (If other than Item 5) CODE Centers for Disease Control and Prevention (CDC) Office of Acquisition Services (OAS) 2900 Woodcock Blvd, MS TCU-4 Atlanta, GA 30341-4004

7. NAME AND ADDRESS OF CONTRACTOR (Number, Street, County, State and ZIP Code)

RAND CORPORATION, THE

1776 MAIN ST

SANTA MONICA, CA 90401-3297

8. DELIVERY

FOB ORIGIN X OTHER (See below)

9. DISCOUNT FOR PROMPT PAYMENT

Net 30

CODE 006914071 FACILITY CODE

11. SHIP TO/MARK FOR CODE 12. PAYMENT WILL BE MADE BY CODE 434

Centers for Disease Control and Prevention (FMO)

PO Box 15580 404-718-8100

Atlanta, GA 30333-0080

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

10 U.S.C. 2304(c)( ) X 41 U.S.C. 3304(a)(1)

14. ACCOUNTING AND APPROPRIATION DATA

921ZBSQ 2513 2021 75-21-0956 5623131101

15A. ITEM NUMBER 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE 15F. AMOUNT

“See Section B”

15G. TOTAL AMOUNT OF CONTRACT $ 809,827.00

16. TABLE OF CONTENTS

(X) SECTION DESCRIPTION PAGE(S) (X) SECTION DESCRIPTION PAGE(S)

PART I – THE SCHEDULE PART II – CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1 X I CONTRACT CLAUSES 24

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

X C DESCRIPTION/SPECS./WORK STATEMENT 3 J LIST OF ATTACHMENTS

X D PACKAGING AND MARKING 7 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 8

K REPRESENTATIONS, CERTIFICATIONS AND

OTHER STATEMENTS OF OFFERORS

X F DELIVERIES OR PERFORMANCE 9

X G CONTRACT ADMINISTRATION DATA 10 L INSTRUCTIONS, CONDITIONS, AND NOTICES TO

OFFERORS

X H SPECIAL CONTRACT REQUIREMENTS 14 M EVALUATION FACTORS FOR AWARD

CONTRACTING OFFICER WILL COMPLETE ITEM 17 (SEALED-BID OR NEGOTIATED PROCUREMENT) OR 18 (SEALED-BID PROCUREMENT) AS APPLICABLE

17. X CONTRACTOR’S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 1 copies to issuing office.)

Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.)

18. SEALED-BID AWARD (Contractor is not required to sign this document.)

Your bid on Solicitation Number 75D301-21-R-71983 including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the terms listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your bid, and (b) this award/contract. No further contractual document is necessary. (Block 18 should be checked only when awarding a sealed-bid contract.)

19A. NAME AND TITLE OF SIGNER (Type or print)

20A. NAME OF CONTRACTING OFFICER

Michael Crow

19B. NAME OF CONTRACTOR

BY __________________________________________

(Signature of person authorized to sign)

19C. DATE SIGNED 20B. UNITED STATES OF AMERICA

BY ___________________________________________

(Signature of Contracting Officer)

20C. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 26 (REV. 3/2013)

Previous edition is NOT usable Prescribed by GSA - FAR (48 CFR) 53.214(a)

ITEM

DocuSign Envelope ID: DDC05582-6C0C-417F-AE3C-AD099AD85B25

10-Sep-2021

Linda Duffy

75D30121C11807

Section B - Supplies Or Services and Prices/Costs

ITEM SUPPLIES / SERVICES QTY / UNIT UNIT PRICE EXTENDED PRICE

0001 Strengthening Public Health Incident Management Through Continuous Quality Improvement:

This is a Non-Severable, Firm Fixed Price Line Item.

Period of Performance: 09/26/2021 – 09/25/2023

1 Job $809,827.00 $809,827.00

Line(s) Of Accounting:

921ZBSQ 2513 2021 75-21-0956 5623131101

$809,827.00

B.1 Points of Contact

Vendor: Gary Chee Tele: (310) 393-0411 ext. 6791 Email: gchee@rand.org

CDC: Holly Fisher Tele: (404) 285-7841 Email: hkh3@cdc.gov

Contract Specialist: Michael Crow Tele: (770) 488-3208 Email: wyv2@cdc.gov

B.2 Schedule of Milestones for Performance-based Payments

The following schedule in conjunction with the following payment schedule provides the milestones necessary to receive performance-based payments for CLIN 0001. The determination of eligibility for receipt of payment will be made by the Contracting Officer upon written certifications from the COR that the milestone has been met.

Milestone Payment Amount Quarterly Report - December 31, 2021 $101,699.00 Quarterly Report - March 31, 2022 $101,699.00 Quarterly Report - June 30, 2022 $101,699.00 Quarterly Report - September 25, 2022 $101,699.00 Quarterly Report - December 31, 2022 $101,699.00 Quarterly Report - March 31, 2023 $101,699.00 Quarterly Report - June 30, 2023 $101,699.00 Final Report and all Interim and Final Deliverables Received and Accepted by CDC

- September 25, 2023

$97,934.00

TOTAL $809,827.00

mailto:gchee@rand.org mailto:hkh3@cdc.gov mailto:wyv2@cdc.gov

Section C - Description/Specification/Work Statement

Title: Strengthening Public Health Incident Management Through Continuous Quality Improvement

C.1. Background and Need

Response to health-related incidents (including emergencies/disasters) requires efficient and effective operations to minimize negative impact on people and property. Such operations often include multiple organizations (e.g., health departments, emergency managers, hospitals) and/or jurisdictions. Incident management requires coordination and communication across all relevant response partners. The National Incident Management System (NIMS) provides a template for managing incidents; it is intended to fill a vital need to ensure efficient and effective incident management across different incident types, locations, and settings. The Homeland Security Act of 2002 (Pub.L.107-296,116 Stat.2135) requires all Federal departments and agencies to adopt NIMS;

governmental and non-governmental agencies must do so in order to access federal funds. However, there is limited evidence on where, how, and under what conditions NIMS has been applied. At least in part, this is because there are no measures to systematically assess the performance and effectiveness of incident management in health-related incidents.

Despite the attention paid to the formal policies and structures associated with incident management such as NIMS, the literature and scientific evidence to support the use of incident management processes and activities is somewhat scattered across disciplines such as sociology (Bigley and Roberts, 2001), public administration (Berthod et al., 2017; Nowell et al., 2018), and emergency management (Gryth et al., 2010; Jensen and Thompson, 2016). The organizational processes that NIMS and other incident management systems seek to support have not been systematically assessed and synthesized into a coherent framework that captures the core tenets of public health incident management. This lack of attention to how emergency managers translate incident management principles and processes when responding to an actual emergency has hindered the development of measures of effectiveness and performance, which are critical to further develop the evidence base underlying incident management. COVID-19’s impact has underscored the importance of effective incident management and continuous quality improvement at public health agencies in the U.S. and all over the world.

Through the Incident Management Systems (IMS) Measures Project, Contract# 75D301-18-C-03556, The RAND Corporation developed draft metrics for assessing efficiency/effectiveness of important elements of emergency response operations. In the first phase of the project, a conceptual framework was developed that can be used as an initial basis for understanding incident management systems and, ultimately, improving how we measure performance and effectiveness of the management of public health-related incidents. This framework is comprised of twenty-three measurement constructs (e.g. related to situation awareness, resource management and mobilization, incident action and implementation planning) and is based on findings in the scientific literature, best practices in the field, and input from emergency/incident management subject matter experts from state/local/federal government agencies and academia. Based on this information, a draft set of IMS metrics were developed and reviewed by the same subject matter experts and RAND is currently recruiting approximately 10 health departments to participate in pilot testing during COVID response efforts. RAND also developed a user toolkit (includes protocols for data collection) to support implementation of the metrics at health departments.

The new project will continue the work begun through the IMS Measures Project and will address two questions:

1) to what extent are these measures feasible for use during COVID and other public health emergencies, and 2) in which response contexts are the measures most useful (e.g. are there specific response or health department characteristics, such as jurisdiction size or geographic setting, in which the metrics support continuous quality improvement than others).

C.2. Project Objective

The objective of this contract is to test a set of valid, feasible, and useful measures for evaluating performance and effectiveness of incident management throughout response operations in COVID and other health-related incidents. These measures aim to facilitate improvements in incident management at all levels across a variety of different state, local, territorial, and tribal health departments across the country.

C.3. Scope of Work

The contractor shall test the feasibility of previously developed metrics by pilot testing them in approximately 20 state, local, tribal, or territorial (SLTT) health department sites. A “site” is defined as a STLT health department where multiple health department staff participate in piloting of the metrics (and shall not be defined as a single subject matter expert at a health department conducting a desktop review of pilot materials). The contractor shall test and validate measures in both COVID and non-COVID events where feasible to assess applicability across hazard types. The contractor shall continually use pilot testing findings to refine the metrics. The contractor shall develop and revise data collection protocols for implementation with CDC and its state, local, territorial, and tribal health department counterparts. The sampling strategy shall include recruiting subject matter experts who provided input or participated in piloting during the IMS Measures Project, as well as health departments representing a variety of SLTT agencies, geographic areas recommended by CDC’s Division of State and Local Readiness. The primary focus shall be on use of incident management metrics in the COVID response, but non-COVID response contexts deemed suitable for testing shall also be included (e.g. emergencies involving other types of infectious disease outbreaks, natural disaster emergencies). Given the uncertain nature of the COVID pandemic during the period of performance (and the extent to which health department staff will be able to participate at specific time points), the order in which pilot testing for specific response event types shall not be prescribed in advance. COVID pilot testing shall take place at any time during the period of performance, and non-COVID pilot testing shall take place at any time as well (assuming appropriate OMB/PRA approvals are in place).

The contractor shall also assess inter-rater reliability and construct validity of the measures, data collection instruments, and protocols, and shall be responsible for all pilot data analysis. Data shall be collected via survey and desk review of response-related documents by IMS response staff at the health departments and peer assessors (individuals not directly involved with the specific response operations). Pilot data shall be reported by participating agencies to the contractor via an electronic tool developed by the contractor. The contractor shall not use the data to assess response efforts at these agencies (although participants may use their own data to identify areas for improvement, if desired). CDC shall receive de-identified pilot data and summary reports prepared by the contractor throughout the contract period. CDC will not have access to the electronic tool developed by the contractor. The contractor shall be responsible for completing all OMB/PRA paperwork needed to get approval for data collection activities.

The contractor shall seek input routinely from participating health departments and subject matter experts from other health departments and academia on the applicability, validity (logical meaning), feasibility, and usefulness of the proposed measures, instruments, and protocols throughout the project. The contractor shall draw from the stakeholder inputs to refine tested materials throughout the project. The final deliverables shall include final measures, final data collection protocols, final de-identified data, a final data dictionary or codebook, a final summary report, and at least one draft article for journal publication, to be co-authored with CDC counterparts.

C.4. Technical Requirements and Tasks to be Performed:

The contractor shall carry out the project through two (2) tasks as outlined below to complete pilot testing of IMS measures at approximately 20 health departments. Interim and final deliverables are listed at the table in Section F.4.

Task 1. Test Pilot Measures:

TASK 1 - Continue to pilot measures TASK 2 – Develop and disseminate outputs

OMB package (submitted) OMB package (submitted) Testing with ~10 sites Testing with ~10 sites OMB clearance OMB clearance Testing with ~10 sites Testing with ~10 sites Analysis of site data Analysis of site data

Final report Final briefing Draft paper(s) for journal publication

Seven of the project’s 3-month quarters shall focus on continuing to pilot the Contractor’s draft set of measures. Activities under this task shall include recruitment of approximately 20 health departments and testing at these 20 sites, including supporting site partners in using measures, performing user experience interviews and surveys, and analyzing measurement and user experience data. Desk reviews by subject matter experts shall not be counted as “sites.” Measures designed by the Contractor shall be valid, reliable, useful, and easy to use for any public health emergency, and shall cover the broad spectrum of hazards that can lead to public health emergencies, including COVID, natural hazards like earthquakes and wildfires, technological hazards such as oil spills, and mass casualty events.

In the first year (i.e., 3 quarters) of the project, the Contractor shall focus on piloting its measures in 10 state and local health departments. If possible, the Contractor shall seek to focus early pilot tests on sites responding to the ongoing COVID-19 pandemic in order that the first year’s pilot sites are covered by the existing OMB approval and to allow time to pursue an updated OMB approval that covers a wider range of incidents. The Contractor shall use the piloting process developed in the earlier Incident Management Systems (IMS): Promising Measures of Performance and Effectiveness project upon which this contract expands. The purpose of these pilots shall be to continue to test the draft measures’ validity, reliability, utility, and feasibility (i.e., ease of use) in order to inform adjustments to the measures.

The Contractor shall use the same sampling strategy for selecting health departments responding to these hazards as it did for the selecting COVID health departments. The Contractor shall seek OMB clearance to test the measures in non-COVID sites or other sites for which a Paperwork Reductions Act (PRA) waiver is not in effect. The Contractor shall use its best efforts to develop and submit its OMB package for expedited clearance within the first two months of the contract.

Data analysis shall be conducted on an ongoing basis as more pilot sites are recruited and data collected. In addition, the Contractor shall conduct within and across site analysis for each version of the measures and use results to update its measures once the Contractor has enough evidence to suggest areas for improvement (Task 2).

Task 2. Develop and Disseminate Outputs:

During Q4, the Contractor shall begin the process of developing interim outputs for dissemination.

Outputs shall include (a) a summary of COVID-related sites, (b) a summary of non-COVID sites, (c) de-identified pilot data and a list of refined measures, and (d) a draft final report and a final set of measures (including finalized data collection protocols, final de-identified pilot data, and a final data dictionary or codebook). The Contractor shall use these to support the development of final outputs, which shall include a final briefing, a final report, and draft papers for journal publication. The first three of these outputs (the COVID summary of pilot testing, the non-COVID summary of pilot testing, and the draft report), shall be designed to advance the project and are internal to the project team and CDC. The remainder of these outputs (the final set of measures and associated products, final report, final briefing, and draft paper(s) for journal publication) shall be public outputs designed for policymakers, researchers, practitioners, and the broader stakeholder community. They represent final deliverables for the project.

The Contractor shall develop and disseminate these outputs based on the site data collected during Task 1, coupled with guidance from CDC. The data collected shall inform all aspects of the development and dissemination process, from the structure and content of the outputs themselves to the specific processes that the Contractor must undertake for dissemination.

C.5. Reporting Schedule

The contractor shall provide monthly progress reports detailing tangible accomplishments and progress towards benchmarks, milestones, and production of deliverables. The reports shall also identify key risks and challenges (and potential solutions) to successful completion of specific deliverables or the overall project. The contractor shall work with the Contracting Officer’s Representative (COR) to agree on the format of such reports. Either as part of the monthly progress report or the billing invoice, the contractor shall provide a brief summary of work undertaken/completed by each person performing work during the invoiced period. Finally, the contractor shall work with the COR to develop a mutually agreed upon plan for communicating with the COR and/or other staff, including frequency of such communications, as determined by COR, and shall adhere to that plan.

C.6. Government Furnished Property

The Contractor will not require any government-furnished property. The contractor shall use its own facilities and equipment to carry out all project activities.

C.7. References

References relevant to the work to be performed are as follows:

Berthod, O., Grothe-Hammer, M., Müller-Seitz, G., Raab, J. and Sydow, J. (2017) 'From high-reliability organizations to high-reliability networks: The dynamics of network governance in the face of emergency'. Journal of Public Administration Research and Theory. 27(2). pp. 352-71.

Bigley, G.A. and Roberts, K.H. (2001) 'The incident command system: High-reliability organizing for complex and volatile task environments'. Academy of Management Journal. 44(6). pp. 1281-99.

Gryth, D., Rådestad, M., Nilsson, H., Nerf, O., Svensson, L., Castrén, M., et al. (2010) 'Evaluation of medical command and control using performance indicators in a full-scale, major aircraft accident exercise'. Prehospital and disaster medicine. 25(2). pp. 118-23.

Jensen, J. and Thompson, S. (2016) 'The incident command system: a literature review'. Disasters. 40(1). pp. 158- 82.

Nowell, B., Steelman, T., Velez, A. L. K. and Yang, Z. (2018) 'The structure of effective governance of disaster response networks: Insights from the field'. Amer Rev Public Adm. 48(7). pp. 699-715.

C.8 Additional Direction Regarding Rights in Data

FAR Clause 52.227-14 Rights in Data-General (May 2014) shall be observed. Pursuant to FAR 52.227-14(d)(2), this contract expressly provides additionally as follows:

All data, deliverables and products first developed in the performance of this contract shall become and remain the property of the US Government. All material developed in the performance of this contract for publication, including derivative works, shall be identified and approved by CDC prior to initiation, and processes must follow CDC’s Authorship and Scientific Clearance Policies, as applicable, prior to submission for publication.

The CDC shall have final approval over all manuscripts and publication of reports, articles in scientific journals, derivative works and the dissemination of findings developed in the performance of this contract. Final approval shall be in writing.

All data analysis, write-up of findings, manuscripts, publication of reports, articles in scientific journals, derivative works and other findings first produced in the performance of this contract shall be the result of collaboration between the CDC and the contractor and all such products shall be co-authored by the CDC and the contractor.

Notwithstanding the foregoing, in the event any data analysis, write-up of findings, manuscripts, publication of reports, articles in scientific journals, derivative works or other findings first produced in the performance of this contract fails to be approved through CDC’s Authorship and Scientific Clearance Policies after undergoing reasonable revision efforts, the contractor may publish such product, provided that all references to CDC authorship or co-authorship shall be removed from such product.

Section D - Packaging And Marking

There are no clauses/provisions included in this section.

Section E - Inspection And Acceptance

FAR SOURCE TITLE AND DATE

52.246-4 Inspection of Services – Fixed-Price (Aug 1996)

Section F - Deliveries Or Performance

F.1 Reporting Requirements and Deliverables

The Contractor shall initiate, schedule, and conduct meetings and site visits as needed. The items specified for delivery are subject to the inspection and approval by the COR before final acceptance.

F.2 Period of Performance

The total Period of Performance for this contract shall be from 09/26/2021 – 09/25/2023.

F.3 Place(s) of Performance

All work performed in support of this contract shall take place at the contractor’s location or locations.

F.4 Project Deliverables and Schedule

Deliverable Schedule (Month) Interim Deliverables

Monthly Reports Months 1-24 OMB package (submitted) Month 2 Summary of pilot testing results to date, de-identified pilot data (Excel format), list of refined measures

Month 12

Summary of pilot testing results to date, de-identified pilot data (Excel format), list of refined measures

Month 18

Final Deliverables Draft final report

Month 22

Final set of IMS measures, final data collection protocols, final de-identified pilot data, final data dictionary or codebook (Word or Excel format)

Month 24

Final report Month 24 Draft paper(s) co-authored by The Contractor and CDC for journal publication Month 24

Section G - Contract Administration Data

G.1 CDCA_G001 – Invoice Submission (March 2021)

(a) The Contractor shall submit the original contract invoice/voucher in one of the following ways: 1) mail, 2) facsimile, 3) email:

Mailing Address:

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

Fax: 404-638-5324

Email: cpbapinv@cdc.gov

NOTE: Submit only one Invoice in PDF format per attachment.

(b) Subject Line must contain the word “Invoice” Example: Subject: Invoice SAM12345 for Contract

75D30121***********

(c) The content/details of the email must include the below information provided in the body of the email:

• Contract or PO Number:

• Invoice Number:

• Amount:

• Vendor Name:

Only one invoice can be sent to the mailbox with the above relevant details in the body (multiple invoices need to be sent in multiple emails)

(d) The contractor shall submit 2 copies of the invoice to the cognizant contracting office previously identified in this contract. These invoice copies shall be addressed to the attention of the Contracting Officer.

(e) Do not send Links, Zip Files, or .DAT files containing PDF Invoices

(f) The Contractor is , is not required to submit a copy of each invoice directly to the Contracting Officer’s Representative (COR) concurrently with submission to the Contracting Officer.

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

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

(1) Contractor’s Name & Address

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

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

(4) Invoice Number

(5) Invoice Date

(6) Contract Line Item Number and Description of Item

(7) Quantity mailto:cpbapinv@cdc.gov

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

(9) Shipping and Payment Terms

(10) Total Amount of Invoice

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

(12) Payment Address, if different from the information in (c)(1).

(13) DUNS + 4 Number

(14) Electronic funds transfer (EFT) banking info

For the status of invoices, please contact the OFR Service desk at ofrservicedesk@cdc.gov

NOTE: If your invoice has supporting documents, please combine the invoice and supporting documents as one PDF file. Do not submit the invoice and its supporting documents separately.

G.2 CDC0_G008 Contracting Officer’s Representative (COR) (Jul 2017)

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

As used herein, technical directions are directions to the Contractor which fill in details, suggests possible lines of inquiry, or otherwise completes the general scope of work set forth herein. These technical directions must be within the general scope of work and may not alter the scope of work or cause changes of such a nature as to justify an adjustment in the stated contract price/cost, or any stated limitation thereof.

In the event that the Contractor believes full implementation of any of these directions may exceed the scope of the contract, he or she shall notify the originator of the technical direction and the Contracting Officer, immediately or as soon as possible, in a letter or e-mail separate of any required report(s). No technical direction, nor its fulfillment, shall alter or abrogate the rights and obligations fixed in this contract.

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

The Government will provide the Contractor with a copy of the COR delegation memorandum upon request.

(End of Clause)

G.3 CDCP_G009 Contracting Officer (CO) (Jul 1999)

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

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

G.4 CDCP_G010 Contract Communications/Correspondence (Jul 1999)

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

G.5 CDC0_G018 Payment by Electronic Funds Transfer (Feb 2018)

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

mailto:ofrservicedesk@cdc.gov

(b) In the case that EFT information is not within the System of Award Management, FAR 52.232-34 requires mandatory submission of Contractor’s EFT information directly to the office designated in this contract to receive that information (hereafter: “designated office”); see below. The contractor shall submit the EFT information within the form titled “ACH Vendor/Miscellaneous Payment Enrollment Form” to the address indicated below. Note: The form is either attached to this contract (see Section J, List of Attachments) or may be obtained by contacting the Contracting Officer or the CDC Office of Financial Resources at 678-475-4510.

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

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

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

G.6 CDC37.0001 Non-Personal Services (Jun 2020)

(a) Personal services shall not be performed under this contract. Although the Government may provide sporadic or occasional instructions within the scope of the contract, the Contractor is responsible for control and supervision of its employees. If the Contractor (including its employees) believes any Government action or communication has been given that would create a personal services relationship between the Government and any Contractor employee, the Contractor shall promptly notify the Contracting Officer of this communication or action.

(b) The contractor shall comply with, and ensure their employees and subcontractors comply with, CDC Policy titled "Contractor Identification and Safeguarding of Non-Public Information". No Contractor employee shall hold him or herself out to be a Government employee, agent, or representative. No Contractor employee shall state orally or in writing at any time that he or she is acting on behalf of the Government. In all communications with third parties in connection with this contract, Contractor employees shall identify themselves as Contractor employees and specify the name of the company for which they work. The contractor is limited to performing the services identified in the contract statement of work and shall not interpret any communication with anyone as a permissible change in contract scope or as authorization to perform work not described in the contract. All contract changes will be incorporated by a modification signed by the Contracting Officer.

(c) The Contractor shall ensure that all of its employees and subcontractor employees working on this contract are informed of the terms and conditions herein. The Contractor agrees that this is a non-personal services contract; and that for all the purposes of the contract, the Contractor is not, nor shall it hold itself out to be an agent or partner of, or joint venture with, the Government. The Contractor shall notify its employees that they shall neither supervise nor accept supervision from Government employees. The substance of the terms herein shall be included in all subcontracts at any tier.

(d) The terms and conditions above do not limit the Government's rights under other terms of the contract, including those related to the Government's right to inspect and accept or reject the services performed under this contract.

G.7 CDC42.0002 Evaluation of Contractor Performance Utilizing CPARS (Aug 2021)

In accordance with FAR 42.15, the Centers for Disease Control and Prevention (CDC) will review and evaluate contract performance. FAR 42.1502 and 42.1503 requires agencies to prepare evaluations of contractor performance and submit them to the Contractor Performance Assessment Reporting System (CPARS). The CDC utilizes this web-based system to prepare and report contractor performance evaluations. All information contained in these assessments may be used by the Government, within the limitations of FAR 42.15, for future source selections in accordance with FAR 15.304 where past performance is an evaluation factor.

The CPARS system requires a contractor representative to be assigned so that the contractor has appropriate input into the performance evaluation process. The CPARS contractor representative will be given access to CPARS and will be given the opportunity to concur or not-concur with performance evaluations before the evaluations are complete. The CPARS contractor representative will also have the opportunity to add comments to performance evaluations.

The assessment is not subject to the Disputes clause of the contract, nor is it subject to appeal beyond the review and comment procedures described in the guides on the CPARS website. Refer to: www.cpars.gov for details and additional information related to CPARS, CPARS user access, how contract performance assessments are conducted, and how Contractors participate. Access and training for all persons responsible for the preparation and review of performance assessments is also available at the CPARS website.

The contractor must provide the CDC contracting office with the name, e-mail address, and phone number of their designated CPARS representative who will be responsible for logging into CPARS and reviewing and commenting on performance evaluations. The contractor must maintain a current representative to serve as the contractor representative in CPARS. It is the contractor’s responsibility to notify the CDC contracting office, in writing (letter or email), when their CPARS representative information needs to be changed or updated. Failure to maintain current CPARS contractor representative information will result in the loss of an opportunity to review and comment on performance evaluations.

Section H - Special Contract Requirements

H.1 CDCA_H042 Records Management Obligations (Jun 2020)

A. Applicability

The following applies to all Contractors whose employees create, work with, or otherwise handle Federal records, as defined in Section B, regardless of the medium in which the record exists.

B. Definitions

“Federal record” as defined in 44 U.S.C. § 3301, includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.

The term Federal record:

1. includes Centers for Disease Control and Prevention (CDC) records.

2. does not include personal materials.

3. applies to records created, received, or maintained by Contractors pursuant to their CDC contract.

4. may include deliverables and documentation associated with deliverables.

C. Requirements

1. Contractor shall comply with all applicable records management laws and regulations, as well as National Archives and Records Administration (NARA) records policies, including but not limited to the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33), NARA regulations at 36 CFR Chapter XII Subchapter B, and those policies associated with the safeguarding of records covered by the Privacy Act of 1974 (5 U.S.C.

552a). These policies include the preservation of all records, regardless of form or characteristics, mode of transmission, or state of completion.

2. In accordance with 36 CFR 1222.32, all data created for Government use and delivered to, or falling under the legal control of, the Government are Federal records subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act (FOIA) (5 U.S.C. 552), as amended, and the Privacy Act of 1974 (5 U.S.C. 552a), as amended and must be managed and scheduled for disposition only as permitted by statute or regulation.

3. In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for Government use or created in the course of performing the contract and/or delivered to, or under the legal control of the Government and must be managed in accordance with Federal law. Electronic records and associated metadata must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.

4. CDC and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Records may not be removed from the legal custody of CDC or destroyed except for in accordance with the provisions of the agency records schedules and with the written concurrence of the Head of the Contracting Activity. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. In the event of any unlawful or accidental removal, defacing, alteration, or destruction of records, Contractor must report to the Contracting Officer and the Contracting Officer’s Representative. The agency must report promptly to NARA in accordance with 36 CFR 1230.

5. The Contractor shall immediately notify the appropriate Contracting Officer upon discovery of any inadvertent or unauthorized disclosures of information, data, documentary materials, records or equipment.

Disclosure of non-public information is limited to authorized personnel with a need-to-know as described in the contract. The Contractor shall ensure that the appropriate personnel, administrative, technical, and physical safeguards are established to ensure the security and confidentiality of this information, data, documentary material, records and/or equipment is properly protected. The Contractor shall not remove material from Government facilities or systems, or facilities or systems operated or maintained on the Government’s behalf, without the express written permission of the Head of the Contracting Activity.

When information, data, documentary material, records and/or equipment is no longer required, it shall be returned to CDC control or the Contractor must hold it until otherwise directed. Items returned to the Government shall be hand carried, mailed, emailed, or securely electronically transmitted to the Contracting Officer or address prescribed in the contract. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

6. The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under, or relating to, contracts. The Contractor (and any sub-contractor) is required to abide by Government and CDC guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

7. The Contractor shall only use Government IT equipment for purposes specifically tied to or authorized by the contract and in accordance with CDC policy.

8. The Contractor shall not create or maintain any records containing any non-public CDC information that are not specifically tied to or authorized by the contract.

9. The Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of 1974 or that which is generally protected from public disclosure by an exemption to the Freedom of Information Act.

10. Training. All Contractor employees assigned to this contract who create, work with, or otherwise handle records are required to take CDC-provided records management training. The Contractor is responsible for confirming training has been completed according to agency policies, including initial training and any annual or refresher training.

D. Flowdown of requirements to subcontractors

1. The Contractor shall incorporate the entire substance of the terms and conditions herein, including this paragraph, in all subcontracts under this contract, and must require written subcontractor acknowledgment of same.

2. Violation by a subcontractor of any provision set forth herein will be attributed to the Contractor.

H.2 CDC0_H049 Non-Disclosure Agreement for Contractor and Contractor Employees (Jun 2020)

(a) The contractor and contractor employees shall prepare and submit Non-Disclosure Agreements (NDA) to the Contracting Officer prior to access of government information or the commencement of work at CDC.

(b) The NDAs, at Exhibit I and II, are required in service contracts where contractor’s employees will have access to non-public and procurement-sensitive information while performing functions in support of the Government. The NDA also requires contractor’s employees properly identify themselves as employees of a contractor when communicating or interacting with CDC employees, employees of other governmental entities, and members of the public (when communication or interaction relates to the contractor’s work with the CDC).

The Federal Acquisition Regulation (FAR) 37.114 (c), states “All contractor personnel attending meetings, answering Government telephones, and working in other situations where their contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public or Congress that they are Government officials, unless, in the judgment of the agency, no harm can come from failing to identify themselves. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.”

(c) The contractor shall inform contractor employees of the identification requirements by which they must abide and monitor employee compliance with the identification requirements.

(d) During the contract performance period, the contractor is responsible to ensure that all additional or replacement contractors’ employees sign an NDA and it is submitted to the Contracting Officer prior to commencement of their work with the CDC.

(e) Contractor employees in designated positions or functions that have not signed the appropriate NDA shall not have access to any non-public, procurement sensitive information or participate in government meetings where sensitive information may be discussed.

(f) The Contractor shall prepare and maintain a current list of employees working under NDAs and submit to the Contracting Officer upon request during the contract period of performance. The list should at a minimum include: contract number, employee’s name, position, date of hire and NDA requirement.

EXHIBIT I

Centers for Disease Control and Prevention (CDC)

Contractor Non-Disclosure Agreement

I. Non-public Information

[Name of contractor] understands that in order to fulfill the responsibilities pursuant to [contract name and number] between the Centers for Disease Control and Prevention and [Name of CDC contractor] dated [date], employees of [contractor] will have access to non-public information, including confidential and privileged information contained in government-owned information technology systems. For purposes of this agreement, confidential information means government information that is not or will not be generally available to the public.

Privileged information means information which cannot be disclosed without the prior written consent of the CDC.

In order to properly safeguard non-public information, [contractor] agrees to ensure that prior to being granted access to government information or the commencement of work for the CDC, whichever is applicable, all contractor employees will sign a Non-Disclosure Agreement (NDA) provided by the CDC prior to beginning work for the CDC. Contractor agrees to submit to the Contracting Officer the original signed copies of NDAs signed by the contractor’s employees in accordance with the instructions provided by the Contracting Officer. Failure to provide signed NDAs in accordance with this agreement and instructions provided by the Contracting Officer could delay or prevent the employee from commencing or continuing work at the CDC until such agreement is signed and returned to the Contracting Officer.

Contractor further agrees that it will not cause or encourage any employee to disclose, publish, divulge, release, or make known in any manner or to any extent, to any individual other than an authorized Government employee any non-public information that the employee may obtain in connection with the performance of the employee’s responsibilities to the CDC.

II. Procurement-Sensitive Information

Contractor further agrees that it will not cause or encourage any employee to disclose, publish, divulge, release, or make known in any manner or to any extent, to any individual, other than an authorized Government employee, any procurement-sensitive information gained while in connection with fulfilling the employee’s responsibilities at the CDC. For purposes of this agreement, procurement-sensitive information includes, but is not limited to, all information in Statements of Work (SOW), Procurement Requests (PR), and Requests for Proposal (RFP);

Responses to RFPs, including proposals, questions from potential offerors; non-public information regarding procurements; all documents, conversations, discussions, data, correspondence, electronic mail (e-mail), presentations, or any other written or verbal communications relating to, concerning, or affecting proposed or pending solicitations or awards; procurement data; contract information plans; strategies; source selection information and documentation; offerors’ identities; technical and cost data; the identity of government personnel involved in the solicitation; the schedule of key technical and procurement events in the award determination process; and any other information that may provide an unfair competitive advantage to a contractor or potential contractor if improperly disclosed to them, or any of their employees.

Contractor understands and agrees that employee access to any procurement-sensitive information may create a conflict of interest which will preclude contractor from becoming a competitor for any acquisition(s) resulting from this information. Therefore, if an employee participates in any discussions relating to procurement-sensitive information, assists in developing any procurement-sensitive information, or otherwise obtains any procurement-sensitive information while performing duties at the CDC, contractor understands and agrees that contractor may be excluded from competing for any acquisition(s) resulting from this information.

III. Identification of Non-Government Employees

Contractor understands that its employees are not agents of the Government. Therefore, unless otherwise directed in writing by the CDC, contractor agrees to assist and monitor employee compliance with the following identification procedures:

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A. At the beginning of interactions with CDC employees, employees of other governmental entities, and members of the public (when such communication or interaction relates to the contractor’s work with the CDC), contractors’ employees will identify themselves as an employee of a contractor.

B. Contractors’ employees will include the following disclosures in all written communications, including outgoing electronic mail (e-mail) messages, in connection with contractual duties to the

CDC:

Employee’s name Name of contractor Center or office affiliation Centers for Disease Control and Prevention

C. At the beginning of telephone conversations or conference calls, contractors’ employees will identify themselves as an employee of a contractor.

D. Contractors’ employees should not wear any CDC logo on clothing, except for a CDC issued security badge while carrying out work for CDC or on CDC premises. The only other exception is when a CDC management official has granted permission to use the CDC logo.

E. Contractors’ employees will program CDC voice mail message to identify themselves as an employee of a contractor.

I understand that federal laws including, 18 U.S.C. 641 and 18 U.S.C.