PRESOL | R | Resident FTE Assessment Program… CHGME Payment Program - Package #1

FBO DAILY ISSUE OF MAY 27, 2012 FBO #3837
SOLICITATION NOTICE

R -- Resident FTE Assessment Program… CHGME Payment Program - Package #1

Notice Date: 5/25/2012
Notice Type: Combined Synopsis/Solicitation
NAICS: 541611 — Administrative Management and General Management Consulting Services
Contracting Office: Department of Health and Human Services, Health Resources and Services Administration, Office of Acquisitions Management and Policy, 5600 Fisher Ln., Room 13A-19, Rockville, Maryland, 20857, United States
ZIP Code: 20857
Solicitation Number: RFP12-250-SOL-00079
Archive Date: 7/12/2012
Point of Contact: Hanif S Abdul-Amin, Phone: (301) 443-5261
E-Mail Address: habdul-amin@hrsa.gov
(habdul-amin@hrsa.gov)
Small Business Set-Aside: N/A
Description: SF 33 for Resident FTE Assessment Program… DEPARTMENT OF HEALTH AND HUMAN SERVICES Health and Resources Services Administration Office of Acquisition Management and Policy Rockville, MD 20857-5600-0001 OMB No. 0990-0115 Reference: 12-250-SOL-00079 TO ALL OFFERORS: You are invited to submit a proposal in accordance with the requirements of FAR Part 15. This requirement is to audit the unweighted and weighted resident FTE counts reported by children's hospitals in their initial applications for the Children=s Hospitals Graduate Medical Education (CHGME) Payment Program funding as required under Public Law 109-307. The contractor shall complete the Resident FTE Assessment Program within a six-month period to allow the CHGME Payment Program to reconcile payments within the FY for which payments are being made. For FY 2013, the Resident FTE Assessment Program shall commence on October 1, 2012 and conclude no later than April 1, 2013. Each successive contract year has similar commencement and completion dates. Your proposal must be received by the Contracting Officer no later than Wednesday, June 27, 2012 by 10:00 a.m., local prevailing time at the following address: Department of Health and Human Services, HRSA Office of Acquisition Management and Policy Parklawn Building, 5600 Fishers Lane, 13A-43, Room: 14, Rockville, Maryland 20857 301-443-2730 or 2750 Attn: Hanif S. Abdul-Amin, RFP 12-250-SOL-00079 An electronic version of your proposal is acceptable as an e-mail attachment to: habdul-amin@hrsa.gov. Questions must be submitted in writing (facsimile or email) by 10:00 a.m. local prevailing time, June 4, 2012. Questions received after this date will not be accepted. See Section L.2. for further information. NOTICE: ACCESS TO PARKLAWN BUILDING The Parklawn Building is a controlled access building; therefore you should allow ample time for visitor access. It is your responsibility to ensure that proposals are delivered by the due date and time, and specific place (Room 13A-43) required in the solicitation. Offerors delivering boxes of proposals must use the delivery entrance located on the loading dock, which is accessible from Parklawn Drive. All packages will be x-rayed by a security guard. Visitors will be required to provide photo identification and provide a name and telephone number of the individual being visited, (in this case, Hanif S. Abdul-Amin, 301-443-5261 or, e-mail: habdul-amin@hrsa.gov ). You will then need to personally bring the boxes to Suite: 13A-43 (13th Floor, A-Wing, and Room 14). Boxes of proposals should NOT be left on the loading dock. Your proposal must be prepared in accordance with Section L entitled Instructions, Conditions, and Notices to Offerors, Section C entitled Description/Specification/Work Statement, and Section M entitled Evaluation Factors for Award. This RFP does not commit the Government to pay any costs for the preparation and submission of a proposal. It is also brought to your attention that the Contracting Officer is the only individual who can legally commit the Government to expenditure of public funds in connection with this proposed acquisition. Your proposal must provide a contact name and number, your company name and complete address, including street, city, county, state, zip code, Tax Identification Number (TIN), and Dun & Bradstreet Number (DUNS). Please note that FAR 52.204-6 Contractor Identification Number Data Universal System (DUNS Number) requires you to submit a DUNS number for your company along with your offer. If you do not have a DUNS number, you are requested to contact Dun and Bradstreet Information Services at 1-800-333-0505 to obtain one. Please include this information on the first page of your business proposal. If the address is different from the address to which payment should be mailed you must also include the complete payment address. Requests for any information concerning this RFP should go to Hanif S. Abdul-Amin, 301-443-5261 or, e-mail: habdul-amin@hrsa.gov. Discussion with any other individual outside of the Office of Acquisition Management and Policy (OAMP) may result in rejection of a potential offeror's proposal. Sincerely, /s/ Daniel E. Matusiewicz Contracting Officer &emsp; Page 3 is Blank (See Form SF 33 for pages 1 and 2) &emsp; SECTION A TABLE OF CONTENTS SECTION DESCRIPTION A Table of Contents B Supplies or Services and Prices/Costs C Description/Specification/Work Statement D Packaging and Marking E Inspection and Acceptance F Deliverables or Performance G Contract Administration Data H Special Contract Requirements I Contract Clauses J List of Attachments K Representations and Certifications L Instructions, Conditions, and Notices to Offerors M Evaluation Factors for Award Attachment A Statement of Work Attachment B Billing Instructions Attachment C CPARS Contractor Performance Report Attachment D SF_LLL Disclosure Lobbying Activities Attachment E Past Performance Attachment F Certificate Of Current Cost and Pricing Data Attachment G Small Business Subcontract Plan &emsp; SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS B.1 Purpose of Contract The purpose of this cost plus fixed fee contract is to audit the unweighted and weighted resident FTE counts reported by children's hospitals in their initial applications for CHGME Payment Program funding as required under Public Law 109-307. The contractor shall complete the Resident FTE Assessment Program within a six-month period to allow the CHGME Payment Program to reconcile payments within the FY for which payments are being made. For FY 2013, the Resident FTE Assessment Program shall commence on October 1, 2012 and conclude no later than April 1, 2013. Each successive contract year has similar commencement and completion dates. B.2 Compensation In consideration of the satisfactory performance of the services and tasks detailed in Section J-Attachment A-Statement of Work, the Contractor shall be compensated in accordance with the following 1. Estimated Cost a) Base Period It is estimated that the total cost to the Government for full performance of the base period under this contract will be tiny_mce_marker__________of which the sum of tiny_mce_marker___________ represents the estimated reimbursable cost and tiny_mce_marker___________ represents the fixed fee. b) Option Period One It is estimated that the total cost to the Government for full performance of Option Period One under this contract will be tiny_mce_marker__________of which the sum of tiny_mce_marker___________ represents the estimated reimbursable cost and tiny_mce_marker___________ represents the fixed fee. c) Option Period Two It is estimated that the total cost to the Government for full performance of Option Period Two under this contract will be tiny_mce_marker__________of which the sum of tiny_mce_marker___________ represents the estimated reimbursable cost and tiny_mce_marker___________ represents the fixed fee. d) Option Period Three It is estimated that the total cost to the Government for full performance of Option Period Three under this contract will be tiny_mce_marker__________of which the sum of tiny_mce_marker___________ represents the estimated reimbursable cost and tiny_mce_marker___________ represents the fixed fee. &emsp; e) Option Period Four It is estimated that the total cost to the Government for full performance of Option Period Three under this contract will be tiny_mce_marker__________of which the sum of tiny_mce_marker___________ represents the estimated reimbursable cost and tiny_mce_marker___________ represents the fixed fee. 2. The Government shall not be obligated to reimburse the contractor for amounts incurred in excess of the contract amount, and the contractor shall not be obligated to continue performance under the contract or otherwise incur amounts in excess of the contract unless and until written notification is received by the contractor from the contracting officer which sets forth a revision of the contract amount. No notice, communication, or representation in any other form or from any other person other than the contracting officer shall affect the amount of this contract. The total funds currently available for payment and allotted to this contract are tiny_mce_marker_________. For further provisions on funding, see clauses FAR 52.232-20 - Limitation of Costs (Apr 1984) and FAR 52.232-22 - Limitation of Funds (Apr 1984). 3. It is estimated that the amount currently allotted to this contract will cover performance from __________ to __________________. 4. The Contracting Officer may allot additional funds to the contract without the concurrence of the Contractor. B.2.1 Allowable Costs Costs shall be determined by the Contracting Officer to be allowable in accordance with FAR Subpart 31.2 in effect on the date of this Contract and the terms of this Contract. B.2.2 Direct Costs The Contractor shall be reimbursed for all costs as described below, incurred directly and specifically in the performance of each task order, claimed by the Contractor and accepted by the Contracting Officer: 1. Salaries and wages of the Contractor's employees directly employed in performing the work required by this contract, including related fringe benefits, if treated as a direct cost; otherwise, fringe benefits may be claimed as part of indirect costs below. 2. Materials and services required in the performance of this contract, after deducting all discounts for the purchase of such materials and services. 3. Consultant fees or other payments to consultants required in the performance of this contract, provided that such fees or payments shall not exceed the daily rate of tiny_mce_marker________, exclusive of travel costs, without the written approval of the Contracting Officer. 4. Travel and subsistence expenses incurred exclusively in direct performance of this contract. The Contractor shall be reimbursed for transportation costs and travel allowance in accordance with the established policy of the Contractor, but subject to the following limitations: a. Such transportation cost shall not be reimbursed in an amount greater than the cost of first class rail or of economy air travel, unless economy air travel and economy air travel space are not available and the Contractor certifies to the facts in the voucher or other documents submitted for reimbursement. Travel allowances for per diem shall be reimbursed in accordance with the Contractor's established policy, but in no event shall such allowances exceed the prevailing Government rate except within the corporate limits of those cities and other specified areas where higher ceiling rates have been established by the General Services Administration for Civil Service employees in travel status. b. The Contractor shall be reimbursed for the cost of travel performed by its personnel in a privately owned automobile at the prevailing Government rate (as set by Federal Travel Regulations-see www.gsa.gov) not to exceed the cost by the most direct economy air route between the points so traveled. If more than one person travels in such automobile, no additional charge shall be made by the Contractor for such travel between such points. c. HRSA will not reimburse travelers for unauthorized or excess expenses. B.2.3 Prior Authorization of Certain Direct Costs Purchase Orders and Subcontracts 1. Requirements for purchase orders and subcontracts are governed by FAR 52.244-2, Subcontracts (OCT 2010) of the General Provisions except as may be indicated herein. 2. The Contractor shall not incur any of the following costs without the prior written approval of the Contracting Officer. Incurrence of such costs with the intent of claiming reimbursement as direct costs under this contract shall be at the Contractor's own risk: a. Purchase of any item of equipment, including furniture or office equipment, regardless of cost; b. Any rental agreement for real or personal property, or any term contract for maintenance; c. Travel for general scientific meetings; and d. Rearrangement, alternation or relocation of facilities. B.2.4 Indirect Costs Pursuant to the General Provisions of this contract, and FAR 52.216-7, Allowable Cost and Payment (DEC 2002), the following provisional and ceiling rates are established. Type Provisional Ceiling Base Fringe Overhead G&A The Contractor shall use the organization's current negotiated provisional indirect costs rates for billing purposes. In the event the rates are determined by the cognizant negotiated indirect costs official on the basis of actual allowable costs are less than the provisional and ceiling rates agreed to herein, then the lower rates established by such cognizant official shall apply. Additionally, it is hereby agreed that the above ceiling rates are to be used for the life of the contract. Within the first 90 days after the effective date of this contract, the contractor shall initiate a request for indirect cost rate agreement from the following: (this could be NIH or DCAA) Mr. Raphael A. Woodruff National Institute of Health 6100 Executive Boulevard, Room: 6B05 Rockville, MD 20892 Telephone: (301) 496-2444 Fax: (301) 402-7180 E-mail: rw8u@nih.gov The request will be accompanied by an indirect cost rate proposal and its supporting data. If the contractor does not comply with these requirements within the allotted time frame, then the Contracting Office will suspend all indirect costs being billed after 90 days. Notwithstanding the foregoing, the Contractor shall, in the case of an upward adjustment of the provisional rates, comply with the requirements of FAR 52.232-20- Limitation of Cost (APR 1984). (End Section B) SECTION C - DESCRIPTION/SPECIFICATIONS/ STATEMENT OF WORK C.1 Statement of Work Independently and not as an agent of the Government, the contractor shall furnish all personnel, material, facilities, services, and equipment as needed to perform the Statement of Work set forth in Section J attached hereto and made part of this document. C.2 Incorporation of Contractor's Proposal It is understood and agreed that the contractor shall, in meeting the requirements of this contract, perform the work in accordance with the Contractors proposal to the Health Resources and Services Administration for Resident Full-time Equivalent (FTE) Assessment Program - An Assessment of Resident FTE Counts Reported by Children's Hospitals Participating in the Children=s Hospitals Graduate Medical Education (CHGME) Payment Program dated: to be determined provided however, that to the extent that any provisions of the articles of this contract are in conflict or inconsistent with any provisions of said proposal, the provisions of the articles of this contract shall control and shall supersede the provisions of said proposal; therefore, the contractor's proposal is hereby incorporated into the resultant contract. (End Section C) SECTION D - PACKAGING AND MARKING D.1. Marking All reports and documentation required as deliverables in Section F.4 shall be marked as requested in Section F.5, Deliverables of this contract. (End Section D) SECTION E - INSPECTION AND ACCEPTANCE E.1 52.246-5 Inspection of Services-Cost Reimbursement (APR 1984) (a) Definition. "Services," as used in this clause, includes services performed, workmanship, and material furnished or utilized in the performance of services. (b) The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract. Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government during contract performance and for as long afterwards as the contract requires. (c) The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. The Government shall perform inspections and tests in a manner that will not unduly delay the work. (d) If any of the services do not conform with contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by reperformance, the Government may- (1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and (2) Reduce any fee payable under the contract to reflect the reduced value of the services performed. (e) If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may: (1) By contract or otherwise, perform the services and reduce any payable by an amount that is equitable under the circumstances; or (2) By terminate the contract for default. E.2 Inspection and Acceptance The Contracting Officer Representative (COR), as a duly authorized representative of the Contracting Officer, shall assume the responsibilities for monitoring the Contractor's performance, evaluating the quality of services provided by the Contractor and performing final inspection and acceptance of all deliverables. E.3 FAR 52.252-2 Clauses Incorporated by Reference (FEB 1998) The contract incorporates one or more clauses by reference with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. In addition, the full text of a clause may be accessed electronically at www.arnet.gov/far. (End Section E) &emsp; SECTION F - DELIVERIES OR PERFORMANCE F.1 FAR 52.242-15 Stop-Work Order (AUG 989)-Alternate I APR 1984 F.2 Observance of Federal Holidays No services or deliveries shall be performed on Saturdays, Sundays or Federal legal holidays, any other holiday set forth by Presidential Executive Order, or any other Government closures. Official Holidays New Year's Day January 1st Martin Luther King's Birthday 3rd Monday in January Inauguration Day 3rd Tuesday in January Presidents' Day 3rd Monday in February Memorial Day Last Monday in May Independence Day July 4th Labor Day 1st Monday in September Columbus Day 2nd Monday in October Veterans' Day November 11th Thanksgiving Day 4th Thursday in November Christmas Day December 25th F.3 Period of Performance The period of performance shall be a base period of twelve (12) months with four (4) 12-month option periods. The period of performance under this contract shall commence with the effective date of the contract (EDOC). F.4 Articles or Services to be Furnished 1. All reports, processes, and product deliverables are subject to approval of the Contracting Officer Representative (COR). 2. The COR shall respond within 15 working days after receipt of a deliverable for which the COR has indicated approval is required before the Contractor can proceed to the next step in the use of that deliverable. 3. All reports and documents shall have, at a minimum in the document header, the contract number, and the COR's name. All reports and documents shall have, at a minimum in the document footer, the author in the lower left corner, the page # of total # of pages in the center bottom of the page, and the date and /or version of the document (not the auto date) in the lower right corner. F.5 Schedule of Deliverables For Base Year The contractor shall submit the following items identified within the Scope of Work of this contract in the quantities stipulated and during the periods listed below. Task # Description Quantity Due Date 1 Post Award Meeting Agenda 1 electronic copy Within two (2) business days of the EDOC 2 Execute Resident FTE Assessment Program 2.1 Excel Spreadsheet to include the name, organization and contact information, and hospital assignment of all auditors and the fiscal intermediaries participating in the audit 1 electronic copy 7 of October of base year 2.2 Execute introductory letter or e-mail to all CHGME participating children's hospitals with a copy sent electronically to the COR Amount not to exceed 65 copies 15 of October of the base year 2.3 Execute DCs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of the base year 2.4 Execute DRs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of the base year 2.5 Execute FRs Amount not to exceed 65 audits Commence on or after November 1 and conclude on March 1 of the base year 2.5.1 Provide proposal of potential children's hospitals to receive FRs with detailed list of specific triggers for each hospital included 1 electronic copy 21 of October of the base year 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.5 Send a summary report to each children's hospital indicating the final hospital-specific results of the Resident FTE Assessment Program. Amount not to exceed 65 copies (electronic and/or paper copy) 1 of February of the base year or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of the base year or within fifteen (15) business days of hospital FR completion 2.6.6 and 2.6.7 Complete and send electronically resident FTE assessment packages to COR Amount not to exceed 65 audits 1 of February of the base year or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of the base year or within fifteen (15) business days of hospital FR completion 2.6.8 Provide summary report detailing the sampling methodology used for each hospital audited 1 paper copy and 1 electronic copy Within fifteen (15) business days of hospital DC, DR and/or FR completion 3 Provide monthly progress reports with details on activities, accomplishments and challenges of the audit process for all CHGME participating children's hospitals. Progress report template to be provided by the contractor at the kick-off meeting and approved by COR. Conference calls shall be arranged with the COR (weekly during the time when the DCs, DRs and FRs are being conducted) 1 electronic copy 7 of every month 4 Provide summary of audited IRIS data files to include specific data variables and a file format determined by COR 1 electronic copy Within forty-five (45) business days of hospital DC, DR and FR completion 5 Update Methodology Report 10 paper copies (of finalized, approved) and 1 CD July 1 of the base year 6 Resident FTE Assessment Program Fiscal Year End Summary Report 5 paper copies (of finalized, approved) and 1 CD September 30 of the base year 7 Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions Amount not to exceed 6 On an as needed basis, the COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event 8 Provide proposal on Intern Resident Information System (IRIS) Software Modification to include best options and process methodologies 3 paper copy and 1 electronic copy September 30 of the base year All deliverables shall be submitted to the COR. &emsp; Articles to be Furnished and Delivery Times For Option Year 1 The contractor shall submit the following items identified within the Scope of Work of this contract in the quantities stipulated and during the periods listed below. Task # Description Quantity Due Date 2 Execute Resident FTE Assessment Program 2.1 Excel Spreadsheet to include the name, organization and contact information, and hospital assignment of all auditors and the fiscal intermediaries participating in the audit 1 electronic copy 7 of October of option year 1 2.2 Execute introductory letter or e-mail to all CHGME participating children's hospitals with a copy sent electronically to the COR Amount not to exceed 65 copies 15 of October of option year 1 2.3 Execute DCs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 1 2.4 Execute DRs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 1 2.5 Execute FRs Amount not to exceed 65 audits Commence on or after November 1 and conclude on March 1 of option year 1 2.5.1 Provide proposal of potential children's hospitals to receive FRs with detailed list of specific triggers for each hospital included 1 electronic copy 21 of October of option year 1 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.5 Send a summary report to each children's hospital indicating the final hospital-specific results of the Resident FTE Assessment Program. Amount not to exceed 65 copies (electronic and/or paper copy) 1 of February of option year 1 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 1 or within fifteen (15) business days of hospital FR completion 2.6.6 and 2.6.7 Complete and send electronically resident FTE assessment packages to COR Amount not to exceed 65 audits 1 of February of option year 1 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 1 or within fifteen (15) business days of hospital FR completion 2.6.8 Provide summary report detailing the sampling methodology used for each hospital audited 1 paper copy and 1 electronic copy Within fifteen (15) business days of hospital DC, DR and/or FR completion 3 Provide monthly progress reports with details on activities, accomplishments and challenges of the audit process for all CHGME participating children's hospitals. Progress report template to be provided by the contractor at the kick-off meeting and approved by COR. Conference calls shall be arranged with the COR (weekly during the time when the DCs, DRs and FRs are being conducted) 1 electronic copy 7 of every month 4 Provide summary of audited IRIS data files to include specific data variables and a file format determined by COR 1 electronic copy Within forty-five (45) business days of hospital DC, DR and FR completion 5 Update Methodology Report 10 paper copies (of finalized, approved) and 1 CD July 1 of option year 1 6 Resident FTE Assessment Program Fiscal Year End Summary Report 5 paper copies (of finalized, approved) and 1 CD September 30 of option year 1 7 Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions Amount not to exceed 6 On an as needed basis, the COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event All deliverables shall be submitted to the COR. &emsp; Articles to be Furnished and Delivery Times For Option Year 2 The contractor shall submit the following items identified within the Scope of Work of this contract in the quantities stipulated and during the periods listed below. Task # Description Quantity Due Date 2 Execute Resident FTE Assessment Program 2.1 Excel Spreadsheet to include the name, organization and contact information, and hospital assignment of all auditors and the fiscal intermediaries participating in the audit 1 electronic copy 7 of October of option year 2 2.2 Execute introductory letter or e-mail to all CHGME participating children's hospitals with a copy sent electronically to the COR Amount not to exceed 65 copies 15 of October of option year 2 2.3 Execute DCs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 2 2.4 Execute DRs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 2 2.5 Execute FRs Amount not to exceed 65 audits Commence on or after November 1 and conclude on March 1 of option year 2 2.5.1 Provide proposal of potential children's hospitals to receive FRs with detailed list of specific triggers for each hospital included 1 electronic copy 21 of October of option year 2 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.5 Send a summary report to each children's hospital indicating the final hospital-specific results of the Resident FTE Assessment Program. Amount not to exceed 65 copies (electronic and/or paper copy) 1 of February of option year 2 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 2 or within fifteen (15) business days of hospital FR completion 2.6.6 and 2.6.7 Complete and send electronically resident FTE assessment packages to COR Amount not to exceed 65 audits 1 of February of option year 2 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 2 or within fifteen (15) business days of hospital FR completion 2.6.8 Provide summary report detailing the sampling methodology used for each hospital audited 1 paper copy and 1 electronic copy Within fifteen (15) business days of hospital DC, DR and/or FR completion 3 Provide monthly progress reports with details on activities, accomplishments and challenges of the audit process for all CHGME participating children's hospitals. Progress report template to be provided by the contractor at the kick-off meeting and approved by COR. Conference calls shall be arranged with the COR (weekly during the time when the DCs, DRs and FRs are being conducted) 1 electronic copy 7 of every month 4 Provide summary of audited IRIS data files to include specific data variables and a file format determined by COR 1 electronic copy Within forty-five (45) business days of hospital DC, DR and FR completion 5 Update Methodology Report 10 paper copies (of finalized, approved) and 1 CD July 1 of option year 2 6 Resident FTE Assessment Program Fiscal Year End Summary Report 5 paper copies (of finalized, approved) and 1 CD September 30 of option year 2 7 Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions Amount not to exceed 6 On an as needed basis, the COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event All deliverables shall be submitted to the COR. &emsp; Articles to be Furnished and Delivery Times For Option Year 3 The contractor shall submit the following items identified within the Scope of Work of this contract in the quantities stipulated and during the periods listed below. Task # Description Quantity Due Date 2 Execute Resident FTE Assessment Program 2.1 Excel Spreadsheet to include the name, organization and contact information, and hospital assignment of all auditors and the fiscal intermediaries participating in the audit 1 electronic copy 7 of October of option year 3 2.2 Execute introductory letter or e-mail to all CHGME participating children's hospitals with a copy sent electronically to the COR Amount not to exceed 65 copies 15 of October of option year 3 2.3 Execute DCs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 3 2.4 Execute DRs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 3 2.5 Execute FRs Amount not to exceed 65 audits Commence on or after November 1 and conclude on March 1 of option year 3 2.5.1 Provide proposal of potential children's hospitals to receive FRs with detailed list of specific triggers for each hospital included 1 electronic copy 21 of October of option year 3 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.5 Send a summary report to each children's hospital indicating the final hospital-specific results of the Resident FTE Assessment Program. Amount not to exceed 65 copies (electronic and/or paper copy) 1 of February of option year 3 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 3 or within fifteen (15) business days of hospital FR completion 2.6.6 and 2.6.7 Complete and send electronically resident FTE assessment packages to COR Amount not to exceed 65 audits 1 of February of option year 3 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 3 or within fifteen (15) business days of hospital FR completion 2.6.8 Provide summary report detailing the sampling methodology used for each hospital audited 1 paper copy and 1 electronic copy Within fifteen (15) business days of hospital DC, DR and/or FR completion 3 Provide monthly progress reports with details on activities, accomplishments and challenges of the audit process for all CHGME participating children's hospitals. Progress report template to be provided by the contractor at the kick-off meeting and approved by COR. Conference calls shall be arranged with the COR (weekly during the time when the DCs, DRs and FRs are being conducted) 1 electronic copy 7 of every month 4 Provide summary of audited IRIS data files to include specific data variables and a file format determined by COR 1 electronic copy Within forty-five (45) business days of hospital DC, DR and FR completion 5 Update Methodology Report 10 paper copies (of finalized, approved) and 1 CD July 1 of option year 3 6 Resident FTE Assessment Program Fiscal Year End Summary Report 5 paper copies (of finalized, approved) and 1 CD September 30 of option year 3 7 Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions Amount not to exceed 6 On an as needed basis, the COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event All deliverables shall be submitted to the COR. &emsp; Articles to be Furnished and Delivery Times For Option Year 4 The contractor shall submit the following items identified within the Scope of Work of this contract in the quantities stipulated and during the periods listed below. Task # Description Quantity Due Date 2 Execute Resident FTE Assessment Program 2.1 Excel Spreadsheet to include the name, organization and contact information, and hospital assignment of all auditors and the fiscal intermediaries participating in the audit 1 electronic copy 7 of October of option year 4 2.2 Execute introductory letter or e-mail to all CHGME participating children's hospitals with a copy sent electronically to the COR Amount not to exceed 65 copies 15 of October of option year 4 2.3 Execute DCs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 4 2.4 Execute DRs Amount not to exceed 195 audits Commence on October 1 and conclude on January 21 of option year 4 2.5 Execute FRs Amount not to exceed 65 audits Commence on or after November 1 and conclude on March 1 of option year 4 2.5.1 Provide proposal of potential children's hospitals to receive FRs with detailed list of specific triggers for each hospital included 1 electronic copy 21 of October of option year 4 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.5 Send a summary report to each children's hospital indicating the final hospital-specific results of the Resident FTE Assessment Program. Amount not to exceed 65 copies (electronic and/or paper copy) 1 of February of option year 4 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 4 or within fifteen (15) business days of hospital FR completion 2.6.6 and 2.6.7 Complete and send electronically resident FTE assessment packages to COR Amount not to exceed 65 audits 1 of February of option year 4 or within fifteen (15) business days of hospital DC and/or DR completion 15 of March of option year 4 or within fifteen (15) business days of hospital FR completion 2.6.8 Provide summary report detailing the sampling methodology used for each hospital audited 1 paper copy and 1 electronic copy Within fifteen (15) business days of hospital DC, DR and/or FR completion 3 Provide monthly progress reports with details on activities, accomplishments and challenges of the audit process for all CHGME participating children's hospitals. Progress report template to be provided by the contractor at the kick-off meeting and approved by COR. Conference calls shall be arranged with the COR (weekly during the time when the DCs, DRs and FRs are being conducted) 1 electronic copy 7 of every month 4 Provide summary of audited IRIS data files to include specific data variables and a file format determined by COR 1 electronic copy Within forty-five (45) business days of hospital DC, DR and FR completion 5 Update Methodology Report 10 paper copies (of finalized, approved) and 1 CD July 1 of option year 4 6 Resident FTE Assessment Program Fiscal Year End Summary Report 5 paper copies (of finalized, approved) and 1 CD September 30 of option year 4 7 Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions Amount not to exceed 6 On an as needed basis, the COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event All deliverables shall be submitted to the COR. SECTION G - CONTRACT ADMINISTRATION DATA G.1 Designation of Contracting Officer Representative (COR) The person identified below is hereby designated as the Contracting Officer Representative (COR) for this contract. The responsibility of the COR is to ensure that the Government's technical objectives are met. To this end, the COR will provide necessary information, direction, coordination, etc., within the contractual work description. Issuance of changes which affect the articles, terms, or conditions of this contract will be accomplished through the Contracting Officer who is the only party authorized to bind the Government to contract: (Name) Health Resources and Services Administration (Office/Division) 5600 Fishers Lane, Parklawn Building, Room _____ Rockville, Maryland 20857 Phone Number: __________ Fax Number: ____________ Email: ________________ G.3. CONTRACTING OFFICER'S REPRESENTATIVE'S RESPONSIBILITY Technical Direction - The COR will provide the necessary information, direction, and coordination within the confines of the existing contractual work description in order for the contract to have a successful outcome for the government. This includes providing technical direction to the Contractor to guide the contract effort in order to accomplish the contractual statement of work. This may include providing information to the Contractor for assistance in the interpretation of government provided information, specifications or technical portions of the work description, and where required by the contract, review and approval of product deliverables of the Contractor to the Government under the contract. All technical direction to the Contractor shall be issued in writing by the Contracting Officer Representative or shall be confirmed by him/her in writing within _____ working days after issuance. Contract Progress and Performance Management - The COR will establish a contract surveillance program that will permit verification of contractor progress and performance. The COR is responsible for monitoring the contractor's performance and notifying the Contracting Officer immediately when: 1. Performance is not proceeding satisfactorily, OR 2. If problems are anticipated, OR 3. Changes in the contract requirement are anticipated that would require the execution of a modification, OR 4. All work is completed and the final deliverable has been accepted. The COR should prepare a performance report semiannually on the contractor's performance on this Contract. The minimal requirement is an annual performance report. Performance reporting on this Contract follows established government guidelines and is submitted to the Contractor and Contracting Officer with supporting documentation. Document Contract Transactions - The COR maintains records, logs, and reports that document the actions taken by the Contractor and the Government during performance of the contract in hard copy files in the following manner: Establish a COR file for each contract which contains the CO delegation to the COR and all pertinent contract documents. The file should stand alone and contain copies of records documenting all contract actions. Assure proper payment for services rendered - The COR shall, in a timely manner, verify invoices submitted by the contractor to ensure that payment is made for services rendered, consistent with agreed upon payment rates and within budget. The COR shall thoroughly review invoices to verify that each has all the information necessary to ensure payment, and is otherwise accurate and complete. The COR shall promptly resolve any issues with the contractor, and ensure that expenditures are consistent with the contract budget according to the terms and conditions of the contract. After reviewing the invoice, the COR shall submit the invoice and send a notification approving payment to the Unified Financial Management System (UFMS) receiver within four (4) days from the date of receipt of a proper invoice. The COR shall keep a copy of the invoice for the COR contract file with the date and approving COR's initials and the UFMS receiving number. If there are questions regarding payment, the COR should call the Payments Office at (301) 443-3020. Maintain Acquisition Professional Skills and Standards - The COR shall maintain HRSA COR certification during all periods of time delegated duties as a COR for a HRSA contract. The COR shall present their current, valid HRSA COR Certificate to Contractors, Contracting Officers, and other staff upon request. The COR shall never exceed the authorities delegated by the Contracting Officer to the COR nor violate the requirements established for Acquisition professionals established in the FAR and HHSAR. G.4. RESTRICTIONS ON THE CONTRACTING OFFICER'S REPRESENTATIVE'S AUTHORITY Direction given by the COR to the Contractor must be within the parameters of the Statement of Work as stated in the Contract. The COR may not issue any direction to the Contractor that: 1. Solicits a proposal, OR 2. Constitutes an assignment of additional work outside the Statement of Work of this Contract, OR 3. In any manner causes an increase in the total contract cost or the time required for contract performance, OR 4. Changes any of the express terms, conditions, or specifications of the Contract (i.e., changes in the price or scope of work, instructions to start or stop work, approval of any actions that will result in additional charges to the government). Issuance of changes that affect the articles, terms, or conditions of this Contract will be accomplished through the Contracting Officer, who is the only party authorized to bind the Government to contract and the only party who can determine if a direction is within the Statement of Work. G.5. CONTRACTOR'S RESPONSIBILITY Technical Direction - The Contractor shall proceed promptly with the performance of technical directions duly issued by the Contracting Officer Representative (COR) in the manner prescribed within the COR's authority under this provision. If, in the opinion of the Contractor, any direction issued by the COR exceeds said authority, the Contractor shall not proceed, but shall notify the Contracting Officer in writing within five (5) days after the receipt of any such direction, and shall request the Contracting Officer to modify the contract accordingly. The Contracting Officer shall either issue an appropriate contract modification or advise the Contractor that the technical direction is within the scope of this contract and does not constitute a change of the contract. The Contractor shall then proceed immediately with the direction given. A failure of the parties to agree upon the nature of the direction or upon the contract action to be taken shall be subject to the provisions of the contract clause entitled "Disputes". G.6. KEY PERSONNEL Pursuant to the Key Personnel clause (HHSAR 352.242-70) referenced in SECTION I of this contract, the following individual(s) is (are) designated as Key Personnel and considered to be essential to the work being performed under this contract: Title Name Project Director/Manager ______________________________ (To be completed at time of award) The person identified as the Project Director/Manager shall direct the necessary work and services toward fulfillment of the contractual requirements. Prior to removing, replacing, or diverting the specified individual(s), the Contractor shall notify the Contracting Officer in writing and reasonably in advance, and shall submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the contract. No diversion shall be made by the Contractor without the written consent of the Contracting Officer, provided that the Contracting Officer may ratify in writing changes made due to events beyond the control of the Contractor, and such ratification shall constitute the consent of the Contracting Officer required by this clause. Examples of events beyond the control of the Contractor are: (1) prolonged sickness, (2) termination of employment, and (3) death. Key personnel, with the consent of the Contracting Officer, may be amended from time to time during the course of the contract to either add or delete personnel, as appropriate. G.7. SUBMISSION OF INVOICES AND PLACE OF PAYMENT 1. The Contactor shall submit monthly invoices/vouchers in an original and two (2) copies as follows: a) Send one copy to the COR b) Send one original and one copy to: Department of Health and Human Services Health Resources and Services Administration Parklawn Building, 13A-43, Room: 14 5600 Fishers Lane Rockville, Maryland 20857 Attn: Hanif S. Abdul-Amin 2. For inquiries regarding payment, call Accounts Payable Section at (301) 443-3020. 3. For inquiries regarding receiving, inspection and acceptance, rejections, or technical issues, call your COR. 4. The Contractor agrees to include with each invoice, and comply with, the Billing Instructions, Section J, Attachment B, and to include the following information on its invoice/voucher: a. contractor's name, invoice/voucher number, and date; b. contract number; c. description, price, and quantity of services/products delivered; d. date of services; e. payment terms; f. tax identification number; g. CAN number; h. object class appropriation number; i. contractor's complete remittance address; j. signature of an authorized official certifying that the invoice is correct and proper for payment; k. invoice/voucher to be submitted in a format in which total number of hours, and funds used and remaining are shown; and l. documents that support the request for payment (e.g., receipts, invoices, master bills, time cards, etc.). 5. Payment shall be made by: PSC/Financial Management Service Parklawn Building, Room 16A-12 5600 Fishers Lane Rockville, MD 20857 Telephone: 301-443-3020 Fax: 301-443-0562 G.8. ELECTRONIC FUNDS TRANSFER In accordance with FAR 52.204-7 Central Contractor Registration (APR 2008), the Contractor shall designate a financial institution for receipt of electronic funds transfer payments. This designation shall be submitted in writing to the finance office set forth in Section G.7.5. G.9. EVALUATION OF CONTRACTOR'S PERFORMANCE evaluation of Contractor performance shall be conducted on this contract in Interim and final evaluation of Contractor performance on this contract shall be conducted in accordance with the Office of Federal Procurement Policy (OFPP) Policy Letter 92-5 issued January 11, 1993, FAR Subpart 42.15, and HHSAR 342.7001(d). Upon contract completion, a final evaluation of the Contractor's performance shall be completed by the Government; see Section J, List of Attachments. The Government will conduct an evaluation of Contractor's performance based on the completion of the tasks stated in the SOW. The evaluation shall be conducted by the COR and be comprised of an evaluation of contractor performance completed by the Contractor and Federal staff, and a review of progress reports and financial reports (deliverables). (End of Section G) &emsp; SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1. Communication Any HRSA communication products developed under this contract will require an additional separate clearance on an HHS-615 (for text and/or graphic publications and products that will be printed, posted on the Web, or disseminated through other electronic methods, such as by email) or an HHS-524A (for audiovisual products, including those that will be posted on the Web). Communication clearance for this contract itself does not satisfy the requirement to seek clearance of the specific HRSA communication products. H.2. Printing and Duplicating The printing of government documents must be accomplished through the Government Printing Office (GPO). Contractors and grantees shall not be used as sources of printing for the Department or OPDIVS. Therefore, the inclusion of printing in contracts and grants is prohibited unless authorized by the Joint Committee on Printing (JCP). All requests for waivers must go through the HHS Department Printing Officer. Contractors may prepare copy, illustrative material (forms etc.) and /or camera ready copy for the purpose of producing publications. The Contractor shall not engage in, nor subcontract for, any printing (as the term is defined in Title 1 of the Government Printing and Binding Regulations in effect on the effective date of this contract) in connection with the performance of work under this contract; except that performance of a requirement under this contract involving less than 25,000 production units in the aggregate of multiple pages will not be deemed to be printing. A production unit is defined as one sheet, size 8.5 x 11 inches, one side only, and one color. Regarding the use of private funds for printing, the regulations state that when appropriated funds are to be used to create information for publication, the printing of that information cannot be made available to a private publisher for publication without prior approval of the congressional Joint Committee on Printing by way of the office of HHS Department Printing Officer. For any questions, please contact the HHS Department Printing Officer at 301-594-3185. H.3. Clearance/Production of Information Products/services The U.S. Department of Health and Human Services (HHS), Office of the Assistant Secretary for Public Affairs, requires clearance for any external communication products, which includes publications, audiovisual products, multimedia products, exhibits (including exhibit structures), conferences (including program/agenda books and other meeting materials), or public affairs services produced for or by HRSA through this contract as a deliverable. An external communication product is one that will be distributed outside of HRSA in any quantity. This clearance, which takes approximately 4 weeks, is obtained by the project officer through HRSA's Office of Communications. It is the policy of HHS that HHS must be prominently and dominantly identified as the primary publisher/producer, to include the name of HHS and placement of the HHS logo, on all communication materials, including those produced for Government publications and Government printed matter by contractors. The name of the U.S. Department of Health and Human Services and the Health Resources and Services Administration must be spelled out on the front cover of publications and on the opening and closing frames of audiovisual products. The HHS and HRSA logos must be displayed in addition to spelling out the names of the Department and the Agency. Use of the HHS and HRSA logos that include the names of the Department and the Agency as part of the graphics in the logos does not satisfy the requirement to spell out the names of HHS and HRSA. All publications and audiovisual products must display the month and year of issuance. The HHS and HRSA logos must be displayed on the front cover of any publications and on the opening and closing frames of any audiovisual products. The requirement for placement of the logos may be satisfied by displaying the HHS logo on the bottom left corner and the HRSA logo on the bottom right corner. The HHS logo should be larger than the HRSA logo. Government publications or other Government printed matter may not include the contractor's logo unless specifically authorized in accordance with agency policy and procedures (http://www.hhs.gov/web/policies/webpolicies/logopolicies/logos_contractors.html) Communication products are any and all products intended for audiences outside the Agency, including but not limited to: • reports, booklets, manuals, fact sheets, newsletters, brochures, flyers • Internet publications • press releases, advisories, other media materials (including press kits) • exhibits, exhibit structures • conferences, meeting materials (including program/agenda books) • summaries, monographs, proceedings • slides, overhead transparencies, posters • audio and videotapes, films, CDs, DVDs, and other audiovisual products • multimedia products, educational or information modules • advertisements and/or scripts for radio, TV, Web, or other venue Internal publications (no copies will be distributed outside of the Agency in print; electronically by any means, including by email or listserv; and will not be posted on the Internet) are exempted from this requirement. Where appropriate, the words Health Resources and Services Administration, Bureau..., Office of, Division of..., shall be included above the HRSA logo. Title 44 of the U.S. Code requires that the printing of any publication developed under this contract shall be done by the Government Printing Office. Printing shall be coordinated through the Contracting Officer Representative. NOTE: OMB clearance must be obtained if you (the contractor) intend to survey or interview more than 9 people outside of HRSA and/or the Department, including grantees. Failure on the part of the Contractor to comply with the printing and duplicating, and publication clearance requirements stated above will be deemed unauthorized services and reimbursement will be denied. H.4. Language Disclaimer The views expressed in written conference materials, publications, audiovisual products, and by speakers and moderators at HHS-sponsored conferences, do not necessarily reflect the official policies of the U.S. Department of Health and Human Services nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S. Government. H.5. Rights in Data The Contractor will be prohibited from copyrighting, publishing or disseminating information resulting from work performed under this contract, and/or, using data produced or obtained under this contract, and/or any other information or products provided by the Government, or which the Contractor develops, for any purpose other than performance under this contract without prior written approval from the Contracting Officer. Ownership of Documents, Materials and Records: All documents, materials (including any computer code) or records provided to the Contractor, developed or maintained by the Contractor in the performance of this contract are deemed to be property of the Government. H.6. Security Requirements All Contractors and Subcontractors shall comply with existing legislation, regulations, and department requirements from the Office of Management and Budget (OMB) Circular A-130, Management of Federal Information Resources, Appendix III, Security of Federal Automated Information Resources, and Public Law 100-235, Computer Security Act of 1987. The Contractors/Subcontractors shall consider information security as one of the system's integral functional requirements in a manner similar to other user and business requirements, and shall comply with HHS and HRSA IT security policies and practices throughout the development and operation lifecycle phases of the system. Specifically, the Contractor/Subcontractor shall: • Ensure that all persons requiring access to HRSA information systems receive and clear a background investigation, commensurate with their level of job responsibilities as required by the Homeland Security Presidential Directive 12 (HSPD-12). • Ensure that during planning and requirements definition activities, the system security objectives and needs, such as system criticality and data sensitivity, are met and the appropriate level of effort for the system risk management activities is determined in accordance with FIPS Publication 199, NIST SP 800-30. • Collaborate with the HRSA IT Security Staff (provide point of contact, phone number, & e-mail address) to facilitate initial and periodic as well as continuous monitoring activities. The process runs from October to June in accordance to FISMA reporting schedule. Based on the required level of effort, the following documents may be required: o Risk Assessment (RA) in accordance with NIST SP 800-30 o System Security Plan (SSP) in accordance with NIST SP 800-18 o Security Control Assessment in accordance with NIST SP 800-53 and 800-53A o Privacy Impact Assessment (PIA) in accordance with E-Gov Act of 2002 o Security Testing & Evaluation (ST&E) Plan/Report o Plan of Action and Milestones (POA&M) in accordance with HRSA POA&M Guidance/Template o System Rules of Behavior o Memorandums of Agreement/Understanding and/or System Interconnection Agreement o Contingency Plan in accordance with NIST SP 800-34 o Incident Response Plan in accordance with NIST SP 800-61 o Contingency Plan and Tests/Exercises o Minimum Security Configuration Checklists • Ensure that the security controls needed to adequately protect the Bureau of Health Professions E-Learning and Web-based Conference meet the security requirements of the system and are selected in accordance with NIST SP 800-53, Federal regulations, HHS policy, and HRSA IT Security Policy. • Collaborate with the HRSA ITSS to facilitate the development of E-Authentication risk assessment documentation if electronic system/transactions require user authentication in accordance to Presidential Memorandum M-04-04 using NIST SP 800-63 guidance and delivered to HRSA Information Systems Security Staff. • Appoint a designated Information Systems Security Officer (ISSO) to ensure the Bureau of Health Professions E-Learning and Web-based Conference security posture complies with HRSA IT Security Policy and procedures during the course of operation, and to be the system "point of contact" for all HRSA IT security matters. H.7. Earned Value Management (if applicable) The Contractor shall prepare and submit a month Earned Value Management (EVW) report for all development, modernization, and enhancement (DME) activities defined in each task order. EVM Reports shall be prepared, and submitted monthly to the COR, for all SOW development, modernization, and enhancement tasks on each task order. The EVM shall be prepared and submitted by the Contractor according to the following: IT Contracts with annual cost of less than $1 Million This report shall be prepared in accordance with the agreed upon the monthly status report format by the COR and Contractor. Cost and schedule milestone data collected shall include Planned Start Date, Planned End Date, Actual Start Date, Actual End Date, Planned Percent Complete, Planned Cost and Actual Cost." EVM reporting requirement regardless of contract threshold Contractor will provide Monthly EVM reports in an agreed upon report format. The project manager will determine the due date for EVM reporting. • Information made available to the contractor by the Government for the performance or administration of this effort shall be used only for those purposes and shall not be used in any other way without written agreement of the Contracting Officer. • The contractor agrees to assume responsibility for protecting the confidentiality of Government records, which are not public information. Each contractor or employee of the contractor to whom information may be made available or disclosed shall be notified in writing by the contractor that such information may be disclosed only for a purpose and to the extent authorized herein. H.8. Encryption (if applicable) • The Contractor (including all its Subcontractors) shall ensure all of its employees encrypt all laptop computers, desktop computers, and other mobile devices and portable media, which store or process sensitive HHS data, using Federal Information Processing Standard (FIPS) 140-2 compliant encryption. For the purposes of this solicitation or contract, information is considered sensitive if the loss of confidentiality or integrity could be expected to have a serious, severe, or catastrophic adverse effect on organizational operations, organizational assets, or individuals. Further, the loss of sensitive information, confidentiality, or integrity might: (i) cause a significant or severe degradation in mission capability to an extent and duration that the organization is unable to perform its primary functions, or the effectiveness of the functions is significantly reduced; (ii) result in significant or major damage to organizational assets; (iii) result in significant or major financial loss, or; (iv) result in significant, severe, or catastrophic harm to individuals. The Contractor shall verify that the selected encryption product has been validated under the Cryptographic Module Validation Program (v) to confirm compliance with FIPS 140-2. The Contractor shall provide a written copy of the validation documentation to the COR. • The Contractor shall use the Key Management Key on the HHS personal identification verification (PIV) card; or alternatively, the Contractor shall establish and use a key recovery mechanism to ensure the ability for authorized personnel to decrypt and recover all encrypted information. • The Contractor shall generate and manage encryption keys securely to prevent unauthorized decryption of information. This must be approved by the COR to ensure compliance. These technical standards are required by the HHS Department Information Security Policy/Standard. No deviation is allowable. H.9. Federal Desktop Core Configuration (FDCC) Settings • The Contractor (including all of its Subcontractors) shall ensure hardware and software installation, operation, maintenance, update, and/or patching shall not alter the configuration settings specified within the FDCC. • The Contractor shall ensure applications are fully functional and operate correctly on systems configured in accordance with the FDCC. For Windows XP TM settings see http://csrc.nist.gov/itsec/guidance_WinXP.html, and for Windows Vista TM settings see http://csrc.nist.gov/itsec/guidance_vista.html. • The Contractor shall ensure applications designed for end users run in the standard user context without requiring elevated privileges for routine tasks. • Federal Information Processing Standard 201 (FIPS-201) compliant, Homeland Security Presidential Directive 12 (HSPD-12) card readers shall be included with the purchase of servers, desktops, and laptops. For physical security and logical access purposes, FIPS-201/HSPD-12 compliant card readers must comply with requirements outlined in the Federal Acquisition Regulation (FAR). &emsp; H.10. Privacy Requirements In accordance with OMB M-06-16, Contractors are responsible under Federal law and policy to appropriately safeguard sensitive and Personal Identification Information (PII) information and train employees on their responsibilities for handling sensitive data. In particular, the Contractor shall: • Not release, publish, or disclose Departmental information to unauthorized personnel, and protect such information in accordance with provisions of the following laws and any other pertinent laws and regulations governing the confidentiality of sensitive information: - 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records) - 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information) - Public Law 96-511 (Paperwork Reduction Act) • Assist the COR in developing a System of Record Notice (SORN), and obtain a SORN number if needed. The SORN will be published in the Federal Register when a new System of Records is to be created, and an updated SORN will be necessary following a "major change" as defined by OMB 03-22 or subsequent replacement guidance." Once published in the Federal Register, the COR will provide the SORN numbers to the appropriate agency Contracting Office, the agency Privacy Act Officer/Coordinator, and included in the associated system's Privacy Impact Assessment (PIA). • Ensure that the PIA is developed and reviewed for the on an annual basis. Upon completion, the PIA shall be submitted by the Contractor to IT Security Staff and the HRSA Senior Agency Official for Privacy or designee. In the event that a major change, as defined in OMB M-03-22, occurs to a Contractor system, Contractors are responsible for updating the system PIA to reflect the change. • Each Contractor/Subcontractor employee who may have access to sensitive HRSA information under this Contract shall complete a Contractor employee non-disclosure agreement (NDA). A copy of each signed and witnessed NDA shall be submitted to the COR prior to performing any work under the Contract. • When a Contractor employee terminates work under this Contract, the Contracting firm is required to notify the Government COR within 24 hours upon the termination of the Contractor employee. All documentation remains the property of the Federal Government and must be returned to the Prime Contractor upon the individual's termination, and will also be made available to the COR and/or Contracting Officer upon request. H.11. Disclosure of Information Information made available to the Contractor by the Government for the performance or administration of this effort shall be used only for those purposes and shall not be used in any other way without the written agreement of the Contracting Officer. The Contractor agrees to assume responsibility for protecting the confidentiality of Government records, which are not public information. Each Contractor or employee of the Contractor to whom information may be made available or disclosed shall be notified in writing by the Contractor that such information may be disclosed only for a purpose and to the extent authorized herein. H.12. Confidentiality Agreement Requirement The Contractor shall implement a confidentiality agreement related to all data provided by the Government staff. All Contractor staff that work with the Federal Government and are provided information and access to databases shall sign such an agreement and a copy of the signed agreement for each relevant staff member shall be submitted to the COR prior to receipt of relevant documents. &emsp; H.13. Limited Use of Data Performance of this effort may require the Contractor to access and use data and information proprietary to a Government agency or Government Contractor which is of such a nature that its dissemination or use, other than in performance of this effort, would be adverse to the interests of the Government and/or others. Contractor and/or Contractor personnel shall not divulge or release data or information developed or obtained in performance of this effort, until made public by the Government, except to authorize Government personnel or upon written approval of the Contracting Officer (CO). The Contractor shall not use, disclose, or reproduce proprietary data that bears a restrictive legend, other than as required in the performance of this effort. Nothing herein shall preclude the use of any data independently acquired by the Contractor without such limitations or prohibit an agreement at no cost to the Government between the Contractor and the data owner which provides for greater rights to the Contractor. H.14. Section 508 Compliance Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d) requires Federal agencies to purchase electronic and information technologies (EIT) that meet specific accessibility standards. This law helps to ensure that Federal employees with disabilities have access to, and use of, the information and data they need to do their jobs. Furthermore, this law ensures that members of the public with disabilities have the ability to access government information and services. There are three regulations addressing the requirements detailed in Section 508. The Section 508 technical and functional standards are codified at 36 CFR Part 1194 and may be accessed through the Access Board's Web site at http://www.access-board.gov. The second regulation issued to implement Section 508 is the Federal Acquisition Regulation (FAR). FAR Part 39.2 requires that agency acquisitions of Electronic and Information Technology (EIT) comply with the Access Board's standards. The entire FAR is found at Chapter 1 of the Code of Federal Register (CFR) Title 48, located at http://www.acquisition.gov. The FAR rule implementing Section 508 can be found at http://www.section508.gov. The third applicable regulation is the HHS Acquisition Regulation at http://www.hhs.gov/policies/hhsar/. Section 508 Program Need Requirements for accessibility based on Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d) are determined to be relevant for the following program need: Software Applications and Operating Systems, Web-based Intranet and Internet Information and Applications, Telecommunications Products, Video and Multimedia Products, Desktop and Portable Computers, Documentation and Support, outputs/deliverables. Section 508 Evaluation Factors Responses to this solicitation will only be considered for award after it has been determined that the proposal adequately addresses the requirements for Section 508. Only proposals which contain adequate information to document their responsiveness to the Section 508 requirements (e.g. accessibility capabilities and past performance) will be eligible for any additional merit consideration. Section 508 Acceptance Criteria Software Applications and Operating Systems, Web-based Intranet and Internet Information and Applications, Telecommunications Products, Video and Multimedia Products, Desktop and Portable Computers, Documentation and Support, outputs/deliverables resulting from this solicitation will be accepted based in part on satisfaction of identified Section 508 requirements for accessibility and must include a completed GPAT, a sample of which is included as a part of this solicitation. &emsp; H.15. Electronic and Information Technology Accessibility Regardless of format, all Web content or communications materials produced for publication on or delivery via HHS Web sites-including text, audio or video-must conform to applicable Section 508 standards to allow federal employees and members of the public with disabilities to access information that is comparable to information provided to persons without disabilities. Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all Electronic and Information Technology developed, procured, maintained and/or used under this contract shall be in compliance with the "Electronic Information Technology Accessibility Standards" set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the "Access Board") in 36 CFR Part 1194. HHS Policy for Section 508, Electronic and Information Technology (E&IT) (January 2005) may be found at http://www.hhs.gov/web/policies/508contractlang.html. The Contractor shall indicate each line item in the schedule whether each product or service is compliant or noncompliant with the accessibility standards at 36 CFR 1194. Further, the proposal must indicate where full details of compliance can be found (e.g. vendor's website or other exact location). All contractors (including subcontractors) or consultants responsible for preparing or posting content intended for use on an HHS-funded or HHS-managed Web site must comply with applicable Section 508 accessibility standards, and where applicable, those set forth in the referenced policy or standards document below. Remediation of any materials that do not comply with the applicable provisions of 36 CFR part 1194 as set forth in the SOW, shall be the responsibility of the contractor or consultant retained to produce the Web-suitable content or communication materials. Prime contractors may enter into subcontracts in the performance of a Federal contract, but the prime remains obligated to deliver what is called for under the contract. H.16. Virus Protection The contractor shall utilize a comprehensive virus protection software package to screen all data, information, and software provided to the Government on CD. The screen shall include the identification and removal of all viruses, worms, and other forms of data, information, and software infestation. The contractor shall also utilize the virus protection software to all data, information, and software obtained from the Government for processing on the contractor's network(s) and personal computer(s). The contractor shall immediately notify the Government COR of any virus, worm, or other form of data information, and software infestation found on Government provided CDs. The contractor shall recommend to the Government the specific virus protection software the contractor intends to use. H.17. Quality Assurance The contractor shall perform all the requirements identified in this contract. The contractor shall supervise the reviews in accordance with Government Auditing Standards. The COR shall review and approve all work products and deliverables submitted by the contractor in accordance with the terms and conditions identified under the contract. HRSA reserves the right to obtain and review working papers from the contractor for the period beginning with the effective date of the contract through its termination. These reviews shall be conducted at HRSA's discretion at either the contractor's site or at the appropriate HRSA office. When reviewed at the HRSA's site, the working papers will be sent to the HRSA office for review and evaluation by HRSA staff. After completion of the review, HRSA may hold a conference with the contractor to discuss any issues. HRSA may choose to visit the contractor or subcontractor site during the audit to assess performance of the review. The contractor shall maintain an internal quality control program adequate to ensure that the requirements of the contract are met. As with the working paper review, HRSA reserves the right to obtain and review all working papers associated with the contractor's internal quality control program. These reviews shall be conducted at HRSA's site, the working papers will be sent to the HRSA office for review and evaluation by HRSA staff. After completion of the review, HRSA may hold a conference with the contractor to discuss any issues. HRSA may choose to visit the contractor and/or the subcontractor's site during the review to assess performance of the reviews. H.18. Homeland Security Presidential Directive-12 To perform the work specified herein the Contractor personnel may require access to sensitive data, regular access to HHS-controlled facilities and/or access to HHS information systems, the Government may require that this effort entail a background investigation. • Upon receipt of the Government's notification of applicable Suitability Background Investigation required, the Contractor shall complete and submit required forms within 30 days of the notification. Additional submission instructions can be found at the NCI Information Technology Security Policies, Background Investigation Process: (http://ais.nci.nih.gov/). • The Contractor shall submit a roster, by name, position and responsibility, of all staff working under the contract. The roster shall be submitted to the Contracting Officer Representative (COR), with a copy to the HRSA Division of Workforce Management and Contracting Officer, within 14 days of the effective date of the contract. Any revisions to the roster as a result of staffing changes shall be submitted within fifteen (15) calendar days of the change. The COR will submit the list to the HRSA Personnel Security Officer for determination of the appropriate level of suitability investigations to be performed. Contractors should ensure that the employees whose names they submit have a reasonable chance for approval. While delays in performance caused by successful investigations will be the Government's responsibility, delays associated with rejections will be the Contractor's responsibility. Typically, the Government conducts investigations and checks at no cost to the Contractor. Multiple investigations for the same position, whether- resulting from rejections or resulting from an employee's move to another position(s) or company, may at the Contracting Officer's discretion, justify reductions(s) in the contract price of no more than the cost of the extra investigation. H.19. Acceptance All reports, processes, and product deliverables are subject to approval by the Contracting Officer Representative (COR). If any of the services performed do not conform to contract requirements, the Government may require the Contractor to perform the services again in conformity with contract requirements, for no additional fee. When the defects in services cannot be corrected by performance, the Government may (1) require the Contractor to take necessary action to ensure that future performance conforms to contract requirements and (2) reduce any fee payable under the contract to reflect the reduced value of the services performed. H.20. Central Contractor Registration The Contractor must be registered in the Central Contractor Registration database. "Registered in the CCR database" means that (1) the Contractor has entered all mandatory information, including the DUNS number or the DUNS+4 number, into the CCR database; and (2) The Government has validated all mandatory data fields and has marked the record "Active". By submission of an offer, the Offeror acknowledges the requirement that a prospective awardee shall be registered in the CCR database prior to award, during performance, and through final payment of any contract, basic agreement, basic ordering agreement, or blanket purchasing agreement resulting from this solicitation. If not registered in the CCR database within the time prescribed by the Contracting Officer, the Contracting Officer will proceed to award to the next otherwise successful registered Offeror. &emsp; H.21. Food Appropriated funds are not used for food. H.22. Travel Reimbursement Contractors shall process travel vouchers of sponsored speakers/participants. The Contracting Officer Representative will provide the names of sponsored participants after award. Any travel reimbursement required by this contract shall be performed in accordance with Federal Travel Regulations. H.23. Government Furnished Property (GFP) and Access to Government Facilities Contractors are expected to perform work at their own facility. If a contractor cannot perform the contracted work at its facility and requires staff to be at a HRSA facility, the contractor must coordinate with the COR. Any requests for government furnished property by the contractor that are above and beyond what is expressly stated within the contract shall be made in writing to the Contracting Officer Representative (COR) for the contract. The COR must inform and receive express written approval from the appropriate Contracting Officer within HRSA's Office of Acquisition Management and Policy prior to making any request to obtain government furnished property from the HRSA OIT. The contractor's responsible party and COR shall conduct a site walk through of spaces occupied by the contractor's staff in HRSA facilities with the HRSA Property Management Officer (PMO) or his/her designee in order to record all property for which the contractor shall be responsible and liable. The contractor's responsible party shall act as custodian for all government furnished property assigned under a contract and will take all reasonable measures and precautions to safeguard such property. The contractor's responsible party shall notify the HRSA PMO via the COR assigned for the contract's administration in a timely manner upon the discovery of any loss, damage, destruction, theft, or any maintenance requirements of government provided property. The contractor's responsible party shall also notify the assigned project officer/COR when there are changes made to the contractor's staff working in HRSA facilities. This includes the addition of new contractor staff as well as the departure of staff from projects housed at HRSA facilities. For contracts where performance is conducted on-site at HRSA facilities, the contractor shall ensure that departing staff members follow the necessary check-out procedures and return all government issued equipment, including identification badges and remote access tokens, as required by HRSA property and security administration. HRSA shall withhold final payment under contracts where the contractor has access to or use of government furnished property either via an established staff presence in a government owned or operated facility or constructive control of government furnished property at the job site or any other facility utilized by the contractor until HRSA check out procedures have been satisfied by the contractor. Government furnished property includes computers, printers, monitors, furniture, remote access tokens, or any other equipment or property for which the contractor has assumed responsibility. Final payment shall be released following the satisfactory completion of all exit requirements and return of all government furnished property by the contractor's responsible party. The exit requirements for most contracts where government property has been provided and/or the contractor's staff occupies HRSA facilities include: 1. An exit interview and walk through of spaces occupied with HRSA's PMO or his/her designee and COR for the contract. 2. An audit by HRSA's PMO to determine the disposition of government furnished property assigned under the contract. 3. Restitution to HRSA for any lost, damaged, destroyed, or stolen government property. 4. Completion of all exit paperwork required by HRSA's PMO, HRSA Division of Workforce Management, and COR for the contract. The contactor's final invoice shall include the completed exit documentation for the contractor's on site staff. (End of Section H) PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES (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 in 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/these address(es): a. FEDERAL ACQUISITION REGULATION (TITLE 48 - CHAPTER 1) CONTRACT CLAUSES CLAUSE TITLE AND DATE 52.202-1 DEFINITIONS (JAN 2012) 52.203-3 GRATUITIES (APR 1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES (APR 1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (SEP 2006) 52.203-7 ANTI-KICKBACK PROCEDURES (OCT 2010) 52.203-8 CANCELLATION, RESCISSION, AND RECOVERY OF ILLEGAL OR IMPROPER ACTIVITY (JAN 1997) 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER ACTIVITY (JAN 1997) 52.203-12 LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (OCT 2010) 52.204-4 PRINTING/COPYING DOUBLE-SIDED ON RECYCLED PAPER (MAY 2011) 52.204-7 CENTRAL CONTRACTOR REGISTRATION (FEB 2012) 52-204-9 PERSONAL IDENTITY VERIFICTION OF CONTRACTOR PERSONNEL (JAN 2011) 52.209-6 PROTECTING THE GOVERNMENTS INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (DEC 2010) 52.215-2 AUDIT AND RECORDS - NEGOTIATION (OCT 2010) 52.215-8 ORDER OF PRECEDENCE--UNIFORM CONTRACT FORMAT (OCT 1997) 52.215-10 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA (AUG 2011 52.215-12 SUBCONTRACTOR COST OR PRICING DATA (OCT 2010) 52.215-13 SUBCONTRACTOR COST OR PRICING DATA -- MODIFICATIONS (OCT 2010) 52.216-7 ALLOWABLE COST AND PAYMENT (JUN 2011) 52.216-8 FIXED FEE (JUN 2011) 52.217-8 - Option to Extend Services (Nov 1999) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 30 days. (End of Clause) 52.217-9 - Option to Extend the Term of the Contract (Mar 2000) (a) The Government may extend the term of this contract by written notice to the Contractor within 30 days; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension. (b) If the Government exercises this option, the extended contract shall be considered to include this option clause. (c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 60 months. (End of Clause) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS (JAN 2011) 52.219-9 SMALL BUSINESS SUBCONTRACTING PLAN, ALT II (JAN 2011) 52.219-16 LIQUIDATED DAMAGES -- SUBCONTRACTING PLAN (JAN 1999) 52.222-2 PAYMENT OF OVERTIME PREMIUMS ($0) (JUL 1990) 52.222-3 CONVICT LABOR (JUN 2003) 52-222-21 PROHIBITION OF SEGREGATED FACILITIES (FEB 1999) 52.222-26 EQUAL OPPORTUNITY (MAR 2007) 52.222-35 EQUAL OPPORTUNITY FOR SPECIAL DISABLED AND VETERANS OF THE VIETNAM ERA & OTHER ELIGIBLE VETERANS (SEP 2010) 52.222-36 AFFIRMATIVE ACTION WORKERS W/DISABILITIES (OCT 2010) 52.222-37 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS OF THE VIETNAM ERA & OTHER ELIGIBLE VETERANS (SEP 2010) 52-223-5 POLLUTION PREVENTION & RIGHT TO KNOW INFORMATION (MAY 2011) 52.223-6 DRUG-FREE WORKPLACE (MAY 2001) 52.224-1 PRIVACY ACT NOTIFICATION (APR 1984) 52.224-2 PRIVACY ACT (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT (DEC 2007) 52.227-2 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (DEC 2007) 52.227-14 RIGHTS IN DATA - GENERAL (DEC 2007) 52.228-7 INSURANCE - LIABILITY TO THIRD PERSONS (MAR 1996) 52.232-9 LIMITATION ON WITHHOLDING OF PAYMENTS (APR 1984) 52.232.20 LIMITATION OF COST (APR 1984) 52.232.22 LIMITATION OF FUNDS (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS (JAN 1986) 52.232-25 PROMPT PAYMENT (OCT 2008) 52.232-33 PAYMENT BY ELECTRONIC FUNDS TRANSFER -OTHER THAN CENTRAL CONTRACTOR REGISTRATION (OCT 2003) 52.232-38 SUBMISSION OF ELECTROINIC FUNDS TRANSFER INFORMATION WITH OFFER (MAY 1999) 52.233-1 DISPUTES (JUL 2002) 52.233-3 PROTEST AFTER AWARD (AUG 1996) -- ALTERNATE I (JUN 1985) 52-237-3 CONTINUITY OF SERVICES (JAN 1991) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS (APR 1984) 52.242-3 PENALTIES FOR UNALLOWABLE COSTS (MAY 2001) 52.242-4 CERTIFICATION OF FINAL INDIRECT COSTS (JAN 1997) 52.242-13 BANKRUPTCY (JUL 1995) 52.243-2 CHANGES - COST-REIMBURSEMENT (AUG 1987) - ALTERNATE 1 APR 1984 52.244-2 SUBCONTRACTS (OCT 2010) 52.244-5 COMPETITION IN SUBCONTRACTING (DEC 1996) 52.244-6 SUBCONTRACTS FOR COMMERCIAL ITEMS (DEC 2010) 52.246-25 LIMITATION OF LIABILITY - SERVICES (FEB 1997) 52.249-6 TERMINATION (COST-REIMBURSEMENT) (MAY 2004) 52.249-14 EXCUSABLE DELAYS (APR 1984) 52.253-1 COMPUTER GENERATED FORMS (JAN 1991) B. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CHAPTER 3) CLAUSES CLAUSE TITLE AND DATE 352.201-70 Paperwork Reduction Act JAN 2006 352.202-1 Definitions JAN 2006 352.224-70 Privacy Act JAN 2006 352.227-70 Publication and Publicity JAN 2006 352.228-7 Insurance-Liability to Third Persons DEC 1991 352.233-71 Litigation and Claims JAN 2006 352.242-70 Key Personnel JAN 2006 352.242-73 Withholding of Contract Payments JAN 2006 352.242-74 Final Decisions on Audit Findings APR 1984 352.270-1 Accessibility of Meetings, Conferences, and Seminars to Persons with Disabilities JAN 2001 352.242-71 Tobacco-free facilities JAN 2006 (End Section I) &emsp; SECTION J - LIST OF ATTACHMENTS J.1 The following attachments are made part of this solicitation: Attachment Title A Statement of Work B Billing Instructions C CPARS Contractor Performance Report D SF_LLL Disclosure Lobbying Activities E Past Performance F Certificate Of Current Cost and Pricing Data G Small Business Subcontract Plan (End of Section J) &emsp; SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS OR QUOTERS K.1 The Offeror makes the following Representations and Certifications as part of its proposal. RFP No.____________________________________ ___________________________________________ (Name of organization) ___________________________________________ (Signature of authorized individual) (Date) ____________________________________________ (Type name of authorized individual) TIN No. ____________________________________ DUNS No.____________________________________ Note: The penalty for knowingly and willingly making false statements in offers as prescribed in 18 U.S.C. 1001 is imprisonment not more than 5 years or, if the offense involves international or domestic terrorism (as defined in section 2331), imprisonment not more than 8 years, or both. If the matter relates to an offense under chapter 109A, 109B, 110, or 117, or section 1591, then the term of imprisonment imposed under this section shall not be more than 8 years. K.2. The Offeror certifies that it has registered at www.ccr.gov, as required by FAR clause 52.204-7 Central Contractor Registration (APR 2008). K.3 The Offeror certifies that under NAICS Code 541611, it qualifies as a (check all that apply)  Small business concern  Small disadvantaged business concern  Small disadvantaged business concern (8a Participant)  Women-owned small business concern  Veteran-owned small business concern  Service-disabled-veteran-owned small business concern  HUBZone small business &emsp; K.4 52.204-8 Annual Representations and Certifications (JAN 2011) (a)(1) If the clause at 52.204-7, Central Contractor Registration, is included in this solicitation, paragraph (b) of this provision applies. (2) If the clause at 52.204-7 is not included in this solicitation, and the Offeror is currently registered in CCR, and has completed the ORCA electronically, the Offeror may choose to use paragraph (b) instead of completing the corresponding individual representations and certifications in the solicitation. The Offeror shall indicate which option applies by checking one of the following boxes: [ ] (i) Paragraph (b) applies. [ ] (ii) Paragraph (b) does not apply and the Offeror has completed the individual representations and certifications in the solicitation. (b) The Offeror has completed the annual representations and certifications electronically via the Online Representations and Certifications Application (ORCA) website at http://orca.bpn.gov. After reviewing the ORCA database information, the Offeror verifies by submission of the offer that the representations and certifications currently posted electronically have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201); except for the changes identified below [Offeror to insert changes, identifying change by clause number, title, date]. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer. FAR Clause # Title Date Change ____________ _________ _____ _______ K.5 Contractor's Remittance or Check Mailing Address Indicate your firm's remittance or check mailing address below. {See FAR 52.232-34 Mandatory Information for Electronic Funds Transfer (MAY 1999 in Section G.6} ________________________________________________________________________________ ________________________________________________________________________________ K.6 Responsible Official(s) Who Can Negotiate and Receive Notification of an Improper Invoice and Answer Questions Regarding the Invoice Indicate below the responsible official(s) who can negotiate on behalf of the Contractor, and receive notification of an improper invoice and answer questions regarding the invoice (See FAR 52.232-25 Prompt Payment (OCT 2008). Name (Negotiator): _________________________________ Address: __________________________________________ Telephone Number: ________________________________, and Name (Payment): __________________________________ Address: _________________________________________ Telephone Number: ________________________________ K.7 52.203-11 Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions The Offeror should use Standard Form LLL, "Disclosure of Lobbying Activities", which can be downloaded from the following link: (see Section J, Attachment D) http://www.thompson.com/libraries/grantmanage/sass/free_reports/sassnews.html in accordance with FAR 52.203-11 entitled, Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions (SEP 2007). (End of Section K) SECTION L - INSTRUCTIONS, CONDITIONS AND NOTICES TO OFFERORS L.1. General Instructions L.1.1. Your attention is directed to the requirements for technical and business proposals information to be submitted in accordance with the following instructions establishing the acceptable minimum requirements for the format and content of proposals. L.1.2. Technical and business proposals information must be submitted separately and clearly labeled. Each of these parts shall be separate and complete in itself so that the evaluation of one may be accomplished independently of the evaluation of the other. Volume I-Technical Proposal must not contain references to cost; however, resource information such as data concerning labor hours and categories, materials, subcontracts, past performance, etc., must be contained in the technical proposal so that your understanding of the statement of work may be evaluated. It must disclose your technical approach in sufficient detail to provide a clear and concise presentation that includes, but is not limited to, the requirements of the technical proposal instructions. Volume I must include a statement indicating whether or not any exceptions are taken to the terms and conditions of the request for proposal (RFP) as part of the proposal transmittal letter. Any exceptions taken must include identification of the specific paragraphs and rationale for each exception. Exceptions shall also be noted in the proposal, at the location of the exception. Proposal must be completed at the time of proposal submission. Failure to submit a complete proposal at the time proposals are due may result in the exclusion of your proposal from further consideration by the Government for award of a contract. The proposal shall be submitted in two (2) volumes as outlined below: Volume Title I Technical Proposal II Business Proposal Administrative & Proposed Contractual Documents-Section K of this Solicitation (Representations, Certifications, and Other Statements of Offeror), Rate Agreements, Salary Documentation, etc. L.1.3. You must submit your proposal as stated below to be considered responsive to this RFP (no exceptions). The proposal must be signed by an official authorized to bind your organization and must be submitted by June 27, 2012, 10:00 a.m. (EST). Submit 1original and 4 copies of Volume I-Technical Proposal and Volume II-Business Proposal (please submit electronic copies) to: Department of Health Resources and Services Administration Office of Acquisition Management and Policy 5600 Fishers Lane, 13A-43, Room: 14 Rockville, Maryland 20857 Attention: Hanif S. Abdul-Amin, RFP 12-250-SOL-00079 Note: Due to increased security measures at federal buildings, please allow extra time for your proposal to be delivered to the contracting office in room 13A-43 of the Parklawn Building. All proposals must be delivered through the loading dock located in the rear of the building on Parklawn drive. After packages have been scanned, Offerors will be instructed to call 301-443-2750 or 301-443-1433 to gain access to the building. Proposal must be delivered by the designated date and time specified. Failure to use the specified address could result in your proposal being delivered late. If using a local courier service, please ensure that the service has current access to the building. L.1.4. Proposals shall be submitted in 3-ring binders, single spaced, printed on 8.5 x 11 inch paper, paginated front to back, 12 inch font (Times New Roman), 1 inch margins, with a searchable copy of the technical proposal (MS Word Version 2003 or later) and business proposal (MS Excel Version 2003 or later). Each page shall be numbered and each volume shall be tabbed to correspond to the table of contents. The Offeror may include 11 x 17 inch foldouts only to display graphics, flow charts, organizational charts, or drawings. L.1.5. Where data and/or information appears in one part, it does not have to be repeated in any other part; however, it shall be cross referenced by indicating the specific location including the volume and page number as a minimum. The clarity, relevance, and conciseness of the proposal is important, not the length. L.1.6. The Government will evaluate proposals in accordance with the evaluation criteria set forth in Section M of this RFP. It is understood that your proposal may become part of the official contract file. L.1.7. This RFP does not commit the Government to pay any cost for the preparing and submitting proposal. In addition, the Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds in connection with this proposed acquisition. L.1.8. HHS's or HRSA's letterhead and/or logo should not be included in the Offeror's proposal. The Offeror's proposals also should not include quotes from past performance ratings. L.2. Inquiries All questions and/or inquiries concerning this solicitation must be submitted in writing via fax at 301-443-5462 or email at habdul-amin@hrsa.gov by 10:00 am EST, June 4, 2012 to the attention of Hanif S. Abdul-Amin, Contract Administrator. Questions submitted after the due date will not be accepted. Any resulting addition, deletion, or change to the RFP document will be made by issuing a formal amendment, which may be downloaded from http://www.fedbizopps.gov. Offerors are instructed specifically to contact only the issuing contract office in connection with any aspect of this requirement prior to contract award. L.3. Alternate Technical Proposals You may, at its discretion, submit alternate proposals, or proposals that deviate from the requirements, as stated in the statement of work; provided, that you also submit a proposal for performance of the work as specified in the statement of work. Alternate proposals may be considered if overall performance would be improved and not compromised, and if they are in the best interests of the Government. Alternate proposals must be separate, distinct, stand-alone proposals that can be evaluated based on the technical evaluation criteria specified in Section M. Supplemental proposals that are submitted as alternate technical proposals, but that must be evaluated in conjunction with your original technical proposal, are not considered stand-alone proposals and will not be considered for award purposes. All alternate technical proposals that deviate from the requirements must be clearly identified. &emsp; L.4. Technical Proposal Instructions - Volume I L.4.1. The Offeror's proposal must stipulate that it is predicated upon all the terms and conditions of this RFP. In addition, it must contain a statement to the effect that it is firm for a period of at least 180 days from the date of receipt by the Government. The Offeror must submit proposals and data comprehensive enough to provide the basis for a sound evaluation. The data and information should be precise, factual, and responsive and shall be keyed to each paragraph of the technical proposal requirements as outlined below. L.4.2. A detailed project plan must be submitted indicating how each aspect of the statement of work is to be accomplished. Your technical approach should be in as much detail as you consider necessary to fully explain your proposed technical approach or method. The technical proposal should reflect a clear understanding of the nature of the work being undertaken. L.4.3. The technical proposal must include information on how the project is to be organized, staffed, and managed. Information should be provided which will demonstrate your understanding and management of important events or tasks. You must explain how the management and coordination of consultant and/or subcontractor efforts will be accomplished. L.4.4. The technical proposal must contain a discussion of present or proposed facilities and equipment, which will be used in the performance of the contract. L.4.5. In order to establish uniformity, proposals must be organized in the following sections: A. STATEMENT AND UNDERSTANDING OF THE PROJECT PURPOSE B. SOUNDNESS OF TECHNICAL APPROACH C. PERSONNEL D. MANAGEMENT PLAN E. ORGANIZATION EXPERIENCE F. PAST PERFORMANCE L.4.6. The technical proposal shall not exceed 150 single-spaced pages, including resumes and other required appendices. Offerors are advised to strictly observe limitations on the length and format specified since review of the proposal will be limited to 150 pages. The content and each section must include the following: The technical proposal content shall include, but need not be limited to, the following: A. STATEMENT AND UNDERSTANDING OF THE PROJECT PURPOSE The proposal shall provide a statement of purpose, scope, and problems of the project in the offeror's own words to demonstrate his/her complete understanding of the intent and requirements. B. SOUNDNESS OF TECHNICAL APPROACH a. The proposal shall fully describe the proposed technical approach to meet each of the requirements specified under the Description and Scope of Work. The following items shall be covered: i. A detailed description of the content of each task and subtask to be performed to achieve the project objectives in the offeror's own words. ii. A discussion of the process or methodology to be used for individual tasks or subtasks. Creativity, appropriateness, cause and efficiency of use of resources will be important review criteria. iii. A statement of the extent to which the proposed technical approach may be expected to meet or to exceed the requirements and specifications of the technical scope and a discussion of anticipated major problem areas, together with potential approaches to their solution. iv. A clear delineation of the deliverables and products to be created for this project. C. PERSONNEL a. The proposal shall specify the professional capabilities necessary for the project and provide a resume of each of the professional persons who will perform on the contract. Resumes are to describe how, through experiences, education, and training, the professional persons shall at least have the following capabilities: i. Knowledge of and experience with the children's hospitals participating in the CHGME PP and differing Medicare rules for non-children's hospitals. Experience in auditing unweighted and weighted resident FTE counts is preferred. ii. Knowledge of and experience with the audit of MCR/reimbursement functions for teaching hospitals. iii. Knowledge of and experience related to GME. D. MANAGEMENT PLAN a. The offeror shall: i. Submit a project work plan, time schedule, and person-loading matrix, including work to be performed and deliverables. ii. Describe the organization proposed for carrying out the project. iii. Designate key person who would serve as the day-to-day project director and as the day-to-day project manager if different from the project director, and as the official responsible for senior management oversight, if different from the project director. iv. Identify each project staff member and his/her responsibilities and time commitment on the project. Provide a table of organization showing the staff members' project relationships. Identify all professional persons who would spend significant time on the contract. v. Describe the involvement of consultants or subcontractors and specify arrangements to manage their roles. vi. Specify how the professional and support personnel employed under the contract will operate organizationally. The proposal must contain a staffing plan and a place of work, which identifies all the project team members responsible in each of the key areas, their organizational interrelationships and the specific application of their skills to the performance of the proposed tasks. vii. Provide a person-loading matrix, which displays person-days, which also shows the appropriate total and subtotals each individual shall contribute for the activities and indicate the person-days for which consultants or subcontractors may be responsible by task in the following: &emsp; Task Name Professional Person Days Total Time 1. 2. 3. 4. 5. Total Time by Person-Days E. ORGANIZATION EXPERIENCE a. Document the following expertise and experience: i. The proposal shall specify the corporate structure within which the project will operate and the general expertise on the subject area of the project. Provide a statement of the mission/purpose, general background, experience, and qualification of the organizational entity offering to conduct the work described in this contract. ii. The proposal shall specify the equipment available for each task, location, and space available for the project. iii. The offeror shall include clear synopses of prior studies that are relevant to the content and approaches of this project. Each synopsis should indicate the sponsor of the study, and the name, affiliation and phone number of a person who could be contacted for information about the prior work. iv. Ability to generate material in a timely and efficient manner. F. PAST PERFORMANCE The Offeror shall provide information on past performance on similar or relevant activities. L.5. BUSINESS PROPOSAL INSTRUCTIONS - VOLUME II The Offeror's business proposal shall consist of cost and pricing data and administrative and management data as follows: L.5.1. Cost and Pricing Data The Offeror must submit a cost proposal fully supported by cost and pricing data in sufficient detail to allow a complete analysis to establish that the proposed costs are reasonable and realistic. Cost and pricing data must be prepared with supporting attachments which satisfy the instructions and appropriate format prescribed in Table 15-2 of FAR Part 15 and the following specific requirements: a. Each labor category shall contain a breakdown of the estimated unburdened wage rate, fringe, overhead rates, general and administration (G&A) rate, profit and /or any other costs applicable under the accounting system utilized. b. For labor estimates, hourly rates shall be shown and the dates and periods to which rate increases apply should also be shown. The Offeror's policy concerning merit or cost-of-living increases shall be explained in detail. In order to verify proposed hourly rates, all Offerors must provide copies of actual payroll records for those individuals identified as direct labor. As an alternative, if actual payroll records are not available, the Chief Financial Officer, Controller, or primary individual in charge of accounting/finance shall provide a separate letter which shall identify and certify the proposed rates. c. Organizations shall provide a copy of their current negotiated indirect rate agreement with the Federal Government. If the organization does not have an established indirect cost rate, supporting information for any quoted rate shall be submitted including a description of cost allocation methodology used and justification with supporting documentation. Upon request, all Offerors, including those with negotiated rate agreements, shall be prepared to provide detailed information utilized in the development of the indirect cost pools and associated cost elements. L.5.2. Administrative and Management Data a. The Offeror, at a minimum, must submit the following information in sufficient detail to enable a complete analysis of the Offeror's management capabilities and responsibility: 1. Financial capability to perform the Statement of Work 2. Capability to meet delivery or performance schedules 3. Record of past performance as required in Section L.4.6.F. 4. Possession of necessary organizational experience and technical skills to perform the work, or the ability to obtain them 5. Possession of required facilities and equipment 6. Copy of the current agreement on indirect cost rates 7. Discussion on the extent of proposed subcontracting with small, disadvantaged, veteran-owned, service-disabled-veteran-owned, and woman-owned business enterprises (See Section J). b. The Offeror must stipulate that the proposal is predicated upon the terms and conditions of this RFP. In addition, the proposal must contain a statement to the effect that it is firm for a period of at least 180 days from the date of receipt by the Government. c. It is HHS policy that contractors provide all equipment and facilities necessary for performance of contracts. d. The Offeror must identify all Government-owned property in its possession and all property acquired from Federal funds, to which the Offeror has title that is proposed to be used in the performance of this contract. e. The management and control of Government-owned property must be in accordance with HHS Publication OS 74-115 entitled, "Control of Property in Possession of Contractors", a copy of which will be provided upon request. f. In order to determine the financial capability of the Offeror, the following information must be provided: 1. if applicable, the point of contact, name and address of the cognizant Government audit agency; 2. copy of the most recent audited financial statements; 3. copy of the most recent audit conducted in accordance with OMB A-133 or OMB A-21, if applicable; 4. a description of the Offeror's accounting system and established internal controls. The Offeror may be requested to provide a recent audit which indicates the acceptability of the accounting system and internal controls; and 5. any lines of credit and amounts established with lending institutions (actual letter shall be provided). The Offeror must have the financial capability to support the estimated yearly amount of the contract. The Offeror shall be prepared to answer questions concerning financial resources and working capital. g. Other pertinent business and administrative information may also be requested if the information is considered necessary for proposal evaluation. L.6. Representations and Certifications A completed and executed copy of Section K-Representations, Certifications and Other Statements of Offeror, must be included as part of your business proposal. L.7. Government Furnishing and Property It is not anticipated that accountable property will be acquired under this contract. Purchase of durable/accountable equipment/property under HRSA contracts is discouraged. The Offeror is expected to have all necessary equipment at time of award. For further information, refer to Section H, Special Contract Requirements - H.12. Government Furnished Property (GFP) and Access to Government Facilities. L.8. Smoke-Free Workplace HHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and to promote the prohibition of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 2001, prohibits smoking certain facilities or in some cases, any portion of a facility- in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. L.9. Award Without Discussions Offerors are advised that the Government may elect to make this award without discussions. If necessary, the Contracting Officer may conduct oral and/or written discussions with all firms that have a reasonable prospect of award and, therefore, are included in the competitive range. Because the Government may make award without discussions, the initial offer should contain the Offeror's best terms and prices. L.10. FAR 52.233-2 Service of Protest (AUG 1996) a. Protests, as defined in Section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the General Accounting Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from the Contracting Officer, Office of Acquisitions Management and Policy, 5600 Fisher Lane, Parklawn Building, Room 13A-43, Rockville, MD 20857. b. The copy of any protest shall be received in the office designated above within one day of filing a protest with GAO. L.11. FAR 52.252-1 Solicitation Provisions Incorporated by Reference (FEB 1998) This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. The Offeror is cautioned that the listed provisions may include blocks that must be completed by the Offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the Offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at http://www.arnet.gov/far/. Clause No. Title and Date 52.215-1 Instructions to Offerors - Competitive Acquisition (JAN 2004) 52.215-16 Facilities Capital Cost of Money (JUN 2003) 52.215-20 Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data (OCT 1997) Alternate IV (OCT 1997) (a) Exceptions from cost or pricing data. (1) In lieu of submitting cost or pricing data, Offerors may submit a written request for exception by submitting the information described in the following paragraphs. The Contracting Officer may require additional supporting information, but only to the extent necessary to determine whether an exception should be granted, and whether the price is fair and reasonable. (i) Identification of the law or regulation establishing the price offered. If the price is controlled under law by periodic rulings, reviews, or similar actions of a governmental body, attach a copy of the controlling document, unless it was previously submitted to the contracting office. (ii) Commercial item exception. For a commercial item exception, the Offeror shall submit, at minimum, information on prices at which the same item or similar items have previously been sold in the commercial market that is adequate for evaluating the reasonableness of the price for this acquisition. Such information may include- (A) For catalog items, a copy of or identification of the catalog and its date, or the appropriate pages for the offered items, or a statement that the catalog is on file in the buying office to which the proposal is being submitted. Provide a copy or describe current discount policies and price lists (published or unpublished), e.g., wholesale, original equipment manufacturer, or reseller. Also explain the basis of each offered price and its relationship to the established catalog price, including how the proposed price relates to the price of recent sales in quantities similar to the proposed quantities; (B) For market-priced items, the source and date or period of the market quotation or other basis for market price, the base amount, and applicable discounts. In addition, describe the nature of the market; (C) For items included on an active Federal Supply Service Multiple Award Schedule contract, proof that an exception has been granted for the schedule item. (D) The Offeror grants the Contracting Officer or an authorized representative the right to examine, at any time before award, books, records, documents, or other directly pertinent records to verify any request for an exception under this provision, and the reasonableness of price. For items priced using catalog or market prices, or law or regulation, access does not extend to cost or profit information or other data relevant solely to the offeror's determination of the prices to be offered in the catalog or marketplace. (iii) Requirements for cost or pricing data. If the offeror is not granted an exception from the requirement to submit cost or pricing data, the following applies: (1) The offeror shall prepare and submit cost or pricing data and supporting attachments in accordance with Table 15-2 of FAR 15.408. (2) As soon as practicable after agreement on price, but before contract award (except for unpriced actions such as letter contracts), the offeror shall submit a Certificate of Current Cost or Pricing Data, as prescribed by FAR 15.406-2. &emsp; 52.222-24 Preaward On-Site Equal Opportunity Compliance Evaluation (FEB 1999) 52.222-46 Evaluation of Compensation for Professional Employees (FEB 1993) (End of Section L) SECTION M - EVALUATION FACTORS FOR AWARD M.1. General In order for proposals to be considered acceptable and eligible for evaluation, they must be prepared in accordance with the instructions given in this RFP. Proposals which merely offer to conduct a program in accordance with the requirements of the Government's statement of work will not be eligible for an award. M2. Negotiations Offerors are advised that the Government may elect to evaluate proposals and award a contract without discussions with the Offeror(s). Therefore, the Offeror's initial proposal should contain the Offeror's best terms from a cost or price and technical standpoint. The Government also reserves the right to conduct discussions if the Contracting Officer determines them to be in the best interest of the Government. M.3. Selection of Offerors 1. The acceptability or unacceptability of the technical portion of each contract proposal will be based upon an evaluation by a technical review committee. The committee will evaluate each proposal in strict conformity to the evaluation criteria of the RFP (see Section L and M), utilizing point scores and written critiques. The committee may suggest that theContracting Officer request clarifying information from an Offeror. 2. The Government DOES NOT anticipate multiple awards will result from this solicitation. The Government reserves the right to make no award as a result of this RFP. In addition, the RFP may be amended if determined to be in the best interest of the Government. M.4. Award Criteria The Government will make an award to Offerors whose offer represents the best value to the Government, price and non-price factors considered. The technical proposal is significantly more important than price in the selection of the Contractor for this acquisition. In the event that the technical evaluation reveals that two or more offers are substantially equal in technical ability, then price will become the determining factor. M.5. Evaluation Criteria M.5.1. a. The merits of the proposal will be evaluated carefully using the following criteria and points as they relate to the content of the corresponding paragraphs of the Technical Proposal Instructions. b. Note: The following evaluation criteria (A-G), for a total of 100 points, will apply to your technical proposal which will be evaluated by a technical evaluation panel (TEP). In the case of an Offeror without a record of relevant past performance or for whom information on past performance is not available, the Offeror will not be evaluated favorably or unfavorably on past performance. If such a circumstance exists, the maximum number of points the offeror may receive for its technical proposal is 95 and the technical proposal will be evaluated on a scale of 0 to 95. If such a circumstance exists, all technical proposal scores will be converted to a percentage of the total points possible according to the applicable rating scale. The TEP will recommend technical acceptability or unacceptability of the proposal. M.5.2. Evaluation Criteria and Assigned Points The evaluation will be based on the demonstrated capabilities of the prospective Contractor in relation to the needs of the project as set forth in the RFP. The merits of the proposal will be evaluated carefully. The following criteria are those that will be applied in the evaluation of the technical proposal. The assigned weights for each factor are shown below: The proposal will be evaluated using the following criteria and weights as they relate to the content of the corresponding paragraphs of the TECHNICAL PROPOSAL INSTRUCTIONS. Evaluation Criteria Weight Task Sub-Task A. Statement and understanding of the project purpose. 5 B. Soundness of technical approach. 35 a. Detailed description of the content of tasks and subtasks to be performed. 15 b. Discussion of process or methodology for individual tasks or subtasks. 15 c. Plan of action specifying technical scope and approaches to major problem areas. 5 C. Personnel 35 a. Directly applicable experience of project manager and other key staff. 20 b. General capability and experience of staff designated to the COR. 15 D. Management Plan 15 a. Organizational structure and project management including involvement of any consultants 10 b. Phasing of tasks and manpower scheduling. 5 E. Organizational Experience 5 a. Corporate structure and experience. 5 F. Past Performance 5 a. similar or relevant activities 5 TOTAL 100 The Government may award this contract to the responsible offeror whose proposal, conforming to the solicitation, will be most advantageous to the Government, with paramount consideration being given to the evaluation of the technical proposal rather than cost or price. M.6. Cost Evaluation Estimated cost is not a numerically weighted factor. Proposed costs will be evaluated on the basis of cost realism, which is defined as the Offeror's ability to project costs which are realistic for the work to be performed and indicates that the Offeror understands the nature and extent of the work to be performed, is consistent with the various elements of the Offeror's technical proposal, and represents the best value to the Government for the life of the contract. &emsp; M.7 Evaluation of Option 52.217-5 Evaluation of Options (JUL 1990) Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interests, the Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation of options will not obligate the Government to exercise the option(s). (End Section M) &emsp; ATTACHMENT A Descriptions/Specifications/Statement of Work I. BACKGROUND In 1999, Congress passed the Healthcare Research and Quality Act, which established the Children's Hospital Graduate Medical Education (CHGME) Payment Program. The act was signed on December 6, 1999 and the legislation authorized the program for Federal fiscal year (FY) 2000 and FY 2001. On October 17, 2000, the Children's Health Act of 2000 amended the Healthcare Research and Quality Act of 1999 extending the CHGME Payment Program through FY 2005. Additional amendments to Section 340E of the Public Health Service Act affecting the CHGME Payment Program were made under Public Laws 108-490 and 109-307. The FY 2011 CHGME Payment Program appropriation provided GME support to fifty-five (55) children's hospitals in 30 states and territories and the District of Columbia, supporting more than 6,000 resident full-time equivalents (FTEs) training in these hospitals. Within the Department of Health and Human Services (DHHS), day-to-day program administration is managed by the Children Graduate Medical Education Training Branch (CHGMETB) of the Division of Medicine and Dentistry (DMD) in the Bureau of Health Professions with the Health Resources and Services Administration (HRSA). CHGME Payment Program statute, Public Law 109-307, mandates that the "Secretary (i.e., DHHS) shall determine any changes to the number of residents reported by a hospital in the [initial] application of the hospital for the current FY for both direct and indirect expense amounts." Therefore, prior to the end of the FY (September 30) for which children's hospitals have applied for CHGME Payment Program funding, the Secretary shall determine [reconcile] any changes to the resident FTE counts reported by a hospital in its initial application for the current FY, which will impact final payments made by the CHGME Payment Program to all eligible children's hospitals. Additional information on the CHGME Payment Program, including funding eligibility, application processes and forms, data sources, and deadlines can be found within the CHGME Payment Program application guidance provided within the program website, at http://bhpr.hrsa.gov/childrenshospitalgme/pdf/chgmefy10applicationguidance.pdf. In 2003, the CHGME Payment Program through the Federal acquisition process, awarded a contract to develop and implement a comprehensive methodology and protocol for assessing the resident FTE counts reported by children's hospitals participating in the CHGME Payment Program - the Resident FTE Assessment Program. The Resident FTE Assessment Program is designed to assess the resident FTE counts reported by all children's hospitals participating in the CHGME Payment Program irrespective of the type(s) of Medicare cost reports (MCRs) the hospitals' filed while assuring timely, consistent attention to the resolution of discrepancies for all participating children's hospitals and the maintenance of one unified system to account for the assessment of resident FTE counts for Medicare and CHGME Payment Program purposes. The current contract expires on September 30, 2012. II. SCOPE OF WORK The overall objective of this contract is to audit the unweighted and weighted resident FTE counts reported by children's hospitals in their initial applications for CHGME Payment Program funding as required under Public Law 109-307. The offeror shall complete the Resident FTE Assessment Program within a six-month period to allow the CHGME Payment Program to reconcile payments within the FY for which payments are being made. For FY 2013, the Resident FTE Assessment Program shall commence on October 1, 2012 and conclude no later than March 15, 2013. Each successive contract year has similar commencement and completion dates. This time frame significantly differs from the Medicare program, which provides for the resolution of data, including resident FTE counts, for a given MCR period to occur over several years following the hospital's filing of the subject MCR. Unlike the Medicare program, any changes to data, including resident FTE counts, reported by children's hospitals participating in the CHGME Payment Program affects the distribution of funding among all children's hospitals participating in the CHGME Payment Program. In addition, only thirty-eight (38) of the children's hospitals participating in the CHGME Payment Program filed full MCRs (i.e., report residents to Medicare on Centers for Medicaid and Medicare (CMS) 2552-96, Worksheet E-3, Part IV and Part VI), twelve (12) filed low- or no-utilization MCRs for all applicable years, and the remaining five (5) filed a combination of full and low- or no-utilization MCRs for all applicable years. Hence, it is imperative that inconsistencies and/or discrepancies related to resident FTE counts be resolved within this six-month period to allow for adjustment of CHGME Payment Program payments prior to the end of the FY. The CHGME Payment Program is statutorily tied to Section 1886 of the Social Security Act (SSA) as implemented by regulations at 42 CFR 413.75 through 413.83 and all CMS-related and CHGME Payment Program -specific rules and regulations regarding the determination of resident FTE counts for DME and IME payment purposes, except where otherwise noted. For this reason, children's hospitals participating in the CHGME Payment Program are expected to maintain, and be able to provide immediately upon request, documentation consistent with 42 CFR 413.75(d) in support of the resident FTE counts reflected in their initial applications for CHGME Payment Program funding. Furthermore, in accordance with Section 1886 of the SSA, the offeror shall assess the resident FTE counts and additional supporting documentation provided by the CHGME Payment Program and/or participating children's hospitals for all relevant MCR periods. To accomplish this, the offeror shall establish a methodology which utilizes the general methodology designed and implemented by CMS for auditing resident FTE counts claimed for Medicare payments, build upon work and data previously developed for Medicare and CHGME Payment Program purposes and have an established protocol to assure the coordination of effort and sharing of data between the CHGME Payment Program and Medicare programs. The offeror shall develop a comprehensive proposal that shall include a detailed description of the methodology and tools to be used to address the scope of the reviews, including activities, a staffing proposal and a timeframe for accomplishing the activities. The contractor shall maximize use of assessment tools that have been previously developed, are applicable for this scope of work, and/or can be adapted to the requirements of the CHGME Payment Program. The offeror's proposal shall include the above-mentioned program objectives and the following requirements: 1. incorporate the general methodology designed and implemented by CMS for auditing resident FTE counts claimed for Medicare payments; 2. apply the requirements as set forth in Section 1886 of the SSA as implemented at 42 CFR 413.75 through 413.83 to the review of documentation related to and the determination of resident FTEs assessed under the Resident FTE Assessment Program; 3. include flow charts demonstrating the contractor's understanding of and ability to execute the Resident FTE Assessment Program based on the contents of this RFC including how it will assess and handle the various types of MCRs filed by participating children's hospitals (i.e., full, low- or no-utilizations MCRs); 4. distinguish between children's hospitals that file full MCRs and those that file low- or no-utilization MCRs for purposes of minimizing duplication of efforts with respect to the assessment of FTE resident counts and minimizing public burden; 5. describe as separate processes the three types (or levels) of review and the tools to be used to perform the reviews (described below); 6. include a description of the processes to be followed, the activities to be performed, the timing of each activity, the notification and the resolution processes, the software to be used, and the sample work papers and reports to be completed after each review; 7. identify potential documentation requests (including source(s) and reasons); 8. obtain and build upon the work papers from prior Medicare audits and/or CHGME Payment Program assessments, where applicable, and include a protocol for the coordination of effort and sharing of data between the CHGME Payment Program and Medicare programs; 9. communicate and work closely with their Medicare counterparts to ensure that their findings are incorporated into the Medicare process, where applicable; 10. clearly delineate the type, the format and the content of reports that will be submitted to the contracting officer representative (COR); and 11. describe the system it will use for documenting and retaining the results of the review. The intent of the Resident FTE Assessment Program and this requirement is not to replace the work conducted by auditors on behalf of the Medicare program, but upon award of the this contract, but to use such audit results and build on them. As required by the CHGME legislative mandate, the offeror shall determine any changes to the resident FTE counts, initially reported to program and used to determine interim payment to children hospitals, within the FY time constraints mandated by CHGME Payment Program law. The final audited FTE resident counts will then be reported to hospitals and program and used to make the final payment determination for each of the children hospitals applying for funds. III. SPECIFIC REQUIREMENTS/TASKS TO BE PERFORMED Task 1: Post Award Meeting The contractor shall meet with the COR at the office of the COR within five (5) business days of the Effective Date of Contract (EDOC). A written agenda for the meeting shall be prepared by the Contractor and sent electronically to the COR three (3) days in advance of the meeting. Among the items on the agenda: 1. The contractor's proposal for audit, including the following items: 1.1.1 The logistics of the review process to be performed; 1.1.2 The key personnel in charge of project; 1.1.3 The names of various contract personnel (staffing); 1.1.4 Methodology for assessment of resident FTE counts; 1.1.5 Time frame for accomplishing the activities; and 1.1.6 Reporting requirements including, but not restricted to, format of monthly reports; 2. Review the work schedules 3. Plan for contractor coordination and communications with the COR 4. Answer any questions from the contractor. Task 2: Execute Resident FTE Assessment Program The Contractor shall implement the Resident FTE Assessment Program based on the approved methodology, auditing the resident FTE counts reported by children's hospitals in their initial applications for CHGME Payment Program funding for a given FY. The Resident FTE Assessment shall consist of three (3) levels (or types) of review (DCs, DRs, and FRs) and occur over a nearly 6-month period (October 1 - March 15) during the FY for which payments are being made. The Resident FTE Assessment Program shall be executed by the contractor as follows: The contractor shall propose the type or levels of review to be conducted, which shall depend primarily on whether a review was previously conducted by another agency/entity or by a fiscal intermediary for a particular MCR period. [Note to Offeror: For proposal purposes assume that seventy-five percent (75%) of the reviews are desk checks and the remaining twenty-five percent (25%) are desk reviews or field reviews). The actual number and types of reviews may vary during performance. The COR will identify and/or approve the type of reviews to be conducted.] The contractor shall ensure that all supporting documentation and related resident FTE counts comply with CMS and CHGME Payment Program requirements related to the documentation and counting of resident FTEs as set forth in Section 1886 of the SSA. &emsp; 2.1 Auditor Assignment Schedule The contractor shall assign a CHGME Payment Program-specific fiscal intermediary (FI) (hereinafter CHGME FI), to assess the resident FTE counts and supporting documentation related to each children's hospital participating in the CHGME Payment Program following a methodology approved by the COR. The contractor shall provide to the COR a spreadsheet (Excel format) with the names, organization, contact information, and hospital assignment(s) of all auditors and CHGME FI participating in the Resident FTE Assessment Program no later than October 7 of each cycle. The CHGME Payment Program recognizes that the CHGME FI assigned to a children's hospital for the Resident FTE Assessment Program may be different from the fiscal intermediary assigned to the children's hospital for the Medicare program (i.e., the CHGME FI may be from a different organization or a different person within the same organization). 2.2 Introductory Letter DCs and DRs shall commence on October 1 and be completed by January 21 of the same FY. The contractor shall send an introductory letter (hard copy or electronic copy) to all CHGME participating hospitals and the COR no later than October 15 of each cycle. The introductory letter shall include the name and contact information of the CHGME FI and a preliminary list of the information that shall be required from the hospital. 2.3 Desk Check (DC) The contractor shall perform a DC on (1) MCRs that have been settled by the Medicare Administrative Contractor (MAC) and are not in the process of being reopened and on (2) MCR periods previously been assessed by the CHGME FI. The assessment shall consist of comparing the resident FTE counts reflected in the most recent CHGME Payment Program application (Form HRSA 99-1) to (1) those reflected in the settled MCR, or (2) the CHGME FIs final resident assessment report from the previous application cycle. 2.3.1 For MCRs that have been settled by the MAC and are not in the process of being reopened the resident FTE assessment shall rely on the MAC's work papers for reconciliation. It is presumed by the CHGME Payment Program, that the MAC has already done a reasonable degree of verification for MCRs that have been settled by the MAC. If the resident FTE count on the settled MCR agrees with the resident FTE count reflected in the CHGME Payment Program application and there are no questions related to the MAC's work papers or the level of review conducted for Medicare purposes, then the contractor shall prepare a report summarizing the findings. 2.3.2 If, however, after reviewing the MAC's work papers the CHGME FI determines that the MCR was settled by the MAC without review for whatever reason the CHGME FI shall implement a DR following consultation with and approval from the COR. If Medicare re-opens a previously settled MCR, then that MCR as it relates to the CHGME Payment Program shall undergo a DR. 2.3.3 If a hospital filing a low- or no-utilization MCR has requested a reopening of a MCR period that was previously assessed by the CHGME FI, the CHGME FI shall implement a DR following consultation with and approval from the COR. Only the re-opened items shall be reviewed as part of the DR process. 2.4 Desk Review (DR) The Contractor shall conduct a DR on (1) MCRs that have been settled by the MAC and are in the process of being reopened; (2) MCRs that have not been settled by the MAC; (3) MCR periods that have not been previously assessed by a CHGME FI; and (4) MCR periods previously assessed by the CHGME FI with unresolved variances (e.g. DC with unresolved variances). The hospital's supporting documentation shall be reviewed for resident FTE count accuracy. 2.4.1 The Contractor, after consultation with the COR, shall notify each children's hospital concerning requested documentation. All documents shall be delivered to the contractor by children's hospitals participating in the CHGME Payment Program. The documentation shall be postmarked within ten (10) calendar days of receipt of the request (for documentation) from the contractor. The COR is to be notified by the contractor upon receipt of the requested documentation from each participating children's hospital. The contractor shall submit to the COR a list of the hospitals that submitted and those that did not submit their documentation and a copy of the checklist that summarizes the type of documentation requested and received from each of the children's hospitals. 2.4.2 Each DR shall begin with an assessment of supplied documentation to ensure acceptability for purposes of program review and completeness as necessary to determine resident FTE counts. The contractor, using email, shall notify the appropriate hospital representative (form HRSA 99, line 5) acknowledging receipt of the requested supporting documentation within three (3) calendar days. The acknowledgment shall include a checklist of the documents received. The documentation shall be examined to assess the number of weighted and unweighted resident FTEs. Where documentation is found to be either incomplete or information is irregularly reported, the hospital shall be notified of such deficiencies in a time period no less than ten (10) calendar days subsequent to the inception of the DR. Response from the hospital shall be required within five (5) calendar days. If the documentation, once revised, is still considered unacceptable, the contractor shall notify the hospital and the COR within five (5) calendar days. Hospitals notified shall have ten (10) calendar days to respond with completed/revised documentation. 2.5 Field Review (FR) A FR, which is the most intensive and costly of the three levels of review, is a resident FTE assessment conducted on the hospital site and focuses primarily on issues that could not be resolved during the DC and/or DR. FRs shall commence on or after November 1 of the subject FY and shall be completed by March 1 of the same FY. 2.5.1 The Contractor shall provide a proposal of which children's hospitals should receive planned FRs and shall include a detailed list of the specific triggers for each hospital included by no later than October 21 of subject FY. The contractor shall provide a proposal of which children's hospitals should receive responsive FRs and shall include a detailed list of the specific triggers for each hospital included within seven (7) days of identifying one or more specific triggers. The proposal shall include the following: the hospital name; the specific trigger(s); estimated beginning and ending date of audit; cost estimate for additional labor and expenses needed to conduct FR. 2.5.2 A FR shall be performed for one of the following three situations: 1) the children's hospital has an extremely large amount of documentation or is located in close proximity to CHGME FI home office; 2) the children's hospital has one or more specific trigger(s) identified in the previous year's audit; or 3) the children's hospital has issues that cannot be resolved during the current year's DC and/or DR. For reference purposes the first two types of FRs will be referred to as a planned FRs and the latter as a responsive FR. A list of specific triggers for FRs will be provided to the contractor by the COR upon commencement of the Resident FTE Assessment Program for each cycle. 2.5.3 The scope and level of the FR shall be determined through close collaboration with the COR. The COR or other CHGME Payment Program representatives may accompany the contractor on FRs. The COR shall be notified, in writing, of proposed travel for either planned or responsive FR within fifteen (15) business days from the date approval to perform FR is received from the COR. The final determination of the number, extent, and hospitals subject to FRs shall be determined mutually by the contractor and COR. 2.5.4 The determination of dates to begin the FR shall allow adequate preparation on the part of subject hospitals and personnel, and as such at least fifteen (15) business days shall be allowed between notification of the hospital that it shall be subject to FR (in writing) and commencement of the FR process. Alternatively, the hospital and contractor shall agree upon any date of mutual choosing. The FR shall be performed on-site at the hospital and affiliated institutions by the contractor. 2.5.5 Contractor shall hold an entrance conference on-site with each children's hospital approved for FR by the COR at the start of the hospital's FR, to establish administrative procedures and identify the contact person from the children's hospital to obtain supporting documentation and information during the FR. The contractor shall provide the COR with a 30-day advance notice of the time, place, and conference call-in information for all entrance conferences. It shall include a review of the materials requested when the hospital was informed of the FR. The COR or designated CHGMETB staff may attend or participate via conference call in the entrance conference. In addition, the contractor shall schedule an exit conference at this time though changes in dates may become necessary as agreed upon by contractor and subject hospital staff. 2.5.6 A FR shall include meetings with the hospital liaison as well as those responsible for the preparation of the documentation used in determination of FTE resident counts. The hospital shall have the appropriate personnel present or accessible, provide a work area for the contractor, advise the contractor of work hours and building access, provide time frames for conducting the review, and provide the contractor with appropriate contacts needed to perform the review. All objectives of the FR shall be met and the review shall be cross-referenced to the CHGME Payment Program application procedure and all conclusions shall be substantially supported. 2.5.7 The Contractor shall conduct a final exit conference with each children's hospital approved for FR by the COR at the end of the hospital's FR. The contractor shall provide the draft report to the hospital, identify adjustments, and discuss potential adjustments in the FTE counts, to inform the hospital of the next steps in the review process and the time frame for responding to any proposed adjustments. The contractor shall provide the COR with a 5-day advance notice of the time, place, and conference call-in information for all exit conferences. The COR or designated CHGMETB staff may attend or participate via conference call in the entrance conference. 2.6 Audit Completion Procedures for DC, DR, and FR 2.6.1 All calculated fields relating to the determination of resident FTE counts based upon the supplied documentation shall be examined for mathematical accuracy. Discrepancies that are clearly mathematical in nature shall be clarified with the hospital's representative where appropriate without further action once corrections and accompanying explanations are received in writing from the hospital's authorizing official. 2.6.2 The contractor shall develop, examine, and resolve overlap reports generated by the Intern and Resident Information System (IRIS) based upon IRIS or IRIS proxy data provided by each hospital. If the resident FTE count for a given MCR period as determined by the contractor agrees with the resident FTE count submitted on the CHGME Payment Program application, then the contractor shall prepare a report summarizing the findings. The summary shall be submitted to the COR for review on interim basis, as each is completed. 2.6.3 In some cases, determination of resident FTE counts by the contractor may differ from those reported in the initial application for CHGME Payment Program funding by the participating children's hospital. If it is determined that a hospital requires modifications of their resident FTE counts, the contractor shall attempt to resolve such conflicts directly with hospital personnel responsible for application preparation and program administration. The contractor shall suggest methods in their proposal to resolve conflicts in FTE resident counts including overlaps. The COR shall be apprised of all conflicts as well as the resolution of such conflicts. 2.6.4 Upon completion of the DC, DR, and FR, the contractor shall prepare the final Resident FTE Assessment Report for each hospital that applied for CHGME funding which shall include a summary of the results of the audit and illustrate the individual findings of the review, the inclusion of the latest salient information obtained from the hospital, and references to the appropriate law(s), regulation(s), or manual source(s) that support the adjustments to the resident FTE counts or cap adjustments that may need to be incorporated into a hospital's MCR. There shall be one hospital-specific summary report prepared for each children's hospital summarizing all DC, DR and FR activities, the number of resident FTEs assessed for each relevant MCR period, and hospital-specific recommendations to improve the process in future assessments. 2.6.5 The contractor shall prepare a summary report letter to each children hospital indicating the final hospital-specific results of the Resident FTE Assessment Program and indicate the status of all MCR periods reviewed for the reconciliation cycle under assessment: 1) within fifteen (15) business days of completion of the DC or DR, but no later than February 1 of each cycle; or 2) within fifteen (15)business days of completing of the FR, but no later than March 15 for each relevant MCR period. In preparing the report, the contractor shall consider all discussions and evidence provided by the hospitals in reaching its final conclusions. 2.6.6 All summary and final reports for DCs and DRs shall be submitted to the COR for examination and concurrence, on an interim basis no later than February 1 of each cycle or within fifteen (15) business days of the audit completion, whichever is earlier. 2.6.7 All summary, final reports, and conference reports (comprising details of the Entrance, Exit, and Final conferences) for FRs shall be submitted to the COR for examination and concurrence, on an interim basis no later than March 15 of the each cycle or within fifteen (15) business days of FR completion, whichever is earlier. All related contractor reports shall also be completed by this date. 2.6.8 All summary reports shall include a detailed explanation of the sampling methodology used to audit the resident FTE counts for each children hospital reviewed. 2.6.9 The Contractor shall notify the children's hospital's MAC, where applicable, of the results of the Resident FTE Assessment Program. The MAC notification shall include, at a minimum, a detailed summary of findings (by MCR period) and any related adjustment reports or work papers that may be required to support the incorporation of the Resident FTE Assessment results into the Medicare system. All final reports shall be subject to approval by the COR. 2.7 Audit Support Activities For each type of review (i.e., DC, DR, and FR) the contractor shall: 2.7.1 ensure the work papers for each audit performed are: prepared in accordance with GAGAS; thoroughly and systematically reviewed by a supervisor (by the contractor); and include all adjustments identified during the review. The hospitals shall be advised by the contractor of any proposed adjustments and given sufficient time to respond; 2.7.2 include a protocol and/or procedures for addressing, processing and/or handling of appeals in accordance with Section 1878 of the SSA as implemented at 42 CFR 413.75 through 413.83 to the Resident FTE Assessment Program is subject to interpretation (by each CHGME FI); 2.7.3 participate in and provide support, where appropriate, in PRRB proceedings related to the determination of resident FTE counts under the CHGME Payment Program Resident FTE Assessment Program. Although every effort shall be made to resolve disputes prior to the release of the CHGME FI's Resident FTE Assessment final report, hospitals dissatisfied with their final determination of FTE resident counts where the amount in controversy is greater than $10,000 may appeal to the Medicare Provider Reimbursement Review Board (PRRB); 2.7.4 identify common or potential errors (e.g., overlaps, non-allowable FTEs, part-time status, weighting, and non-provider/non-hospital settings) and provide a protocol for addressing and resolving such errors including errors affecting CHGME Payment Program and non-CHGME Payment Program participants; 2.7.5 identify and address potentially problematic, fraudulent, or inappropriate determinations of resident FTE counts and, if applicable, refer them to COR (and/or CMS or the MAC when the hospital files full MCRs); 2.7.6 ensure that the resident FTE counts reflected in form HRSA 99-1 of participating children's hospitals' applications for CHGME Payment Program are consistent with all applicable guidance, rules and regulations governing the determination of resident FTE counts; 2.7.7 ensure that children's hospitals participating in the CHGME Payment Program are held to the same standards (i.e., documentation requirements) irrespective of the independent auditor assigned to each participating hospital. This shall not preclude CHGME FIs from requesting additional information or clarification from participating children's hospitals on their resident FTE counts or supporting documentation; and 2.7.8 address and incorporate new CMS-related or CHGME Payment Program-specific statutory or programmatic changes affecting the assessment, documenting, or reporting of resident FTEs into the Resident FTE Assessment Program. Task 3: Monthly Progress Reports and Conference Calls The Contractor shall submit monthly progress reports containing information on activities carried out during the month, proposed scheduled hospital review dates, actual review completion dates, individual hospital results (including FTE resident counts), problem(s) encountered and their solutions, and hours of labor and expenditures by task. Details of hospital cost reports reviewed shall be included in these reports. These reports shall be due by the close of business on the 7 day of the month for activities performed during the prior month. The Contractor shall advise the COR, in writing, as soon as possible, of any matters coming to its attention during the course of the Resident FTE Assessment Program, which, in the contractor's opinion, indicate the need for additional examination or guidance. During the Resident FTE Assessment Program (from October 1 to March 15 of each FY), the contractor shall hold weekly conference calls with the COR to discuss any issues related to DCs, DRs, and/or FRs. Task 4: Annual IRIS data The Contractor shall provide a summary of audited IRIS data files from each hospital reviewed during the Resident FTE Assessment Program within 45 business days of audit completion. The specific data elements and file format in which the data shall be reported will be determined by the COR. Task 5: Methodology Report Update Prior to the commencement of the (new) application cycle (i.e., July 1) the contractor shall submit to the COR an updated methodology report (MR) in draft form reflecting any statutory changes, programmatic changes, and/or issues that arose during the Resident FTE Assessment or Medicare audits in the preceding 12-month period that may directly impact the Resident FTE Assessment Program. The COR will provide written comments related to the updated MR to the contractor by August 15. The contractor shall incorporate the COR's comments accordingly and return the MR to the COR for final approval. Upon final approval, by the COR, the contractor shall distribute the newly revised MR to the CHGME FIs prior to the commencement of the next Resident FTE Assessment cycle. Task 6: Resident FTE Assessment Program Fiscal Year End Summary Report Prior to the end of each FY for which payments are being made, the contractor shall prepare a Resident FTE Assessment Program Fiscal Year End Summary Report. The report shall include at a minimum, a summary of the assessment process, type and scope of reviews conducted, audit techniques used to complete the assessments (e.g., sampling), issues addressed, referral to the PRRB and outcomes, lessons learned, improvement items for future assessments (CHGME Payment Program and/or hospital-specific), impact (hospital specific and aggregated) of the Resident FTE Assessment Program on participating children's hospitals (e.g., changes in resident FTE counts) as well as cost benefit and effectiveness. As part of this report, the contractor shall summarize the number of resident FTEs claimed by children's hospitals during the initial application for CHGME Payment Program payments and the final audited resident FTE counts at the end of the audit process for each of the children's hospitals and for each of the MCR periods audited. Task 7: Develop, Organize, Facilitate, and/or Participate in CHGME Payment Program-Specific Conferences, Meetings, and Training Sessions At the request and approval of the COR, the contractor shall develop, organize and/or facilitate no more than 6 (either via web or in-person) CHGME Payment Program-specific training sessions for CHGME FIs and/or children's hospitals participating in the CHGME Payment Program and other interested parties. Training sessions may be held as needed and/or required to educate the CHGME FIs and/or participating children's hospitals (not to exceed sixty-five) about CHGME Payment Program-specific nuances and auditing requirements in order to successfully carry out the goals of this contract. The COR will inform the Contractor at least 15 days prior to an web-based training session and at least 45 days prior to an in-person training event. Topics addressed shall include, but are not limited to, statutory changes, programmatic changes, and issues that arose during the Resident FTE Assessment or Medicare audits that may directly impact the CHGME Payment Program, the Resident FTE Assessment Program, or its participants. At the request of the COR, the contractor shall participate in meetings and conferences initiated by the CHGME Payment Program including, but not limited to technical assistance conference calls with participating children's hospitals and public hearings. Task 8: Propose Intern Resident Information System (IRIS) Software Modification The Contractor shall provide a proposal on the modification of the current IRIS system to eliminate CHGME Payment Program dependency on the current DOS based software program, as utilized by the CMS to assess unweighted and weighted resident FTE count. The proposal shall include the most cost effective options for a modified system, as well as details on the methodology that would be used to transition seamlessly to an independent, updated system. The contractor shall provide the IRIS software modification proposal no later than September 30th of the base year. Task 9: Handling of Working Papers All working papers shall become the property of HRSA's CHGME Payment Program following completion of each hospital-specific resident FTE assessment and the contract as a whole. The contractor shall maintain files for each hospital that can assist in either explaining the results of the DCs, DRs and/or the FRs for a given CHGME Payment Program year, and for assessment of data submitted by CHGME Payment Program applicants in future years. The contract is restricted from publishing any of the audit findings without the written approval of the COR and HRSA's Office of Communications. HRSA is aware that the contractor shall develop and maintain electronic working papers for many of its review operations. While HRSA supports this methodology, the CHGME Payment Program reserves the right to approve of the type, format and the submission of electronic files. The COR will direct the contractor where and when to send the working papers prior to the completion of the contract. (End of SOW) ATTACHMENT B BILLING INSTRUCTIONS Billing instructions are applicable to all cost-reimbursement contracts. 1. INTRODUCTION These instructions reflect the standards of the Health Resource and Services Administration (HRSA) for adequately prepared vouchers or invoices. Prompt payment of your claims will be promoted by your compliance. All vouchers submitted under this contract are subject to audit; therefore, all costs claimed must be adequately supported by accounting records and other data that can be audited. 2. VOUCHER SUBMISSION A. Forms-In claiming reimbursement use: The Standard Form (SF) 1034, Public Voucher for Purchases and Services Other Than Personal (with continuation sheet SF 1035) Public Voucher for Purchases and Services Other Than Personal, which can be found at http://www.onr.navy.mil/02/024/forms. The billing content should include all applicable information contained below: Expenditure Category Incurred Cost Cost at Completion (k) Amount Funded (l Variance (m) Current (i) Cumulative (j) Direct Costs: (1) Direct Labor/Hourly Rate (2) Fringe Benefits (3) Accountable Property (4) Materials & Supplies (5) Premium pay -if applicable (6) Consultant Hourly Rate (7) Travel (8) Subcontracts (9) Other Total Direct Costs Overhead G&A Fixed Fee Total Amount Claimed Adjustments Grand Totals &emsp; B. Number of Copies-For submission purposes each voucher will be prepared in an original and two (2) copies. See Section G.4. for submission of invoices/vouchers information. C. Time for Submission-Vouchers may be submitted at the beginning of each calendar month for costs incurred during the preceding month. Costs incurred earlier than the preceding month, but not previously billed for, may be included, but the amount and month(s) in which such costs were incurred must be stated in the voucher. D. Resubmission of Costs-Costs resubmitted after suspension should be claimed in a separate public voucher and marked "Resubmission of Costs". E. Cost Incurrence Period-Costs must be incurred and the dates of the related "billed for" period must fall within the contract performance period as set forth in the original contract and any amendments thereof. F. Contractor's Fiscal Year-Vouchers should be prepared in such a manner that costs claimed can be associated or identified with the contractor's fiscal year. This will ensure proper application of an indirect cost rate(s) to the direct costs of a particular fiscal year. G. Supporting Documentation-Vouchers shall include all documents/receipts that support each cost incurred and claimed on the voucher. 3. PREPARATION GUIDE A. Completion of Form 1034 or Contractor Equivalent-On the Form 1034 or equivalent, the following information is required. Complete the blocks entitled: Voucher No., U.S. Department, Bureau, or Establishment and Location, Date Voucher Prepared, Contract Number and Date, Payee's Name and Address, Number and Date of Order, Date of Delivery of Service Articles or Services, Amount, and Total. Leave all other blocks blank. Instructions: • In block entitled, U.S. Department, Bureau or Establishment and Location enter: HHS/Health Resources and Services Administration Acquisitions Branch 5600 Fishers Lane, Room 13A-43 Rockville, MD 20857 • In block entitled, Payee's Name and Address, enter the name and address to which payment should be made, except in case of assignment of claims, and the address of the organization to which payments have been assigned. • In block entitled, Number and Date of Order, enter the number and date of the applicable order only if the billings are consequent to work assignments or task orders. • In block entitled, Date of Delivery or Service, enter the specific month/year, or months/year if quarterly. • In block entitled, Articles or Services, enter the following statement: "For reimbursement of costs incurred under Contract No ____________, as detailed in attachments." • In blocks entitled, Amount and Total, enter the total dollar amount of this billing. A. Completion of Summary of Expenditures-This page follows directly behind the Form SF 1034 and contains two main categories of information: 1) gross summary of costs by category showing amount previously claimed, amount claimed under this voucher, and cumulative through this voucher and 2) necessary certifications and signature. 1. Gross Summary-include only major categories of costs in the order illustrated. 2. Certifications and Signature are illustrated in Exhibit B. The Certification of Costs/Fee is mandatory; the Price Stabilization Certification is required only when called for in the Submission of Invoices and Place of Payment article of the contract. The next page in order should be the SF 1035. B. Completions of Form 1034-On the "Detail" Form 1035, provide a breakdown to support the total amount cited in both Form 1034 and Summary of Expenditures. The purpose of the detailed information is to assist the HRSA Contracting officer and program personnel in relating costs incurred to work performed. The several categories of cost will be itemized and described as follows: 1. Direct labor costs consist of salaries and wages paid for work performed directly for the contract and pursuant to its terms. Such labor costs (excluding fringe benefits and overtime premium pay) will be billed as follows: • Provide the job title or classification of the worker and provide for each classification: the number of hours worked, the hourly rate, and the total wage or salary. The name of the worker should be provided, but when a great number of routine workers are involved, the position classifications only will suffice. The cost of direct labor charged to the contract must be supported by time records maintained in the contractor's office; if salaries are involved, reasonable estimates on a post basis may be used in lieu of time records. 2. Fringe benefits are to be treated according to the contractor's established practice: • If fringe benefits, bonuses, etc. are included in the overhead pool, no specific entry is required. • Fringe benefits can be treated as direct costs, in which case enters the fringe benefits expressed as a percentage factor of the direct labor base or show the Actual Fringe Benefits cost. 3. Materials and supplies should include only those items that the contractor normally treats as "direct costs". Bill these costs under major classifications or categories such as office supplies, chemicals, electronics parts, etc., unless any one particular item within a class exceeds $300.00, in which case all such item(s) exceeding $300.00 must be specifically identified. Note: Under no circumstances shall any item of non-expendable equipment be included within these classifications (see 8 below). 4. Premium pay of any kind (including overtime) must be authorized by the Contracting Officer in advance. Billings for unauthorized premium pay cause frequent delays in payment due to suspensions and exchange of correspondence. Generally such pay is not included in the direct labor base and should not be included in the billing for "direct labor" unless the contractor has consistently followed this practice in the past as a matter of policy. Make entries as follows: 1. In Summary of Expenditures -List as a single item. 2. In SF 1035-itemize for each position or job category referencing the Contracting Officer's (CO) letter of authorization. Note on Special Authorizations: According to the contract, certain costs require specific authorization in writing by the CO. Whenever, the voucher includes costs pursuant to CO authorization, include for example, the reference: "CO letter (date)" or "approval number 57/74/115" if the CO cites said number in his letter. 5. Travel, as authorized by the contract, shall include the following in the SF 1035. a. Travel by contractor shall provide: • Name of traveler or title • Dates of departure and return to departure point • Transportation costs  If claim for subsistence is on per diem basis, show number of days, rate, and amount, as authorized in contract. If claim is based on actual cost of subsistence, show on a daily basis the amounts claimed for lodging and meals separately.  References to Contracting Officer's letter of authorization if approval is necessary b. Travel by consultants shall provide detail similar to contractor travel above. 6. Consultant fees must reflect each consultant's name, daily honorarium, and number of days claimed. Travel for consultants (if applicable) must be itemized separately. 7. Subcontract requires the name of each subcontractor involved and the dollar amount claimed. Costs claimed by cost reimbursement subcontractors must be on an "as incurred" basis and subcontractor backup information similar to the SF 1035 must be obtained and attached for each subcontractor. 8. Equipment is an article of personal property, complete in itself, that is of a durable nature with an expected service life of one year or more. Equipment does not ordinarily lose its identity or become a component part of another article when put to use. For the purposes of invoicing and reporting under HRSA contracts, the definition of non-expendable property and equipment are equivalent because the HRSA definition of non-expendable property does not include a dollar limitation. (The standard definition of "non-expendable property" considers items costing $200.00 or more-excluding transportation, installation, taxes-with a useful life of a year or more and property sensitive to conversation to private use (no cost limit). Therefore, when billing for non-expendable property (equipment) costs, the Contractor must attach live (5) copies of a completed form, HEW 565 Report of Non-expendable Government Property in Possession of Contractor, to the original invoice copy. The Contractor will retain the sixth copy. Only that property being billed for during the applicable billing period shall be included in the HEW 565. In addition, one (1) copy of each vendor invoice covering purchased property shall be attached to the original invoice. 9. Overhead will be charged at provisional rates resulting from audit determination and\or negotiation. Provisional rates will apply pending the establishment of final negotiated overhead rates for the contractor's fiscal year. 10. Other direct costs are minor costs that cannot be placed within any of the categories listed above. Identify by categories to the extent both possible and reasonable. 11. Fixed fee, when applicable, should be billed by prorating the negotiated total fixed fee to costs incurred. Applying a fee percentage to the fee base will achieve this effect. Refer to the contract provisions for guidance. VOUCHER SUBMISSION ADDRESS: Submit one copy to: Contracting Officer Representative: Parklawn Building, Room 9A-___ 5600 Fishers Lane Rockville, Maryland 20857 Submit one original and one copy to: HRSA/Office of Acquisition Management and Policy/DCS-3 Parklawn Building, Room 13A-43 5600 Fishers Lane Rockville, Maryland 20857 ATTACHMENT C-CONTRACTOR PERFORMANCE REPORT { } INTERIM { } FINAL REPORT PERIOD: FROM: _____________________TO: _____________________ Contractor Name and Address: Contract Number: Contract Value: $ Contract Award Date: Contract Completion Date: How Awarded: { } Competitive { } Noncompetitive { } 8(a) { } Buy-Indian { } Small Business Set-Aside { } Sealed Bid { } Negotiated Type of Contract: (Check all that apply) -- [ ] FP; [ ] FPI; [ ] FP-EPA; [ ] Award-Fee; [ ] CPFF - Completion; [ ] CPFF-Term; [ ] CPIF; [ ] ID/IQ; [ ] BOA; [ ] Requirements; [ ] Labor-Hour; [ ] T&M; [ ] SBIR Description of Requirement: Quality of Service or Product: Comments: Rating: Cost Control: Comments: Rating: Timeliness of Performance: Comments: Rating: Customer Satisfaction/ Business Relations (Project Officer): Comments: Rating: Customer Satisfaction/ Business Relations (End User): Comments: (No individual score required - include in Customer Satisfaction/Business Relations Above) Key Personnel: Project Manager - Name: Dates of Employment: From: To: Present Other - Personnel Name: Dates of Employment: From: To: Present Name: Dates of Employment: From: To: Present Name: Dates of Employment: From: To: Present Comments: (No score required for this element - include in other elements as appropriate) Was the contractor: { } Terminated for Default? { } Terminated for Convenience? { } Partial { } Complete Comments: Would you select this contractor again? { } Yes { } No Comments: Subcontracting: List subcontracting company names (where more than 10% of the work required under the contract was completed by a subcontractor): Company: Project Manager: Phone number: Company: Project Manager: Phone number: Company: Project Manager: Phone number: Company: Project Manager: Phone number: Comments:_____________________________________________________ (Please attach additional sheets as necessary) Rating: Element Score (Raw score) - (1-5): Customer Satisfaction/ Quality Cost Control Timeliness Business Relations: Mean Raw Score (average of individual elements): ------------------------------------------------------------------------------------------------------------------------- Rating Officials: Project Officer: Name: Phone number: Signature: Date: Contract Specialist: Name: Phone number: Signature: Date: Contracting Officer: Name: Phone number: Signature:________________________ Date:_____________ Contractor Review: Date mailed to Contractor: Date returned: Comments provided: { } Yes { } No Name of Contractor's Representative: Title: Phone number: Signature: Date: ___________ Agency Review (A level above the Contracting Officer): { } Yes { } No { } Not Required If review required, attach comments and final rating. Otherwise, mean raw score will serve as final rating. Reviewer's Name: Title: Signature: Date: &emsp; INSTRUCTIONS Block 1 - Name/Address of Contractor: Self-explanatory. Block 2 - Type of Report: Indicate type of report. Note that Contractor Performance Assessment Reporting System (CPARS) reports are generally not cumulative, but should assess only the performance since the previous report. Initial - Required only if Period of Performance is greater than 365 days (otherwise, only Final report is necessary). Should cover no more than 12 months of actual performance, but period may begin after award date in case of protests or delayed starts. Intermediate - Required every 12 months after Initial report, upon change in program/project management responsibility, or transfer of contract award to a different contracting activity. Also recommended upon change in Assessing Official (AO). Final - Required at contract completion or termination. Out-of-Cycle - Written only if there is a significant change in performance since the last report, at Government's discretion or request of contractor. Address only the areas in which performance has changed. No more than 2 CPARS should be completed in a single year. Addendum - Written at Government's discretion to evaluate close-out, warranty performance, or other administrative requirements. Block 3 - Period of Performance: Use MM/DD/YYYY format. Initial period of performance should not cover less than six months of actual performance. Delayed Starts, Protests, or Phase-In Periods - Initial reporting period may be more than twelve months from date of contract award in case of delayed starts or protests, but should cover only twelve months of actual performance. Initial reports covering more that twelve months of performance, such as for phase-in periods, must be approved by the CPAR Focal Point and coordinated with the contractor. Intermediate/Final Reports - Should cover a twelve month period of performance. Exceptions for special circumstances must be approved by the CPAR Focal Point. Out-of-Cycle Reports - Should only cover the time period which overlaps the regularly scheduled performance period and demonstrates a significant change in performance which alters the assessment in one or more areas since the last performance period. Block 4 - Contract Information: Use the contract number as identified on the contract, except in the case of Basic Ordering Agreements (BOA), Blanket Purchasing Agreements (BPA), General Services Administration (GSA) schedule, and other service/agency orders. If an order/call is issued under a BOA, BPA, GSA schedule, or other service/agency contract/agreement, the contract number in CPARS should match the master contract number. The order number field should be used to reflect the contract/schedule/agreement number for the order/call. Block 5 - Contracting Office: Enter our Government Contracting Office number, 00250. Block 6 - Location of Contract Performance: Self-explanatory. Block 7a-b - Contracting Officer and Phone Number: Self-explanatory. Block 8a-b - Award Date and Effective Date: The Award Date is the date the contract award is made, while the Effective Date is the date performance actually begins. Block 9 - Completion Date: Enter last possible date of contract performance (e.g., the last calendar day of the last option period). Block 10 - N/A Block 11 - Awarded Value: Enter the total value of the contract, including unexercised options. For delivery/task order contracts where orders will be assessed under a single CPAR, enter the maximum ordering amount under the contract, including options. For delivery/task order contracts where orders will be assessed on an individual basis, enter the awarded value of the individual order. For BOAs/BPAs where orders/calls will be assessed individually, enter the awarded value of the individual order. Block 12 - Current Contract Dollar Value: Enter the current obligated amount including modifications and options that have been exercised. For incentive contracts, state the target price or total estimated amount. For delivery/task/job order contracts where orders will be assessed under a single CPAR, state the total amount obligated on all delivery orders, including modifications. For delivery/task/job order contracts where orders will be assessed on an individual bases, state the current obligated amount of the individual order, including modifications. For BOAs/BPAs where orders will be assessed individually, state the current obligated amount of the individual order, including modifications. Block 13 - Basis of Award: Enter "Competitive" or "Non-competitive" (i.e., if sole-sourced with justification, or under the dollar threshold). If for a single order/call, enter basis of award for that order/call. Block 14 - Contract Type: Enter contract type (for example, CR, FFP, LH, etc.), and enter predominant contract type followed by secondary type, if any. Block 15 - Key Subcontractors: Identify subcontractor(s) performing either a critical aspect of the contracted effort or more than 25% of the dollar value of the effort. If possible, include the amount of subcontract costs of the total contract effort. If more than two key subcontractors, attach additional page(s). Block 16 - Program Title and Phase of Acquisition: Provide a descriptive narrative of the program. Spell out all abbreviations and acronyms. Identify the type of services (for example, professional services, maintenance, installation, or information technology services). Block 17 - Contract Effort Description: Provide a description of the contract effort that identifies the key requirements and/or type of effort. This section is of critical importance to future source selection officials; the description should be detailed enough so that it can be used in determining the relevance of this program to future source selections. It is important to address the complexity of the contract effort and the overall technical risk associated with accomplishing the effort. Ensure acronyms are identified. For task/delivery order contracts, state the number of orders issued during the period. Block 17a - Small Business Utilization: Answer all questions in spaces provided; enter "N/A" if not applicable. Block 18 - Evaluation Areas: Evaluate each area based on the following criteria: 1. Each area assessment must be supported by objective data (or subjective observations) in narrative form in the "Comments" section. Facts to support specific areas of evaluation must be supported by the Contracting Officer's Technical Representative (COR). 2. The amount of risk inherent in the effort should be recognized as a significant factor and taken into account when assessing the contractor's performance. When a contractor identifies significant technical risk and takes action to abate those risks, the effectiveness of these actions should be included in the comments supporting the Block 18 ratings. 3. The CPAR is designed to assess prime contractor performance only. In those evaluation areas where subcontractor actions have significantly influenced the prime contractor's performance in a negative or positive way, record the subcontractor actions in Block 20. 4. Evaluate all areas which pertain to the contract under evaluation; any area which does not pertain to the contract should be marked not applicable ("N/A"). 5. When performance has changed from one period to another such that a change in ratings results, the narrative in Block 20 must address each change. 6. The Assessing Official should use customary industry quantitative measures where they are applicable if the contract is for commercial products. 7. Ratings will be in accordance with the following definitions in Attachment B. Block 18a - Quality of Product or Service: Assess the contractor's conformance to contract requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards). List and assess any sub-elements to indicate different efforts where appropriate. Include, as applicable, information on the following: • Are reports/data accurate? • Does the product or service provided meet the specifications of the contract? • Does the contractor's work measure up to commonly accepted technical or professional standards? • What degree of Government technical direction was required to solve problems that arise during performance? Block 18b - Schedule: Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or affect the schedule variance). This assessment of the contractor's adherence to the required delivery schedule should include the contractor's efforts during the assessment period that contributes to or affect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should, therefore, be noted in the evaluation. Block 18c - Cost Control (Not required for Firm-Fixed Price or Firm-Fixed Price with Economic Price Adjustment): Assess the contractor's effectiveness in forecasting, managing, and controlling contract cost. Include, as applicable, the following information: • Does the contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? • Did the contractor do anything innovative that resulted in cost savings? • Were billings current, accurate and complete? • Are the contractor's budgetary internal controls adequate? Assessment information regarding performance under an Undefinitized Contractual Action (UCA) shall be included in the annual evaluation. If the final negotiated contract type is not a cost-type, cost information for the period the UCA was in effect shall be included under the cost element. The contractor's performance under the UCA shall be separately identified but considered in the overall annual ratings. Block 18d - Business Relations: Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor's history of reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts. Include, as applicable, information on the following: • Is the contractor customer service oriented? • Is interaction between the contractor and the government satisfactory or does it need improvement? • Include the adequacy of the contractor's accounting, billing, and estimating systems and the contractor's management of Government Furnished Property (GFP) if a substantial amount of GFP has been provided to the contractor under the contract. • Address the timeliness of awards to subcontractors and management of subcontractors, including subcontract costs. Consider efforts taken to ensure early identification of subcontract problems and the timely application of corporate resources to preclude subcontract problems from impacting overall prime contractor performance. • Assess the prime contractor's effort devoted to managing subcontracts and whether subcontractors were an integral part of the contractor's team. Block 18e - Management of Key Personnel: Assess the contractor's performance in selecting, retaining, supporting, and replacing, when necessary, key personnel. For example: • How well did the contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? • Did the contractor support key personnel so they were able to work effectively? • If a key person did not perform well, what action was taken by the contractor to correct this? • If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule? Block 18f - Utilization of Small Business: If award is to other than a small business, FAR Subpart 19.7 and 15 U.S.C. 637 contains statutory requirements for complying with the Small Business Subcontracting Program. Assess whether the contractor provided maximum practicable opportunity for Small Business (including Alaska Native Corporations (ANCs) and Indian Tribes) (including Small Disadvantaged Businesses (which also includes ANCs and Indian Tribes), Women Owned Small Businesses, HUBZone, Veteran Owned, Service Disabled Veteran Owned Small Business, Historically Black Colleges and Minority Institutions and ANCs and Indian Tribes that are not Small Disadvantaged Businesses or Small Businesses) to participate in contract performance consistent with efficient performance of the contract. • Assess compliance with all terms and conditions in the contract relating to Small Business participation (including FAR 52.219-8, Utilization of Small Businesses and FAR 52.219-9, Small Business Subcontracting Plan (when required) and DFARS 252.219-7003 (deviation), Small Business Subcontracting Plan (DoD Contracts). Where applicable, assess compliance with DoD comprehensive subcontracting plan (DFARS 252.219-7004 (deviation), Small Business Subcontracting Plan (Test Program)) including any program specific data required in the contract. Assess any small business participation goals which are stated separately in the contract (DFARS 215.304.) Assess achievement on each individual goal stated within the contract or subcontracting plan including good faith effort if the goal was not achieved. • It may be necessary to seek input from the Small Business specialist, Administrative Contracting Officer (ACO) or Procuring Contracting Officer (PCO) in regards to the contractor's compliance with these criteria, especially when a comprehensive plan is submitted. In cases where the contractor has a comprehensive subcontracting plan, request Comprehensive Subcontracting Plan Manager to provide input including any program specific performance information. • For contracts subject to a commercial subcontracting plan, the Utilization of Small Business factor should be rated "satisfactory" as long as an approved plan remains in place, unless liquidated damages have been assessed by the contracting officer who approved the commercial plan (see FAR 19.705-7(h)). In such case, the Utilization of Small Business area must be rated "unsatisfactory". • This area must be rated for all contracts and task orders that contain a small business subcontracting goal. • Ratings will be in accordance with definitions described in Attachment 2, "Evaluation Ratings Definitions (Utilization of Small Business)." • In accordance FAR 19.705-2(e) a contract may have no more than one subcontracting plan. Evaluations of the utilization of small business are required for contracts and orders placed against basic ordering agreement (BOA) and blanket purchase agreement (BPA) if a subcontracting plan is required. Evaluations of utilization of small business for single-agency task orders and delivery orders (to include Federal Supply Service (FSS)) are not required and shall not be accomplished unless the contracting officer determines that such evaluations would produce more useful past performance information for source selection officials than that contained in the overall contract evaluation. Execution of any subcontracting plan may be addressed in block 20. Block 18g - Other Areas: Specify additional evaluation areas that are unique to the contract, or that cannot be captured elsewhere on the form. More than one type of entry may be included, but should be separately labeled. If extra space is needed, use Block 20. • If the contract contains an award fee clause, enter "award fee" in the "Other Areas" Block (18g). The Assessing Official (AO) should translate the award fee earned to adjectival ratings which could prove more useful for using past performance to assess future performance risk in upcoming source selections. If award fee information is included in the CPAR, use Block 20 to provide a description for each award fee. Include the scope of the award fee by describing the extent to which it covers the total range of contract performance activities, or is restricted to certain elements of the contract. • If any other type of contract incentive is included in the contract (excluding contract shareline incentives on fixed price or cost-type contracts), it should be reported in a manner similar to the procedures described above for award fee (by entering "Incentive" in Block 18g). • Use Block 18g in those instances where an aspect of the contractor's performance does not fit into any of the other blocks on the form. Block 19 - N/A Block 20 - Assessing Official Narrative: A factual narrative is required for all assessments regardless of rating. Cross-reference the comments in Block 20 to their corresponding evaluation area in Block 18. Each narrative statement in support of the area assessment must contain objective data. An exceptional cost performance assessment could, for example, cite the current underrun dollar value and estimate at completion. A marginal assessment could, for example, be supported by information concerning personnel changes or schedule delinquency rate. Key personnel familiar with the effort may have been replaced by less experienced personnel. Sources of the data used by the AO for the assessment may include customer/field surveys or evaluation of contractor reports. The Contracting Officer should be contacted to ensure that all applicable data has been incorporated. Block 20 comments may be up to 16,000 characters (approximately three pages) in the CPARS Automated Information System (AIS). • The AO must choose the applicable choice to the following statement after Block 20: "Given what I know today about the contractor's ability to execute what he promised in his proposal, I (definitely would not, probably would not, might or might not, probably would or definitely would) award to him today given that I had a choice." Block 21 - AO Signature: The Assessing Official must enter his/her information and sign and date the form prior to making it available to the contractor for review. Block 22 - Contractor Comments: Completed at the option of the contractor. The contractor's narrative comments may be up to 16,000 characters (approximately three pages) in length. Attach extra sheets as necessary. Block 23 - Contractor Representative Signature: The contractor representative reviewing/commenting on the CPAR must enter his/her name, title, phone number, email address, FAX number, and sign and date the form prior to returning it to the AO. Block 24 - RO Comments: The Reviewing Official (RO) (the Contracting Officer or Contracting Specialist) must acknowledge consideration of any significant discrepancies between the AO assessment and the contractor's comments. The RO's narrative comments may be up to 16,000 characters (approximately three pages) in length. Attach extra sheets as necessary. Block 25 - RO Signature: The RO must enter the required information, and sign and date in the space provided, when completing the CPAR. EVALUATION RATINGS DEFINITIONS Evaluation Ratings Definitions (Excluding Utilization of Small Business) Rating Definition Note Exceptional Performance meets contractual requirements and exceeds many to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective. To justify an Exceptional rating, identify multiple significant events and state how they were of benefit to the Government. A singular benefit, however, could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified. Very Good Performance meets contractual requirements and exceeds some to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective action taken by the contractor was effective. To justify a Very Good rating, identify a significant event and state how it was a benefit to the Government. There should have been no significant weaknesses identified. Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory. To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor recovered from without impact to the contract. There should have been NO significant weaknesses identified. Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor's proposed actions appear only marginally effective or were not fully implemented. To justify Marginal performance, identify a significant event in each category that the contractor had trouble overcoming and state how it impacted the Government. A Marginal rating should be supported by referencing the management tool that notified the contractor of the contractual deficiency (e.g., management, quality, safety, or environmental deficiency report or letter). Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor's corrective actions appear or were ineffective. To justify an Unsatisfactory rating, identify multiple significant events in each category that the contractor had trouble overcoming and state how it impacted the Government. A singular problem, however, could be of such serious magnitude that it alone constitutes an unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the management tools used to notify the contractor of the contractual deficiencies (e.g., management, quality, safety, or environmental deficiency reports, or letters). NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change the assessment status. NOTE 2: N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation. Evaluation Ratings Definitions (Utilization of Small Business) Rating Definition Note Exceptional Exceeded all negotiated subcontracting goals or exceeded at least one goal and met all of the other negotiated subcontracting goals for the current period. Had exceptional success with initiatives to assist, promote, and utilize small business (SB), small disadvantaged business (SDB), women-owned small business (WOSB), HUBZone small business, veteran-owned small business (VOSB) and service disabled veteran owned small business (SDVOSB). Complied with FAR 52.219-8, Utilization of Small Business Concerns. Exceeded any other small business participation requirements incorporated in the contract, including the use of small businesses in mission critical aspects of the program. Went above and beyond the required elements of the subcontracting plan and other small business requirements of the contract. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. To justify an Exceptional rating, identify multiple significant events and state how they were a benefit to small business utilization. A singular benefit, however, could be of such magnitude that it constitutes an Exceptional rating. Ensure that small businesses are given meaningful, innovative work directly related to the project, rather than peripheral work, such as cleaning offices, supplies, landscaping, etc. Also, there should have been no significant weaknesses identified. Very Good Met all of the negotiated subcontracting goals in the traditional socio-economic categories (SB, SDB and WOSB) and met at least one of the other socio-economic goals (HUBZone, VOSB, SDVOSB) for the current period. Had significant success with initiatives to assist, promote and utilize SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met or exceeded any other small business participation requirements incorporated in the contract, including the use of small businesses in mission critical aspects of the program. Endeavored to go above and beyond the required elements of the subcontracting plan. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. To justify a Very Good rating, identify a significant event and state how they were a benefit to small business utilization. Ensure that small businesses are given meaningful, innovative work directly related to the project, rather than peripheral work, such as cleaning offices, supplies, landscaping, etc. There should be no significant weaknesses identified. Satisfactory Demonstrated a good faith effort to meet all of the negotiated subcontracting goals in the various socio-economic categories for the current period. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met any other small business participation requirements included in the contract. Fulfilled the requirements of the subcontracting plan included in the contract. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner. To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor has addressed or taken corrective action. There should have been no significant weaknesses identified. Yellow/ Marginal Deficient in meeting key subcontracting plan elements. Deficient in complying with FAR 52.219-8, Utilization of Small Business Concerns, and any other small business participation requirements in the contract. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Failed to satisfy one or more requirements of a corrective action plan currently in place; however, does show an interest in bringing performance to a satisfactory level and has demonstrated a commitment to apply the necessary resources to do so. Required a corrective action plan. To justify Marginal performance, identify a significant event that the contractor had trouble overcoming and how it impacted small business utilization. A Marginal rating should be supported by referencing the actions taken by the government that notified the contractor of the contractual deficiency. Red/ Unsatisfactory Noncompliant with FAR 52.219-8 and 52.219-9, DFARS 252.219-7003 (deviation), and any other small business participation requirements in the contract. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Showed little interest in bringing performance to a satisfactory level or is generally uncooperative. Required a corrective action plan. To justify an Unsatisfactory rating, identify multiple significant events that the contractor had trouble overcoming and state how it impacted small business utilization. A singular problem, however, could be of such serious magnitude that it alone constitutes an Unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the actions taken by the government to notify the contractor of the deficiencies. When an Unsatisfactory rating is justified, the contracting officer must consider whether the contractor made a good faith effort to comply with the requirements of the subcontracting plan required by FAR 52.219-9 and follow the procedures outlined in FAR 52.219-16, Liquidated Damages-Subcontracting Plan. NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change assessment status. NOTE 2: Generally, zero percent is not a goal unless the Contracting Officer determined when negotiating the subcontracting plan that no subcontracting opportunities exist in a particular socio-economic category. In such cases, the contractor shall be considered to have met the goal for any socio-economic category where the goal negotiated in the plan was zero. &emsp; ATTACHMENT D-DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 (See reverse for public burden disclosure) Type of Federal Action: _______ contract grant cooperative agreement loan loan guarantee loan insurance Status of Federal Action: ________ bid/offer/application initial award post-award Report Type: ___________ initial filing material change For Material Change Only: year __________ quarter date of last report Name and Address of Reporting Entity:  Prime  Subawardee Tier ___, if known: Congressional District, if known: If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime: Congressional District, if known: Federal Department/Agency: Federal Program Name/Description: CFDA Number, if applicable: Federal Action Number, if known: Award Amount, if known: $ _________________________ a. Name and Address of Lobbying Entity (if individual, last name, first name, MI): b. Individuals Performing Services (including address if different from No. 10a) (last name, first name, MI): (attach Continuation Sheet(s) SF-LLL-A, if necessary) Amount of Payment (check all that apply): $  actual  planned Type of Payment (check all that apply)  a. retainer  b. one-time fee  c. commission  d. contingent fee  e. deferred  f. other; specify Form of Payment (check all that apply):  a. cash  b. in-kind: specify: nature ___________ value ____________ Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or Member(s) contacted, for Payment indicated in Item 11: (attach Continuation Sheet(s) SF-LLL-A, if necessary) Continuation Sheet(s) SF-LLL-A attached:  Yes  No Signature: Print Name: Title: Telephone No.: Date: Federal Use Only: Authorized for Local Reproduction Standard Form - LLL INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, as the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entry for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the first tier. Subawards include but are not limited to subcontracts, subgrants, and contract awards under grants. 5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001". 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. a. Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. b. Enter the full names of the individual(s) performing services, and include full address, if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contracted or the officer(s), employee(s), or Member(s) of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached. 16. The certifying official shall sign and date the form; print his/her name, title, and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction project (0348-0046), Washington, DC 20503. ATTACHMENT E-PAST PERFORMANCE Date: Dear Client: We are currently responding to the Health Resources and Services Administration (HRSA) Solicitation entitled, "DPHIE/Council on Linkages." The Government is placing increased emphasis in its acquisition process on past performance as a source selection factor and is requiring that clients of firms responding to HRSA solicitations be identified and their participation in the evaluation process be requested. Therefore, enclosed is a past performance questionnaire for your completion. We are requesting that you complete the questionnaire and send it directly to HRSA at the following address: Hanif S. Abdul-Amin Contracts Administrator HHS/HRSA/OO/OAMP/DCS-3 5600 Fishers Lane, 13A-43, Room: 14 Rockville, MD 20857 301-443-5261 Phone 301-443-5462 Fax habdul-amin@hrsa.gov Since this information will be used as one of the evaluation factors for contract award, we are requesting that you complete this questionnaire and return it to the HRSA Contract Specialist at the above address no later than June 27, 2012 at 10:00 am EST or by email at habdul-amin@hrsa.gov or fax at (301) 443-5462. We thank you for your prompt response in this matter. Sincerely, (To be signed by Offeror) PAST PERFORMANCE INFORMATION SURVEY QUESTIONNAIRE FOR: ________________________________________________________________________ Name of Company &emsp; PLEASE RETURN COMPLETED SURVEY TO: Hanif S. Abdul-Amin/RFP 12-250-SOL-00079 Contracts Administrator HHS/HRSA/OO/OAMP/DCS-3 5600 Fishers Lane, 13A-43, Room: 14 Rockville, MD 20857 301-443-5261 Phone 301-443-5462 Fax habdul-amin@hrsa.gov PLEASE FILL IN THE FOLLOWING: Your Name: ____________________________ Your Agency:________________________ Address:___________________________________________________________________ Phone Number:_________________________ Fax :________________________________ Signature of Person Completing Survey:___________________________________________ Contract Number/Solicitation Number: ____________________________________________ YOUR ROLE IN THIS CONTRACT (circle one) Project Officer Contracting Officer Contract Specialist Approximate Percentage of Work Competed by Subcontractors: ______ % General Description or work or Title of Contract: _____________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ RATINGS Please answer each of the following questions with a rating that is based on objective measurable performance indicators to the maximum extent possible. &emsp; Standard Contractor Performance Report Evaluation Type: Solicitation-Past Performance Evaluation Factor Solicitation No.: Evaluating Organization: Reporting Period: From to Contracting Office: Contract Number: Order Number: Contractor Name: Contractor Address: DUNS: City: State: Additional or Alternate Contractor Name: Zip/Postal Code: Country: TIN: Industrial Code (NAICS): Commodity Code: Contract Type: Contract Award Date: Contract Expiration Date: Contract Value: Requirement Description: Ratings Summarize contractor performance and check the number which corresponds to the rating for each rating category (See attached Rating Guidelines). Quality of Product or Service _0=Unsatisfactory _1=Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Quality of Product or Service (2000 characters maximum): Cost Control (Rating and Comments for Cost Control are not required if contract type is Fixed-Price) _0=Unsatisfactory _1=Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Cost Control (2000 characters maximum): Timeliness of Performance _0=Unsatisfactory _1=Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Timeliness of Performance (2000 characters maximum): Business Relations _0=Unsatisfactory _1=Poor _2=Fair _3=Good _4=Excellent _5=Outstanding Government Comments for Business Relations (2000 characters maximum): Rating Guidelines Quality of Product or Service 0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding Unsatisfactory Non-conformances are jeopardizing the achievement of contract requirements, despite use of Agency resources. Recovery is not likely. If performance cannot be substantially corrected, it constitutes a significant impediment in consideration for future awards containing similar requirements. Poor Overall compliance requires significant Agency resources to ensure achievement of contract requirements. Fair Overall compliance requires minor Agency resources to ensure achievement of contract requirements. Good There are no, or very minimal, quality problems, and the Contractor has met the contract requirements. Excellent There are no quality issues, and the Contractor has substantially exceeded the contract performance requirements without commensurate additional costs to the Government. Outstanding The contractor has demonstrated an outstanding performance level that was significantly in excess of anticipated achievements and is commendable as an example for others, so that it justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent". Cost Control 0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding Unsatisfactory Ability to manage cost issues is jeopardizing performance of contract requirements, despite use of Agency resources. Recovery is not likely. If performance cannot be substantially corrected, this level of ability to manage cost issues constitutes a significant impediment in consideration for future awards. Poor Ability to manage cost issues requires significant Agency resources to ensure achievement of contract requirements. Fair Ability to control cost issues requires minor Agency resources to ensure achievement of contract requirements. Good There are no, or very minimal, cost management issues and the Contractor has met the contract requirements. Excellent There are no cost management issues and the Contractor has exceeded the contract requirements, achieving cost savings to the Government. Outstanding The contractor has demonstrated an outstanding performance level that justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where the contractor achieved cost savings and performance clearly exceeds the performance levels described as "Excellent". Timeliness of Performance 0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding Unsatisfactory Delays are jeopardizing the achievement of contract requirements, despite use of Agency resources. Recovery is not likely. If performance cannot be substantially corrected, it constitutes a significant impediment in consideration for future awards. Poor Delays require significant Agency resources to ensure achievement of contract requirements. Fair Delays require minor Agency resources to ensure achievement of contract requirements. Good There are no, or minimal, delays that impact achievement of contract requirements. Excellent There are no delays and the contractor has exceeded the agreed upon time schedule. Outstanding The contractor has demonstrated an outstanding performance level that justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent". &emsp; Business Relations 0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding Unsatisfactory Response to inquiries and/or technical, service, administrative issues is not effective. If not substantially mitigated or corrected it should constitute a significant impediment in considerations for future awards. Poor Response to inquiries and/or technical, service, administrative issues is marginally effective. Fair Response to inquiries and/or technical, service, administrative issues is somewhat effective. Good Response to inquiries and/or technical, service, administrative issues is consistently effective. Excellent Response to inquiries and/or technical, service, administrative issues exceeds Government expectation. Outstanding The contractor has demonstrated an outstanding performance level that justifies adding a point to the score. It is expected that this rating will be used in those rare circumstances where contractor performance clearly exceeds the performance levels described as "Excellent". ATTACHMENT F CERTIFICATE OF CURRENT COST OR PRICING DATA FAR 15.406-2 This is to certify that, to the best of my knowledge and belief, the cost or pricing data (as defined in section 2.101 of the Federal Acquisition Regulation (FAR) and required under FAR subsection 15.403-4) submitted, either actually or by specific identification in writing, to the Contracting Officer or to the Contracting Officer's representative in support of _______________* are accurate, complete, and current as of ¬¬¬____________________**. This certification includes the cost or pricing data supporting any advance agreements and forward pricing rate agreements between the Offeror and the Government that are part of the proposal. Firm _____________________________________ Signature ________________________________ Name _____________________________________ Title ____________________________________ Date of execution*** _____________________ *Identify the proposal, request for price adjustment, or other submission involved, giving the appropriate identifying number (e.g., RFP No.). **Insert the day, month, and year when price negotiations were concluded and price agreement was reached or if applicable, an earlier date agreed upon between the parties that is as close as practicable to the date of agreement on price. ***Insert the day, month, and year of signing, which should be as close as practicable to the date when the price negotiations were concluded and the contract price was agreed to. (End of certificate) ATTACHMENT G OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION SMALL BUSINESS SUBCONTRACTING PLAN The following outline meets the minimum requirements of section 8(d) of the Small Business Act, as amended, and implemented by the Federal Acquisition Regulations (FAR) Subpart 19.7. The U.S. Department of Health and Human Services (HHS), Office of Small and Disadvantaged Business Utilization (OSDBU) recommend offerors use the following format to submit proposed Individual Subcontracting Plans, including modifications. It is not intended to replace any existing Corporate/Commercial Plan that is more extensive. A subcontracting Plan is required if the estimated cost of the contract may exceed $650,000 ($1,500,000 for construction) Small businesses are excluded. Questions should be forwarded to the Contracting Officer or Operating Division (OPDIV) Small Business Specialist. HHS Operating Division (OPDIV): _______________________________ SOLICITATION OR CONTRACT NUMBER: ______________________________ DATE OF PLAN: ___________________________________________________ CONTRACTOR: ____________________________________________________ ADDRESS: ________________________________________________________ STATE/ZIP CODE___________________________________________________ DUNN & BRADSTREET NUMBER: _____________________________________ ITEM/SERVICE (Description): _______________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ NEW/INITIAL CONTRACT PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY - MM/DD/YYYY):________ __________ Base (if options apply) tiny_mce_marker__________________ Performance Period/Quantity ____________ Option 1: tiny_mce_marker__________________ Performance Period/Quantity ____________ Option 2: tiny_mce_marker__________________ Performance Period/Quantity ____________ Option 3: tiny_mce_marker__________________ Performance Period/Quantity ____________ Option 4: tiny_mce_marker__________________ Performance Period/Quantity ____________ tiny_mce_marker__________________ Total Contract Cost CONTRACT MODIFICATION (if applicable) NEW PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY - MM/DD/YYYY):__________________ Original/Base tiny_mce_marker__________________ Performance Period/Quantity _________ Modification tiny_mce_marker__________________ Performance Period/Quantity _________ Task Order tiny_mce_marker__________________ Performance Period/Quantity _________ tiny_mce_marker__________________ Modified Total Contract Cost Failure to include the essential information of FAR Subpart 19.7 may be cause for either a delay in acceptance or the rejection of a bid or offer when a subcontracting plan is required. "SUBCONTRACT," as used in this clause, means any agreement (other than one involving an employer employee relationship) entered into by a Federal Government prime contractor or subcontractor requesting supplies or services required for performance of the contract or subcontract. If assistance is needed to locate small business sources, contact the Small Business Specialist (SBS) supporting the OPDIV. SBS contact information is located on the OSDBU website (http://www.hhs.gov/about/smallbusiness/osdbustaff.html) or you may contact the OSDBU headquarters at (202) 690-7300. HHS current subcontracting goal is 33.0% for Small Business (hereafter referred to as SB), 5.00% for Small Disadvantaged Business, including 8(a) Program Participants, Alaska Native Corporations (ANC) and Indian Tribes (hereafter referred to as SDB), 5.00% for Women-Owned Small Business and Economically Disadvantaged Women-Owned Small Business (hereafter referred to as WOSB), 3.00% HubZone business (hereafter referred to as HUBZone), 3.00% Veteran Owned Small Business (hereafter referred to as VOSB) and 3.00% Service Disabled Veteran-Owned Small Business (hereafter referred to as SDVOSB) concerns for Fiscal Year (FY) 2012. For this procurement, HHS expects all proposed subcontracting plans to contain at a minimum the aforementioned percentages. These percentages shall be expressed as percentages of the total estimated subcontracting dollars. 1. Type of Plan (check one) _____ Individual plan (all elements developed specifically for this contract and applicable for the full term of this contract). _____ Master plan (goals developed for this contract) all other elements standardized and approved by a lead agency Federal Official; must be renewed every three years and contractor must provide copy of lead agency approval. _____ Commercial products/service plan (goals are negotiated with the initial agency on a company-wide basis rather than for individual contracts) this plan applies to the entire production of commercial service or items or a portion thereof. The contractor sells commercial products and services customarily used for non-government purposes. The plan is effective during the offeror's fiscal year (attach a copy). The Summary Subcontracting Report (SSR) must include a breakout of subcontracting prorated for HHS and other Federal agencies. 2. Goals Below indicate the dollar and percentage goals for Small Business (SB), Small Disadvantaged (SDB) including Alaska Native Corporations and Indian Tribes, Women owned and Economically Disadvantaged Women-Owned (WOSB), Historically Underutilized Business Zone (HUBZone), Veteran Owned Small Business (VOSB), Service-Disabled Veteran-Owned (SDVOSB) Small Businesses and "Other than Small Business" (Other) as subcontractors. Indicate the base year and each option year, as specified in FAR 19.704 or project annual subcontracting base and goals under commercial plans. If any contract has more four options, please attach additional sheets which illustrate dollar amounts and percentages. PLEASE NOTE: Zero dollars is not an acceptable goal for the SB, SDB, WOSB, HUBZone, VOSB or SDVOSB categories since this does not demonstrate a good faith effort throughout the period of performance of the contract. Formula for below: 2.b. + 2.h. = 2.a. a. Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is _____ ____ (Base Period - if options apply). FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ b. Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, VOSB and SDVOSB): (% of "a") $ ________________ and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ c. Total estimated dollar value and percent of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of "a") $ ________________ and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ d. Total estimated dollar value and percent of planned subcontracting with WOMEN OWNED SMALL BUSINESSES: (% of "a") $ ________________ and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ e. Total estimated dollar and percent of planned subcontracting with HUBZone SMALL BUSINESSES: (% of "a") $ ________________ and _________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ f. Total estimated dollar and percent of planned subcontracting with VETERAN-OWNED SMALL BUSINESSES: (% of "a") $ ____________and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ g. Total estimated dollar and percent of planned subcontracting with SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSES: (% of "a") $ ________________ and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ h. Total estimated dollar and percent of planned subcontracting with "OTHER THAN SMALL BUSINESSES" (As defined by the Small Business Administration as "any entity that is not classified as a small business. This includes large businesses, state and local governments, non-profit organizations, public utilities, educational institutions and foreign-owned firms.) (% of "a") $ ________________ and ________________% (Base Period - if options apply) FY ___1st Option FY ___2nd Option FY ___3rd Option FY ___4th Option $ _____________ $ _____________ $ _____________ $ _____________ i. Provide a description of ALL the products and/or services to be subcontracted under this contract, and indicate the size and type of business supplying them (check all that apply): Products and/or Services Other Small Business SDB WOSB Hubz VOSB SDVOSB 1 2 3 4 5 6 7 8 9 10 j. Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB, HUBZone and SDVOSB concerns. Address efforts made to ensure that maximum practicable subcontracting opportunities have been made available for those concerns and explain the method used to identify potential sources for solicitation purposes. Explain the method and state the quantitative basis (in dollars) used to establish the percentage goals. Also, explain how the areas to be subcontracted to SB, WOSB, HUBZone, VOSB and SDVOSB concerns were determined, how the capabilities of these concerns were considered contract opportunities and how such data comports with the cost proposal. Identify any source lists or other resources used in the determination process. (Attach additional sheets, if necessary.) _____________________________________________________________ _____________________________________________________________ k. Indirect costs have ____ have not ____ been included in the dollar and percentage subcontracting goals above (check one). l. If indirect costs have been included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns: _________________________________________________________________ _________________________________________________________________ __________________________________________________________ 3. Program Administrator: NAME: ______________________________________________ TITLE: ______________________________________________ ADDRESS: ______________________________________________ ______________________________________________ TELEPHONE: ______________________________________________ E-MAIL: ______________________________________________ Duties: Does the individual named above have general overall responsibility for the company's subcontracting program, i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of those subcontracting plans and perform the following duties? (If NO is checked, please who in the company performs those duties, or indicate why the duties are not performed in your company on a separate sheet of paper and submit with the proposed subcontracting plan.) a. Developing and promoting company wide policy initiatives that demonstrate the company's support for awarding contracts and subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns; and for assuring that these concerns are included on the source lists for solicitations for products and services they are capable of providing; __yes __ no b. Developing and maintaining bidder source lists of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns from all possible sources; __yes __ no c. Ensuring periodic rotation of potential subcontractors on bidder's lists; __ yes __ no d. Assuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB businesses are included on the bidders' list for every subcontract solicitation for products and services that they are capable of providing. __ yes __ no e. Ensuring that Requests for Proposals (RFPs) are designed to permit the maximum practicable participation of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns. __ yes __ no f. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, 8(a), SDB, WOSB, HUBZone, VOSB and SDVOSB small business participation. __ yes __ no g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns to include the Central Contractor Registration (http://www.ccr.gov/), local small business and minority associations, local chambers of commerce and Federal agencies' Small Business Offices; ___ yes ___ no h. Establishing and maintaining contract and subcontract award records; __ yes __ no i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc; __ yes __ no j. Ensuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns are made aware of subcontracting opportunities and assisting concerns in preparing responsive bids to the company; __ yes __ no k. Conducting or arranging for the conduct of training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act, as amended; __ yes __ no l. Monitoring the company's subcontracting program performance and making any adjustments necessary to achieve the subcontract plan goals; ___yes ___ no m. Preparing and submitting timely, required subcontract reports; ___ yes ___ no n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(d) of the Small Business Act on purchasing procedures; __ yes __ no o. Coordinating the company's activities during the conduct of compliance reviews by Federal agencies; and __ yes __ no p. Other duties: ________________________________________________________ ________________________________________________________ ________________________________________________________ 4. Equitable Opportunity Describe efforts the offeror will undertake to ensure that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns will have an equitable opportunity to compete for subcontracts. These efforts include, but are not limited to, the following activities: a. Outreach efforts to obtain sources: 1. Contact minority and small business trade associations; 2) contact business development organizations and local chambers of commerce; 3) attend SB, SDB, WOSB, HUBZone, VOSB and SDVOSB procurement conferences and trade fairs; 4) review sources from the Central Contractor Registration (http://www.ccr.gov/); 5) review sources from the Small Business Administration (SBA), Central Contractor Registration (CCR); 6) Consider using other sources such as the National Institutes of Health (NIH) e-Portals in Commerce, (e-PIC), (http://epic.od.nih.gov/). The NIH e-PIC is not a mandatory source; however, it may be used at the offeror's discretion; and 7) Utilize newspaper and magazine ads to encourage new sources. b. Internal efforts to guide and encourage purchasing personnel: 1. Conduct workshops, seminars and training programs; 2. Establish, maintain, and utilize SB, SDB, WOSB, HUBZone, VOSB and SDVOSB source lists, guides, and other data for soliciting subcontractors; and 3. Monitor activities to evaluate compliance with the subcontracting plan. Additional efforts: _____________________________________________________________ _____________________________________________________________ 5. Flow Down Clause The contractor agrees to include the provisions under FAR 52.219 8, "Utilization of Small Business Concerns," in all acquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. All subcontractors, except small business concerns, that receive subcontracts in excess of $650,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219 9, "Small Business Subcontracting Plan." Note: In accordance with FAR 52.212-5(e) and 52.244-6(c) the contractor is not required to include flow-down clause FAR 52.219.-9 if it is subcontracting commercial items. 6. Reporting and Cooperation The contractor gives assurance of 1) cooperation in any studies or surveys that may be required; 2) submission of periodic reports which illustrate compliance with the subcontracting plan; 3) submission of its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR); and 4) subcontractors submission of ISRs and SSRs. ISRs and SSRs shall be submitted via the Electronic Subcontracting Reporting System (eSRS) website https://esrs.symplicity.com/index?_tab=signin&cck=1 Reporting Period Report Due Due Date Oct 1 - Mar 31 ISR 4/30 Apr 1 - Sept 30 ISR 10/30 Oct 1 - Sept 30 SSR 10/30 Contract Completion Year End SDB Report 30 days after completion Please refer to FAR Part 19.7 for instruction concerning the submission of a Commercial Plan: SSR is due on 10/30 each year for the previous fiscal year ending 9/30. a. Submit ISR (bi-annually) for the awarding Contracting Officer's review and acceptance via the eSRS website. b. Currently, SSR (annually) must be submitted for the HHS eSRS Agency Coordinator review and acceptance via the eSRS website. (Note: Log onto the OSDBU website to view the HHS Agency Coordinator contact information (http://www.hhs.gov/about/smallbusiness/osdbustaff.html). Note: The Request for Proposal (RFP) will indicate whether a subcontracting plan is required. Due to the nature and complexity of many HHS contracts, particularly the Centers for Medicare and Medicaid (CMS), the contractor may not be required to submit its subcontracting reports through the eSRS. The Contracting Officer will confirm reporting requirements prior to the issuance of an award. For more information, contact Courtney Carter, Agency Coordinator-eSRS (Courtney.Carter@hhs.gov). 7. Record keeping FAR 19.704(a) (11) requires a list of the types of records your company will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. The following is a recitation of the types of records the contractor will maintain to demonstrate the procedures adopted to comply with the requirements and goals in the subcontracting plan. These records will include, but not be limited to,the following: a. SB, SDB, WOSB, HUBZone, VOSB and SDVOSB source lists, guides and other data identifying such vendors; b. Organizations contacted in an attempt to locate SB, SDB, WOSB, HUBZone, VOSB and SDVOSB sources; c. On a contract by contract basis, records on all subcontract solicitations over $100,000, which indicate for each solicitation (1) whether SB, SDB, WOSB, HUBZone, VOSB and/or SDVOSB concerns were solicited, if not, why not and the reasons solicited concerns did not receive subcontract awards; d. Records to support other outreach efforts, e.g., contacts with minority and small business trade associations, attendance at small and minority business procurement conferences and trade fairs; e. Records to support internal guidance and encouragement provided to buyers through (1) workshops, seminars, training programs, incentive awards; and (2) monitoring performance to evaluate compliance with the program and requirements; and f. On a contract by contract basis, records to support subcontract award data including the name, address, and business type and size of each subcontractor. (This is not required on a contract-by-contract basis for commercial plans.) g. Other records to support your compliance with the subcontracting plan: (Please describe) _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ 8. Timely Payments to Subcontractors FAR 19.702 requires your company to establish and use procedures to ensure the timely payment of amounts due pursuant to the terms of your subcontracts with SB concerns, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns. Your company has established and used such procedures: ________ yes _________ no 9. Description of Good Faith Effort Maximum practicable utilization of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns as subcontractors in Government contracts is a matter of national interest with both social and economic benefits. When a contractor fails to make a good faith effort to comply with a subcontracting plan, these objectives are not achieved, and 15 U.S.C. 637(d) (4) (F) directs that liquidated damages shall be paid by the contractor. In order to demonstrate your compliance with a good faith effort to achieve the SB, SDB, WOSB, HUBZone, VOSB and SDVOSB small business subcontracting goals, outline the steps your company plans to take. These steps will be negotiated with the contracting official prior to approval of the plan. ____________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ &emsp; SIGNATURE PAGE Signatures Required: This subcontracting plan was submitted by: Signature: __________________________________________________ Typed/Print Name: __________________________________________________ Title: __________________________________________________ Date: __________________________________________________ This plan was reviewed by: Signature: __________________________________________________ Typed/Print Name: __________________________________________________ Title: Contracting Officer Date: ______________ This plan was reviewed by: Signature: __________________________________________________ Typed/Print Name: __________________________________________________ Title: HHS Small Business Specialist Date: ______________ This plan was reviewed by: Signature: __________________________________________________ Typed/Print Name: __________________________________________________ Title: Small Business Administration Procurement Center Representative Date: __________________________________________________ &emsp; This plan was approved by: Signature: __________________________________________________ Typed/Print Name: __________________________________________________ Title: Contracting Officer Date: ______________ (The End of RFP)
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