Number range CHAPTEROMB 0990-0115

**PART I - THE SCHEDULE** Request for Proposal

**SECTION A - SOLICITATION FORM** No. AHRQ-06-0009

Date Issued: May 18, 2006

Date Questions Due: June 1, 2006

Date Proposals Due: June 30, 2006

Time Due: 12 noon local time

You are invited to submit a proposal to the Agency for Healthcare
Research and Quality (AHRQ) for Request for Proposal (RFP) No.
AHRQ-06-0009, entitled "Healthcare Cost & Utilization Project (HCUP)."
Your proposal must be developed and submitted in accordance with the
requirements and instructions of this RFP.

A cost reimbursement, completion type contract is contemplated. There is
a base period of three years with one two-year option. There are also
several options which may be exercised at award, at a later date, or not
at all. All options will be evaluated. Some options must be priced out
in the proposal and some will be unpriced. The unpriced options will be
negotiated separately if and when the option is exercised.

For this acquisition, the AHRQ recommended goal (as a percentage of
total planned subcontracting dollars for the base period) is 30% for
Small Businesses, which shall include at least 5% (as a percentage of
total contract value for the base period) for Small Disadvantaged
Businesses, at least 5% (as a percentage of total planned subcontract
dollars for the base period) for Women-Owned Small Businesses, and at
least 3% (as a percentage of total planned subcontract dollars for the
base period) for HUBZone Small Businesses and at least 3% (as a
percentage of total planned subcontract dollars for the base period) for
Veteran-Owned Small Businesses. These goals represent AHRQ's expectation
of the minimum level for subcontracting. The North American Industry
Classification System (NAICS) code that best describes the requirement
is 541519. The small business size standard is \$6.5 million.

Offerors shall submit the following:

A. Technical Proposal (See Section L.10) (Original and 11 copies)

B. Past Performance Information (See Section L.11) (Original and 5
copies)

C. Small Disadvantaged Business Participation Plan (See Section L.12)
(Original and 2 copies)

D. Business Proposal (See Section L.13) (Original and 5 copies)

The Small Business Subcontracting Plan should be submitted as a separate
section of the Business Proposal. (This does not apply to small business
concerns).

**PLEASE NOTE: In addition to the hard copies noted above, one
electronic copy of the proposal needs to be submitted to the Contracting
Officer at sharon.williams@ahrq.gov**

Your technical proposal must be concisely written and should be limited
to **250 typewritten pages** (double-spaced), exclusive of personnel
qualifications (i.e., resume, etc., see Section L.10 for additional
details). This limitation is for administrative purposes only and
exceeding the limitation shall not, of itself, be considered a basis for
rejection of your proposal.

Your proposal must provide the full name of your company, the address,
including county, Tax Identification Number (TIN), DUN and Bradstreet
No., and if different, the address to which payment should be mailed.

**YOUR ATTENTION IS CALLED TO THE LATE PROPOSAL PROVISIONS PROVIDED IN
SECTION L.3 OF THIS RFP. YOUR ATTENTION IS ALSO DIRECTED TO THE
TECHNICAL PROPOSAL INSTRUCTIONS PROVIDED IN SECTION L.9 OF THE
SOLICITATION.**

If you intend to submit a proposal in response to this solicitation,
please inform the Contracting Officer of your intent by completing the
Proposal Intent Response Form (Attachment 4 to this solicitation) and
send it to the Contracting Officer no later than June 1, 2006. You may
send it to the address below or fax it to 301-427-1740.

Questions regarding this solicitation shall be received in this office
no later than June 1, 2006 (See Section L.6). It is preferred that all
questions be submitted electronically by e-mail to Sharon Williams,
Contracting Officer at the following email address:
<Sharon.williams@ahrq.hhs.gov>. Otherwise, please address your written
questions to Sharon Williams, Contracting Officer, Agency for Healthcare
Research and Quality, 540 Gaither Road, Rockville, Maryland 20850 and
the envelope should be marked "Proposal Questions RFP No.
AHRQ-06-0009**."**

Answers to questions will be provided in the form of an Amendment to
this solicitation and will be posted on AHRQ's web page:
[[www.ahrq.gov]{.underline}](http://www.ahrq.gov/) under "Funding
Opportunities," "Contract Solicitations" and Federal Business
Opportunities web page:
[www.fedbizopps.gov](http://www.fedbizopps.gov/). It is your
responsibility to monitor the web sites where the RFP will be posted to
learn about any amendments to the solicitation.

**[Discussions with any other individual outside the Division of
Contracts Management, may result in rejection of the potential offeror's
proposal]{.underline}.**

The proposal shall be signed by an authorized official to bind your
organization and must be received in our Contracts Office no later than
**12 noon**, local prevailing time, on **June 30, 2006**. Your proposal
must be mailed to the following address:

Agency for Healthcare Research and Quality

Division of Contracts Management

540 Gaither Road

Rockville, Maryland 20850

Hand carried proposals may be dropped off at the above location.
However, please allow ample time as proposals cannot be accepted until
they have gone through security. We will not be held responsible for any
delays that may be incurred getting your proposal through security.

NOTE: The U.S. Postal Service's "Express Mail" [does not]{.underline}
deliver to our Rockville, Maryland address. Packages delivered via this
service will be held at a local post office for pick-up. [The Government
will not be responsible for picking up any mail at a local post
office]{.underline}. If a proposal is not received at the place, date,
and time specified herein, it will be considered a "late proposal."

The RFP does not commit the Government to pay any cost 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 the expenditure of public funds in
connection with the proposed acquisition.

In accordance with Federal Acquisition Circular (FAC) 2001-16, all
contractors must be registered in the central contractor registration
(CCR) database in order to conduct business with the government \[See
Section I -  FAR clause 52.204-7 Central Contractor Registration (OCT
2003), Alternate 1 (Oct 2003)\] .  As stated in paragraph (h) of this
clause, additional information can be obtained at
[http://www.ccr.gov](http://www.ccr.gov/) or by calling 1-888-227-2423,
or 269-961-5757.

[Number range CHAPTERREFERENCE MATERIALS:]{.underline} Offerors are
directed to information about the HCUP procurement at
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>. Offerors are
directed to [www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/) for
general information about HCUP.

Requests for any information concerning this RFP should be referred to
Sharon Williams,

\(301\) 427-1781.

Sincerely,

Sharon Williams

> Contracting Officer
>
> Agency for Healthcare Research and Quality

**[TABLE OF CONTENTS]{.underline}**

**[PART I]{.underline} [Pages]{.underline}**

Section A Solicitation 1-3

Table of Contents 4

Section B Supplies or Services & Prices/Costs 5-9

Section C Description/Specification/Work Statement 10

Section D Packaging and Marking 10

Section E Inspection and Acceptance 10

Section F Deliveries or Performance 11-23

Section G Contract Administration Data 24-26

Section H Special Contract Requirements 27-31

**[PART II]{.underline}**

Section I Contract Clauses 31-36

**[PART III]{.underline}**

Section J List of Attachments 37

**[PART IV]{.underline}**

Section K Representations and Instructions 38-44

Section L Instructions, Conditions & Notices to Offerors 45-73

Section M Evaluation Factors for Award 74-77

**[Attachments]{.underline}**

1\. Past Performance Questionnaire and Contractor Performance Form

2\. SF LLL-A, Disclosure of Lobbying Activities

3\. Proposal Intent Response Sheet

4\. Small Business Subcontracting Plan

Number range CHAPTER**[SECTION B-SUPPLIES OR SERVICES AND
PRICES/COSTS]{.underline}**

**B.1 BRIEF DESCRIPTION OF SUPPLIES OR SERVICES**

"Healthcare Utilization and Cost (HCUP)." See Section C (Attachment 1)
for a complete description.

**B.2. ESTIMATED COST**

a\. The estimated cost (exclusive of fees) for performance of the work
under this contract, including direct and indirect costs is \$ (TO BE
NEGOTIATED)

b.  The fixed fee for this contract is \$ (TO BE NEGOTIATED). The fixed
    fee shall be paid in installments based on the percentage of
    completion of work, as determined by the Contracting Officer.
    Payment shall be subject to the withholding provisions of the Clause
    ALLOWABLE COST AND PAYMENT and FIXED FEE incorporated herein.

c\. The Government's maximum obligation, represented by the sum of the
estimated cost plus the fixed fee is as follows:

(TO BE NEGOTIATED)

**[Base]{.underline}**

Period of Estimated Fixed Total Estimated

Performance Cost Fee Cost Plus Fixed Fee

Year 1

9/27/06-

9/26/07 \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

Year 2

9/27/07-

9/26/08 \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

Year 3

9/27/08-

9/26/09 \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

TOTAL \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

**[Option to Continue Base Effort]{.underline}**

Period of Estimated Fixed Total Estimated

Performance Cost Fee Cost Plus Fixed Fee

Year 4

9/27/09-

9/26/10 \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

Year 5

9/27/10-

9/26/11 \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

**[Option -- Task C.8.8 -- Evaluate the Collection, Processing,
Documentation and Delivery Methods for State Databases]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.9.3.4 -- Evaluate the Processing, Documentation, and
Dissemination Procedures]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.11-C.11.9 -- Multi-State and Nationwide Outpatient
Databases]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.12-C.12.7 -- New Specialized Discharge-Level
Database]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.14-C.14.3 -- HCUP Supplemental/Linkable
Files]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option - Task C.15.8 -- Exhibit Booth Representation]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.15.9 -- Evaluation of Dissemination Processes and
Tracking/Distribution System]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option -- Task C.18-C.18.8 -- Improving HCUP Data Through Technical
Support for Partners]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.19.3 -- Provide Information to AHRQ on Advances in
Health Care Information Technology (HIT) Relevant to HCUP]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.21-C.21.6.2 -- Develop Educational Presentations and
Training Materials]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.22.3 -- Create New Software Tools]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option -- Task C.23.2 -- Write Descriptive and Analytic Reports for
Multiple HCUP Series]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.23.3 -- Assess All Report Series and Recommend an
Overall Plan]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option --Task C.24 -- Increase Use of and Impact From HCUP Through
Outreach]{.underline}**

Estimated Cost: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fixed Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Cost and Fee: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Option -- Task C.25 -- Translation of Data for Use by Surveillance
Data Systems]{.underline}**

Price to be negotiated if option is exercised.

**[Option -- Task C.26 -- Expansion of HCUP Outpatient Data to Improve
Geographic and Demographic Representation and to Improve Timeliness of
HCUP]{.underline}**

Price to be negotiated if option is exercised.

**[Option -- Task C.27 -- Improving Timeliness of HCUP Information
Through Near Real-Time Streaming of Data from State Data
Organizations]{.underline}**

Price to be negotiated if option is exercised.

d\. Total funds currently available for payment and allotted to this
contract are \$(TO BE NEGOTIATED) of which \$ (TO BE NEGOTIATED)
represents the estimated cost, and of which \$(TO BE NEGOTIATED)
represents the fixed fee.

e\. It is estimated that the amount currently allotted will cover
performance of the contract through (TO BE NEGOTIATED).

f\. The Contracting Officer may allot additional funds to the contract
without the concurrence of the Contractor. For further provisions on
funding, see the LIMITATION OF COST/LIMITATION OF FUNDS and the
ALLOWABLE COST AND PAYMENT (AND FIXED FEE) clauses incorporated herein.

g\. COST AND PAYMENT (AND FIXED FEE) clauses incorporated into this
contract.

**B.3 PROVISIONS APPLICABLE TO DIRECT COSTS**

a\. Items Unallowable Unless Otherwise Provided Notwithstanding the
clauses, ALLOWABLE COST AND PAYMENT, and FIXED FEE, incorporated into
this contract, unless authorized in writing by the Contracting Officer,
the costs of the following items or activities shall be unallowable as
direct costs:

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

\(2\) Rearrangement or alteration of facilities;

\(3\) Purchase or lease of any item of general purpose-office furniture
or office equipment regardless of dollar value. (General purpose
equipment is defined as any items of personal property which are usable
for purposes other than research, such as office equipment and
furnishings, pocket calculators, etc.);

\(4\) Accountable Government property (defined as both real and personal
property with an acquisition cost of \$1,000 or more, with a life
expectancy of more than two years) and \"sensitive items\" (defined and
listed in the Contractor\'s Guide for Control of Government Property,
1990, regardless of acquisition value;

\(5\) Travel to attend general scientific meetings;

\(6\) Foreign Travel;

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

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

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

> \(10\) Consultant fees in excess of \$1,000/day; and

\(11\) Information Technology hardware or software.

b.  This contract is subject to the provisions of Public Law (P.L)
    99-234 which amends the Office of Federal Procurement Policy Act to
    provide that contractor costs for travel, including lodging, other
    subsistence, and incidental expenses, shall be allowable only to the
    extent that they do not exceed the amount allowed for Federal
    employees.

The Contractor, therefore, shall invoice and be reimbursed for all
travel costs in accordance with Federal Acquisition Regulations (FAR)
31.205-46.

**[SECTION C/ STATEMENT OF WORK]{.underline}**

**DESCRIPTION/SPECIFICATION/WORK STATEMENT**

**The Statement of Work is located at Attachment 1.**

**[SECTION D - PACKAGING AND MARKING]{.underline}**

Not Applicable

**[SECTION E - INSPECTION AND ACCEPTANCE]{.underline}**

**E.1 INSPECTION AND ACCEPTANCE**

a\. The contracting officer or the duly authorized representative will
perform inspection and acceptance of materials and services to be
provided.

b\. For the purpose of this SECTION the Government Project Officer is
the authorized technical representative of the contracting officer.

c\. Inspection and acceptance will be performed at:

Agency for Healthcare Research and Quality

540 Gaither Road

Rockville, Maryland 20850

**E.2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)**

> This contract incorporates the following clause by reference, with the
> same force and effect as if it were given in full text. Upon request,
> the Contracting [Officer]{.underline} will make its full text
> available.

**FAR Clause No. Title and Date**

5.  Inspection of Services-Cost Reimbursement (April 1984)

> **[SECTION F - PERIOD OF PERFORMANCE AND DELIVERY
> SCHEDULE]{.underline}**

**F.1 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)**

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

**FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES**

**FAR Clause No. Title and Date**

52.242-15 Stop Work Order (AUG 1989)

Alternate I (APRIL 1984)

**F.2 PERIOD OF PERFORMANCE**

> The Government anticipates the period of performance shall begin on or
> about September 27, 2006 and run through September 26, 2009 with one
> two-year option (if exercised) from September 27, 2009 through
> September 26, 2011.

**F.3 DELIVERY SCHEDULE**

> Number range CHAPTERThe items specified for delivery below are subject
> to the review and approval of the Project Officer before final
> acceptance. The Contractor shall be required to make revisions deemed
> necessary by the Project Officer.
>
> The Contractor shall produce the following scheduled
> reports/deliverables in the amount, and within the time frame
> indicated.

Healthcare Cost and Utilization Project (HCUP) Deliverables

effective date of this contract (edoc).

tbd -- to be determined

Quantity -- as specified in the scope of work

+--------+-------+-------------------------------------+---------------+
| Delive | Task  | Deliverable Description             | Due Date\*    |
| r-able | N     |                                     |               |
| Number | umber |                                     |               |
+========+=======+=====================================+===============+
| To be  |       |                                     |               |
| as     |       |                                     |               |
| signed |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.4   | Computer Quality Assurance          | 2 months edoc |
|        |       | deliverable                         |               |
+--------+-------+-------------------------------------+---------------+
|        | C.6   | Transition Plan- Draft              | 2 weeks edoc  |
+--------+-------+-------------------------------------+---------------+
|        | C.6   | Transition Plan- Final \*           | 4 weeks edoc  |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Use and maintenance of Recruitment  | On-going      |
|        | 7.1.1 | Database                            |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Create and maintain e-mail list of  | 3 months edoc |
|        | 7.1.2 | HCUP Partners and organization      |               |
|        |       | members                             |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Provide support for conference      | As needed     |
|        | 7.1.3 | calls for data acquisition          |               |
|        |       | activities                          |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update the Annual Activities Report | Annually,     |
|        | 7.1.4 |                                     | February 1st  |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update the HCUP Overview Binder     | Annually,     |
|        | 7.1.4 |                                     | March 1^st^   |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update Partner-Specific             | As needed     |
|        | 7.1.4 | Requirements Report                 |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update Partner Contact lists        | At least      |
|        | 7.3.1 |                                     | quarterly     |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update of Data Inventory            | Annually      |
|        | 7.3.2 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Maintenance of Data Inventory       | On-going      |
|        | 7.3.2 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update to Partner data availability | Annually, May |
|        | 7.4.1 | to the Recruitment Database and the | 1^st^         |
|        |       | Data Inventory                      |               |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Update Sample MOA                   | Annually, May |
|        | 7.4.2 |                                     | 1^st^         |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Draft Feasibility Study to identify | Annually,     |
|        | 7.5.1 | potential Partner organizations     | December      |
|        |       |                                     | 15^th^        |
+--------+-------+-------------------------------------+---------------+
|        | C.    | Final Feasibility Study to identify | Annually,     |
|        | 7.5.1 | potential Partner organizations     | January       |
|        |       |                                     | 15^th^        |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.1 | Draft proposal for design of the    | 6 months from |
|        |       | new processing program              | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.8.1 | Final design of the new processing  | 8 months from |
|        |       | program                             | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.8.1 | Memo detailing annual updates to    | Annually,     |
|        |       | the processing program              | March 1 each  |
|        |       |                                     | year          |
+--------+-------+-------------------------------------+---------------+
|        | C.8.2 | Memo of initial check of the source | 1 week after  |
|        |       | data and recommendations on data    | receipt of    |
|        |       | mapping                             | the source    |
|        |       |                                     | data          |
+--------+-------+-------------------------------------+---------------+
|        | C.8.3 | Memo reviewing existing HCUP        | After         |
|        |       | quality control edits               | processing of |
|        |       |                                     | 1^st^ year    |
|        |       |                                     | data          |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Creation of SID/SASD/SEDD data      | 1 month after |
|        |       | files                               | receipt of    |
|        |       |                                     | the data      |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Rotavirus data files for the first  | tbd           |
|        |       | half of the states                  |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Rotavirus data files for the        | tbd           |
|        |       | remaining states with               |               |
|        |       | documentation.                      |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Log of reprocessing                 | In tandem     |
|        |       |                                     | with annual   |
|        |       |                                     | updates to    |
|        |       |                                     | the           |
|        |       |                                     | processing    |
|        |       |                                     | program       |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Creation of Central Distributor     | 2 weeks after |
|        |       | SID/SASD/SEDD data files            | state files   |
|        |       |                                     | are prepared  |
|        |       |                                     | for AHRQ, or  |
|        |       |                                     | within 2      |
|        |       |                                     | weeks after   |
|        |       |                                     | receipt of    |
|        |       |                                     | signed MOA,   |
|        |       |                                     | whichever     |
|        |       |                                     | occurs later  |
+--------+-------+-------------------------------------+---------------+
|        | C.8.4 | Central Distributor Customized      | 2 weeks after |
|        |       | files                               | AHRQ request  |
+--------+-------+-------------------------------------+---------------+
|        | C.8.5 | Documentation for intramural and    | 2 weeks after |
|        |       | Central Distributor SID/SASD/SEDD   | creation of   |
|        |       | data files (including corresponding | the data file |
|        |       | binder material)                    |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Copy of data files and              | 1 month after |
|        |       | documentation to states             | creation of   |
|        |       |                                     | the data      |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Data quality report template        | Year 1 before |
|        |       |                                     | the Partners  |
|        |       |                                     | Meeting       |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Data quality report and summary     | Starting in   |
|        |       | statistics for each state           | year 2, in    |
|        |       |                                     | tandem with   |
|        |       |                                     | copy of data  |
|        |       |                                     | files and     |
|        |       |                                     | documentation |
|        |       |                                     | to states     |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Copy of data files to AHRQ          | 2 weeks after |
|        |       |                                     | creation of   |
|        |       |                                     | the data file |
|        |       |                                     | and           |
|        |       |                                     | documentation |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Memo that details alternate methods | Year 1        |
|        |       | of delivery and storage of HCUP     |               |
|        |       | data                                |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Processing programs posted on       | 8 months      |
|        |       | [www.hcup-us.ahrq.                  | after edoc    |
|        |       | gov](http://www.hcup-us.ahrq.gov/), | and annually  |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C.8.6 | Summary statistics posted on        | 2 weeks after |
|        |       | [www.hcup-us.ahrq                   | creation of   |
|        |       | .gov](http://www.hcup-us.ahrq.gov/) | the data file |
|        |       |                                     | and           |
|        |       |                                     | documentation |
|        |       |                                     | for each      |
|        |       |                                     | state         |
+--------+-------+-------------------------------------+---------------+
|        | C.8.7 | Physician data files delivered to   | tbd           |
|        |       | AHRQ, documentation and summary     |               |
|        |       | statistics as well as progressing   |               |
|        |       | programs posted on HCUP-US          |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.7 | Memo discussing how to incorporate  | Year 3        |
|        |       | the National Provider Identifier    |               |
|        |       | file to HCUP                        |               |
+--------+-------+-------------------------------------+---------------+
|        | C.8.8 | Evaluate the SID/SASD/SEDD          | June 2009     |
|        |       | processing, documentation and       |               |
|        |       | dissemination procedures            |               |
+--------+-------+-------------------------------------+---------------+
|        | C.9.1 | NIS Verification of Restrictions    | Annually      |
|        |       | memo --                             | starting year |
|        |       |                                     | 1             |
|        |       | beginning with the 2005 NIS         |               |
|        |       |                                     | after NIS     |
|        |       |                                     | processing    |
|        |       |                                     | and prior to  |
|        |       |                                     | NIS           |
|        |       |                                     | dissemination |
+--------+-------+-------------------------------------+---------------+
|        | C.9.1 | NIS database, documentation, and    | Annually each |
|        |       | tools for external release in ASCII | June          |
|        |       | (SAS version also provided for      |               |
|        |       | internal AHRQ use)                  |               |
+--------+-------+-------------------------------------+---------------+
|        | C.9.1 | NIS database for intramural use     | Annually each |
|        |       | only, including data development    | June          |
|        |       | variables and documentation         |               |
+--------+-------+-------------------------------------+---------------+
|        | C.9.2 | NIS processing programs             | Annually each |
|        |       |                                     | June          |
+--------+-------+-------------------------------------+---------------+
|        | C.9.2 | NIS comparison report               | 2 months      |
|        |       |                                     | after MedPAR  |
|        |       |                                     | data become   |
|        |       |                                     | available     |
+--------+-------+-------------------------------------+---------------+
|        | C.9.3 | Evaluate the NIS sampling and       | December 2007 |
|        |       | weighting strategy                  |               |
+--------+-------+-------------------------------------+---------------+
|        | C.9.3 | Evaluate the NIS and KID            | October 2007  |
|        |       | processing, documentation and       |               |
|        | C     | dissemination procedures -- one     |               |
|        | .10.2 | time only                           |               |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | KID Verification of Restrictions    | No later than |
|        | .10.1 | memo                                | 1 month prior |
|        |       |                                     | to release of |
|        |       |                                     | KID           |
+--------+-------+-------------------------------------+---------------+
|        | C     | KID database, documentation, and    | June, 2008    |
|        | .10.1 | tools for external release in ASCII |               |
|        |       | (SAS version also provided for      | June, 2011    |
|        |       | internal AHRQ use)                  |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | KID processing programs             | June, 2008    |
|        | .10.1 |                                     |               |
|        |       |                                     | June, 2011    |
+--------+-------+-------------------------------------+---------------+
|        | C     | KID comparison report               | No later than |
|        | .10.1 |                                     | December 31,  |
|        |       |                                     | 2008 and      |
|        |       |                                     | December 31,  |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Intramural KID including all        | June, 2008    |
|        | .10.2 | pediatric discharges from all       |               |
|        |       | hospitals and data development      | June, 2011    |
|        |       | variables                           |               |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Multi-state emergency department    | Annually, 3   |
|        | .11.1 | visits file                         | weeks after   |
|        |       |                                     | processing    |
|        |       |                                     | final SEDD    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Multi-state ambulatory surgery file | Annually, 3   |
|        | .11.1 |                                     | weeks after   |
|        |       |                                     | processing    |
|        |       |                                     | final SASD    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Comparison report for multi-state   | Annually, 3   |
|        | .11.2 | emergency department visits file    | weeks after   |
|        |       |                                     | delivery of   |
|        |       |                                     | multi-state   |
|        |       |                                     | ED visits     |
|        |       |                                     | file          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Comparison report for multi-state   | Annually, 3   |
|        | .11.2 | ambulatory surgery file             | weeks after   |
|        |       |                                     | delivery of   |
|        |       |                                     | the           |
|        |       |                                     | multi-state   |
|        |       |                                     | ambulatory    |
|        |       |                                     | surgery file  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Interim report describing design    | January, 2008 |
|        | .11.3 | recommendations for NEDD            |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final report including interim      | April, 2008   |
|        | .11.3 | report and results of comparison    |               |
|        |       | with other data for the NEDD        |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Interim report describing design    | January, 2010 |
|        | .11.3 | recommendations for NHASD           |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final report including interim      | April, 2010   |
|        | .11.3 | report and results of comparison    |               |
|        |       | with other data for the NHASD       |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | 1^st^ NEDD and documentation        | September 15, |
|        | .11.4 |                                     | 2008          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Annual release of the NEDD and      | July, 2009    |
|        | .11.4 | documentation                       |               |
|        |       |                                     | July, 2010    |
|        |       |                                     |               |
|        |       |                                     | July, 2011    |
+--------+-------+-------------------------------------+---------------+
|        | C     | 1^st^ NEDD and documentation        | September 15, |
|        | .11.4 |                                     | 2010          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Annual release of the NEDD and      | June, 2011    |
|        | .11.4 | documentation                       |               |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Interim report design               | January 31,   |
|        | .12.1 | recommendations for Specialized     | 2009          |
|        |       | Hospital Discharge-Level Database   |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final report including interim      | April 30,     |
|        | .12.1 | report and results of comparison    | 2009          |
|        |       | with other Specialized Hospital     |               |
|        |       | Discharge-Level Database            |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Specialized Hospital                | September 15, |
|        | .12.7 | Discharge-Level Database files and  | 2009          |
|        |       | documentation                       |               |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Execute annual AHA agreement and    | Annually, 2   |
|        | .13.1 | purchase data                       | weeks after   |
|        |       |                                     | AHA file      |
|        |       |                                     | available for |
|        |       |                                     | next data     |
|        |       |                                     | year needed   |
|        |       |                                     | by the        |
|        |       |                                     | project       |
+--------+-------+-------------------------------------+---------------+
|        | C     | Memorandum/Correspondence           | 2 weeks after |
|        | .13.1 | Documenting Survey Changes          | receiving AHA |
|        |       |                                     | Survey file   |
+--------+-------+-------------------------------------+---------------+
|        | C     | AHA Analytic File                   | 6 months      |
|        | .13.1 |                                     | after receipt |
|        |       |                                     | of AHA survey |
|        |       |                                     | files         |
+--------+-------+-------------------------------------+---------------+
|        | C     | Consolidated Crosswalk file with    | 2 weeks after |
|        | .13.1 | documentation                       | all           |
|        |       |                                     | state-level   |
|        |       |                                     | crosswalk     |
|        |       |                                     | files have    |
|        |       |                                     | been created  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Summary Tables to Compare AHA/State | 2 weeks after |
|        | .13.2 | Data                                | all           |
|        |       |                                     | state-level   |
|        |       |                                     | crosswalk     |
|        |       |                                     | files created |
+--------+-------+-------------------------------------+---------------+
|        | C     | Hospital Status Changes File        | 4 months      |
|        | .13.3 |                                     | after receipt |
|        |       |                                     | of AHA survey |
|        |       |                                     | files         |
+--------+-------+-------------------------------------+---------------+
|        | C     | Document AHA Analytic File for Web  | 6 months      |
|        | .13.4 | site: Annotated survey instrument,  | after receipt |
|        |       | Variables, Changes, Summary         | of AHA survey |
|        |       | Statistics                          | files         |
+--------+-------+-------------------------------------+---------------+
|        | C     | Survey Notebook (hard copy) of      | 8 months      |
|        | .13.4 | Analytic File documentation         | after receipt |
|        |       |                                     | of AHA survey |
|        |       |                                     | files         |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Obtain CMS accounting database and  | Annually, 2   |
|        | .14.1 | advise on changes in database       | weeks after   |
|        |       | contents or structure               | CMS makes     |
|        |       |                                     | available the |
|        |       |                                     | June or       |
|        |       |                                     | September     |
|        |       |                                     | database      |
+--------+-------+-------------------------------------+---------------+
|        | C     | Create CCR intramural file and      | 3 months      |
|        | .14.1 | documentation for testing and       | after         |
|        |       | review at AHRQ                      | obtaining CMS |
|        |       |                                     | accounting    |
|        |       |                                     | database      |
+--------+-------+-------------------------------------+---------------+
|        | C     | Supply CCR files and documentation  | 2 months      |
|        | .14.1 | for NIS and CD-SID                  | after         |
|        |       |                                     | completion of |
|        |       |                                     | the           |
|        |       |                                     | intramural    |
|        |       |                                     | CCR           |
+--------+-------+-------------------------------------+---------------+
|        | C     | Create CCR file for the KID 2006    | 2009 - 2      |
|        | .14.1 |                                     | months after  |
|        |       |                                     | completion of |
|        |       |                                     | the           |
|        |       |                                     | corresponding |
|        |       |                                     | intramural    |
|        |       |                                     | CCR or 2      |
|        |       |                                     | weeks after   |
|        |       |                                     | KID release,  |
|        |       |                                     | whichever is  |
|        |       |                                     | later         |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft plan detailing development of | 6 months      |
|        | .14.2 | readmission/revisit variables for   | after edoc    |
|        |       | Partners with person identifier     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final plan detailing development of | 3 weeks after |
|        | .14.2 | readmission/ revisit variables for  | AHRQ review   |
|        |       | Partners with person identifier     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Partner workgroup with Partners     | Begin once    |
|        | .14.2 | collecting and supplying reliable   | plan          |
|        |       | person identifier to the HCUP       | complete.     |
|        |       |                                     | Bi-monthly    |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Implementation of plan to produce   | Begin         |
|        | .14.2 | readmission / revisit variables on  | approach in   |
|        |       | HCUP intramural state files         | data year     |
|        |       |                                     | 2006,         |
|        |       |                                     | i             |
|        |       |                                     | mplementation |
|        |       |                                     | in data year  |
|        |       |                                     | 2007          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft plan detailing variation of   | 18 months     |
|        | .14.2 | readmission/ revisit variable for   | after edoc    |
|        |       | Partners without person identifier  |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final plan detailing variation of   | 3 weeks after |
|        | .14.2 | readmission/ revisit variable for   | AHRQ review   |
|        |       | Partners without person identifier  |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Partner workgroup, Partners not     | Begin once    |
|        | .14.2 | currently produce a patient level   | plan          |
|        |       | link                                | complete.     |
|        |       |                                     | Bi-monthly    |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Implementation of plan to aid       | Begin         |
|        | .14.2 | Partners to produce either a        | approach in   |
|        |       | patient identifier or a derivative  | data year     |
|        |       | readmission / revisit variables on  | 2008,         |
|        |       | their source data                   | i             |
|        |       |                                     | mplementation |
|        |       |                                     | in data year  |
|        |       |                                     | 2009          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Create 2^nd^ and 3^rd^ datasets or  | Annually each |
|        | .14.2 | linkable files each Year beyond the | year, timing  |
|        |       | CCR files                           | tbd           |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft - Annual Memo Recommendations | 4 months      |
|        | .14.3 | for Additional Data or Linkable     | after edoc,   |
|        |       | files (2 in Year 1, 1 per year in   | and annually  |
|        |       | remainder of contract)              | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final - Annual Memo Recommendations | Every 6       |
|        | .14.3 | for additional linkable files       | months        |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Report Summarizing Revenues from    | 6 months      |
|        | .15.1 | Nationwide Databases                | after edoc,   |
|        |       |                                     | and annually  |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Electronic notification that        | Ongoing       |
|        | .15.2 | updates have been made (tracking    |               |
|        |       | system)                             |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Electronic copy of tracking system  | 11 months     |
|        | .15.2 | content                             | after edoc,   |
|        |       |                                     | annually      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft SID/SASD/SEDD Application     | 6 months      |
|        | .15.3 | Kits                                | edoc, and     |
|        |       |                                     | annually      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final SID/SASD/SEDD Application     | 2 weeks after |
|        | .15.3 | Kits                                | AHRQ comments |
+--------+-------+-------------------------------------+---------------+
|        | C     | Other SID/SASD/SEDD (Draft & Final) | tbd           |
|        | .15.3 | Application Kits                    |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft NIS Application Kits          | 9 months      |
|        | .15.3 |                                     | edoc, and     |
|        |       |                                     | annually      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final NIS Application Kits          | 2 weeks after |
|        | .15.3 |                                     | AHRQ comments |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft KID Application Kits          | tbd           |
|        | .15.3 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final KID Application Kits          | tbd           |
|        | .15.3 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft Central Distributor Activity  | Monthly       |
|        | .15.5 | Report                              |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Central Distributor Activity  | 1 week after  |
|        | .15.5 | Report                              | AHRQ comments |
+--------+-------+-------------------------------------+---------------+
|        | C     | Send original DUA copies to AHRQ    | Quarterly     |
|        | .15.6 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Design and create promotional       | 1 week after  |
|        | .15.7 | material                            | database      |
|        |       |                                     | release       |
+--------+-------+-------------------------------------+---------------+
|        | C     | Exhibit Booth Representation        | tbd           |
|        | .15.8 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft Evaluation of Processes and   | 13 months     |
|        | .15.9 | Tracking Report                     | after edoc    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Evaluation of Processes and   | 2 weeks after |
|        | .15.9 | Tracking Report                     | AHRQ comments |
+--------+-------+-------------------------------------+---------------+
|        | C     | Implement Tracking and Reporting    | As discussed  |
|        | .15.9 | Systems Refinements/New System      | in Final      |
|        |       |                                     | report        |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.1   | Source data destruction and         | 2 years after |
|        | 6.1.2 | certification                       | completion of |
|        |       |                                     | database and  |
|        |       |                                     | at project    |
|        |       |                                     | conclusion    |
+--------+-------+-------------------------------------+---------------+
|        | C.1   | Draft memo on Proposed File         | 5 months edoc |
|        | 6.2.1 | Maintenance System (naming          |               |
|        |       | conventions, tracking, disposition  |               |
|        |       | of old files)                       |               |
+--------+-------+-------------------------------------+---------------+
|        | C.1   | Final memo on Proposed File         | 3 weeks after |
|        | 6.2.1 | Maintenance System (naming          | AHRQ review   |
|        |       | conventions, tracking, disposition  |               |
|        |       | of old files)                       |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft HCUP Policy for Documentation | 6 months edoc |
|        | .16.6 | and Management of Project Records   |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final HCUP Policy for Documentation | 3 weeks after |
|        | .16.6 | and Management of Project Records   | delivery of   |
|        |       |                                     | draft to AHRQ |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Report on Web site policies and     | 1 year edoc   |
|        | .17.1 | procedures                          | and 4 years   |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Posting New Pages on Web site       | On-going      |
|        | .17.1 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Modifying New Pages on Web site     | On-going      |
|        | .17.1 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Enhance the Web site                | Up to four    |
|        | .17.4 |                                     | per year      |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft HCUP-US Technical User Guide  | 1 year edoc   |
|        | .17.6 |                                     | and 4 years   |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final HCUP-US Technical User Guide  | 3 weeks after |
|        | .17.6 |                                     | AHRQ review   |
|        |       |                                     | at 1 year     |
|        |       |                                     | edoc and 4    |
|        |       |                                     | years edoc    |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Technical Support for Partners      | 3 Month after |
|        | .18.1 | Quarterly Report                    | edoc and      |
|        |       |                                     | quarterly     |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Technical Support for Partners      | 3 months      |
|        | .18.3 | Needs Assessment Annual Memo        | after edoc    |
|        |       |                                     |               |
|        |       |                                     | 12, 24, 36, & |
|        |       |                                     | 48 months     |
|        |       |                                     | after edoc    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Options for Partners to Maintain    | Twice yearly  |
|        | .18.6 | Confidentiality of Data Report      | as requested  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Implement Option Selected to        | Twice yearly  |
|        | .18.6 | Maintain Data Confidentiality       | as requested  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Focused Data Collection Improvement | 13 & 37       |
|        | .18.7 | Report Design                       | months after  |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Focused Data Collection Improvement | 24 & 48       |
|        | .18.7 | Final Report                        | months after  |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft Partner Technical Support     | 9, 21, 33,    |
|        | .18.8 | Template or Tool                    | 45, & 57      |
|        |       |                                     | months after  |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Partner Technical Support     | 12, 24, 36,   |
|        | .18.8 | Template or Tool                    | 48 & 60       |
|        |       |                                     | months after  |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Memo on technological innovations   | 10 months     |
|        | .19.2 |                                     | after edoc    |
|        |       |                                     | and annually  |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Written Summaries on HIT topic      | 1 month after |
|        | .19.3 |                                     | edoc and      |
|        |       |                                     | Monthly       |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Written Summary of HIT              | 1 month       |
|        | .19.3 | Conference/Meetings                 | following the |
|        |       |                                     | meeting       |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft Annual HIT Summary Report     | 11 months     |
|        | .19.3 |                                     | after edoc,   |
|        |       |                                     |               |
|        |       |                                     | and annually  |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Annual HIT Summary Report     | 12 months     |
|        | .19.3 |                                     | after edoc,   |
|        |       |                                     |               |
|        |       |                                     | and annually  |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Technical support services          | 1 month after |
|        | .20.1 | infrastructure (staff expertise,    | edoc and      |
|        |       | telephone and email capacity)       | on-going      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Routing protocol and list of        | 2 months      |
|        | 0.1.2 | proposed staff for addressing       | after edoc    |
|        |       | technical inquiries                 |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Technical support to users          | 1 month after |
|        | .20.2 |                                     | edoc and      |
|        |       |                                     | ongoing       |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Collection of technical support     | 3 months      |
|        | 0.3.3 | "best responses" and limited        | after edoc    |
|        |       | statistical tables                  | with periodic |
|        |       |                                     | updates       |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Technical assistance Web pages and  | 1 month after |
|        | 0.3.4 | updates                             | edoc, with    |
|        |       |                                     | updates as    |
|        |       |                                     | needed within |
|        |       |                                     | 2 days of     |
|        |       |                                     | request       |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Feasibility study to determine the  | 3 years after |
|        | 0.3.5 | usefulness of other technology and  | edoc          |
|        |       | implementation                      |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | User impact stories                 | Biannually,   |
|        | 0.4.2 |                                     | per calendar  |
|        |       |                                     | year          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Publications report                 | Quarterly,    |
|        | .20.5 |                                     | per calendar  |
|        |       |                                     | year          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Maintenance of existing user        | 3 months      |
|        | .20.6 | database                            | after edoc    |
|        |       |                                     | and ongoing   |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Feasibility study for new or        | 15 months     |
|        | .20.6 | expanded user database              | after edoc    |
+--------+-------+-------------------------------------+---------------+
|        | C     | New or expanded user database       | 3 months      |
|        | .20.6 |                                     | after AHRQ    |
|        |       |                                     | approval      |
+--------+-------+-------------------------------------+---------------+
|        | C     | Technical Support and Outreach      | Quarterly,    |
|        | .20.7 | Statistics Report                   | per calendar  |
|        |       |                                     | year          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Update master presentations         | Annually, 6   |
|        | .21.1 |                                     | weeks prior   |
|        |       |                                     | to each       |
|        |       |                                     | presentation  |
|        |       |                                     | date          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | De-identified training file - Draft | 8 months edoc |
|        | 1.2.1 | proposal                            |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | De-identified training file - Final | 10 months     |
|        | 1.2.1 | proposal                            | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | De-identified training file and     | 13 months     |
|        | 1.2.1 | documentation                       | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Concept for 3-part                  | 27 months     |
|        | 1.2.2 | Intermediate/advanced electronic    | edoc          |
|        |       | courseware                          |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Draft 3-part Intermediate/advanced  | 31 months     |
|        | 1.2.2 | electronic courseware               | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Final 3-part Intermediate/advanced  | 34 months     |
|        | 1.2.2 | electronic courseware               | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Report recommending new             | 46 months     |
|        | 1.2.3 | technologies\*                      | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Draft -New technology training tool | 50 months     |
|        | 1.2.3 |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Final New technology training tool  | 53 months     |
|        | 1.2.3 | with documentation                  | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Customize new presentations to suit | 3 weeks prior |
|        | 1.3.1 | audiences                           | to meeting    |
|        |       |                                     | presentation  |
|        |       | 5 annually in Years 1 and 2,        | date or       |
|        |       |                                     | electronic    |
|        |       | 8 annually in Years 3, 4 and 5,     | posting date  |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Written support materials for a     | 2 weeks prior |
|        | 1.4.1 | presentation                        | to each       |
|        |       |                                     | presentation  |
|        |       |                                     | date          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Display materials and equipment     | At            |
|        | 1.4.2 |                                     | presentation  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Presentation report \*              | Annually      |
|        | .21.5 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | In-person presentations and         | 8 annually in |
|        | 1.6.1 | training                            | Years 1 and   |
|        |       |                                     | 2. 10         |
|        |       |                                     | annually in   |
|        |       |                                     | Years 3, 4    |
|        |       |                                     | and 5.        |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | In-person booth representation      | 8 annually    |
|        | 1.6.2 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Update existing ICD-based software  | Annually, on  |
|        | .22.1 | tools, with priority given to       | a staggered   |
|        |       | Co-morbidity Software               | delivery      |
|        |       |                                     | timeline with |
|        |       |                                     | all completed |
|        |       |                                     | by October 1  |
|        |       |                                     | of each year  |
+--------+-------+-------------------------------------+---------------+
|        | C     | Update CCS-CPT                      | Annually, by  |
|        | .22.1 |                                     | August 1      |
+--------+-------+-------------------------------------+---------------+
|        | C     | Maintain tool development logistics | Year 1 and    |
|        | .22.2 | memo                                | when each new |
|        |       |                                     | tool is added |
+--------+-------+-------------------------------------+---------------+
|        | C     | Create and update new software      | One tool for  |
|        | .22.3 | tools                               | each year 2,  |
|        |       |                                     | 3, and 4      |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Special Technical Analysis Reports  | 1 annually in |
|        | .23.1 |                                     | Year 1; and 2 |
|        |       |                                     | annually      |
|        |       |                                     | beginning in  |
|        |       |                                     | Year 2        |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Fact Books -- AHRQ-lead             | 1 annually,   |
|        | 3.2.1 |                                     | beginning in  |
|        |       |                                     | Year 1        |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Fact Books --Contractor             | 1 annually,   |
|        | 3.2.1 |                                     | beginning in  |
|        |       |                                     | Year 2        |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Statistical Briefs                  | 9 annually,   |
|        | 3.2.1 |                                     | in Year 1     |
|        |       |                                     |               |
|        |       |                                     | 12 annually   |
|        |       |                                     | in Years 2 -- |
|        |       |                                     | 5             |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Annual Research Report design       | May 2007      |
|        | 3.2.2 | template                            |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Annual Research Report \*           | 1 annually,   |
|        | 3.2.2 |                                     | completed by  |
|        |       |                                     | August of     |
|        |       |                                     | each year     |
+--------+-------+-------------------------------------+---------------+
|        | C     | Overall Plan with recommended       | Second        |
|        | .23.3 | report series specifications        | quarter, Year |
|        |       |                                     | 2             |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Plan for marketing and outreach     | Annually,     |
|        | 4.1.1 |                                     | beginning 3   |
|        |       |                                     | months after  |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Major outreach initiatives          | Timed         |
|        | 4.1.2 |                                     | annually to   |
|        |       |                                     | correspond    |
|        |       |                                     | with best     |
|        |       |                                     | opportunities |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | 7 announcements                     | Annually,     |
|        | 4.2.1 |                                     | timed with    |
|        |       |                                     | event         |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Quarterly HCUP newsletter           | December 15,  |
|        | 4.2.2 |                                     | March 15,     |
|        |       |                                     | June 15 and   |
|        |       |                                     | September 15  |
|        |       |                                     | of each year  |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | HCUP calendar of events for HCUP    | 3 months      |
|        | 4.2.3 | team and for public Web site        | after edoc    |
|        |       |                                     | and weekly    |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | 5 new and 5 updated promotional     | Annually,     |
|        | 4.2.4 | materials                           | timed with    |
|        |       |                                     | event         |
+--------+-------+-------------------------------------+---------------+
|        | C     | E-mail with immediate debriefing of | Following     |
|        | .24.3 | activity                            | each outreach |
|        |       |                                     | activity/     |
|        |       |                                     | presentation/ |
|        |       |                                     | training      |
|        |       |                                     | session/      |
|        |       |                                     | booth         |
+--------+-------+-------------------------------------+---------------+
|        | C     | Annual Report of HCUP Outreach      | 1 year after  |
|        | .24.3 | Activities \*                       | edoc, and     |
|        |       |                                     | annually      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        |       | []{.mark}                           | []{.mark}     |
+--------+-------+-------------------------------------+---------------+
| []{    | C.2   | NHQR/DR Design Memo                 | tbd           |
| .mark} | 8.1.2 |                                     |               |
+--------+-------+-------------------------------------+---------------+
| []{    |       |                                     |               |
| .mark} |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | AI/AN tables of rates and           | January 15,   |
|        | 8.2.4 | documentation for NHDR              | 2008, 2009,   |
|        |       |                                     | 2010, 2011    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | NHQR/NHDR Estimates Working Tables  | September 30, |
|        | 8.3.1 | (excluding AI/AN tables)            | 2007, 2008,   |
|        |       |                                     | 2009, 2010,   |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Final NHQR/NHDR Tables              | January 15,   |
|        | 8.3.2 |                                     | 2008, 2009,   |
|        |       |                                     | 2010, 2011    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | NHQR/DR Skinny files and            | August 31,    |
|        | 8.3.3 | documentation of data for Reports   | 2007, 2008,   |
|        |       |                                     | 2009, 2010,   |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Short methods reports describing    | November 30,  |
|        | 8.3.4 | NHQR/NHDR table production          | 2007, 2008,   |
|        |       |                                     | 2009, 2010    |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Technical specifications report,    | February 28,  |
|        | 8.3.4 | computer programs, and program      | 2008, 2009,   |
|        |       | documentation for Reports           | 2010, 2011    |
+--------+-------+-------------------------------------+---------------+
|        | C     | List of potential special analyses  | December 30,  |
|        | .28.4 |                                     | 2006, 2007,   |
|        |       |                                     | 2008, 2009,   |
|        |       |                                     | 2010          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Special analysis- final state       | November 30,  |
|        | .28.4 | report                              | 2007, 2008,   |
|        |       |                                     | 2009, 2010    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Special analysis- 5 others / year   | tbd           |
|        | .28.4 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Partners- preview material          | March 31,     |
|        | 8.5.1 |                                     | 2007, 2008,   |
|        |       |                                     | 2009, 2010,   |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Partners- briefing material         | October 31,   |
|        | 8.5.2 |                                     | 2006, 2007,   |
|        |       |                                     | 2008, 2009,   |
|        |       |                                     | 2010          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Partners- letter to volunteer for   | April 30,     |
|        | 8.5.3 | NHQR                                | 2007, 2008,   |
|        |       |                                     | 2009, 2010,   |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C.2   | Partners- send final report text    | July 31,      |
|        | 8.5.4 | for review                          | 2007, 2008,   |
|        |       |                                     | 2009. 2010,   |
|        |       |                                     | 2011          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft HCUP Security Plan            | 3 months      |
|        | .29.3 |                                     | after edoc    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final HCUP Security Plan \*         | 3 weeks after |
|        | .29.3 |                                     | AHRQ review   |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft plan for Security Audit       | 11 months     |
|        | .29.4 |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Security Audit Report \*      | 13 months     |
|        | .29.4 |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Evaluation of HCUP Confidentiality  | 15, 27, 39, & |
|        | .29.4 | and Security                        | 51 months     |
|        |       |                                     | after edoc    |
|        |       | (memo)                              |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Memo documenting yearly review and  | 12, 24, 36,   |
|        | .29.5 | update of                           | 48, & 56      |
|        |       |                                     | months after  |
|        |       | HCUP Privacy Training Tool and HCUP | edoc          |
|        |       | DUA Training Tool                   |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Maintain and update privacy         | 3 weeks after |
|        | .29.5 | training tools Annually             | approval by   |
|        |       |                                     | AHRQ of       |
|        |       |                                     | review memo   |
|        |       |                                     | and yearly    |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Project Orientation meeting and     | 10 days after |
|        | .30.1 | Work Plan                           | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Partners meeting                    | Tbd           |
|        | .30.1 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Site Visit                          | 13 months and |
|        | .30.1 |                                     | annually      |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Draft Annual Project Management     | 1, 11, 23,    |
|        | .30.2 | Plan                                | 35, & 47      |
|        |       |                                     | months edoc   |
+--------+-------+-------------------------------------+---------------+
|        | C     | Final Annual Project Management     | 12, 24, 36, & |
|        | .30.2 | Plan \*                             | 48 months     |
|        |       |                                     | edoc          |
+--------+-------+-------------------------------------+---------------+
|        | C     | Progress Reports \*                 | 6 weeks edoc  |
|        | .30.3 |                                     | and Monthly   |
|        |       |                                     | thereafter    |
+--------+-------+-------------------------------------+---------------+
|        | C     | Estimate to Complete Report \*      | 6, 9,18, 21,  |
|        | .30.3 |                                     | 30, 33, 42,   |
|        |       |                                     | 45, 54, 57    |
|        |       |                                     | months edoc   |
+--------+-------+-------------------------------------+---------------+
|        | C     | Project Summary Report Draft        | 52 months     |
|        | .30.3 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Project Summary Report Final \*     | 57 months     |
|        | .30.3 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Close-out Transition Plan Draft     | 1/30/11       |
|        | .30.4 |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        | C     | Close-out Transition Plan Final \*  | 1 month after |
|        | .30.4 |                                     | AHRQ review   |
+--------+-------+-------------------------------------+---------------+
|        |       |                                     |               |
+--------+-------+-------------------------------------+---------------+
|        |       | Subcontracting Report for           | Annually in   |
|        |       | Individual Contracts (SF-294)       | October and   |
|        |       |                                     | April via     |
|        |       |                                     | e-SRS         |
+--------+-------+-------------------------------------+---------------+
|        |       | Small Disadvantaged Business        | At contract   |
|        |       | Participation Report (OF-312)       | completion    |
|        |       |                                     | (to the       |
|        |       |                                     | Contracting   |
|        |       |                                     | Officer)      |
+--------+-------+-------------------------------------+---------------+

**\* The Contracting Officer shall also receive [one copy]{.underline}
of each deliverable denoted by an asterisk.**

Agency for Healthcare Research and Quality

ATTN: Sharon Williams, Contracting Officer

Division of Contracts Management

540 Gaither Road

Rockville, Maryland 20850

**[SECTION G - CONTRACT ADMINISTRATION DATA]{.underline}**

**G.1 KEY PERSONNEL**

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

[NAME]{.underline} [TITLE]{.underline}

**(TO BE COMPLETED AT TIME OF CONTRACT AWARD)**

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

**G.2 PROJECT OFFICER**

> Number range CHAPTERThe following Project Officer(s) will represent
> the Government for the purpose of this contract:

**(TO BE COMPLETED AT TIME OF CONTRACT AWARD)**

> The Project Officer is responsible for: (1) monitoring the
> contractor\'s technical progress, including the surveillance and
> assessment of performance and recommending to the contracting officer
> changes in requirements; (2) interpreting the statement of work and
> any other technical performance requirements; (3) performing technical
> evaluation as required; (4) performing technical inspections and
> acceptances required by this contract; and (5) assisting in the
> resolution of technical problems encountered during performance.
>
> The Contracting Officer is the only person with authority to act as an
> agent of the Government under this contract. Only the Contracting
> Officer has authority to: (1) direct or negotiate any changes in the
> statement of work; (2) modify or extend the period of performance; (3)
> change the delivery schedule; (4) authorize reimbursement to the
> contractor of any costs incurred during the performance of this
> contract; or (5) otherwise change any terms and conditions of this
> contract.
>
> The Government may unilaterally change its Project Officer designation

**G.3 INVOICE SUBMISSION**

a\. INVOICE SUBMISSION

> Billing Instructions are attached and made part of this contract.
> Instructions and the following directions for the submission of
> invoices must be followed to meet the requirements of a \"proper\"
> payment request pursuant to FAR 32.9, and must be in accordance with
> the General Provisions clause 52.232-25 Prompt Payment (OCT 2003).

Invoices/financing requests shall be submitted in an original and three
copies to:

Contracting Officer

Agency for Healthcare Research and Quality

Division of Contracts Management

540 Gaither Road

Rockville, Maryland 20850

**G.4 INFORMATION ON VOUCHERS**

**G.4 INFORMATION ON VOUCHERS**

> \(1\) The Contractor is required to include the following minimum
> information on vouchers:

\(a\) Contractor's name and invoice date;

\(b\) Contract Number;

\(c\) Description and price of services actually rendered;

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

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

\(f\) The Internal Revenue Service Taxpayer Identification Number.

\(2\) The Contractor shall furnish the following [minimum]{.underline}
information in support of costs submitted:

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

\(b\) [Fringe Costs]{.underline} - show rate, base and total amount as
well as verification/allowability or rate changes (when applicable);

\(c\) [Overhead or Indirect Costs]{.underline} - show rate, base and
total amount as well as verification/allowability or rate changes (when
applicable);

\(d\) [Consultants]{.underline} - include the name, number of days or
hours worked, a total amount per consultant and a total amount for this
category;

\(e\) [Travel]{.underline} - include for each airplane or train trip
taken the name of the traveler, date of travel, destination, the
transportation costs including ground transportation, shown separately,
and per diem costs. Other travel costs shall also be listed. A total
amount for this category shall be provided;

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

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

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

\(i\) [Equipment Cost]{.underline} - itemize and identify separately
from material costs including reference to approval in all cases;

\(j\) [G&A]{.underline} - show rate, base and total as well as
verification/allowability of rate changes (when applicable);

\(k\) [Fee]{.underline} - show rate, base and total and;

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

\(3\) Payment shall be made by:

PSC Finance

Parklawn Building, Room 16-23

5600 Fishers Lane

Rockville, Maryland 20857

Telephone Number (301) 443-6766

**G.5 INDIRECT COST RATES and FEE**

> In accordance with Federal Acquisition Regulation (FAR) (48 CFR
> Chapter 1) Clause 52.216-7(d)(2), [Allowable Cost and
> Payment]{.underline}, incorporated by reference in this contract, in
> Part II, Section I, the primary contact point responsible for
> negotiating provisional and/or final indirect cost rates is the
> cognizant contracting official as set forth in FAR Subpart 42.7 -
> Indirect Cost Rates.
>
> Reimbursement will be limited to the rates and time periods covered by
> the negotiated agreements. The rates, if negotiated, are hereby
> incorporated without further action of the contracting officer.

**G.6 ELECTRONIC FUNDS TRANSFER**

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

**SECTION H - SPECIAL CONTRACT REQUIREMENTS**

**H.1 RELEASE AND USE AND COPYRIGHT OF DATA FIRST PRODUCED FROM WORK
PERFORMED UNDER THIS CONTRACT**

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

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

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

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

> \(1\) prior to the release or use of data based upon work performed
> under this Contract, the Contractor agrees to consult with the Project
> and Contract Officers regarding the proposed release or use. The
> Contractor will in good faith consider, discuss, and respond to any
> comments or suggested modifications that are provided by AHRQ within
> two months of receiving the proposed release or use.
>
> The purpose of such consultation is to assure that:
>
> \(A\) identifiable information is being used exclusively for the
> purpose(s) for which it was supplied or appropriate consents have been
> obtained;
>
> \(B\) the confidentiality promised to individuals and establishments
> supplying identifiable information or described in it is not violated;
> and
>
> \(C\) the quality of statistical and analytical work meets the
> statutory standards cited above.
>
> \(2\) The Contractor must satisfy conditions (1)(A) and (1)(B). At the
> conclusion of any consultation required by paragraph (b)(1) above, if
> AHRQ and the Contractor cannot agree that a proposed use or release
> satisfies condition (1)(C) above:
>
> \(A\) the research professional at the Contractor responsible for the
> quality of the Contract work will, in advance of any release or use of
> such data, certify in a letter to the Contracting Officer what
> differences of opinion cannot be resolved regarding the statutory
> standards referenced in condition (1)(C) and the basis for Contractor
> assertions that these standards have been met; and
>
> \(B\) the Contractor must print prominently on the release or other
> product, or on any portion that is released, or state prior to any
> oral presentation or release of such material, the following
> disclaimer:
>
> THIS presentation/ publication/or other product is derived from work
> supported under a contract with THE AGENCY FOR HEALTHCARE RESEARCH AND
> QUALITY (AHRQ) (# ). However, this presentation/ publication/or other
> product HAS NOT BEEN APPROVED by the agency.

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

> IDENTIFIABLE INFORMATION ON WHICH THIS REPORT, PRESENTATION, OR OTHER
> FORM OF DISCLOSURE IS BASED IS PROTECTED BY FEDERAL LAW, SECTION
> 934(c) OF THE PUBLIC HEALTH SERVICE ACT, 42 U.S.C. 299c-3(c). NO
> IDENTIFIABLE INFORMATION ABOUT ANY INDIVIDUALS OR ENTITIES SUPPLYING
> THE INFORMATION OR DESCRIBED IN IT MAY BE KNOWINGLY USED EXCEPT IN
> ACCORDANCE WITH THEIR PRIOR CONSENT. ANY CONFIDENTIAL IDENTIFIABLE
> INFORMATION IN THIS REPORT OR PRESENTATION THAT IS KNOWINGLY DISCLOSED
> IS DISCLOSED SOLELY FOR THE PURPOSE FOR WHICH IT WAS PROVIDED.

\(d\) *Copyright -- Data first produced in the performance of the
Contract.* Subject to the terms of this Section regarding release and
use of data, AHRQ, through its Contracting Officer, will grant
permission under FAR 52.227-17(c)(1)(i) to the Contractor to establish
claim to copyright subsisting in scientific and technical articles based
on or containing data first produced in the performance of this contract
that are submitted for publication in academic, technical or
professional journals, symposia proceedings or similar works. When claim
to copyright is made, the Contractor shall affix the applicable
copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of
Government sponsorship (including contract number) to the data when such
data are delivered to the Government, as well as when the data are
published or deposited for registration as a published work in the U.S.
Copyright Office. In such circumstances, the Contractor hereby agrees to
grant to AHRQ, and others acting on its behalf, a paid-up, nonexclusive,
irrevocable, worldwide license for all such data to reproduce, prepare
derivative works, distribute copies to the public, and perform publicly
and display publicly, by or on behalf of AHRQ. A description of this
license will be incorporated into the copyright notices required above.

\(e\) *Subcontracts.* Whenever data, analyses, or other recorded
products are to be developed by a subcontractor under this Contract, the
Contractor must include the terms of H.1 in the subcontract, without
substantive alteration, with a provision that the subcontractor may not
further assign to another party any of its obligations to the
Contractor. No clause may be included to diminish the Government's
stated requirements or rights regarding release or use of products or
materials based on data derived from work performed under this contract.

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

Failure to submit materials for statutorily mandated confidentiality and
statistical and analytic quality reviews as required by Section H.1 of
this contract will be viewed as a material violation and breach of the
terms of this contract, as the requirements of this provision are
necessary for AHRQ to carry out its statutory obligations and
responsibilities. Such violations, as well as other violations of the
contract terms which are deemed serious, could result in the initiation
of debarment proceedings in accordance with the Federal Acquisition
Regulations and the Department of Health and Human Services implementing
regulations. Records of the Contractor\'s performance, including the
Contractor\'s performance pertaining to this Contract, will be
maintained in AHRQ\'s Contracts Management Office and will be considered
as an element of past performance which is part of all subsequent
competitive contract proposal reviews.

**H.3 SALARY RATE LIMITATION LEGISLATION PROVISION**

Pursuant to P.L. 109-149, no Fiscal Year 2006 (October 1, 2005 --
September 30, 2006) funds may be used to pay the direct salary of an
individual through this contract at a rate in excess of the direct
salary rate for Executive Level I of the Federal Executive Pay Scale.
That rate is \$183,500 per year for the period of January 1, 2006
through December 31, 2006. Direct salary is exclusive of overhead,
fringe benefits, and general and administrative expenses. The salary
limit also applies to individuals proposed under subcontracts. If this
is a multi-year contract, it may be subject to unilateral modifications
by the Government if any salary rate ceilings are established in future
DHHS appropriation acts. P.L. 109-149 states in pertinent part:

> None of the funds appropriated in this Act for the National Institutes
> of Health, the Agency for Healthcare Research and Quality, and the
> Substance Abuse and Mental Health services Administration shall be
> used to pay the salary of an individual, through a grant or other
> extramural mechanism, at a rate in excess of Executive Level I.

Contractors shall absorb that portion of an employee's salary (plus the
dollar amount for fringe benefits and indirect costs associated with the
excess) that exceeds a rate of \$183,500 a year.

**H.4 SUBCONTRACTS**

The contractor must include in any subcontracts executed or used to
provide the support specified in this contract the terms of requirements
H.1, H.2, H.3 and H.4. These requirements are to be included without
substantive alteration, and no clause may be included to diminish these
requirements.

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

**H.5 LATE PAYMENTS TO THE GOVERNMENT**

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

a\. The basis of indebtedness.

b\. The amount due.

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

d\. The approximate interest rate that will be charged.

**H.6 PRIVACY ACT**

The Privacy Act clauses cited in Section I (FAR 52.224-1 and 52.224-2)
are applicable to the consultant records kept by the Contractor for the
Agency for Healthcare Research and Quality.

You are hereby notified that the Contractor and its employees are
subject to criminal penalties for violations of the Act (5 U.S.C.
552a(i)) to the same extent as employees of the Department. The
Contractor shall assure that each Contractor employee is aware that
he/she can be subjected to criminal penalties for violations of the Act.
Disposition instructions: Records are to be destroyed after contract
closeout is completed and final payment is made and in accordance with
IRS regulations.

**H.7 PRO-CHILDREN ACT of 1994**

The Pro-Children Act of 1994, P.L. 103-227, imposes restrictions on
smoking where certain federally funded childrens' services are provided.
P.L. 103-227 states in pertinent part:

> PHS strongly encourages all grant and contract recipients to provide a
> smoke-free workplace and to promote the non-use of all tobacco
> products. In addition, P.L. 103-227, the Pro-Children Act of 1994,
> prohibits smoking in 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."

**H.8** **PERSONNEL SECURITY REQUIREMENTS**

Number range CHAPTER**BACKGROUND**

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

**GENERAL**

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

SF-85 Questionnaire for Non-Sensitive Positions

HHS Credit Release

OF-306 Declaration for Federal Employment

Current resume

*Note: Forms are available at:
[[http://www.gsa.gov/Portal/formslibrary.jsp]{.underline}](http://www.gsa.gov/Portal/formslibrary.jsp)*

> Within thirty (30) days after contract award each employee will be
> required to have electronic fingerprinting performed ----
> Fingerprinting services are available by appointment only through the
> Program Support Staff (PSC) and will be arranged by AHRQ.

**H.9 PROTECTION AND USE OF DATA**

The Contractor should pay special attention to the above clauses in
Section H which characterizes the rights to data. The Contractor shall
not use for purposes other than the performance of this contract, nor
shall the contractor release, reproduce, distribute, or publish any data
first produced in the performance of this contract, nor authorize others
to do so, without prior written permission of the Project Officer. Under
this contract, AHRQ retains unlimited rights in all data delivered under
this contract, and in all data first produced in the performance of this
contract.

Further, an organization's non-HCUP-related business shall remain
completely separate from HCUP activities in data processing and handling
and data dissemination. HCUP activities shall not be used as an
opportunity to promote the organization and/or the organization's
products (e.g., non-HCUP databases, software) and/or services. For
example, the Contractor, in the course of answering HCUP data inquiries,
shall not direct or suggest to the inquirer, the use of the
organization's products or services, or direct them to others in the
organization with such knowledge. Nor shall the Contractor use
information obtain about the inquirer to promote non-HCUP related
activities at a separate time. The Contractor shall make it clear that
they are acting on behalf of AHRQ. Contractor staff assigned to HCUP
responsibilities should not be engaged in other organizational
activities that may represent a conflict of interest to HCUP activities,
or harm HCUP and AHRQ in anyway.

(FAC 2005-09)Number range CHAPTER

(DCM 04/06)

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

GENERAL CLAUSES FOR A COST-PLUS-A-FIXED-FEE CONTRACT

CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998)

This contract incorporates the following 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 address: http://www.arnet.gov/far/

I. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES

FAR Clause No. Title and Date

52.203-3 Gratuities (APR 1984)

52.203-5 Covenant Against Contingent Fee (APR 1984)

52.203-6 Restrictions on Subcontractor Sales to the Government

> (Jul 1995)

52.203-7 Anti-Kickback Procedures (JUL 1995)

52.203-8 Cancellation, Rescission, and Recovery of Funds for 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 (SEP 2005)

52.204-4 Printing or Copying Double-Sided on Recycled Paper (AUG 2000)

52.204-7 Central Contractor Registration. (OCT 2003)

52.209-6 Protecting the Government\'s Interest When Subcontracting With
Contractors Debarred, Suspended, or Proposed for Debarment (JAN 2005)

52.215-2 Audit and Records - Negotiation (JUN 1999)

52.215-8 Order of Precedence-Uniform Contract Format (Oct 1997)

52.215-10 Price Reduction for Defective Cost or Pricing Data (OCT 1997)

> (applicable to contract actions over \$550,000)

52.215-12 Subcontractor Cost or Pricing Data (OCT 1997)

> (applicable to contract actions over \$550,000)

52.215-15 Pension Adjustments and Asset Reversions (OCT 2004)

52.215-17 Wavier of Facilities Capital Cost of Money (OCT 1997)

52.215-18 Reversion or Adjustment of Plans for Postretirement Benefits
(PRB) Other Than Pensions (JUL 2005)

52.215-19 Notification of Ownership Changes (OCT 1997)

52.216-7 Allowable Cost and Payment (DEC 2002)

52.216-8 Fixed Fee (MAR 1997)

52.216-27   Single or Multiple Awards (OCT 1995)

52.217-5 Evaluation of Options (JUL 1990)

52.217-8 Option to Extend Services (NOV 1999)

52.219-4 Notice of Price Evaluation Preference for HUBZone Small
Business Concerns (OCT 2004)

52.219-8 Utilization of Small Business Concerns (MAY 2004)

52.219-9 Small Business Subcontracting Plan (JAN 2002)

> (Applicable to contracts over \$500,000)

52.219-16 Liquidated Damages - Subcontracting Plan (JAN 1999)

52.219-25 Small Disadvantaged Business Participation Program -
Disadvantaged Status and Reporting ( OCT 1999)

52.222-2 Payment for Overtime Premiums (JUL 1990). The amount in

> paragraph (a) is \"zero\" unless different amount is separately
>
> stated elsewhere in contract.

52.222-3 Convict Labor (JUNE 2003)

52.222-26 Equal Opportunity (APR 2002)

52.222-35 Equal Opportunity for Special Disabled Veterans, Veterans of
the Vietnam Era, and Other Eligible Veterans. (DEC 2001)

52.222-36 Affirmative Action for Workers With Disabilities (JUNE 1998)

52.222-37 Employment Reports on Special Disabled Veterans, Veterans of
the Vietnam Era, and Other Eligible Veterans. (DEC 2001)

52.222-39 Notification of Employee Rights Concerning Payment of Union
Dues or Fees (DEC 2004)

52.223-6 Drug Free Workplace (MAY 2001)

52.223-14 Toxic Chemical Release Reporting (AUG 2003)

52.224-1 Privacy Act Notification (APRIL 1984)

52.224-2 Privacy Act (APRIL 1984)

52.225-1 Buy American Act - Supplies (JUNE 2003)

52.225-13 Restrictions on Certain Foreign Purchases (FEB 2006)

52.227-1 Authorization and Consent (JULY 1995)

52.227-2 Notice and Assistance Regarding Patent and Copy-

> Right Infringement (AUG 1996)

52.227-3 Patent Indemnity (APRIL 1984)

52.227-17 Rights in Data -- Special Works (JUNE 1987)

52.228-7 Insurance-Liability to Third Persons (MAR 1996)

52.230-2 Cost Accounting Standards (APR 1998)

52.230-3 Disclosure and Consistency of Cost Accounting Practices (APR
1998)

52.230-6 Administration of Cost Accounting Standards (APR 2005)

52.232-9 Limitation on Withholding of Payments (APRIL 1984)

52.232-17 Interest (JUNE 1996)

52.232-18 Availability of Funds (APRIL 1984)

52.232-20 Limitation of Cost (APR 1984)

52.232-22 Limitation of Funds (APR 1984) (This clause supersedes the
Limitation of Cost clause found in the General Clauses of this
contract.)

52.232-23 Assignment of Claims (JAN 1986)

52.232-25 Prompt Payment (OCT 2003)

52.232.33 Payment by Electronic Funds Transfer Central Contractor
Registration (OCT 2003)

52.233-1 Disputes (JULY 2002)

52.233-3 Protest After Award (AUG 1996) Alternate I (JUNE 1985)

52.233-4 Applicable Law for Breach of Contract Claim (OCT 2004)

52.237-10 Identification of Uncompensated Overtime (Oct 1997)

52.239-1 Privacy or Security Safeguards (AUG 1996)

52.242-1 Notice of Intent to Disallow Costs (APRIL 1984)

52.242-3 Penalties for Unallowable Costs (MAY 2001)

52.242-4 Certification of Final Indirect Costs (Jan 1997)

52.242-13 Bankruptcy (JULY 1995)

52.243-2 Changes - Cost Reimbursement (AUG 1987) - Alternate II

> (APRIL 1984)

52.244-2 Subcontracts (AUGUST 1998)

52.244-5 Competition in Subcontracting (DEC 1996)

52.245-5 Government Property (Cost Reimbursement, Time-and-

> Material, or Labor-Hour Contract (MAY 2004)

52.246-5 Inspection of Services-Cost Reimbursement (APRIL 1984)

52.246-23 Limitation of Liability-(FEB 1997)

52.248-1 Value Engineering (FEB 2000)

52.249-6 Termination (Cost-Reimbursement) (MAY 2004)

52.249-14 Excusable Delays (APRIL 1984)

52.251-1 Government Supply Sources (APRIL 1984)

52.253-1 Computer Generated Forms (JAN 1991)

II\. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION

REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES

HHSAR

[Clause No]{.underline}. [Title and Date]{.underline}

352.202-1 Definitions (JAN 2001)

> Alternate h

352.223-70 Safety and Health (JAN 2001)

352.224-70 Confidentiality of Information (APRIL 1984)

352.228-7 Insurance - Liability to Third Persons (DEC 1991)

352.232-9 Withholding of Contract Payments (APRIL 1984)

352.233-70 Litigation and Claims (APR 1984)

352.242-71 Final Decisions on Audit Findings (APRIL 1984)

352.270-1 Accessibility of Meetings, Conferences, and Seminars to

> Persons with Disabilities (JAN 2001)

352.270-6 Publication and Publicity (JUL 1991)

352.270-7 Paperwork Reduction Act (JAN 2001)

352.270-8 Protection of Human Subjects (JAN 2001)

[Number range CHAPTERThe following clauses are applicable to this
contract and are provided in full text:]{.underline}

**OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000) FAR 52.217-9  **

\(a\) The Government may extend the term of this contract by written
notice to the Contractor within 30 days of the expiration date of the
contract; provided that the Government gives the Contractor a
preliminary written notice of its intent to extend at least 60 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)

**KEY PERSONNEL (APR 1984) (HHSAR 352.270-5)**

The personnel specified in this contract are considered to be essential
to the work being performed hereunder. Prior to diverting any of the
specified individuals to other programs, the Contractor shall notify the
Contracting Officer reasonably in advance and shall submit justification
(including proposed substitutions) in sufficient detail to permit
evaluation of the impact on the program. No diversion shall be made by
the Contractor without the written consent of the Contracting Officer;
provided, that the Contracting Officer may ratify in writing such
diversion and such ratification shall constitute the consent of the
Contracting Officer required by this clause. The contract may be amended
from time to time during the course of the contract to either add or
delete personnel, as appropriate.

(End of clause)

**PART III- LIST OF DOCUMENTS, EXHIBITS AND ATTACHMENTS**

**SECTION J - LIST OF ATTACHMENTS**

[Attachment]{.underline} [Pages]{.underline}

1\. Statement of Work 37

2\. Past Performance Questionnaire and Contractor Performance Form 5

3\. SF LLL-A, Disclosure of Lobbying Activities 3

4\. Proposal Intent Form 1

5\. Small Business Subcontracting Plan 8

6\. Guidelines for Developing Web-Based Products 5

7\. Guidelines for Developing AHRQ Web-Based Tools 5

8\. Breakdown of Proposed Estimated Cost (Plus Fee) and Labor Hours 1

**NOTE: ALL ATTACHMENTS ARE LOCATED AT THE END OF THIS REQUEST FOR
PROPOSAL**.

Number range CHAPTERNumber range CHAPTER (FAC 2005-09)

PART IV. REPRESENTATIONS AND INSTRUCTIONS

SECTION K

REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

K.1 HHSAR 315.204-5 Representations and Instructions

K.2. FAR 52.204-8 Annual Representations and Certifications (JAN 2005)

K.3. FAR 52.222-21 Prohibition of Segregated Facilities (FEB 1999)

K.4. FAR 52.230-1 Cost Accounting Standards Notices and Certification
(JUNE 2000)

K.5. FAR 15.406-2 Certificate of Current Cost and Pricing Data

K.6. P.L. 103-227 Certification Regarding Environmental

> Tobacco Smoke

K.l REPRESENTATIONS AND INSTRUCTIONS

\(a\) Section K, Representations, certifications, and other statements
of offerors.

\(1\) This section shall begin with the following and continue with the
applicable representations and certifications:

TO BE COMPLETED BY THE OFFEROR: (The Representations and Certifications
must be executed by an individual authorized to bind the Offeror.) The
Offeror makes the following Representations and Certifications as part
of its proposal. (Check or complete all appropriate boxes or blanks on
the following pages.)

(Name of Offeror) (RFP No.)

(Signature of Authorized Individual) (Date)

(Typed Name of Authorized Individual)

NOTE: The penalty for making false statements in offers is prescribed in
18 U.S.C. 1001.

K.2. ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2005) (FAR 52.204-8)

(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 certification 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.]{.underline}](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

Any changes provided by the offeror are applicable to this solicitation
only, and do not result in an update to the representations and
certifications posted on ORCA.

(End of provision)

K.3. PROHIBITION OF SEGREGATED FACILITIES

(FEB 1999) (FAR 52.222-21)

\(a\) \"Segregated facilities,\" as used in this clause, means any
waiting rooms, work areas, rest rooms and wash rooms, restaurants and
other eating areas, time clocks, locker rooms and other storage or
dressing areas, parking lots, drinking fountains, recreation or
entertainment areas, transportation, and housing facilities provided for
employees, that are segregated by explicit directive or are in fact
segregated on the basis of race, color, religion, or national origin
because of written or oral policies or employee custom. The term does
not include separate or single-user rest rooms or necessary dressing or
sleeping areas provided to assure privacy between the sexes.

\(b\) The Contractor agrees that it does not and will not maintain or
provide for its employees any segregated facilities at any of its
establishments, and that it does not and will not permit its employees
to perform their services at any location under its control where
segregated facilities are maintained. The Contractor agrees that a
breach of this clause is a violation of the Equal Opportunity clause in
this contract.

\(c\) The Contractor shall include this clause in every subcontract and
purchase order that is subject to the Equal Opportunity clause of this
contract.

(End of Clause)

K.4. COST ACCOUNTING STANDARDS NOTICES AND

CERTIFICATION

(FAR 52.230-1) (JUNE 2000)

NOTE: This notice does not apply to small businesses or foreign
governments. This notice is in three parts, identified by Roman numerals
I through III.

> Offerors shall examine each part and provide the requested information
> in order to determine Cost Accounting Standards (CAS) requirements
> applicable to any resultant contract.
>
> If the offeror is an educational institution, Part II does not apply
> unless the contemplated contract will be subject to full or modified
> CAS-coverage pursuant to 48CFR 9903.201-2(c)(5) or
> 9903.201-2(c)(6),respectively.

I. Disclosure Statement - Cost Accounting Practices and Certification

\(a\) Any contract in excess of \$500,000 resulting from this
solicitation, will be subject to the requirements of the Cost Accounting
Standards Board (48 CFR, Chapter 99), except for those contracts which
are exempt as specified in 48 CFR 9903.201-1.

\(b\) Any offeror submitting a proposal which, if accepted, will result
in a contract subject to the requirements of 48 CFR Chapter 99 must, as
a condition of contracting, submit a Disclosure Statement as required by
48 CFR 9903.202. When required, the Disclosure Statement must be
submitted as a part of the offeror\'s proposal under this solicitation
unless the offeror has already submitted a Disclosure Statement
disclosing the practices used in connection with the pricing of this
proposal. If an applicable Disclosure Statement has already been
submitted, the offeror may satisfy the requirement for submission by
providing the information requested in paragraph (c) of Part I of this
provision. Caution: In the absence of specific regulations or agreement,
a practice disclosed in a Disclosure Statement shall not, by virtue of
such disclosure, be deemed to be a proper, approved, or agreed-to
practice for pricing proposals or accumulating and reporting contract
performance cost data.

\(c\) Check the appropriate box below:

\[ \] (1) Certificate of Concurrent Submission of Disclosure Statement.

> The offeror hereby certifies that, as a part of the offer, copies of
> the Disclosure Statement have been submitted as follows: (i) original
> and one copy to the cognizant Administrative Contracting Officer (ACO)
> or cognizant Federal agency official authorized to act in that
> capacity, as applicable, and (ii) one copy to the cognizant Federal
> auditor.

(Disclosure must be on Form No. CASB DS-1 or CASB

> DS-2, as applicable. Forms may be obtained from the cognizant ACO or
> Federal official and/or from the loose-leaf version of the Federal
> Acquisition Regulation.)

Date of Disclosure
Statement:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name and Address of Cognizant

ACO or Federal official where filed:

> The offeror further certifies that practices used in estimating costs
> in pricing this proposal are consistent with the cost accounting
> practices disclosed in the Disclosure Statement.

\[ \] (2) Certificate of Previously Submitted Disclosure Statement.

> The offeror hereby certifies that the required Disclosure Statement
> was filed as follows:
>
> Date of Disclosure
> Statement:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name and Address of Cognizant

ACO or Federal official where filed:

> The offeror further certifies that the practices used in estimating
> costs in pricing this proposal are consistent with the cost accounting
> practices disclosed in the applicable Disclosure Statement.
>
> \[ \] (3) Certificate of Monetary Exemption.
>
> The offeror hereby certifies that the offeror together with all
> divisions, subsidiaries, and affiliates under common control, did not
> receive net awards of negotiated prime contracts and subcontracts
> subject to CAS totaling more than \$25 million in the cost accounting
> period immediately preceding the period in which this proposal was
> submitted. The offeror further certifies that if such status changes
> before an award resulting from this proposal, the offeror will advise
> the Contracting Officer immediately.
>
> \[ \] (4) Certificate of Interim Exemption.
>
> The offeror hereby certifies that (i) the offeror first exceeded the
> monetary exemption for disclosure, as defined in (3) of this
> subsection, in the cost accounting period immediately preceding the
> period in which this offer was submitted and (ii) in accordance with
> 48 CFR, Subpart 9903.202-1, the offeror is not yet required to submit
> a Disclosure Statement. The offeror further certifies that if an award
> resulting from this proposal has not been made within 90 days after
> the end of that period, the offeror will immediately submit a review
> certificate to the Contracting Officer, in the form specified under
> subparagraph (c)(1) or (c)(2) of Part I of this provision, as
> appropriate, to verify submission of a completed Disclosure Statement.
>
> Caution: Offerors currently required to disclose because they were
> awarded a CAS-covered prime contract or subcontract of \$25 million or
> more in the current cost accounting period may not claim this
> exemption (4). Further, the exemption applies only in connection with
> proposals submitted before expiration of the 90-day period following
> the cost accounting period in which the monetary exemption was
> exceeded.

II\. Cost Accounting Standards - Eligibility for Modified Contract
Coverage

> If the offeror is eligible to use the modified provisions of 48 CFR,
> Subpart 9903.201-2(b) and elects to do so, the offeror shall indicate
> by checking the box below. Checking the box below shall mean that the
> resultant contract is subject to the Disclosure and Consistency of
> Cost Accounting Practices clause in lieu of the Cost Accounting
> Standards clause.
>
> \[ \] The offeror hereby claims an exemption from the Cost Accounting
> Standards clause under the provisions of 48 CFR, Subpart 9903.201-2(b)
> and certifies that the offeror is eligible for use of the Disclosure
> and Consistency of Cost Accounting Practices clause because during the
> cost accounting period immediately preceding the period in which this
> proposal was submitted, the offeror received less than \$25 million in
> awards of CAS-covered prime contracts and subcontracts or the offeror
> did not receive a single CAS-covered award exceeding \$1 million. The
> offeror further certifies that if such status changes before an award
> resulting from this proposal, the offeror will advise the Contracting
> Officer immediately.

Caution: An offeror may not claim the above eligibility for modified
contract coverage if this proposal is expected to result in the award of
a CAS-covered contract of \$25 million or more or if, during its current
cost accounting period, the offeror has been awarded a single
CAS-covered prime contract or subcontract of \$25 million or more.

III\. Additional Cost Accounting Standards Applicable to Existing
Contracts

> The offeror shall indicate below whether award of the contemplated
> contract would, in accordance with subparagraph (a)(3) of the Cost
> Accounting Standards clause, require a change in established cost
> accounting practices affecting existing contracts and subcontracts.

\[ \] Yes \[ \] No

(End of Provision)

ALTERNATE I (APR 1996)

\[ \] (5) Certificate of Disclosure Statement Due Date by Educational
Institution.

> If the offeror is an educational institution that, under the
> transition provisions of 48 CFR 9903.202-1(f), is or will be required
> to submit a Disclosure Statement after receipt of this award, the
> offeror hereby certifies that (check one and complete):

\[\] (a) A Disclosure Statement filing Due Date of

> has been established with the cognizant Federal agency.
>
> \[\] (b) The Disclosure Statement will be submitted within the six
> month period ending months after receipt of this award.
>
> Name and Address of cognizant ACO or Federal Official where Disclosure
> Statement is to be filed:

**(END OF ALTERNATE I)**

K.5. CERTIFICATE OF CURRENT COST OR PRICING DATA

(FAR 15.406-2)

CERTIFICATE OF CURRENT COST OR PRICING DATA

When cost or pricing data are required, the contracting officer shall
require the contractor to execute a Certificate of Current Cost or
Pricing Data using the format in this paragraph, and shall include the
executed certificate in the contract file.

This is to certify that, to the best of my knowledge and belief, the
cost or pricing data (as defined in Section 15.401 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 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

NAME Signature

TITLE

DATE OF EXECUTION\*\*\*

\* Identify the proposal, request for price adjustment, or other
submission involved, giving the appropriate identifying number (e.g.,
Request for Proposal number).

\*\* 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 agreed to.

End of Certificate

K.6. ENVIRONMENTAL TOBACCO SMOKE

> The Public Health Service strongly encourages all grant and contract
> recipients to provide a smoke-free workplace and to promote the nonuse
> of all tobacco products. In addition, Public Law 103-227, the
> Pro-Children Act of 1994, prohibits smoking in 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.

[CERTIFICATION REGARDING ENVIRONMENTAL TOBACCO SMOKE]{.underline}

Public Law 103-227, also known as the Pro-Children Act of 1994 (Act),
requires that smoking not be permitted in any portion of any indoor
facility owned or leased or contracted for by an entity and used
routinely or regularly for the provision of health, day care, early
childhood development services, education or library services to
children under the age of 18, if the services are funded by Federal
programs either directly or through State or local governments, by
Federal grant, contract, loan, or loan guarantee. The law also applies
to children\'s services that are provided in indoor facilities that are
constructed, operated, or maintained with such federal funds. The law
does not apply to children\'s services provided in private residences;
portions of facilities used for inpatient drug or alcohol treatment;
service providers whose sole source of applicable Federal funds is
Medicare or Medicaid; or facilities where WIC coupons are redeemed.
Failure to comply with the provisions of the law may result in the
imposition of a civil monetary penalty of up to \$1000 for each
violation and/or the imposition of an administrative compliance order on
the responsible entity.

By signing this certification, the offeror/contractor certifies that the
submitted organization will comply with the requirements of the Act and
will not allow smoking within any portion of any indoor facility used
for the provision of services for children as defined by the Act.

The submitting organization agrees that it will require that the
language of this certification be included in any subawards which
contain provisions for children\'s services and that all subrecipients
shall certify accordingly.

Organization:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Title\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**SECTION L - INSTRUCTIONS, CONDITIONS AND NOTICES TO OFFERORS**

**L.1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998) (FAR
52.252-1)**

> This solicitation incorporates the following 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 the full
> text available. Also, the full text of a clause may be assessed
> electronically at this address: http://www.arnet.gov/far/

a\. Federal Acquisition Regulation (FAR) (48 CFR Chapter 1) Solicitation
Provisions

\(1\) 52.215-16 Facilities Capital Cost of Money (OCT 1997)

> \(2\) 52.215-20 Requirements for Cost or Pricing Data or Information
> Other Than Cost or Pricing Data (OCT 1997)

**L.2 DATA UNIVERSAL NUMBERING (DUNS) (OCT 2003) (FAR 52.204-6)**

\(a\) The offeror shall enter, in the block with its name and address on
the cover page of its offer, the annotation "DUNS" or "DUNS+4" followed
by the DUNS number or "DUNS+4" that identifies the offeror's name and
address exactly as stated in the offer. The DUNS number is a nine-digit
number assigned by Dun and Bradstreet Information Services. The DUNS+4
is the DUNS number plus a 4-character suffix that may be assigned at the
discretion of the offeror to establish additional CCR records for
identifying alternative Electronic Funds Transfer (EFT) accounts (see
Subpart 32.11) for the same parent concern.

\(b\) If the offeror does not have a DUNS number, it should contact Dun
and Bradstreet directly to obtain one.

\(1\) An offeror may obtain a DUNSnumber---

\(i\) If located within the United States, by calling Dun and Bradstreet
at 1-866-705-5711 or via the iInternet at
[*http://www.dnb.*com](http://www.dnb.com/); or

\(ii\) If located outside the United States, by contacting the local Dun
and Bradstreet office.

\(2\) The offeror should be prepared to provide the following
information:

\(i\) Company legal business name.

\(ii\) Tradestyle, doing business, or other name by which your entity is
commonly recognized.

\(iii\) Company physical street address, city, state and Zip Code.

\(iv\) Company mailing address, sity, state and Zip Code (if separate
from physical).

\(v\) Company telephone number.

\(vi\) Date the company was started.

\(vii\) Number of employees at your location.

\(viii\) Chief executive officer/ key manager.

\(ix\) Line of business (industry)

\(X\) Company Headquarters name and address (reporting relationship
within your entity).

(End of provision)

**L.3 INSTRUCTIONS TO OFFERORS - COMPETITIVE ACQUISITION (MAY 2001)**

**ALTERNATE I (JAN 2004)(FAR 52.215-1)**

\(a\) Definitions. As used in this provision --

> "Discussions" are negotiations that occur after establishment of the
> competitive range that may, at the Contracting Officer's discretion,
> result in the offeror being allowed to revise its proposal.
>
> "In writing," "writing," or "written" means any worded or numbered
> expression that can be read, reproduced, and later communicated, and
> includes electronically transmitted and stored information.
>
> "Proposal modification" is a change made to a proposal before the
> solicitation's closing date and time, or made in response to an
> amendment, or made to correct a mistake at any time before award.
>
> "Proposal revision" is a change to a proposal made after the
> solicitation closing date, at the request of or as allowed by a
> Contracting Officer as the result of negotiations.
>
> "Time," if stated as a number of days, is calculated using calendar
> days, unless otherwise specified, and will include Saturdays, Sundays,
> and legal holidays. However, if the last day falls on a Saturday,
> Sunday or legal holiday, then the period shall include the next
> working day.

\(b\) Amendments to solicitations. If this solicitation is amended, all
terms and conditions that are not amended remain unchanged. Offerors
shall acknowledge receipt of any amendment to this solicitation by the
date and time specified in the amendment(s).

\(c\) Submission, modification, revision, and withdrawal of proposals.

\(1\) Unless other methods (e.g., electronic commerce or facsimile) are
permitted in the solicitation, proposals and modifications to proposals
shall be submitted in paper media in sealed envelopes or packages (i)
addressed to the office specified in the solicitation, and (ii) showing
the time and date specified for receipt, the solicitation number, and
the name and address of the offeror. Offerors using commercial carriers
should ensure that the proposal is marked on the outermost wrapper with
the information in paragraphs (c)(1)(i) and (c)(1)(ii) of this
provision.

\(2\) The first page of the proposal must show---

\(i\) The solicitation number;

\(ii\) The name, address, and telephone and facsimile numbers of the
offeror (and electronic address if available);

\(iii\) A statement specifying the extent of agreement with all terms,
conditions, and provisions included in the solicitation and agreement to
furnish any or all items upon which prices are offered at the price set
opposite each item;

\(iv\) Names, titles, and telephone and facsimile numbers (and
electronic addresses if available) of persons authorized to negotiate on
the offeror's behalf with the Government in connection with this
solicitation; and

\(v\) Name, title, and signature of person authorized to sign the
proposal. Proposals signed by an agent shall be accompanied by evidence
of that agent's authority, unless that evidence has been previously
furnished to the issuing office.

\(3\) Submissions, modification, revision, and withdrawal of proposals.

\(i\) Offerors are responsible for submitting proposals, and any
modification or revisions, so as to reach the Government office
designated in the solicitation by the time specified in the
solicitation. If no time is specified in the solicitation, the time for
receipt is 4:30 p.m., local time, for the designated Government office
on the date that proposal or revision is due.

\(ii\) (A) Any proposal, modification, or revision received at the
Government office designated in the solicitation after the exact time
specified for receipt of offers is "late" and will not be considered
unless it is received before award is made, the Contracting Officer
determines that accepting the late offer would not unduly delay the
acquisition; and -

\(1\) If it was transmitted through an electronic commerce method
authorized by the solicitation, it was received at the initial point of
entry to the Government infrastructure not later than 5:00 p.m. one
working day prior to the date specified for receipt of proposals; or

\(2\) There is acceptable evidence to establish that it was received at
the Government installation designated for receipt of offers and was
under the Government's control prior to the time set for receipt of
offers; or

\(3\) It is the only proposal received.

\(B\) However, a late modification of an otherwise successful proposal
that makes its terms more favorable to the Government, will be
considered at any time it is received and may be accepted.

\(iii\) Acceptable evidence to establish the time of receipt at the
Government installation includes the time/date stamp of that
installation on the proposal wrapper, other documentary evidence of
receipt maintained by the installation, or oral testimony or statements
of Government personnel.

\(iv\) If an emergency or unanticipated event interrupts normal
Government processes so that proposals cannot be received at the office
designated for receipt of proposals by the exact time specified in the
solicitation, and urgent Government requirements preclude amendment of
the solicitation, the time specified for receipt of proposals will be
deemed to be extended to the same time of day specified in the
solicitation on the first work day on which normal Government processes
resume.

\(v\) Proposals may be withdrawn by written notice received at any time
before award. Oral proposals in response to oral solicitations may be
withdrawn orally. If the solicitation authorizes facsimile proposals,
proposals may be withdrawn via facsimile received at any time before
award, subject to the conditions specified in the provision at 52.215-5,
"Facsimile Proposals." Proposals may be withdrawn in person by an
offeror or an authorized representative, if the representative's
identity is made known and the representative signs a receipt for the
proposal before award.

\(4\) Unless otherwise specified in the solicitation, the offeror may
propose to provide any item or combination of items.

\(5\) Offerors shall submit proposals submitted in response to this
solicitation in English, unless otherwise permitted by the solicitation,
and in U.S. dollars, unless the provision at FAR 52.225-17, Evaluation
of Foreign Currency Offers, is included in the solicitation.

\(6\) Offerors may submit modifications to their proposals at any time
before the solicitation closing date and time, and may submit
modifications in response to an amendment, or to correct a mistake at
any time before award.

\(7\) Offers may submit revised proposals only if requested or allowed
by the Contracting Officer.

\(8\) Proposals may be withdrawn at any time before award. Withdrawals
are effective upon receipt of notice by the Contracting Officer.

> \(d\) Offer expiration date. Proposals in response to this
> solicitation will be valid for the number of days specified on the
> solicitation cover sheet (unless a different period is proposed by the
> offeror).

\(e\) Restriction on disclosure and use of data. Offerors that include
in their proposals data that they do not want disclosed to the public
for any purpose, or used by the Government except for evaluation
purposes, shall ---

\(1\) Mark the title page with the following legend:

> This proposal includes data that shall not be disclosed outside the
> Government and shall not be duplicated, used, or disclosed--in whole
> or in part--for any purpose other than to evaluate this proposal. If,
> however, a contract is awarded to this offeror as a result of--or in
> connection with-- the submission of this data, the Government shall
> have the right to duplicate, use, or disclose the data to the extent
> provided in the resulting contract. This restriction does not limit
> the Government's right to use information contained in this data if it
> is obtained from another source without restriction. The data subject
> to this restriction are contained in sheets \[insert numbers or other
> identification of sheets\]; and

\(2\) Mark each sheet of data it wishes to restrict with the following
legend:

> Use or disclosure of data contained on this sheet is subject to the
> restriction on the title page of this proposal.

\(f\) Contract award.

\(1\) The Government intends to award a contract or contracts resulting
from this solicitation to the responsible offeror(s) whose proposal(s)
represents the best value after evaluation in accordance with the
factors and subfactors in the solicitation.

\(2\) The Government may reject any or all proposals if such action is
in the Government's interest.

\(3\) The Government may waive informalities and minor irregularities in
proposals received.

\(4\) The Government intends to evaluate proposals and award a contract
after conducting discussions with offerors whose proposals have been
determined to be within the competitive range. If the Contracting
Officer determines that the number of proposals that would otherwise be
in the competitive range exceeds the number at which an efficient
competition can be conducted, the Contracting

> Officer may limit the number of proposals in the competitive range to
> the greatest number that will permit an efficient competition among
> the most highly rated proposals. Therefore, the offeror's initial
> proposal should contain the offeror's best terms from a price and
> technical standpoint.

\(5\) The Government reserves the right to make an award on any item for
a quantity less than the quantity offered, at the unit cost or prices
offered, unless the offeror specifies otherwise in the proposal.

\(6\) The Government reserves the right to make multiple awards if,
after considering the additional administrative costs, it is in the
Government's best interest to do so.

\(7\) Exchanges with offerors after receipt of a proposal do not
constitute a rejection or counteroffer by the Government.

\(8\) The Government may determine that a proposal is unacceptable if
the prices proposed are materially unbalanced between line items or
subline items. Unbalanced pricing exists when, despite an acceptable
total evaluated price, the price of one or more contract line items is
significantly overstated or understated as indicated by the application
of cost or price analysis techniques. A proposal may be rejected if the
Contracting Officer determines that the lack of balance poses an
unacceptable risk to the Government.

\(9\) If a cost realism analysis is performed, cost realism may be
considered by the source selection authority in evaluating performance
or schedule risk.

\(10\) A written award or acceptance of proposal mailed or otherwise
furnished to the successful offeror within the time specified in the
proposal shall result in a binding contract without further action by
either party.

\(11\) If a post-award debriefing is given to requesting offerors, the
Government shall disclose the following information, if applicable:

\(i\) The agency's evaluation of the significant weak or deficient
factors in the debriefed offeror's offer.

\(ii\) The overall evaluated cost or price and technical rating of the
successful and the debriefed offeror and past performance information on
the debriefed offeror.

\(iii\) The overall raking of all offerors, when any ranking was
developed by the agency during source selection

(iv) A summary of the rationale for award

(v) For acquisitions of commercial items, the make and model of the item
    to be delivered by the successful offeror.

(vi) Reasonable responses to relevant questions posed by the debriefed
     offerors as to whether source-slection procedures set forth in the
     solicitation, applicable regulations, and other applicable
     authorities were followed by the agency.

(End of provision)

**L.4 TYPE OF CONTRACT (APRIL 1984)(FAR 52.216-1)**

> Number range CHAPTERThe Government contemplates award of a cost
> reimbursement, completion type contract resulting from this
> solicitation.
>
> It is anticipated that one contract award will be made from this
> solicitation and that the award is estimated to be made in September
> 2006.

**L.5 SERVICE OF PROTEST (AUG 1996)(FAR 52.233-2)**

\(a\) 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:

Director, Division of Contracts Management

Agency for Healthcare Research and Quality

540 Gaither Road

Rockville, Maryland 20850

\(b\) The copy of any protest shall be received in the office designated
above within one day of filing a protest with the GAO.

**L.6 POINT OF CONTACT FOR TECHNICAL INQUIRIES**

> The technical contact for additional information and answering
> inquiries is the Contracting Officer. All questions regarding this
> solicitation shall be in writing and received by the Contracting
> Officer no later than **June 1, 2006**. Number range CHAPTERIt is
> preferred that all questions be e-mailed to Sharon Williams at
> sharon.williams@ahrq.hhs.gov. Number range CHAPTERHard copies can be
> sent to:

Agency for Healthcare Research and Quality

OPART/Contracts Management

540 Gaither Road

Rockville, MD 20850

Attention: Sharon Williams, Contracting Officer

> Fax: (301) 427-1740

Number range CHAPTER**L.7 REFERENCE MATERIALS**

> Offerors are directed to
> <http://www.ahrq.gov/fund/contarchive/rfp060009.htm> for references
> pertaining to this solicitation. Failure of offerors to examine the
> reference material prior to proposal preparation and submission will
> be at the offeror's risk.

**L.8 GENERAL INSTRUCTIONS**

[Introduction]{.underline}

> The following instructions will establish the acceptable minimum
> requirements for the format and contents of proposals. Special
> attention is directed to the requirements for technical and business
> proposals to be submitted in accordance with these instructions:

a\. [Contract Type and General Provisions]{.underline}: Number range
CHAPTERIt is contemplated that a cost-reimbursement, completion type
contract will be awarded. In addition to the special provisions of this
request for proposal (RFP), any resultant contract shall include the
general clauses applicable to the selected offeror\'s organization and
type of contract awarded. Any additional clauses required by Public Law,
Executive Order, or procurement regulations, in effect at the time of
execution of the proposed contract, will be included.

b\. [Authorized Official and Submission of Proposal]{.underline}: The
proposal shall be signed by an official authorized to bind your (the
offeror\'s) organization. Your proposal shall be submitted in the number
of copies, to the address, and marked as indicated in the cover letter
of this solicitation. Proposals will be typewritten, reproduced on
letter sized paper and will be legible in all required copies. To
expedite the proposal evaluation, all documents required for responding
to the RFP should be placed in the following order:

I. [TECHNICAL PROPOSAL]{.underline}: See Technical Proposal Instructions
for recommended format (L.9). Please mark as original or copy.

II. [PAST PERFORMANCE INFORMATION]{.underline}: See Past Performance
    Information Instructions for format (L.10)

III. Number range CHAPTER[SMALL DISADVANTAGED BUSINESS PARTICIPATION
     PLAN:]{.underline} See Small Disadvantaged Business Plan
     Instructions for format (L.11)

IV. [BUSINESS PROPOSAL]{.underline}: See Business Proposal Instructions
    for recommended format (L.12).

c\. [Separation of Technical, Past Performance Information, Small
Disadvantaged Business Participation Plan and Business
Proposal]{.underline}: The proposal shall be in 4 parts:

> \(1\) Technical Proposal; (2) Past Performance Information; (3) Small
> Disadvantaged Business Participation Plan and (4) Business Proposal
> (including the Small Business Subcontracting Plan). Each of the parts
> shall be separate and complete in itself so that evaluation of one may
> be accomplished independently of, and concurrently with, evaluation of
> the other. [The technical proposal shall not contain reference to
> cost]{.underline}; however resources information, such as data
> concerning labor hours and categories, materials, subcontracts, etc.,
> shall be contained in the technical proposal so that your
> understanding of the Statement of Work (SOW) may be evaluated. It must
> disclose your technical approach in as much detail as possible,
> including, but not limited to, the requirements of the technical
> proposal instructions.

d\. [Evaluation of Proposals]{.underline}: The Government will evaluate
technical proposals in accordance with the criteria set forth in Section
M, [Evaluation/Award Criteria]{.underline}.

e\. [Rejection of Proposals]{.underline}: The Government reserves the
right to reject any or all proposals received. It is understood that
your proposal will become part of the official contract file.

f\. [Unnecessarily Elaborate Proposals]{.underline}: Unnecessarily
elaborate brochures or other presentations beyond those sufficient to
present a complete and effective proposal are not desired and may be
construed as an indication of the offeror\'s lack of cost consciousness.
Elaborate art work, expensive visual and other presentation aids are
neither necessary nor wanted.

g\. [Privacy Act]{.underline}: The Privacy Act of 1974 (Public Law
(P.L.) 93-579) requires that a Federal agency advise each individual
whom it asks to supply information: 1) the authority which authorized
the solicitation; 2) whether disclosure is voluntary or mandatory; (3)
the principal purpose or purposes for which the information is intended
to be used; (4) the uses outside the agency which may be made of the
information; and 4) the effects on the individual, if any, of not
providing all or any part of the requested information.

Therefore:

> \(1\) The Government is requesting the information called for in this
> RFP pursuant to the authority provided by Section 301(g) of the Public
> Health Service Act, as amended, and P.L. 92-218, as amended.

\(2\) Provisions of the information requested are entirely voluntary.

\(3\) The collection of this information is for the purpose of
conducting an accurate, fair, and adequate review prior to a discussion
as to whether to award a contract.

\(4\) Failure to provide any or all of the requested information may
result in a less than adequate review.

\(5\) The information provided by you may be routinely disclosed for the
following purposes:

> -to the cognizant audit agency and the General Accounting Officer for
> auditing;

-to the Department of Justice as required for litigation;

-to respond to Congressional inquiries; and

-to qualified experts, not within the definition of Department employees
for opinions as a part of the review process.

In addition, the Privacy Act of 1974 (P.L. 93-579, Section 7) requires
that the following information be provided when individuals are
requested to disclose their social security number.

> Provision of the social security number is voluntary. Social security
> numbers are requested for the purpose of accurate and efficient
> identification, referral, review and management of AHRQ contracting
> programs. Authority for requesting this information is provided by
> Section 305 and Title IV of the Public Health Service Act, as amended.

h\. The RFP does not commit the Government to pay any cost 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 the expenditure of public funds in
connection with this or any acquisition action.

> The Government reserves the right to award a contract without
> discussions if the Contracting Officer determines that the initial
> prices are fair and reasonable and that discussions are not necessary.

**L.9 TECHNICAL PROPOSAL INSTRUCTIONS**

> The technical proposal shall contain an original and eleven (11)
> copies. The technical proposal described below shall be limited to
> **250 pages** not including resumes or bibliographies, with no less
> than a 11 point pitch, with the majority of the text double-spaced
> (lists of deliverables, person loading charts, and similar materials
> need not be double-spaced, so long as they are legible). Resumes or
> CVs are only required for key personnel. Brief biographic sketches of
> other personnel may be provided. Lengthy proposals and voluminous
> appendices are neither needed nor desired as they are difficult to
> read and evaluate and may indicate the offeror's inability to
> concisely state their proposal.

a\. [Recommended Technical Proposal Format]{.underline}

> The offeror's proposal should present sufficient information to
> reflect a thorough understanding of the work requirements and a
> detailed plan for achieving the objectives of the scope of work.
> Technical proposals shall not merely paraphrase the requirements of
> the Agency's scope of work or parts thereof, or use of phrases such as
> "will comply" or "standard techniques will be employed." The technical
> proposal must include a detailed description of the techniques and
> procedures to be used in achieving the proposed end results in
> compliance with the requirements of the Agency's scope of work.

\(1\) [Cover Page]{.underline}: The name of the proposing organization,
author(s) of the technical proposal, the RFP number and the title of the
RFP should appear on the cover. One (1) manually signed original copy of
the proposal and the number of copies specified in the RFP cover letter
are required.

\(2\) [Table of Contents]{.underline}: Provide sufficient detail so that
all important elements of the proposal can be located readily.

\(3\) [Introduction]{.underline}: This should be a one or two page
summary outlining the proposed work, your interest in submitting a
proposal, and the importance of this effort in relation to your overall
operation.

> \(4\) [Technical Discussion]{.underline}: The offeror shall prepare a
> technical discussion which addresses evaluation criteria A, B, C, D,
> E, and F below. Sections G and H are to be prepared in accordance with
> Sections L.10 and L.11. The offeror shall further state that no
> deviations or exceptions to the SOW are taken. The evaluation criteria
> are as follows:

A. Understanding the Purpose and Objectives

B. Technical Approach

1\. Technical Discussion

2\. Transition Plan

3\. Quality Assurance Plan

C. Qualifications of Proposed Staff, Including Consultants

D. Organizational/Corporate Experience

E. Management Plan

F Facilities and Equipment

G. Past Performance (See Section L.10)

H. Small Disadvantaged Business Participation Plan (See Section L.11)

> Methodologies followed by the previous contractor are provided in this
> RFP with varying levels of detail to provide insight into the
> complexity of the HCUP project. Because HCUP is a continuing project
> in which future activities will need to be compatible with previous
> approaches, a fair amount of detail is provided to illustrate the
> approaches and steps undertaken. Particularly in the first year of the
> contract, when the new Contractor will need to process and deliver
> data in a short time frame and pick up several on-going operations, it
> is expected that the new Contractor will, for the most part, handle
> these activities by adopting the previous Contractor's approach where
> appropriate.
>
> However, unless specifically stated, the methodologies described are
> primarily provided as examples. Offerors are strongly encouraged to
> propose alternative, technologically and cost-efficient methods for
> achieving HCUP goals when appropriate. Ideally, proposed approaches
> will maintain compatibility with previous HCUP data years while
> identifying methodologies that take maximum advantage of
> state-of-the-art data processing techniques that will carry the
> project forward over the next five years. Offerors should also
> identify any technical or contractual problem areas and may recommend
> any alternative recommendations to enhance the project's success.
>
> Offerors [should not]{.underline} contact HCUP State Partners directly
> for the purposes of responding to this RFP.
>
> **Technical proposals submitted in response to this RFP shall address
> each of the items described below, and shall be organized in the same
> manner and within the page limitations specified. Proposals shall be
> prepared in double-spaced format, with numbered pages.**
>
> The evaluation criteria (and their respective subcriteria) are as
> follows:
>
> A. Understanding the Purpose and Objectives
>
> Briefly, but in sufficient detail to demonstrate a thorough
> understanding of the objectives, the offeror shall provide a
> description of the scope, purpose, products, and events called for
> under this contract.
>
> B. Technical Approach
>
> The offeror shall describe in detail the methodologies they will use
> to develop, design, implement, staff, and manage the statement of work
> for this project. Within the content of the narrative, the offeror
> shall address technical issues related to completing the tasks,
> indicating areas of anticipated difficulties and proposed solutions.
>
> 1\. Technical Discussion
>
> The offeror should describe the approach with respect to the
> requirements of this acquisition, including:
>
> Database file construction and management, and Information Technology
> (IT) solutions including procedures, technical solutions and software
> / hardware architectures for: (1) processing, (2) documentation, (3)
> maintaining the integrity and security of the data files, (4) assuring
> high quality software programming, testing and quality assurance; and
> (5) operations, backup / recovery and security of all IT needed to
> support HCUP processing;
>
> Constructing research files from multiple data sources that result in
> files that are uniformly structured while retaining the greatest
> detail feasible in a cost effective manner.
>
> Sample design, including methods to ensure that the databases can
> produce generalizable research results and accurate national
> estimates;
>
> Method for recruiting and collecting data from multiple sources;
>
> Protecting data security and confidentiality;
>
> Producing and disseminating the documentation of data files for AHRQ
> and outside users;
>
> Manage the HCUP partnership's data acquisition including recruiting
> new States into the project; requesting additional data types from
> existing HCUP State Partners; obtaining annual data files; and
> retaining Partner participation in the project;
>
> Operate the HCUP Central Distributor, which handles all activities
> directly related to the sales and dissemination of the restricted
> access public release HCUP databases (the NIS, KID and a sub-set of
> the full State files used by AHRQ) and related HCUP files;
>
> Provide HCUP Partners with technical assistance on their collection
> and use of their statewide encounter data to improve the collection
> and use of inpatient and outpatient data;
>
> Provide AHRQ staff with technical support including access and use of
> data and documentation system, general technological innovations
> affecting HCUP data processing, and advances in health care
> information technology (HIT) relevant to HCUP;
>
> Deliver user support by maintaining an infrastructure to provide
> technical support to outside users on HCUP databases, software tools,
> linkable files, written reports and all other products developed for
> the HCUP project;
>
> Maintain and further develop the HCUP Web site (HCUP-US) which serves
> as the project's primary vehicle for public outreach, and a virtual
> repository for project information and documentation;
>
> Write and or edit analytic, descriptive and/or technical health
> services research reports.
>
> Develop and/or update presentations and courseware for educating
> stakeholders.
>
> Deliver presentations and training to assorted audiences (technical,
> non-technical)
>
> Support the generation of estimates derived from HCUP data for the
> Congressionally- mandated reports: National Healthcare Quality Reports
> (NHQR) and National Healthcare Disparities Reports (NHDR);
>
> Bidders should also:
>
> Provide a timeline for the major tasks for the 5 years of the project
> period;
>
> Propose the timing for all project tasks that are not specified in the
> Delivery Schedule and are marked to be determined "tbd";
>
> Assess the reasonableness of project task timelines and provide a
> discussion in support of their ability to meet the deadlines or
> propose alternative timelines; and
>
> May propose innovative approaches to all aspects of the HCUP project
> that maintain quality and decrease costs and/or time.
>
> Propose option tasks (technical and business) as discrete activities
> to facilitate assessment.

2.  Transition Plan

> The plan for organizing the close-out of and transition from the
> preceding contractor to a new contractor. Including, where applicable,
> transferring complete responsibility for all files, documentation, and
> software within 60 days of the effective date of the contract and
> assuring that all of the ongoing activities listed above are fully
> staffed and operational within 60 days of the effective date of the
> contract; and
>
> The plan for transitioning between the current HCUP contract and this
> award as smoothly as possible in the interest of maintaining on-going
> operations and minimizing disruption to the creation, production, and
> dissemination of HCUP data, tools, and technical support. (If
> submitting a proposal, the HCUP incumbent should describe instead the
> process for successful close-out of the preceding contract including
> any necessary disposition of files, documentation and software, and
> any implications for the new contract start-up.)

3.  Quality Assurance Plan

    The offeror shall provide a quality assurance plan that details how
    they shall monitor and control the services provided: technical
    quality, responsiveness, cost control, and effective and efficient
    resources utilization as well as compliance with the technical
    requirements and contract provisions. It should clearly show a
    proposed system for quality of work performed including data and
    documents to be produced, and a proposed system for management
    control.

> C. Qualifications of Proposed Staff, Including Subcontractors and
> Consultants
>
> The offeror shall provide (1) the resumes of all key personnel, senior
> staff, and technical task leaders describing their qualifications as
> they relate to the requirements of this solicitation and (2) a person
> loading chart by task. The offeror is expected to be specific in
> describing the proposed personnel and their relevant qualifications
> and experience, including their background and experience as they
> relate to the requirements of this acquisition. Highly qualified staff
> is considered critical to the successful completion of the tasks under
> this project. It is anticipated that a staff equivalent of
> approximately 25 -- 30 FTEs should be devoted annually to this
> contract.
>
> The offeror should also describe:
>
> 1\) Project Director
>
> The experience of the Project Director as it relates to the
> requirements of this acquisition as evidenced by educational
> attainment, employment history, experience and specific professional,
> scientific or technical accomplishments, including the minimum
> experience requirements below. The Project Director should be a highly
> qualified senior staff member who is available on a day-to-day basis
> to direct and monitor the project contract and the associated
> technical tasks.

At least 10 years of experience in each of the following:

> Directing the development and maintenance of a large administrative
> encounter-level data in direct support of health services research;
>
> Data processing management, including responsibility for the
> recruitment and supervision of programming staff, directing multiple
> simultaneous data processing tasks, and overseeing technical
> components in a timely and efficient manner;
>
> Production of public use data files, documentation, and user support
> from large administrative encounter-level data, for independent use by
> persons not affiliated with the originating organization;
>
> Use of computers in health services research, including use of SAS,
> STATA, SUDAAN, and other techniques for analyzing data; and
>
> Use of health care data in research and analysis, collaboration with
> health services researchers on statistical analyses and research
> appearing in government reports, in scholarly books or journals, or
> similar publications.
>
> The Project Director must also have experience exhibiting:
>
> Excellent overall project management skills that include
> substantive/technical areas, teamwork, budget management, cost
> control, flexibility, and the ability to produce deliverables on-time,
> within budget, and of exceptionally high technical quality;
>
> Excellent verbal and written communication skills.
>
> The offeror may propose a Project Manager to assist the Project
> Director with day-to-day management and operations. This individual
> must be highly qualified, with significant leadership and
> communication skills, and demonstrated experience and competence in
> managing complex projects with similar or differing requirements. The
> Project Manager, if used, should have at least 5 years training and
> experience in data and/or health services research and in technical
> and financial management of complex projects.
>
> 2\) Staff, Subcontractors, and Consultants
>
> The experience of staff and consultants as it relates to the
> requirements of this acquisition as evidenced by educational
> attainment, employment history, experience and specific professional,
> scientific or technical accomplishments.
>
> Proposed staff, including subcontractors and consultants, shall
> reflect diverse experience and skills. Overall, the staff mix should
> reflect a breadth and depth of expertise reflecting the varied tasks
> and activities to be undertaken. It is expected that the proposed
> staff will collectively possess the expertise and skills required and
> that no individual will be skilled in all areas. Areas of experience
> should include, but are not limited to: data processing (inpatient and
> outpatient data), computing and programming, documentation, medical
> coding (ICD-9, ICD-10, CPT, HCPCS), clinical expertise, securing and
> protecting health data, expertise in health data standards and data
> technology, health services research (methodological and technical),
> communication (oral and written), statistics, training presentations,
> dissemination and outreach, Web site development and maintenance, and
> providing technical support (interfacing with public), experience in
> projects that require the participation of external partners, and
> research expertise.
>
> Offerors are not necessarily expected to have highly specialized
> personnel in all potential topic areas (e.g., electronic health
> records, health data standards, marketing and outreach, graphics
> design). However, offerors must demonstrate that they have access to a
> range of specialized expertise within their own institution or
> affiliated organizations, through consulting and subcontracting
> arrangements, or significant experience in identifying and working
> collaboratively with such personnel to successfully conduct and
> complete timely work. An example would be collaboration with an
> organization with personnel who are specialized in promoting
> dissemination and outreach to create impact.
>
> Minimum requirements with respect to specific types of programming
> skill/experience are given below. All programming staff is expected to
> demonstrate acute attention to detail and the ability to monitor and
> control multiple databases and tasks simultaneously. Approximately
> one-half of the proposed programming staff should have each of the
> following:
>
> 5 years or more of experience regularly programming in such
> applications as SAS, SPSS, STATA, including the ability to create load
> programs;
>
> 2 years or more of formal education in a health-related field or
> social science;
>
> 3 years or more of experience in collaborating in the development of
> electronic and hard-copy documentation and preparation of data files
> from large administrative encounter-level data for independent use by
> persons not affiliated with the originating organization;
>
> 3 years or more of experience in linking large administrative
> encounter-level data to other large multi-user databases including but
> not limited to data from the Medicare Cost Report, American Hospital
> Association Annual Survey, Area Resource File, and Zip Code level
> files;
>
> 3 years or more of experience in experience in using other large
> claims or discharge databases such as, but not limited to, data from
> the Healthcare Cost and Utilization Project, Current Population
> Survey, American Hospital Association files, and Survey on Income and
> Program Participation;
>
> 3 years experience in ICD, CPT, HCPCS coding and clinical software
> (DRGs, disease staging, etc.);
>
> At least two programmers with 3 or more years experience in HTML
> programming and other web site support activities.

Minimum requirements with respect to Researchers/Analysts are given
below:

> At least 1 staff holding an advanced technical or professional degree,
> at the Ph.D., or Masters level, with a minimum of 10 years of
> demonstrated knowledge and experience in health policy, health
> services research, and uses of administrative data, and experience in
> collaboration with health services researchers on statistical analyses
> and behavioral research appearing in government reports, in scholarly
> books or journals, or similar publication;
>
> At least 3 staff holding an advanced technical or professional degree,
> at the Ph.D., or Masters level, with a minimum of 3 years of
> demonstrated knowledge and experience in health policy, health
> services research, and uses of administrative data and experience in
> collaboration with health services researchers on statistical analyses
> and behavioral research appearing in government reports, in scholarly
> books or journals, or similar publications
>
> Staff who will provide technical assistance and educational
> presentations should have demonstrated knowledge and experience in
> health services research and uses of administrative data sufficient
> for interacting with technically sophisticated data users.
>
> Access to at least one staff with medical degree, with both clinical
> and health services experience.

Minimum requirements with respect to Central Distributor staff are given
below.

> Task leader should have a minimum of 2 years of experience managing
> the dissemination of sensitive databases and files.
>
> Task team should have
>
> \- demonstrated experience providing high level customer service and
> frequent interaction with public in person, by phone, and through
> e-mail
>
> \- demonstrated experience of existing data security and privacy
> issues and fundamental understand of techniques to protect the data
>
> \- demonstrated sensitivity of protecting personal information
> included in applications and data use agreements; and
>
> \- demonstrated statistical program skills (especially SAS, SPSS, and
> STATA), experience Microsoft ACCESS, and general knowledge of
> administrative data base.
>
> In addition, the contractor must provide:
>
> At least 3 of the staff should be highly organized and detail oriented
> with excellent communication skills with 3 or more years of experience
> in recruiting data partners, coordinating with outside agencies,
> preparing agreements for the uses and restrictions of their data,
> overseeing the process of data purchase and collection, and providing
> technical assistance to data organizations.
>
> A senior statistician with at least 5 years experience, including
> dealing with complex sampling designs and weighting strategies.
>
> At least one statistical programmer with 5 or more years of experience
> in the sample selection, creation of sampling weights and sampling
> frames for health databases;
>
> At least 2 of the staff should have experience using database
> management tools such as Microsoft Access and other software for
> presentations;
>
> Staff in each major task (where appropriate) with the ability to write
> in a clear and concise (user-friendly) way with the capacity to
> explain technical concepts to a broad audience in accurate, readable,
> and informative documentation.; and
>
> At least 2 of the staff should have expertise with data
> confidentiality and security issues
>
> At least 2 of the staff should be knowledgeable on technological
> innovations that may affect many different aspects of the project
>
> D. Organizational/Corporate Experience
>
> The offeror must have demonstrated experience as an organization in
> successfully conducting and managing large scale and complex projects
> of a similar nature and scale as those envisioned under this RFP,
> within the required time and budgetary constraints. It is essential
> that the offeror demonstrate the capability to organize and manage
> resources and personnel effectively, and to successfully undertake and
> complete technical and non-technical tasks at the highest level of
> professional and scientific quality. The offeror must also have
> demonstrated experience and success in maintaining sensitive health
> data security and confidentiality in both their organizational
> systems, procedures, and personnel. The Offeror's descriptions shall
> delineate how these organizational experiences and processes are
> relevant to fulfilling the requirements of this proposed contract.
>
> Specifically, the offeror must have demonstrated experience in the
> following: managing subcontractors and consultants; building,
> managing, and analyzing a large administrative encounter-level
> database in direct support of health services research; developing
> systems for monitoring and maintaining secure and efficient computing
> environment (including programmer resources); processing inpatient and
> outpatient data, outpatient billing and CPT/HCPCS coding and inpatient
> billing, and ICD-9 and ICD-10 coding; providing assistance on
> understanding and adoption of technological innovations that may
> affect different aspects of the project for the transmission and
> sharing of data such as the Electronic Health Record; applying
> national health care data standards; conducting complex programming in
> support of sample design and other statistical software; developing
> sample design and sampling weights to produce national or other such
> estimates; producing electronic documentation from large
> administrative encounter-level data for independent use by other
> organizations; recruiting data Partners, coordinating and negotiating
> with outside agencies for data purchase and collection, and providing
> technical support and assistance to data organizations and data users;
> conducting special analyses, providing technical support and training
> in data collection and analysis; managing large health care electronic
> databases and Web sites; health policy, uses of administrative data;
> ability to write user-friendly, technically accurate reports.
>
> Offerors should list and summarize any contracts (state or federal) or
> grants (state, federal, or private foundation) recently completed
> (within the last 3 years), or that are currently in process, and
> describe the relevance to the tasks, sub-tasks, and associated
> activities that may be performed under this contract. Starting with
> the most current projects and working backward, this summary should
> contain: (a) a brief description of each project highlighting specific
> relevance to the RFP; (b) total level of effort required or annual
> dollar amount of the procurement; (c) length of project (include date
> began and completion date) (d) supporting organization (provide name,
> title, address and telephone number of program contact person or
> individual in authority who has direct knowledge of the offeror\'s
> performance; (e) project director and key staff involved; (f) role of
> offeror including whether functioned as prime or sub-contractor: (g)
> lists of examples of relevant products or other deliverables
> generated.
>
> Please note:
>
> The Contractor should pay special attention to Section H which
> characterizes the rights to data. The Contractor shall not use for
> purposes other than the performance of this contract, nor shall the
> contractor release, reproduce, distribute, or publish any data first
> produced in the performance of this contract, nor authorize others to
> do so, without prior written permission of the Project Officer. Under
> this contract, AHRQ retains unlimited rights in all data delivered
> under this contract, and in all data first produced in the performance
> of this contract.
>
> Further, an organization's non-HCUP-related business shall remain
> completely separate from HCUP activities in data processing and
> handling and data dissemination. HCUP activities shall not be used as
> an opportunity to promote the organization and/or the organization's
> products (e.g., non-HCUP databases, software) and/or services. For
> example, the Contractor, in the course of answering HCUP data
> inquiries, shall not direct or suggest to the inquirer, the use of the
> organization's products or services, or direct them to others in the
> organization with such knowledge. Nor shall the Contractor use
> information obtain about the inquirer to promote non-HCUP related
> activities at a separate time. The Contractor shall make it clear that
> they are acting on behalf of AHRQ. Contractor staff assigned to HCUP
> responsibilities should not be engaged in other organizational
> activities that may represent a conflict of interest to HCUP
> activities, or harm HCUP and AHRQ in anyway.
>
> E. Management Plan
>
> Offeror shall demonstrate their ability to achieve the delivery of
> performance requirements through the proposed use of corporate
> management and other personnel resources as well as demonstrate that
> the offeror\'s organizational structure and capabilities will meet the
> project\'s milestones in a timely and expeditious manner.
>
> 1\. Overall Management Plan
>
> Offerors shall show understanding of the requirements in the Statement
> of Work from a managerial perspective. In doing so, offerors shall
> describe the overall plan for organizing, staffing, and managing any
> subcontractors and consultants required by this contract. The plan
> shall indicate in detail how organizational roles and responsibilities
> will be divided, decisions made, work monitored, and quality and
> timeliness of products assured. Flow diagrams may be included to
> explain how tasks will be managed. The narrative should at a minimum
> address the following topics:
>
> a\) demonstrate corporate experience in managing projects of a similar
> size and nature;
>
> b\) labor skill mix determination (why you chose the skill mix for
> this project);
>
> c\) personnel selection and assignment for key personnel, senior
> staff, and technical task leaders (why you chose an individual person
> for an individual job);
>
> d\) monitoring and control of services provided: technical quality,
> responsiveness, cost control, and effective and efficient resource
> utilization, compliance with technical requirement and contract
> provisions;
>
> e\) managerial problems offeror expects to encounter and methods
> proposed to solve these problems;
>
> f\) project management tools (including software); and
>
> g\) the ability and flexibility to respond rapidly to changes in
> budget, priorities, and schedule.
>
> 2\. Indicate clear lines of authority and delineation of staff
> responsibilities.
>
> a\) Provide an organizational chart indicating clear lines of
> authority, delineating staff responsibilities;
>
> b\) Provide a person-level task-loading chart (staffing plan)
> including consultants and subcontractors showing all major tasks;
>
> c\) If the offeror proposes to use consultants or subcontractors to
> carry out work under this contract, Letters of Commitment from
> personnel other than current direct employees should be provided.
>
> 3\. Start-up and Reporting
>
> The offeror shall explain how this management plan demonstrates
> offeror's capability to start-up this project quickly, ensure that
> qualified personnel are available for individual tasks, conduct
> multiple complex tasks concurrently, and complete complex tasks within
> strict time frames. The offeror should also describe the plan for
> reporting the required technical and cost information to the
> Government (including problems and action needed in technical and cost
> areas), and the system for maintaining efficient use of computer and
> programmer resources.
>
> F. Facilities and Equipment
>
> The offeror shall describe the suitability, quality and
> cost-efficiency of their facilities and equipment (including
> computers) available for the performance of all requirements of this
> acquisition.
>
> G. Past Performance (See Section L.10)
>
> H. Small Disadvantaged Business Participation Plan (See Section L.11)

**L.10 PAST PERFORMANCE** **INFORMATION**

> Offerors shall submit the following information (original and 5
> copies) as part of their proposal for both the offeror and proposed
> major subcontractors:

\(1\) A list of the last five (5) contracts and subcontracts completed
during the past three years and all contracts and subcontracts currently
in process that includes tasks directly related to the type of work to
be required under this solicitation. Contracts listed may include those
entered into by the Federal Government, agencies of State and local
governments and commercial customers. Offerors that are newly formed
entities without prior contracts should list contracts and subcontracts
as required for all key personnel. Include the following information for
each contract and subcontract:

> a: Name of contracting activity
>
> b: Contract number
>
> c: Contract type
>
> d: Total contract value
>
> e: Description of work performed
>
> f: Contracting Officer and telephone number
>
> g: Program Manager and telephone number
>
> h: Administrative Contracting Officer, if different from item f: and
> telephone number
>
> i: List of major subcontracts

\(2\) The offeror may provide information on problems encountered on the
contracts and subcontracts identified in (1) above and corrective
actions taken to resolve those problems. Offerors should not provide
general information on their performance on the identified contracts.
General performance information will be obtained from the references.

\(3\) The offeror may describe any quality awards or certifications that
may indicate the offeror possesses a high-quality process for developing
and producing the product or service required. Identify what segment of
the company (one division or the entire company) that received the award
or certification. Describe when the award or certification was bestowed.
If the award or certification is over three years old, present evidence
that the qualifications still apply.

\(4\) Each offeror will be evaluated on his/her performance under
existing and prior contracts for similar products or services.
Performance information will be used for both responsibility
determinations and as an evaluation factor against which offeror's
relative rankings will be compared to assure best value to the
Government. The Government will focus on information that demonstrates
quality of performance relative to the size and complexity of the
procurement under consideration. References other than those identified
by the offeror may be contacted by the Government with the information
received used in the evaluation of the offeror's past performance.

> The attached Past Performance Questionnaire and Contractor Performance
> Form (Attachment 2) shall be completed by those contracting
> organizations listed in (1) above. The evaluation forms shall be
> completed and forwarded directly to the following:
>
> Sharon Williams
>
> Agency for Healthcare Research and Quality
>
> Division of Contracts Management
>
> 540 Gaither Road
>
> Rockville, Maryland 20850
>
> FAX: 301-427-1740

Number range CHAPTEREvaluation forms must be received by **[June 30,
2006]{.underline}** in order to be included in the review process. It is
the responsibility of the offeror to ensure that these documents are
forwarded to the Contracting Officer.

**L.11 SMALL DISADVANTAGED BUSINESS PARTICIPATION PLAN**

In accordance with FAR Part 15.304(c)4, the extent of participation of
Small Disadvantaged Business (SDB) concerns in performance of the
contract shall be evaluated in unrestricted acquisitions expected to
exceed a total estimated cost of \$500,000 (\$1,000,000 for
construction) subject to certain limitations (see FAR 19.201 and
19.1202).

A. All offerors, regardless of size, shall submit the following
information (**an original only is required)**.

A plan on the extent of participation of Small Disadvantaged Business
concerns in performance of the contract. Participation in performance of
the contract includes the work expected to be performed by SDB
concern(s). This can include SDB (as prime contractor), joint ventures,
teaming arrangements, and subcontracts. Include the following
information in SDB participation plans:

1\. The extent of an offeror's commitment to use SDB concerns.
Commitment should be as specific as possible, i.e., are subcontract
arrangements already in place, letters of commitment, etc. Enforceable
commitments will be weighted more heavily than non-enforceable ones.

2\. Specifically identify the SDB concerns with point of contact and
phone number.

3\. The complexity and variety of the work SDB concerns are to perform.

4\. Realism for the use of SDB in the proposal.

5\. Past performance of the Offeror in complying with subcontracting
plans for SDB concerns.

6\. Targets expressed as dollars and percentage of total contract value
for each participating SDB; which will be incorporated into and become
part of any resulting contract.

7\. The extent of participation of SDB concerns in terms of the total
acquisition.

B.  SDB participation information will be used for both responsibility
    determinations and as an evaluation factor against which offeror's
    relative rankings will be compared to assure the best value to the
    Government. The Government will focus on information that
    demonstrates realistic commitments to use SDB concerns relative to
    the size and complexity of the acquisition under consideration. The
    Government is not required to contact all references provided by the
    offeror. Also, references other than those identified by the offeror
    may be contacted by the Government to obtain additional information
    that will be used in the evaluation of the offeror's commitment to
    SDB participation.

**L.12 BUSINESS PROPOSAL**

> The offeror shall submit as part of the proposal a
> [separate]{.underline} enclosure titled "Business Proposal." The
> Business Proposal shall include the Cost/Price Proposal, the Small
> Business Subcontracting Plan, and Other Administrative Data in
> accordance with the following:

A. [Cost/Price Proposal]{.underline}

A cost proposal shall be submitted in accordance with FAR 15, in a
format similar to Attachment 7. The offeror's own format may be
utilized, but all required information in Attachment 7 shall be
provided.

The business proposal must contain sufficient information to allow the
Government to perform a basic analysis of the proposed cost or price of
the work. This information shall include the amounts of the basic
elements of the proposed cost or price.

As appropriate, cost breakdowns shall be provided for the following cost
elements.

\(a\) [Direct Labor]{.underline}

> The estimated cost for all personnel who will be assigned for direct
> work on this project shall be included. Give the name, title, percent
> of effort or time, salary and fringe benefits for each employee.
>
> Salary increases that are anticipated during performance of a
> resultant contract should be proposed as a cost. If escalation is
> included, state the degree (percent) and methodology, e.g., annual
> flat rate applied to a base rate as of a specific date or a
> mid-pointed rate for the period of performance. State whether any
> additional direct labor (new hires) will be required during the
> performance period of this procurement. If so, state the number
> required and anticipated date of hire. Also, specify the month and day
> on which your fiscal year commences.

\(b\) [Supplies and Equipment]{.underline}

> Include description, unit price, quantity, total price, justification
> for purchasing or leasing items and the basis for pricing (vendor
> quotes, invoices prices, etc.).
>
> \(c\) [Travel]{.underline}
>
> The amount proposed for travel shall be supported with a breakdown
> which includes purposes, destination, duration, and estimated cost
> (transportation and per diem) for each proposed trip. If travel costs
> are proposed on the basis of your organization's established travel
> policy, a copy of the policy must be provided.
>
> \(d\) [Consultants]{.underline}
>
> This element should include name(s) of consultant, number of days, and
> daily rate. The method of obtaining each consultant, either sole
> source or competitive, and the degree of competition or the rationale
> for sole source shall be explained.
>
> \(e\) [Subcontractors]{.underline}
>
> Subcontractor costs shall be broken down and supported by cost and
> pricing data adequate to establish the reasonableness of the proposed
> amount. Support documentation should include degree of subcontract
> competition and basis for selecting source.
>
> \(f\) [Other Direct Costs]{.underline}
>
> Any proposed other direct costs shall be supported with breakdown
> outlining the separate costs proposed and details supporting the
> formulation of the costs proposed. A signed agreement between the
> offeror and any personnel other than direct employees that includes
> dates of employment, salary, and specific tasks to be performed should
> be included.
>
> \(g\) [Indirect Costs]{.underline}
>
> Indicate how you have computed and applied indirect costs, and provide
> a basis for evaluating the reasonableness of the proposed rates.

(h) [Data Purchases]{.underline}

> See section C.7.7. of the Statement of Work for assumptions on the
> cost of the data purchases from the HCUP Partners. Since the purchase
> of the data is more or less a pass-through cost, **proposals should
> not include fees on the proposed cost for data purchases from the
> state organizations.**

(i) [Options]{.underline}

> For each option delineated as "priced," (including the one 2-year
> option to continue the base effort) there should be a separate
> estimated budget within the business proposal. All options will be
> evaluated and may be exercised at award, at a later date or not at all
> depending on the needs of the government. Therefore the business
> proposal should include budgets for the base effort and each priced
> option which will allow us to pick and choose from the options deemed
> necessary.
>
> Those options that are "unpriced" do not require a cost proposal at
> this time but a brief technical discussion should be included in the
> technical proposal. If it becomes necessary to exercise an unpriced
> option, the Contractor will be given a detailed Statement of Work for
> the option task and will be requested to submit a more detailed
> technical proposal and a cost proposal at that time.

B.  [Small Business Subcontracting Plan:]{.underline}

> All offerors except small businesses are required to submit a
> subcontracting plan in accordance with the Small Business
> Subcontracting Plan, FAR 52.219-9, incorporated in this solicitation.
> A copy of the AHRQ model subcontracting plan is provided as an
> attachment to this solicitation. If the model plan is not used, all
> elements outlined must be addressed in the offeror's format. **If the
> offeror is not a small business and fails to submit a subcontracting
> plan with the initial proposal, the offeror will be considered
> nonresponsive and their proposal will be returned without further
> consideration.**
>
> **[This provision does not apply to small business concerns. This
> provision does apply to all other offerors, including large business
> concerns, colleges, universities and non-profit
> organizations.]{.underline}**

The term "subcontract" means any agreement (other than one involving an
employer-employee relationship) entered into by a Federal Government
prime contractor or subcontractor calling for supplies or services
required for the performance of the original contract or subcontract.
This includes, but is not limited to, agreements/ purchase orders for
supplies and services such as equipment purchase, copying services, and
travel services.

The offeror understands that:

a\. No contract will be awarded unless and until an acceptable plan is
negotiated with the Contracting Officer. The plan will be incorporated
in to the contract.

b\. An acceptable plan must, in the determination of the Contracting
officer, provide the maximum practicable opportunity for small business
concerns and small business concerns owned and controlled by socially
and economically disadvantaged persons to participate in the performance
of the contract.

c\. If a subcontracting plan acceptable to the Contracting Officer is
not negotiated within the time limits prescribed by the contracting
activity and such failure arises out of causes within the control and
with the fault or negligence of the offeror, the offeror shall be
ineligible for award. The Contracting Officer shall notify the
Contractor in writing of the reasons for determining a subcontracting
plan unacceptable early enough in the negotiation process to allow the
Contractor to modify the plan within the time limits prescribed.

d\. Prior compliance of the offeror with other such subcontracting plans
under previous contracts will be considered by the Contracting Officer
in determining the responsibility of the offeror for award of the
contract.

e\. It is the offeror's responsibility to develop a satisfactory
subcontracting plan with respect to small business concerns and small
business concerns owned and controlled by socially and economically
disadvantaged individuals, and women-owned small business concerns, and
that each such aspect of the offeror's plan will be judged independent
of the other.

f\. The offeror will submit, as required by the Contracting Officer,
subcontracting reports in accordance with the instructions thereon, and
as further directed by the Contracting Officer. Subcontractors will also
submit these reports to the Government Contracting Officer or as
otherwise directed, with a copy to the prime Contractor's designated
small and disadvantaged business liaison.

g.  For this particular acquisition, the AHRQ recommended goal (as a
    percentage of total contract value for the base period) is 30% for
    Small Businesses, which shall include at least 11% (as a percentage
    of total planned subcontract dollars for the base period) for Small
    Disadvantaged Businesses, at least 5% (as a percentage of total
    planned subcontract dollars total planned subcontract dollars for
    the base period) for Women-Owned Small Businesses, and at least 3%
    (as a percentage of total planned subcontract dollars for the base
    period) for HUBZone Small Businesses and at least 3% (as a
    percentage of total planned subcontract dollars for the base period)
    for Veteran-Owned Small Businesses. These goals represent AHRQ's
    expectations of the minimum level for subcontracting with small
    business at the prime contract level. Any goal stated less than the
    AHRQ recommended goal shall be justified and is subject to
    negotiation.

C. Other Administrative Data

\(1\) [Terms and Conditions]{.underline}: The proposal shall stipulate
that it is predicated upon the terms and conditions of the RFP. In
addition, it shall contain a statement to the effect that it is firm for
a period of at least 120 days from the date of receipt thereof by the
Government.

> Minimum Bid Acceptance Period (April 1984)

\(a\) \"Acceptance period,\" as used in this provision, means the number
of calendar days available to the Government for awarding a contract
from the date specified in this solicitation for receipt of bids.

\(b\) This provision supersedes any language pertaining to the
acceptance period that may appear elsewhere in this solicitation.

\(c\) The Government requires a minimum acceptance period of

> 120 days.

\(d\) A bid allowing less than the Government\'s minimum acceptance
period may be rejected.

\(e\) The bidder agrees to execute all that it has undertaken to do, in
compliance with its bid, if that bid is accepted in writing within (i)
the acceptance period stated in paragraph (3) above, or (ii) any longer
acceptance period stated in paragraph (4) above.

\(2\) [Authority to Conduct Negotiations]{.underline}: The proposal
shall list the names and telephone numbers of persons authorized to
conduct negotiations and to execute contracts.

> \(3\) [Property]{.underline}:

\(a\) It is HHS policy that contractors will provide all equipment and
facilities necessary for performance of contracts. Exception may be
granted to furnish Government-owned property, or to authorize purchase
with contract funds, only when approved by the contracting officer. If
additional equipment must be acquired, you shall include the
description, estimated cost of each item and whether you will furnish
such items with your own funds.

\(b\) You shall identify Government-owned property in your possession
and/or property acquired from Federal funds to which you have title that
is proposed to be used in the performance of the prospective contract.

\(c\) The management and control of any Government property shall be in
accordance with HHS Publication (OS) 74-115 entitled, [Contractor\'s
Guide for Control of Government Property]{.underline}\" 1990, a copy of
which will be provided upon request.

> \(4\) [Royalties]{.underline}: You shall furnish information
> concerning royalties which are anticipated to be paid in connection
> with the performance of work under the proposed contract.

\(5\) [Commitments]{.underline}: You shall list other commitments with
the Government relating to the specified work or services and indicate
whether these commitments will or will not interfere with the completion
of work and/or services contemplated under this proposal.

\(6\) [Financial Capacity]{.underline}: You shall provide sufficient
data to indicate that you have the necessary financial capacity, working
capital, and other resources to perform the contract without assistance
from any outside source. If not, indicate the amount required and the
anticipated source. (Financial data such as balance sheets, profit and
loss statements, cash forecasts, and financial histories of your
organization\'s affiliated concerns should be utilized.)

\(7\) [Performance Capability]{.underline}: You shall provide acceptable
evidence of your \"ability to obtain\" equipment, facilities, and
personnel necessary to perform the requirements of this project. If
these are not represented in your current operations, they should
normally be supported by commitment or explicit arrangement, which is in
existence at the time the contract is to be awarded, for the rental,
purchase, or other acquisition of such resources, equipment, facilities,
or personnel. In addition, you shall indicate your ability to comply
with the required or proposed delivery or performance schedule taking
into consideration all existing business commitments, commercial as well
as Government.

8.  Representations and Certifications: Section K, \"Representations and
    Certifications and Other Statements of Offerors\" shall be completed
    and signed by an official authorized to bind your organization.
    **This section shall be made a part of the original business
    proposal.**

**L.13 SELECTION OF OFFERORS**

a\. The acceptability of the technical portion of each contract proposal
will be evaluated by the technical review committee. The committee will
evaluate each proposal in strict conformity with the evaluation criteria
of the RFP, utilizing point scores and written critiques. The committee
may suggest that the Contracting Officer request clarifying information
from an offeror.

b\. The business portion of each contract proposal will be subjected to
a cost review, management analysis, etc.

c\. Number range CHAPTERPast performance, Small Business Subcontracting
Plan and the Small Disadvantaged Business Participation Plan of the
technically acceptable offerors will be evaluated by AHRQ staff. A
competitive range will be determined. Oral or written discussions will
be conducted with all offerors in the competitive range, if necessary.
All aspects of the proposals are subject to discussions, including cost,
technical approach, past performance, Small Disadvantaged Business
Participation Plan and contractual terms and conditions. Final Proposal
Revisions will be requested with the reservation of the right to conduct
limited negotiations after submission of the Final Proposal Revisions.

d\. A final best-buy analysis will be performed taking into
consideration the results of the technical evaluation, cost analysis,
past performance, and ability to complete the work within the
Government's required schedule. The Government reserves the right to
make an award to the best advantage of the Government, technical merit,
cost, past performance, and other factors considered.

e.  The Government reserves the right to make a single award, multiple
    awards, or no award at all to the RFP.

Number range CHAPTER**L.14 PROPOSAL INTENT**

It is requested that if an offeror intends to submit a proposal to this
solicitation that the attached Proposal Intent Form (Attachment 4) be
completed and returned to the address indicated by June 1, 2006. The
submission of the intent form is not binding on an offeror to submit a
proposal, nor does the failure to submit the form prohibit an offeror
from submitting a proposal. The purpose is to provide us with an
estimated number of proposals to assist us in our planning and logistics
for proposal reviews. We have added a request to include your contact
information to a bidders list. The bidders list will be provided to
interested offerors for subcontracting opportunities. In order for AHRQ
to include your contact information on the bidders list, you must return
the Proposal Intent Form and check the box that grants permission to add
your name no later than the date listed above.

**[SECTION M - EVALUATION FACTORS FOR AWARD]{.underline}**

**[TECHNICAL EVALUATION CRITERIA]{.underline}**

Number range CHAPTERSelection of an offeror for contract award will be
based on an evaluation of proposals against four factors and award will
be made to that responsible offeror whose proposal is most advantageous
to the Government. The four factors are: scientific technical merit,
cost, past performance, and the Small Disadvantaged Business
Participation Plan. The scientific technical merit of the proposals will
receive paramount consideration in the selection of the Contractor(s)
for this acquisition. Offerors that submit technically acceptable
proposals will then be evaluated for past performance and for their
Small Disadvantaged Business Participation Plan. Following these
evaluations a competitive range will be determined.

All evaluation factors, other than cost or price, when combined are
significantly more important than cost or price. However, cost/price may
become a critical factor in source selection in the event that two or
more offerors are determined to be essentially equal following the
evaluation of all factors other than cost or price. In any event, the
Government reserves the right to make an award to that offeror whose
proposal provides the best overall value to the Government. The
Government reserves the right to make a single award, multiple awards,
or no award at all.

**THE GOVERNMENT RESERVES THE RIGHT TO**

**MAKE AN AWARD WITHOUT DISCUSSION**

All proposals will be reviewed in accordance with the governing
regulations and AHRQ policies and procedures. The technical proposal,
past performance information and Small Disadvantaged Business
Participation Plan will be evaluated in terms of the offeror's responses
to each of the evaluation factors. Each proposal will be evaluated on
the likelihood of meeting the Government's requirements. The evaluation
will be based on the technical and administrative capabilities in
relation to the needs of the program, anticipated tasks, and the
reasonableness of costs shown in relation to the work to be performed.
The Government reserves the right to make an award to the best advantage
of the Government.

The evaluation factors and assigned weights which will be used in the
overall review of the offeror's proposal are outlined below. The
technical proposal shall consist of the responses to evaluation criteria
A through F (including subcriteria). The offeror should show that the
objectives stated in the proposal are understood and offer a logical
program for their achievement. The following criteria will be used to
evaluate proposals and will be weighted as indicated in establishing a
numerical rating for all proposals submitted. Factors facilitating the
evaluation of each criteria below are referenced in the corresponding
criteria found in Section L of this solicitation:

SECTION M. TECHNICAL EVALUATION CRITERIA

A. [Understanding the Purpose and Objectives]{.underline} 10 points

> The offeror will be evaluated to the degree to which the proposal
> demonstrates an understanding of the requirements and objectives of
> this acquisition, and the problems that are likely to be encountered.

B. [Technical Approach]{.underline} 30 points

> The offeror's technical approach will be evaluated on how clearly and
> concisely the proposal presents a detailed plan and approach that is
> complete, reasonable, and feasible to satisfy the requirement of each
> individual task in the Statement of Work. The 30 points will be
> distributed as follows:
>
> Technical Discussion 24
>
> Transition Plan 3
>
> Quality Assurance Plan 3

C. [Qualifications of Proposed Staff, Including Consultants]{.underline}
25 points

The background, skills, professional experience and education of key
personnel, senior staff, task leaders, consultants and subcontractors
shall be evaluated. Proposals will be evaluated on the degree to which
the offeror is able to provide personnel possessing the qualifications
listed on pages 58-62 of Section L, and on their designated
responsibility on the project

> \*The experience and qualifications of the Project Director are worth
> a maximum of 5 points; the experience and qualifications of the other
> key staff and consultants are worth a maximum of 20 points.

D. [Organizational/Corporate Experience]{.underline} 20 points

The Proposal will be evaluated as to the relevance and quality of
corporate experience as it relates to the requirements of this
acquisition.

E. [Management Plan]{.underline} 10 points

> The proposal will be evaluated on the appropriateness of the
> organizational structure and management systems, including the
> management of subcontractors, multiple simultaneous tasks with
> competing needs, the personnel assigned to each task and the labor
> hours proposed, the plan for ensuring availability of adequate staff,
> the plan for reporting the required technical and cost information to
> the Government, the system for maintaining efficient use of computer
> and programmer resources, and planned methods for assuring the
> successful completion of all tasks within the time and budget
> allocated.

F. [Facilities and Equipment]{.underline} 5 points

> The offeror will be evaluated on the suitability, quality and
> cost-efficiency of the computer and other facilities and equipment
> available for the performance of all requirements of this acquisition.
> In addition to computer hardware, the contractor must provide
> necessary computer software capability

TOTAL POINTS BEFORE PAST PERFORMANCE 100 points

G. [Past Performance]{.underline} 20 points

> (TO BE RATED ONLY AFTER A DETERMINATION OF TECHNICAL ACCEPTABILITY OF
> THE OFFEROR'S PROPOSAL, BASED ON THE ABOVE TECHNICAL EVALUATION
> CRITERIA)
>
> The offeror's past performance will be evaluated after completion of
> the technical evaluation. Only those offerors determined to be
> technically acceptable will be evaluated. Each offeror will be
> evaluated on its performance under existing and prior contracts for
> similar products or services. Performance information will be used for
> both responsibility determinations and as an evaluation factor against
> which offeror's relative rankings will be compared.
>
> The Government reserves the right to evaluate relevant past
> performance information not specifically provided by the offeror.
>
> The Government will assess the relative risks associated with each
> offeror. Performance risks are those associated with an offeror's
> likelihood of success in performing the acquisition requirements as
> indicated by the offeror's record of past performance.
>
> If the offeror or the proposed employees for the offeror, do not have
> a past performance history relative to this acquisition, or past
> performance not relative to this acquisition, the offeror will not be
> evaluated favorably or unfavorably on this factor. A neutral rating
> will be determined.
>
> In evaluating past performance the Government, will consider the
> offeror's effectiveness in quality of products or services; timeliness
> of performance; cost control; business practices; customer
> satisfaction, and key personnel past performance.
>
> Number range CHAPTER[NOTICE: Past Performance questionnaires are to be
> provided to the contracting office NO LATER than the closing date and
> time of this solicitation. It is the offeror's responsibility to
> ensure that these documents are forwarded to the contracting
> office.]{.underline}

H. Number range CHAPTER[Small Disadvantaged Business Participation
Plan]{.underline} 5 points

> The evaluation will be based on information obtained from the plan
> provided by the offeror, the realism of the proposal, other relevant
> information obtained from named SDB concerns, and any information
> supplied by the offeror concerning problems encountered in SDB
> participation.
>
> Evaluation of the SDB Participation Plan will be a subjective
> assessment based on a consideration of all relevant facts and
> circumstances. It will not be based on absolute standards of
> acceptable performance. The Government is seeking to determine whether
> the offeror has demonstrated a commitment to use SDB concerns for the
> work that it intends to perform as the prime contractor.
>
> The assessment of the offeror's SDB Participation Plan will be used as
> a means of evaluating the relative capability and commitment of the
> offeror and the other competitors. Thus, an offeror with an
> exceptional record of participation with SDB concerns may receive more
> points and a more favorable evaluation than another whose record is
> acceptable, even though both may have acceptable technical proposals.
>
> SDB participation will be scored with offerors receiving points from 0
> to 5, with 5 being the most favorable.

**TOTAL AVAILABLE POINTS [125]{.underline}**

**ATTACHMENT 1 -- STATEMENT OF WORK**

**CONDUCT AND EXPAND THE HEALTHCARE COST AND UTILIZATION PROJECT (HCUP)
2006 -- 2011**

**TABLE OF CONTENTS**

[C.1. BACKGROUND INFORMATION 86](#__RefHeading___Toc135712642)

[C.1.1. HCUP Partnerships 86](#__RefHeading___Toc135712643)

[C.1.2. Description of HCUP Databases 87](#__RefHeading___Toc135712644)

[C.1.3. Description of HCUP-US Web site
89](#__RefHeading___Toc135712645)

[C.2. Objectives 89](#__RefHeading___Toc135712646)

[C.3. SPECIFIC REQUIREMENTS 89](#__RefHeading___Toc135712647)

[C.4. Provide Quality Assurances 90](#__RefHeading___Toc135712648)

[C.5. Receive HCUP Materials and takeover operations
91](#__RefHeading___Toc135712649)

[C.5.1. Receive HCUP Materials 91](#__RefHeading___Toc135712650)

[C.5.2. Takeover Ongoing Operations 92](#__RefHeading___Toc135712651)

[C.5.2.1. Central Distributor 92](#__RefHeading___Toc135712652)

[C.5.2.2. Provide Technical Support 93](#__RefHeading___Toc135712653)

[C.5.2.3. HCUP-US Web site 94](#__RefHeading___Toc135712654)

[C.5.2.4. HCUP Outreach and Dissemination Activities
94](#__RefHeading___Toc135712655)

[C.6. Develop and Implement a Transition Plan
94](#__RefHeading___Toc135712656)

[C.7. DATA ACQUISITION ACTIVITIES 95](#__RefHeading___Toc135712657)

[C.7.1. Conduct Ongoing Communications Regarding Project Activities
96](#__RefHeading___Toc135712658)

[C.7.1.1. Recruitment Database 96](#__RefHeading___Toc135712659)

[C.7.1.2. Communication on Project Activities
96](#__RefHeading___Toc135712660)

[C.7.1.3. Conference Calls and Work Groups
96](#__RefHeading___Toc135712661)

[C.7.1.4. Create and Maintain Data Acquisition Materials
96](#__RefHeading___Toc135712662)

[C.7.2. Participate in the Annual HCUP Partners Meeting
97](#__RefHeading___Toc135712663)

[C.7.3. Retain Existing Partners 97](#__RefHeading___Toc135712664)

[C.7.3.1. Maintain a Partner Contact List
98](#__RefHeading___Toc135712665)

[C.7.3.2. Maintain an Inventory of Data Available from HCUP Partners
98](#__RefHeading___Toc135712666)

[C.7.4. Obtain Annual Data Files 98](#__RefHeading___Toc135712667)

[C.7.4.1. Identifying Changes that May Affect Data Submission
99](#__RefHeading___Toc135712668)

[C.7.4.2. Execute Memorandums of Agreement (MOA)
100](#__RefHeading___Toc135712669)

[C.7.4.3. Prepare to Request Data 100](#__RefHeading___Toc135712670)

[C.7.4.4. Implement Data Requests 101](#__RefHeading___Toc135712671)

[C.7.5. Recruit New Partner States 101](#__RefHeading___Toc135712672)

[C.7.5.1. Identify Potential Partner Organizations
101](#__RefHeading___Toc135712673)

[C.7.6. Execute MOA Amendments 102](#__RefHeading___Toc135712674)

[C.7.7. Purchase Data 102](#__RefHeading___Toc135712675)

[C.7.8. Explore Additional Data Types from Existing HCUP State Partners
103](#__RefHeading___Toc135712676)

[C.8. Processing and Creating State Databases
104](#__RefHeading___Toc135712677)

[C.8.1. Objectives 104](#__RefHeading___Toc135712678)

[C.8.2. Review of State Source Data 108](#__RefHeading___Toc135712679)

[C.8.2.1. Check that the Data to be Processed is Consistent with the MOA
108](#__RefHeading___Toc135712680)

[C.8.2.2. Check that the Coding of the Source Data is Consistent with
the Documented Source Coding and the Processing Program
108](#__RefHeading___Toc135712681)

[C.8.2.3. Check Validity and Consistency of Diagnoses and Procedures
109](#__RefHeading___Toc135712682)

[C.8.2.4. Exploratory Statistics to Check the Consistency in Coding with
Previous Years 109](#__RefHeading___Toc135712683)

[C.8.2.5. Other Checks and Documentation
109](#__RefHeading___Toc135712684)

[C.8.3. Create Uniform State Data Elements for State Databases
109](#__RefHeading___Toc135712685)

[C.8.3.1. Apply Quality Control Edits 109](#__RefHeading___Toc135712686)

[C.8.3.2. Create Urban-Rural Patient Location Data Elements
109](#__RefHeading___Toc135712687)

[C.8.3.3. Add Data Elements as Directed
110](#__RefHeading___Toc135712688)

[C.8.3.4. Apply Clinical Classification Software (CCS)
110](#__RefHeading___Toc135712689)

[C.8.3.5. Apply the Diagnosis Related Groups (DRG) Grouper Software
110](#__RefHeading___Toc135712690)

[C.8.3.6. Apply the Latest Versions of Severity Adjustment Software to
the Inpatient Data 110](#__RefHeading___Toc135712691)

[C.8.3.7. Apply Place of Service Flag to the Outpatient Data Files
110](#__RefHeading___Toc135712692)

[C.8.3.8. Median Income of ZIP Code to Data Development Files
110](#__RefHeading___Toc135712693)

[C.8.4. Create State Files 111](#__RefHeading___Toc135712694)

[C.8.4.1. Create State Inpatient Databases (SID) Files
111](#__RefHeading___Toc135712695)

[C.8.4.2. Create State Ambulatory Surgery Databases (SASD) Files
111](#__RefHeading___Toc135712696)

[C.8.4.3. Create State Emergency Department Databases (SEDD) Files
111](#__RefHeading___Toc135712697)

[C.8.4.4. Extract Rotavirus Data 112](#__RefHeading___Toc135712698)

[C.8.4.5. Document Errors in Data Processing
112](#__RefHeading___Toc135712699)

[C.8.4.6. Create HCUP Central Distributor Files
112](#__RefHeading___Toc135712700)

[C.8.4.7. Customize Files 113](#__RefHeading___Toc135712701)

[C.8.5. Documentation for SID/SASD/SEDD
113](#__RefHeading___Toc135712702)

[C.8.6. Copy and Deliver Data and Programs
114](#__RefHeading___Toc135712703)

[C.8.6.1. Copy and provide SID/SASD/SEDD Files for Return to States
114](#__RefHeading___Toc135712704)

[C.8.6.2. Copy Intramural Data for Delivery for AHRQ
114](#__RefHeading___Toc135712705)

[C.8.6.3. Copy of Data Processing Programs
115](#__RefHeading___Toc135712706)

[C.8.6.4. Copy of Summary Statistics 115](#__RefHeading___Toc135712707)

[C.8.7. Create Physician Files 115](#__RefHeading___Toc135712708)

[C.8.8. Evaluate the Collection, Processing, Documentation and Delivery
Methods for State Databases 115](#__RefHeading___Toc135712709)

[C.9. Nationwide Inpatient Sample (NIS)
116](#__RefHeading___Toc135712710)

[C.9.1. Create the NIS 117](#__RefHeading___Toc135712711)

[C.9.1.1. Select the NIS Sample 117](#__RefHeading___Toc135712712)

[C.9.1.2. Create the Hospital Weights File
117](#__RefHeading___Toc135712713)

[C.9.1.3. Create Deliverable NIS Core and Severity Adjustment Files and
Produce Verification of Restrictions Memo.
117](#__RefHeading___Toc135712714)

[C.9.1.4. Generate Databases to be Delivered for External Release.
118](#__RefHeading___Toc135712715)

[C.9.1.5. Create the NIS File for use within AHRQ
118](#__RefHeading___Toc135712716)

[C.9.2. Documentation for NIS 118](#__RefHeading___Toc135712717)

[C.9.2.1. Generate Documentation for the NIS
118](#__RefHeading___Toc135712718)

[C.9.2.2. Copy of NIS Data Processing Programs
119](#__RefHeading___Toc135712719)

[C.9.2.3. Develop the NIS Comparison Report
119](#__RefHeading___Toc135712720)

[C.9.3. Other NIS- Related Activities 119](#__RefHeading___Toc135712721)

[C.9.3.1. New Data Elements 119](#__RefHeading___Toc135712722)

[C.9.3.2. Evaluate the NIS Sampling and Weighting Strategy
120](#__RefHeading___Toc135712723)

[C.9.3.3. Add New NIS Data Elements to Old Years of the NIS.
120](#__RefHeading___Toc135712724)

[C.9.3.4. Evaluate the Processing, Documentation, and Dissemination
Procedures 120](#__RefHeading___Toc135712725)

[C.10. Kids' Inpatient Database (KID) 121](#__RefHeading___Toc135712726)

[C.10.1. Create the KID 121](#_Ref122085817)

[C.10.2. Other KID-related Activities 122](#__RefHeading___Toc135712728)

[C.10.2.1. Assess the Sampling and Weighting Strategy
122](#__RefHeading___Toc135712729)

[C.10.2.2. Assess the Processing, Documentation, and Dissemination
Procedures 122](#__RefHeading___Toc135712730)

[C.11. Multi-State and Nationwide Outpatient Databases
123](#__RefHeading___Toc135712731)

[C.11.1. Creation of Multi-State Data File
123](#__RefHeading___Toc135712732)

[C.11.2. Comparison Report 123](#__RefHeading___Toc135712733)

[C.11.3. Develop the Concept of a Nationwide Outpatient Database (NEDD,
NHASD), Create a Test Database 124](#__RefHeading___Toc135712734)

[C.11.4. Extract the Data from the Outpatient Databases, Merge Data,
Create Weights, and Create the Files 124](#__RefHeading___Toc135712735)

[C.11.5. Document the Database 124](#__RefHeading___Toc135712736)

[C.11.6. Obtain Agreement from States for Release of the New Database
125](#__RefHeading___Toc135712737)

[C.11.7. Prepare the Database for Dissemination
125](#__RefHeading___Toc135712738)

[C.11.8. Deliver the NEDD or NHASD and Documentation
125](#__RefHeading___Toc135712739)

[C.11.9. Disseminate Databases 125](#__RefHeading___Toc135712740)

[C.12. NEW SPECIALIZED Discharge-level Database
125](#__RefHeading___Toc135712741)

[C.12.1. Develop the Concept, Create a Test Database, and Evaluate the
Database 125](#__RefHeading___Toc135712742)

[C.12.2. Extract the Data from the SID, Merge Data, Create Weights, and
Create the Files 126](#__RefHeading___Toc135712743)

[C.12.3. Document the Database 126](#__RefHeading___Toc135712744)

[C.12.4. Obtain Agreement from States for Release of the New Database
126](#__RefHeading___Toc135712745)

[C.12.5. Prepare the Database for Dissemination
126](#__RefHeading___Toc135712746)

[C.12.6. Deliver the Specialized Databases and Documentation
126](#__RefHeading___Toc135712747)

[C.12.7. Disseminate Databases 126](#__RefHeading___Toc135712748)

[C.13. THE AMERICAN HOSPITAL ASSOCIATION ANNUAL SURVEY
127](#__RefHeading___Toc135712749)

[C.13.1. Create the HCUP AHA Analytic File
127](#__RefHeading___Toc135712750)

[C.13.1.1. Annually Acquire the Most Recent AHA Annual Survey File
127](#__RefHeading___Toc135712751)

[C.13.1.2. Check for Changes in Variable Set and Definitions
127](#__RefHeading___Toc135712752)

[C.13.1.3. Create AHA Crosswalk Files 127](#__RefHeading___Toc135712753)

[C.13.2. Compare AHA Data with State Data
128](#__RefHeading___Toc135712754)

[C.13.3. Create File of Hospital Status Changes
128](#__RefHeading___Toc135712755)

[C.13.4. Document the AHA Files 129](#__RefHeading___Toc135712756)

[C.13.4.1. Document AHA Annual Survey Changes
129](#__RefHeading___Toc135712757)

[C.13.4.2. Document Variables 129](#__RefHeading___Toc135712758)

[C.14. HCUP Supplemental / Linkable Files
129](#__RefHeading___Toc135712759)

[C.14.1. HCUP Cost-to-Charge Ratio (CCR) Files
129](#__RefHeading___Toc135712760)

[C.14.2. Development of Other Linkable/Supplemental Data Files
131](#__RefHeading___Toc135712761)

[C.14.2.1. Market Area Competition Measures
131](#__RefHeading___Toc135712762)

[C.14.2.2. Hospital Management and Organization: Supplementary Data
131](#__RefHeading___Toc135712763)

[C.14.2.3. Process Quality Measures Created for CMS
131](#__RefHeading___Toc135712764)

[C.14.2.4. Adding Variables from the AHA Survey
131](#__RefHeading___Toc135712765)

[C.14.2.5. Evaluate and Create Readmission Variables
132](#__RefHeading___Toc135712766)

[C.14.2.5.1. Readmission/Revisit variables limited to states with a
reliable person identifier 132](#__RefHeading___Toc135712767)

[C.14.2.5.2. Readmission / Revisit variables limited to states without a
person identifier 133](#__RefHeading___Toc135712768)

[C.14.2.6. Other Linkable Files 134](#__RefHeading___Toc135712769)

[C.14.3. Annual Memo Recommendations 134](#__RefHeading___Toc135712770)

[C.15. HCUP Central Distributor 134](#__RefHeading___Toc135712771)

[C.15.1. Operations 135](#__RefHeading___Toc135712772)

[C.15.1.1. Organization Restrictions for Central Distributor Operations
138](#__RefHeading___Toc135712773)

[C.15.2. Tracking System 138](#__RefHeading___Toc135712774)

[C.15.3. Applications Kits 138](#__RefHeading___Toc135712775)

[C.15.4. Customized Files 138](#__RefHeading___Toc135712776)

[C.15.5. Monthly Activity Reports 138](#__RefHeading___Toc135712777)

[C.15.6. Data Use Agreements (DUAs) and Mailing Lists
139](#__RefHeading___Toc135712778)

[C.15.7. Flyers, Postcards, and Promotional Materials
139](#__RefHeading___Toc135712779)

[C.15.8. Exhibit Booth Representation 139](#__RefHeading___Toc135712780)

[C.15.9. Evaluation of Dissemination Processes and Tracking /
Distribution System 139](#__RefHeading___Toc135712781)

[C.16. delivery and management of databases, documentation, and records
140](#__RefHeading___Toc135712782)

[C.16.1. Databases 140](#__RefHeading___Toc135712783)

[C.16.1.1. Database Format 140](#__RefHeading___Toc135712784)

[C.16.1.2. Source Data Destruction 140](#__RefHeading___Toc135712785)

[C.16.2. Documentation 140](#__RefHeading___Toc135712786)

[C.16.2.1. Data File Maintenance System
140](#__RefHeading___Toc135712787)

[C.16.2.2. Create Documentation 141](#__RefHeading___Toc135712788)

[C.16.2.3. Project Management Records 141](#__RefHeading___Toc135712789)

[C.16.2.4. Documentation Quality 141](#__RefHeading___Toc135712790)

[C.16.3. Back-up System for All Documentation
141](#__RefHeading___Toc135712791)

[C.16.4. Evaluation of Records Management
142](#__RefHeading___Toc135712792)

[C.17. HCUP-US Web Site 142](#__RefHeading___Toc135712793)

[C.17.1. Maintain Content on the HCUP-US Web Site
142](#__RefHeading___Toc135712794)

[C.17.2. HCUP- US Web Site Policy and Regulations
142](#__RefHeading___Toc135712795)

[C.17.3. HCUP-US Web Site Format and Accessibility
142](#__RefHeading___Toc135712796)

[C.17.4. Enhancing the HCUP-US Web Site
143](#__RefHeading___Toc135712797)

[C.17.5. Management of the HCUP-US Web Site
143](#__RefHeading___Toc135712798)

[C.17.6. Technical Guide to Web Site 143](#__RefHeading___Toc135712799)

[C.18. IMPROVING HCUP DATA THROUGH TECHNICAL SUPPORT FOR PARTNERS
144](#__RefHeading___Toc135712800)

[C.18.1. Background 144](#__RefHeading___Toc135712801)

[C.18.2. Facilitate Communication With and Among the HCUP Partners
145](#__RefHeading___Toc135712802)

[C.18.2.1. HCUP Partner Workgroups 145](#__RefHeading___Toc135712803)

[C.18.2.2. HCUP Partner Listserv 145](#__RefHeading___Toc135712804)

[C.18.2.3. Participation in Conferences and Other Meetings of HCUP
Partners 146](#__RefHeading___Toc135712805)

[C.18.2.4. Review of Information about Relevant Federal and National
Initiatives 146](#__RefHeading___Toc135712806)

[C.18.2.5. HCUP-US Partners\' Web Page Sections on Data Collection and
Use 146](#__RefHeading___Toc135712807)

[C.18.3. Needs Assessment 147](#__RefHeading___Toc135712808)

[C.18.4. Advice to Individual HCUP Partners
147](#__RefHeading___Toc135712809)

[C.18.5. Custom Data Analysis for Individual HCUP Partners
147](#__RefHeading___Toc135712810)

[C.18.6. Partnering with Data Organizations to Determine Solutions to
Permit the Inclusion of Variables in their Datasets
148](#__RefHeading___Toc135712811)

[C.18.7. Products for Partners to Develop and Improve Data Collection
148](#__RefHeading___Toc135712812)

[C.18.7.1. Educational Briefs 148](#__RefHeading___Toc135712813)

[C.18.7.2. Special Report on the Collection and Improvement of
Encounter-Level Data 149](#__RefHeading___Toc135712814)

[C.18.7.3. Summaries of Data Standards and Health Information Technology
Meetings 149](#__RefHeading___Toc135712815)

[C.18.8. Products for Partners to Improve the Use of Data
149](#__RefHeading___Toc135712816)

[C.19. PROVIDE TECHNICAL SUPPORT TO AHRQ
150](#__RefHeading___Toc135712817)

[C.19.1. Provide Technical Assistance in Understanding and Use of Data
and Documentation System 150](#__RefHeading___Toc135712818)

[C.19.2. Provide Information to AHRQ on General Technological
Innovations Affecting HCUP Data Processing
151](#__RefHeading___Toc135712819)

[C.19.3. Provide Information to AHRQ on Advances in Health Care
Information Technology (HIT) Relevant to HCUP
151](#__RefHeading___Toc135712820)

[C.20. PROVIDE TECHNICAL SUPPORT TO HCUP USERS
152](#__RefHeading___Toc135712821)

[C.20.1. Develop Staff and Infrastructure for Technical Support Services
152](#__RefHeading___Toc135712822)

[C.20.1.1. Develop HCUP Expertise 152](#__RefHeading___Toc135712823)

[C.20.1.2. Establish Systems to Respond to and Monitor Inquiries
153](#__RefHeading___Toc135712824)

[C.20.1.2.1. Telephone and E-mail 153](#__RefHeading___Toc135712825)

[C.20.1.2.2. Routing Protocol 154](#__RefHeading___Toc135712826)

[C.20.1.2.3. Contractor Staffing Responsibilities
154](#__RefHeading___Toc135712827)

[C.20.2. Provide Technical Support to HCUP Users
154](#__RefHeading___Toc135712828)

[C.20.2.1. Provide Assistance to Public Users
154](#__RefHeading___Toc135712829)

[C.20.2.2. Provide Assistance for Special Requests for Priority
Audiences 155](#__RefHeading___Toc135712830)

[C.20.3. Monitor Technical Support Services
155](#__RefHeading___Toc135712831)

[C.20.3.1. Log Technical Support Inquiries
155](#__RefHeading___Toc135712832)

[C.20.3.2. Monitor Potential Impact from Technical Support Assistance
156](#__RefHeading___Toc135712833)

[C.20.3.3. Develop Standardized Responses and Limited Statistics
156](#__RefHeading___Toc135712834)

[C.20.3.4. Maintain and Update Technical Assistance Web Pages
156](#__RefHeading___Toc135712835)

[C.20.3.5. Use Technology for Outreach to HCUP Users
156](#__RefHeading___Toc135712836)

[C.20.4. Improve and Demonstrate HCUP Value through User Feedback
157](#__RefHeading___Toc135712837)

[C.20.4.1. Encourage and Document Suggestions from Users
157](#__RefHeading___Toc135712838)

[C.20.4.2. Develop Impact Stories on the Value of HCUP Products
157](#__RefHeading___Toc135712839)

[C.20.5. Demonstrate HCUP Value through Other Means
157](#__RefHeading___Toc135712840)

[C.20.5.1. Locate and Review HCUP Publications 157](#_Ref122154069)

[C.20.6. Maintain a User Database 158](#__RefHeading___Toc135712842)

[C.20.6.1. Track HCUP Web site Visits 159](#__RefHeading___Toc135712843)

[C.20.6.2. Record Counts of Subscribers
159](#__RefHeading___Toc135712844)

[C.20.7. Provide AHRQ with Technical Support and Outreach Statistics
Reports 160](#__RefHeading___Toc135712845)

[C.21. DEVELOP EDUCATIONAL presentations AND TRAINING MATERIALS
161](#__RefHeading___Toc135712846)

[C.21.1. Update Existing Presentation Masters
161](#__RefHeading___Toc135712847)

[C.21.2. Create and Update New Presentation Masters
162](#__RefHeading___Toc135712848)

[C.21.2.1. Create HCUP Training File 163](#__RefHeading___Toc135712849)

[C.21.2.2. Create 3-Part Intermediate/Advanced Level Electronic
Courseware 163](#__RefHeading___Toc135712850)

[C.21.2.3. Assess and Apply New Technologies for Training
164](#__RefHeading___Toc135712851)

[C.21.3. Customize Masters for Specific Presentations
164](#__RefHeading___Toc135712852)

[C.21.3.1. Customize Presentations 165](#__RefHeading___Toc135712853)

[C.21.4. Provide all Presentation Materials and Equipment
165](#__RefHeading___Toc135712854)

[C.21.4.1. Develop Written Support Materials
165](#__RefHeading___Toc135712855)

[C.21.4.2. Supply Presentation Equipment
165](#__RefHeading___Toc135712856)

[C.21.5. Document Presentations 165](#__RefHeading___Toc135712857)

[C.21.6. Represent HCUP at Conferences, Meetings and Other Venues
166](#__RefHeading___Toc135712858)

[C.21.6.1. Deliver In-Person Expository and Training Presentations
166](#__RefHeading___Toc135712859)

[C.21.6.2. Represent HCUP at Exhibit Booths
167](#__RefHeading___Toc135712860)

[C.22. MAINTAIN AND CREATE SOFTWARE TOOLS
168](#__RefHeading___Toc135712861)

[C.22.1. Maintain and Update Existing Software Tools
168](#__RefHeading___Toc135712862)

[C.22.2. Perform Tool-related Activities and Improvements
170](#__RefHeading___Toc135712863)

[C.22.3. Create New Software Tools 170](#__RefHeading___Toc135712864)

[C.23. conduct DATA analyses and Write analytic Reports
171](#__RefHeading___Toc135712865)

[C.23.1. Special Technical Reports 171](#__RefHeading___Toc135712866)

[C.23.2. Write Descriptive and Analytic Reports for Multiple HCUP Series
173](#__RefHeading___Toc135712867)

[C.23.2.1. Existing Report Series 173](#__RefHeading___Toc135712868)

[C.23.2.2. New Report Series 174](#__RefHeading___Toc135712869)

[C.23.2.3. Recommend Report Topics 175](#__RefHeading___Toc135712870)

[C.23.2.4. Prepare Drafts and Final Copies
175](#__RefHeading___Toc135712871)

[C.23.3. Assess All Report Series and Recommend an Overall Plan
175](#__RefHeading___Toc135712872)

[C.24. increase use of and impact from hcup Through outreach
176](#__RefHeading___Toc135712873)

[C.24.1. Develop, Recommend, and Implement Selected Outreach Initiatives
176](#__RefHeading___Toc135712874)

[C.24.1.1. Develop an Annual Outreach Plan
176](#__RefHeading___Toc135712875)

[C.24.1.2. Implement Outreach Initiatives
177](#__RefHeading___Toc135712876)

[C.24.2. Create, Coordinate, and Disseminate Written Materials
178](#__RefHeading___Toc135712877)

[C.24.2.1. Create Announcements 178](#__RefHeading___Toc135712878)

[C.24.2.2. Create Quarterly HCUP Newsletter
178](#__RefHeading___Toc135712879)

[C.24.2.3. Maintain HCUP Calendar 179](#__RefHeading___Toc135712880)

[C.24.2.4. Create Outreach and Educational Materials
179](#__RefHeading___Toc135712881)

[C.24.3. Provide Management Reports on Outreach
179](#__RefHeading___Toc135712882)

[C.25. Translation of Data for Use by Surveillance Data Systems
180](#__RefHeading___Toc135712883)

[C.26. Expansion of HCUP Outpatient Data to Improve Geographic and
Demographic Representation and to Improve Timeliness of HCUP
180](#__RefHeading___Toc135712884)

[C.27. Improving Timeliness of HCUP Information through Near Real-Time
Streaming of Data from State Data Organizations
181](#__RefHeading___Toc135712885)

[C.28. National Healthcare quality report (nhqr) and national healthcare
disparities report (NHDR) 181](#__RefHeading___Toc135712886)

[C.28.1. Design 182](#__RefHeading___Toc135712887)

[C.28.1.1. Leadership 182](#__RefHeading___Toc135712888)

[C.28.1.2. Design Decisions 182](#__RefHeading___Toc135712889)

[C.28.2. NHQR/NHDR Production 183](#__RefHeading___Toc135712890)

[C.28.2.1. Generating Hospital Weights
184](#__RefHeading___Toc135712891)

[C.28.2.2. Creating the NHDR analytic sample
184](#__RefHeading___Toc135712892)

[C.28.2.2.1. Build NHDR Analytic Sample
185](#__RefHeading___Toc135712893)

[C.28.2.2.2. Evaluate NHDR Analytic Sample
185](#__RefHeading___Toc135712894)

[C.28.2.3. Incorporating Population Denominators
185](#__RefHeading___Toc135712895)

[C.28.2.4. Reporting on American Indian/Native American
186](#__RefHeading___Toc135712896)

[C.28.2.5. Applying QI Software 186](#__RefHeading___Toc135712897)

[C.28.2.6. Applying Significance Testing
186](#__RefHeading___Toc135712898)

[C.28.2.7. Quality Control 186](#__RefHeading___Toc135712899)

[C.28.3. NHQR/NHDR Products 187](#__RefHeading___Toc135712900)

[C.28.3.1. Working Tables 187](#__RefHeading___Toc135712901)

[C.28.3.2. Final Tables 187](#__RefHeading___Toc135712902)

[C.28.3.3. SID and NIS NHQR/DR Skinny Files
187](#__RefHeading___Toc135712903)

[C.28.3.4. Task Documentation 187](#__RefHeading___Toc135712904)

[C.28.4. Special Analyses 188](#__RefHeading___Toc135712905)

[C.28.5. Coordination with HCUP Partners on the NHQR/NHDR
189](#__RefHeading___Toc135712906)

[C.28.5.1. Prepare State-level Preview Materials for the HCUP Partners
189](#__RefHeading___Toc135712907)

[C.28.5.2. NHQR/NHDR Briefing Materials for HCUP Partners
190](#__RefHeading___Toc135712908)

[C.28.5.3. Additional Communication with HCUP Partners
190](#__RefHeading___Toc135712909)

[C.28.5.4. Involve all Partners in the Final Review
190](#__RefHeading___Toc135712910)

[C.29. CONFIDENTIALITY AND SECURITY PROTECTIONS
190](#__RefHeading___Toc135712911)

[C.29.1. Become Familiar with all HCUP Confidentiality and Security
Provisions 190](#__RefHeading___Toc135712912)

[C.29.2. Legal Protections 191](#__RefHeading___Toc135712913)

[C.29.3. HCUP Security Plan 192](#__RefHeading___Toc135712914)

[C.29.4. Evaluate Mechanisms to Ensure Security and Confidentiality of
HCUP Data 192](#__RefHeading___Toc135712915)

[C.29.4.1. Conduct Security Audit 192](#__RefHeading___Toc135712916)

[C.29.4.2. Annual Security and Confidentiality Evaluation
193](#__RefHeading___Toc135712917)

[C.29.4.3. Provide Technical Assistance to Partners for Security and
Confidentiality of Data 193](#__RefHeading___Toc135712918)

[C.29.5. Maintain and Update Electronic Privacy Training Tools
193](#__RefHeading___Toc135712919)

[C.30. PROJECT MANAGEMENT 194](#__RefHeading___Toc135712920)

[C.30.1. Meetings and Conference Calls
194](#__RefHeading___Toc135712921)

[C.30.1.1. Prepare, Arrange, and Attend an Orientation Meeting
194](#__RefHeading___Toc135712922)

[C.30.1.2. Participate in Conference Calls with the Project Officer
194](#__RefHeading___Toc135712923)

[C.30.1.3. Participate in Other Communications with the Project Officer
194](#__RefHeading___Toc135712924)

[C.30.1.4. Participate in Annual HCUP Partners Meeting
194](#__RefHeading___Toc135712925)

[C.30.2. Prepare an Annual Project Management Plan
195](#__RefHeading___Toc135712926)

[C.30.2.1. Annual Site Visit 195](#__RefHeading___Toc135712927)

[C.30.3. Progress and Final Reports 195](#__RefHeading___Toc135712928)

[C.30.4. Project Close-out 196](#__RefHeading___Toc135712929)

[**APPENDIX A: HCUP Databases** 206](#__RefHeading___Toc135712930)

[**APPENDIX B: File Structure of the HCUP Databases**
210](#__RefHeading___Toc135712931)

[**APPENDIX C: HCUP SOW List of Options**
213](#__RefHeading___Toc135712932)

**STATEMENT OF WORK**

**CONDUCT AND EXPAND THE HEALTHCARE COST AND UTILIZATION PROJECT (HCUP)
2006 -- 2011**

The Center for Delivery, Organization, and Markets (CDOM) and the Data
Development Portfolio within the Agency for Healthcare Research and
Quality (AHRQ) of the United States Department of Health and Human
Services (DHHS) requires the maintenance and expansion of the Healthcare
Cost and Utilization Project (HCUP) for the next phase of the project
(2006 -- 2011).

HCUP (HCUP, pronounced \"H-Cup\") is a family of health care databases
and related software tools, products, and services developed through a
Federal-State-Industry partnership. It is the largest collection of
longitudinal hospital care data in the United States, with all-payer,
encounter level information beginning in 1988. HCUP brings together the
data collection efforts of State data organizations, hospital
associations, private data organizations, and the Federal government to
create a national health care information resource that can be
responsive to the needs of consumers, clinicians and other providers,
institutions, health plans, purchasers, and public policymakers in order
to improve health care quality and outcomes, control health care costs,
and assure access to health care services. Analysts in government and
non-government organizations, such as agencies within DHHS, Department
of Homeland Security, state agencies, Institute of Medicine, March of
Dimes, and large employers, have come to rely on HCUP data and tools to
identify, track, analyze, and compare trends at the national, regional,
and state levels. Additionally, because of the large size, the HCUP
databases are used to describe patterns of care for both rare and common
diseases; to analyze both infrequent and common hospital procedures; and
to track utilization for population subgroups, such as minorities,
children, women, and the uninsured. As such, HCUP is an integral part of
AHRQ's mission to improve the quality, safety, efficiency, and
effectiveness of health care for all Americans, including the delivery
of health care in inner-city and rural areas (including frontier areas)
and health care for priority populations (low income groups, minority
groups, women, children, the elderly, and individuals with special
health care needs).

The goals of HCUP in support of AHRQ's mission are to:

-   Create and enhance a powerful source of national, state, and
    all-payer health care data.

```{=html}
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-   Produce a broad set of software tools and products to facilitate the
    use of HCUP and other administrative data.

-   Enrich a collaborative partnership with statewide data organizations
    aimed at increasing the quality and use of health care data.

-   Conduct and translate research to inform decision making and improve
    health care delivery.

To meet these goals, the project involves: 1) the annual recruitment,
collection, creation, and enhancement of statewide and nationwide
encounter-level data (list sections of RFP); 2) the sales and operation,
and dissemination of the restricted access public release versions of
HCUP databases and files; 3) maintenance and enhancement of the HCUP Web
site which serves as the project's primary vehicle for public outreach
and as a repository for nearly all project information; 4) facilitation
of the collaborative learning among all members of the project (AHRQ,
data Partners, users, stakeholders) by providing technical support and
training; 5) development of products, tools and services to assist with
the productive use of the data; 6) data investigation, dissemination and
translation of research findings; 7) outreach to increase use and impact
from HCUP; and preparation of national reports on health quality and
disparities.

1.  []{#__RefHeading___Toc135712642 .anchor}BACKGROUND INFORMATION

HCUP began in the early 1990's and grew from 11 to 22 inpatient
databases for years 1988 to 1997. The original goals of the project were
to add data from more states, expand beyond inpatient data, shorten the
data processing time, create tools and applications to make the data
more useful, and expand accessibility and use of these tools and data to
improve health care. The results over the last five years have vastly
changed the initiative. HCUP inpatient data now includes 38 states and
approximately 90% of all community hospital stays. Next year, HCUP
expects to have emergency department (ED) data from 23 states and
ambulatory surgery (AS) from 25 states. Data processing time has shrunk,
the number of tools and special databases has grown exponentially, and
32 databases are available annually to the public. HCUP responds to over
1,800 technical assistance inquiries each year, and national and state
policymakers are using these data and tools in their decision making. In
addition, HCUP has increasingly been asked to take a leadership role in
the development and use of administrative data.

The current HCUP contract now includes activities such as user support,
electronic documentation, central data distribution, training, and
expansion into outpatient data, among others. It is anticipated that the
next five years will also be a period of immense change and will require
innovative and forward thinking approaches to conducting HCUP. The next
phase is designed around five strategies to increase the impact of HCUP:
maintaining a strong core while enhancing data tools and measures;
improving the timeliness of HCUP through information from the data,
rather than the data themselves); preparing and implementing a strategy
for taking advantage of the electronic health record and health
information technology; focusing on data partnerships; and expanding
outpatient data. Offerors are strongly encouraged to propose approaches
and methodologies that take maximum advantage of state-of-the-art data
and technology advances to carry the project forward over the next five
years.

1.  []{#__RefHeading___Toc135712643 .anchor}HCUP Partnerships

What has not changed, however, is that the core of HCUP is a partnership
between the Federal government and state data partners [(HCUP
Partners)](http://www.hcup-us.ahrq.gov/partners.jsp), including
state-funded data organizations (SDO) that are mandated by law to
collect data; hospital associations that have voluntarily joined
together to collect data; and private data organizations (PDO). The
participation of State Partners (herein called HCUP Partners or data
organization) is essential for the success of HCUP and is based on
cooperative, detailed agreements made between AHRQ and each State data
partner. HCUP could not exist without the contributions made by the
statewide data organizations which voluntarily partner with AHRQ/HCUP
and provide their state data to the project. Partners also serve as a
source of ideas for project improvement, expansion, and technical
guidance. HCUP Partners have been selected to join on the basis of a
number of criteria, including geographic diversity, population
concentration, and representation of important population subgroups,
timely availability of data, and willingness and/or ability to release
data for research purposes.

Currently data organizations from 38 states with participate as HCUP
Partners. The 38 HCUP Partners as of March 2006 are: Arkansas, Arizona,
California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois,
Indiana, Iowa, Kansas, Kentucky, Maine, Maryland, Massachusetts,
Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New
Jersey, New York, North Carolina, Ohio, Oregon, Rhode Island, South
Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia,
Washington, West Virginia, and Wisconsin. It is expected that all 38
State Partners will continue to participate in the project. Currently,
there are 11 states not participating in HCUP. Of those, four states
(AL, MS, ND, ID) do not collect statewide inpatient data and seven
states and territories (AK, DE, MT, NM, OK, LA, WY and DC) collect data
but do not currently participate in HCUP. AHRQ plans to continue to add
all potential data partners who meet the HCUP criteria, although it
expects that recruitment of new Partners will proceed slowly in the next
five years. HCUP instead will emphasize the collection of outpatient
data in collaboration with existing HCUP Partners.

2.  []{#__RefHeading___Toc135712644 .anchor}Description of HCUP
    Databases

HCUP databases contain a core set of clinical and non-clinical
information on all patients, regardless of payer*---*including persons
covered by Medicare, Medicaid, private insurance, and the
uninsured*---*translated into a uniform format to facilitate both
multi-state and national/regional comparisons and analyses.

The HCUP databases are available for intramural research within AHRQ.
Restricted access public release versions of many of the HCUP databases
are available to the public through the AHRQ-sponsored HCUP Central
Distributor. The content of the restricted access public release
versions of the HCUP databases is developed in partnership with the
participating data organizations. Because the participating data
organizations dictate the release of specific data elements, the data
elements on the restricted access public release databases are a subset
of the data elements in the intramural databases. The HCUP databases are
available to users who sign a Data Use Agreement (DUA). This agreement
allows the data to be used for research and aggregate statistical
reporting, but prohibits the identification of individual hospitals in
disseminated materials.

The HCUP family of health services databases includes (See Appendix A
for description of each type of database):

-   HCUP state databases -- state-specific annual inpatient and
    outpatient data files

-   HCUP nationwide databases -- nationwide samples derived from the
    HCUP state databases enabling focused research on special
    populations

-   Other HCUP-related databases -- auxiliary databases that are used to
    augment information in the HCUP state and nationwide databases.

The availability and types of HCUP databases are depicted in Table 1
below.

+-----------+------------------+-------------+------------------------+
| Table 1   |                  |             |                        |
|           |                  |             |                        |
| **THE     |                  |             |                        |
| HCUP      |                  |             |                        |
| DA        |                  |             |                        |
| TABASES** |                  |             |                        |
+===========+==================+=============+========================+
| **HCUP    | **Database       | *           | **Restricted Access    |
| D         | Name**           | *Intramural | Public Release         |
| atabase** |                  | Databases** | Databases**            |
|           |                  |             |                        |
|           |                  |             | **Released through the |
|           |                  |             | HCUP Central           |
|           |                  |             | Distributor**          |
+-----------+------------------+-------------+------------------------+
|           |                  |             |                        |
+-----------+------------------+-------------+------------------------+
| **HCUP    | **State          | 1988        | 1990 forward           |
| State     | Inpatient        | forward     |                        |
| Da        | Database (SID)** |             |                        |
| tabases** |                  |             |                        |
+-----------+------------------+-------------+------------------------+
|           | **State          | 1988        | 1997 forward           |
|           | Ambulatory       | forward     |                        |
|           | Surgery Database |             |                        |
|           | (SASD)**         |             |                        |
+-----------+------------------+-------------+------------------------+
|           | **State          | 1996        | 1999 forward           |
|           | Emergency        | forward     |                        |
|           | Department       |             |                        |
|           | Database         |             |                        |
|           | (SEDD)**         |             |                        |
+-----------+------------------+-------------+------------------------+
|           |                  |             |                        |
+-----------+------------------+-------------+------------------------+
| **HCUP    | **Nationwide     | 1988        | 1988 forward           |
| N         | Inpatient Sample | forward     |                        |
| ationwide | (NIS)**          |             |                        |
| Da        |                  |             |                        |
| tabases** |                  |             |                        |
+-----------+------------------+-------------+------------------------+
|           | **Kids'          | 1997, 2000  | 1997, 2000 and 2003    |
|           | Inpatient        | and 2003    |                        |
|           | Database (KID)** |             |                        |
+-----------+------------------+-------------+------------------------+
|           |                  |             |                        |
+-----------+------------------+-------------+------------------------+
| **Other   | **American       | 1988        | None                   |
| Da        | Hospital         | forward     |                        |
| tabases** | Association's    |             | AHRQ use only          |
|           | Annual Survey of |             |                        |
|           | Hospitals**      |             |                        |
|           |                  |             |                        |
|           | **(AHA)**        |             |                        |
+-----------+------------------+-------------+------------------------+
|           | **Demographic    | 1980, 1988, | None                   |
|           | Data and Area    | 1990, 1993, |                        |
|           | Characteristics  | and         | AHRQ use only          |
|           | by ZIP Code**    | annually    |                        |
|           |                  | starting in |                        |
|           |                  | 1999        |                        |
+-----------+------------------+-------------+------------------------+
|           | **Physician      | 1999        | None                   |
|           | Files**          | forward     |                        |
|           |                  |             | AHRQ use only          |
+-----------+------------------+-------------+------------------------+

1.  []{#__RefHeading___Toc135712645 .anchor}Description of HCUP-US Web
    site

The HCUP User Support (HCUP-US) Web site
(http://[www.ahrq.gov](http://www.ahrq.gov/)) provides detailed
information on HCUP databases, tools, and products; and offers technical
assistance to HCUP users. The HCUP-US Web site also serves as a central
repository for all project information and contains the following types
of information:

-   General information about the project

-   Database documentation for the state, nationwide, and other HCUP
    data files

-   Links to HCUP tools and software

-   References to new findings, publications, and research notes based
    on HCUP data

-   Contact information for the HCUP Central Distributor and HCUP User
    Support

-   Documents specific to the HCUP Partners and the acquisition of HCUP
    data

-   HCUP Team documents

-   Project management documentation

None of the HCUP databases are available through the HCUP-US Web site,
but may be accessed through the HCUP Central Distributor.

Not only is the HCUP-US Web site useful to users of the data, but it is
also one of the most important resources for understanding HCUP.
Potential bidders should rely heavily on this Web site to gain
information pertinent to this request for proposal.

2.  []{#__RefHeading___Toc135712646 .anchor}Objectives

The objectives for this contract are to: 1) maintain and enhance HCUP
databases and tools; 2) increase the usefulness of HCUP data and tools
by turning data into timely end user information; 3) expand HCUP
capacity for external and internal linkages; 4) provide technical
expertise to make HCUP data and tools available to an expanded and
diverse set of public and private users; and 5) prepare for a leadership
role in educating and visioning for the future of the electronic
healthcare record (EHR) initiative and administrative data.

3.  []{#__RefHeading___Toc135712647 .anchor}SPECIFIC REQUIREMENTS

The contractor shall furnish the necessary personnel, materials,
services, and facilities, and otherwise do everything necessary for or
incident to the performance of the work described below.

The work will be conducted over a five year period, in five one-year
phases. It is anticipated that during the first year of the contract,
considerable effort will be needed for the contractor to establish and
build the infrastructure to simultaneously contact and build a
relationship with HCUP Partners, obtain, process, document, and deliver
multiple databases of varying structures, and begin the process of
collecting and preparing 2005 data (data for discharges occurring in
calendar year 2005). The five year time period of the contract
corresponds to data years 2005 through 2010. It is also expected that
the Contractor shall prepare and disseminate HCUP Central Distributor
files; conduct special analyses, provide technical support and training,
and prepare the HCUP-based materials and statistics for the National
Healthcare Quality and Disparities Reports. During each subsequent year,
many individual tasks will experience growth and new activities will be
added. Details on all tasks and activities are described below. The
tasks described below are to be conducted on an annual basis unless
otherwise noted. For example, creation of the state databases,
Nationwide Inpatient Sample (NIS), and operation of the Central
Distributor are to take place in each project year, for each data year.
The Contractor shall be provided with extensive documentation on the
project and given access to all relevant materials describing past
approaches and activities.

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

Specific tasks to be performed by the contractor are described in the
following sections.

4.  []{#__RefHeading___Toc135712648 .anchor}Provide Quality Assurances

**Provide Quality Assurance**

The Contractor shall establish and adhere to a high level of software
development, testing, documentation and quality control standards and
procedures, in accordance with the SEI / CMM.

Also, the Contractor shall provide system administration and other
database monitoring, tuning and administration software to support
efficient and high quality operations of the data processing and data
tasks under this contract. The Contractor shall deliver documentation of
the proposed procedures and tools to be used for these functions and
review the proposal with the Project Officer for concurrence.

The Contractor shall support efficient and secure computing operations
and will utilize software workflow, document management, and other
collaboration tools and products to support efficient operations of
functions, processes and tasks performed under this contract. On a
regular basis, the Contractor should evaluate and trim holdings to
maintain efficiency. Prior to final closeout and accounting, the
Contractor should create a schedule for trimming holdings. The trimming
should be linked to the release of the corresponding source data when
convenient. The contractor should plan to trim back to the final data
files and the production programs, logs and listings, format programs
and final supporting databases as part of the final close-out procedures
(see Section C.30.4).

The Contractor shall deliver documentation of all proposed hardware,
software, security, backup / recovery, networking and other Information
Technology (IT) infrastructure components and solutions needed to
support all HCUP contractual efforts and will obtain approval of the
proposed solutions from the Project Officer.

The Contractor shall also assist AHRQ in preparing responses to periodic
DHHS reporting requirements for accounting for information technology
(IT) activities within the HCUP project. For example, DHHS requires that
projects with an IT component distinguish between those costs which are
Development/Modernization/Enhancement (DME) and those which are Steady
State (SS) and report annually on these expenditures. The Contractor
shall be able to provide support to AHRQ in assessing and reporting such
information.  

5.  []{#__RefHeading___Toc135712649 .anchor}Receive HCUP Materials and
    takeover operations

    1.  []{#__RefHeading___Toc135712650 .anchor}Receive HCUP Materials

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

The new Contractor shall be provided with a plan from the current
Contractor that provides an inventory of and process for transferring
HCUP data files, documentation, and software for use under the new
contract. It is anticipated that there will be a 60 day overlap period
with any current Contractor to facilitate the transfer of HCUP data.

The HCUP data and transition documents to be provided include:

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

-   A report summarizing the recruitment status including an overview of
    completed activities for recruiting, retaining, and obtaining data
    from Partners; the status of receiving and purchasing 2005 data; and
    the status of exploratory statistics and continuity reviews for 2005
    data.

-   A document detailing the process and procedures for taking source
    data and producing final HCUP data. The document will include such
    activities as the initial continuity review, the processing of state
    data, the timing of creating the NIS sample and drawing the NIS
    sample.

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

    -   All final (delivered) data files back to 1988 and including both
        the original 1988-1997 discharge data files

    -   Those source and developmental files that have not yet been held
        for the two year period that provides AHRQ with a window in
        which to explore the data before the source data is destroyed

    -   2005 data year files that have been provided as of the end of
        the current contract period

    -   The production programs, logs and listings, format programs that
        directly contributed to the creation of deliverable files

    -   Final supporting databases, such as the recruitment database
        which tracks contacts and negotiations with Partners

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

    -   Any holdings that would be critical for the new Contractor to
        provide these data services and support

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

These files are documented in the project electronic documentation
system, HCUP-US. The source and developmental files are documented
through directory path and file naming conventions.

1.  []{#__RefHeading___Toc135712651 .anchor}Takeover Ongoing Operations

Several existing tasks that support HCUP data users and/or ensure data
security will remain in operation under the existing Contractor during
the transition period leading to the start of the new contract. These
activities include the HCUP Central Distributor, HCUP-US Web site and
provision of Technical Assistance all of which require an overlap period
of operation for activities to be transferred (if necessary) without
interruption to another Contractor. Information technology activities
will also need to continue in a reduced manner during the overlap in
support of the other transition activities. These activities, among
others, will be taken over using existing operations and systems and
will not need to be re-established from a new starting point.

At the conclusion of the transition period, the existing Contractor will
account for and transfer all HCUP data files and programs to the new
Contractor.

1.  []{#__RefHeading___Toc135712652 .anchor}Central Distributor

The new Contractor will be provided with the following information to
document the status of the Central Distributor task at the close of the
contract:

-   A copy of the Central Distributor Tracking System.

```{=html}
<!-- -->
```
-   A list of products -- this will note the 2004 updates that have not
    been completed, as well as what states and data types are available
    for the state databases. NIS, Kids' Inpatient Database (KID), and
    cost to charge files will be tracked on a separate list.

-   A file documenting the status of Central Distributor amendments --
    this will note outstanding amendments and, if known, the reasons why
    the amendment has not been returned.

-   Final statements regarding customer payment accounts.

It is expected that the transfer will be carried out in two phases.

Phase I: First Month

In this phase, the current Central Distributor Contractor shall continue
to accept inquiries, applications and payments; assemble and ship
binders; enter data into the tracking system; prepare and mail the
activity report and state reimbursement checks and process DUAs.

In addition to continuing normal operations, the Central Distributor
will start transition activities. During phase I, it is anticipated that
the Central Distributor will:

-   Include a transition flyer in all binders and a transition notice in
    all e-mail.

-   Coordinate with AHRQ to maintain the security and confidentiality of
    all materials.

-   Provide limited, minimal training to the new Contractor's staff to
    answer questions about the Distributor materials and processes.

-   Arrange for automatic forwarding of e-mail and calls to the toll
    free telephone number. It will not be possible to transfer the
    e-mail address or fax number to a new Contractor. It might be
    possible to transfer the toll-free telephone number.

-   Begin reviewing and closing out the customer payment accounts.

-   Specify procedures for handling payments received from customers
    after the end of the contract. Purchase orders will not be accepted
    two months before the end of the current contract. This will prevent
    the possibility of payments being received after the 60-day
    transition period.

Phase II: Second Month

In this phase, the current Central Distributor Contractor shall cease
operations and concentrate on redirecting contacts to the new
Contractor, answering the Contractor's questions, and transferring all
project materials to the new Contractor, or AHRQ. The new Contractor
shall assume full responsibility for daily operations on a mutually
agreed upon date approximately one month after the initiation of the
transition. This will provide a full month of overlap between the two
Contractors so that coordination and technical support can continue
while maintaining customer service. It is anticipated that the main
activities of this phase will be:

-   New Contractor technical support as needed to maintain continuous
    operations.

-   Packing and shipping all project materials to the new Contractor or
    AHRQ.

-   Reviewing accounts receivable and planning state reimbursements. It
    is highly likely that payments for data will still be arriving after
    two months have elapsed.

The current Contractor will provide AHRQ and the new Contractor with the
following materials:

-   A list of outstanding data requests, along with their progress
    toward completion.

-   The binders that contain Partner-specific data element restrictions,
    price sheets, and relevant e-mail information.

-   A final accounting of funds accepted and disbursed.

    1.  []{#__RefHeading___Toc135712653 .anchor}Provide Technical
        Support

The HCUP-US Technical Assistance task will remain in continuous
operation during the transition period. The current Contractor will
provide minimal transition support to answering Contractor questions for
the two weeks of the transition period.

The current Contractor will provide AHRQ and the new Contractor with the
following materials:

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

-   Statistics on the most recent technical assistance contacts. (The
    existing database that maintains information on these contacts is
    now considered obsolete and will not be provided.)

    1.  []{#__RefHeading___Toc135712654 .anchor}HCUP-US Web site

The HCUP-US Web site will also remain functional during the transition
period. The Government will provide a transition plan for the operation
of the HCUP-US Web site which will:

-   Identify all the steps necessary to complete the transition

-   Present the schedule for transition, including any need for overlap
    with the current Contractor in order to keep operations running

-   At the agreed upon date, will also provide an electronic "snap-shot"
    of the full contents of the entire HCUP-US Web site.

The Contractor will take over, manage, and run the existing Web-site and
will not re-create it.

1.  []{#__RefHeading___Toc135712655 .anchor}HCUP Outreach and
    Dissemination Activities

A brief C*loseout Report of HCUP Marketing Activities* that summarizes
the work accomplished during the 2006 calendar year through the end of
the HCUP contract will be provided to the new Contractor. The report
will summarize activities including the number of press releases (and
topics), number of exhibit booths (and conference names), how many
presentations were given (and conference and/or location name), and what
new products were released (brochures, fact books, highlights,
databases, etc.

6.  []{#__RefHeading___Toc135712656 .anchor}Develop and Implement a
    Transition Plan

Within two weeks of effective date of this contract (edoc[^1]), the
Contractor shall develop a draft plan for:

-   Transitioning HCUP activities from the previous Contractor

-   Taking over the on-going operations of the Central Distributor,
    Technical Assistance, and HCUP-US Web site

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

-   Developing a security plan for ensuring the confidentiality of data

-   Establishing an appropriate accounting system

-   Building HCUP databases

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

A final plan, subject to Project Officer review and approval, will be
developed within four weeks of edoc. The final plan will utilize the
transitional materials from the existing contract which will be provided
by the Government.

7.  []{#__RefHeading___Toc135712657 .anchor}DATA ACQUISITION ACTIVITIES

The process of HCUP data acquisition requires effective communication,
organization, detailed record-keeping, and a high level of
professionalism. Activities are focused on retention of existing
Partners, recruitment of new Partners, purchasing, receipt, and initial
evaluation of data. HCUP Partners include data collection programs of
various sizes and configurations; state government agencies, hospital
associations, and private data organizations. Some HCUP Partners have
many years of experience in the collection and use of administrative
data while others have relatively new programs. Some HCUP Partners have
a great deal of experience in the release of their data for research
purposes, while for others, HCUP is the first and only release of data
outside of their own organization. HCUP relationships with Partner
organizations are critical for success of the project and are formalized
via detailed, negotiated Memorandums of Agreements (MOAs) that specify
use and restrictions for each Partner's data. Therefore, a critical role
for the Contractor is to alert AHRQ staff to any Partner issues that
affect successful participation in HCUP.

All HCUP Partners provide inpatient data to HCUP. In some cases, the
HCUP Partner can also provide ambulatory and emergency department data.
Some Partners may not have collected outpatient data in the past, but
have plans to do so in the future. For most Partners, producing data for
HCUP is a quick and easy process because they are familiar with selling
their data to outside researchers and have effective mechanisms for
producing the files. However, for other Partners, release of data to
AHRQ is more difficult. In some cases, Partners may have a small and
already overburdened data processing staff. Some organizations have
elaborate approval processes for releasing data to external parties. The
Contractor should anticipate some variation in the level of effort to
oversee the data request process through each level of approval.

The Contractor shall provide a dedicated team to perform all activities
related to acquisition of data for the project. The team should work
closely with other members of the project. For example, the HCUP Central
Distributor team needs to know when a new data release will be available
so they can update the HCUP Application Kit. Activities related to data
acquisition include, but are not limited to:

-   Conduct ongoing communications regarding project activities

-   Explore and document the availability of data in all Partner states
    as information is received

-   Maintain information (inventory) of current and future data types
    and data availability in all fifty states

-   Execute signed documents such as MOA; Amendments to MOAs, DUAs,
    letters of communication, etc.

-   Contact all Partners on a regular basis to acquire data, clarify
    content of files, clarify allowed use of the data, etc.

-   Set up, participate in, and take summary notes for workgroups and/or
    conference calls between HCUP Partners and AHRQ staff to discuss
    issues related to data use

-   Maintain an electronic record of contacts made with HCUP Partners

In general, data acquisition activities are underway throughout the
entire year. It is the Contractor's responsibility to coordinate
contacts with Partners toward the goal of keeping Partner's burden of
time and effort to a minimum.

1.  []{#__RefHeading___Toc135712658 .anchor}Conduct Ongoing
    Communications Regarding Project Activities

The Data Acquisition Team will have the capability to effectively
communicate information on the following topics:

> • HCUP objectives
>
> • Process for creation of HCUP databases
>
> • HCUP policies and procedures for developing, distributing, and
> ensuring the confidentiality of project databases
>
> • Resources and benefits available to HCUP Partners
>
> • Minimum participation requirements
>
> • Data elements that HCUP requests from Partners
>
> • Data submission procedures and timelines

1.  []{#__RefHeading___Toc135712659 .anchor}Recruitment Database

Data acquisition activities require ongoing communication with HCUP
Partners; however, it is a project goal to keep the burden of
communication to a minimum for participating data organizations. The
Contractor shall maintain a record of when Partners are contacted and
any key information obtained to allow for an efficient communication
process. The Contractor should plan to use the existing "Recruitment
Database" for the first year of this contract. In the second year, the
Contractor shall evaluate the Recruitment Database, and if indicated,
make recommendations for improvements.

2.  []{#__RefHeading___Toc135712660 .anchor}Communication on Project
    Activities

The Contractor shall communicate about project activities so that HCUP
Partners keep abreast of various issues that arise during the course of
the project. These issues include future AHRQ research activities and
new databases or products that the project is considering. Various
approaches used previously to communicate with HCUP Partners include the
Annual Activities Report
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm> , e-mail, the
[[HCUP
LISTSERV]{.underline}](http://www.ahrq.gov/data/hcup/hcuplist.htm)
(maintained on the AHRQ server), and the HCUP newsletter
"[[e-News]{.underline}](http://www.hcup-us.ahrq.gov/news.jsp)."
Additional or alternative approaches may also be considered for the
future. The Contractor shall maintain an up-to-date e-mail listing of
HCUP Partners for communication purposes.

3.  []{#__RefHeading___Toc135712661 .anchor}Conference Calls and Work
    Groups

The Contractor shall provide support for conference calls and/or work
group meetings held over the phone for data acquisition efforts. Support
includes scheduling coordination, conference call set-up, and summary
note-taking with distribution to participants via e-mail. For budgeting
purposes, the contractor should assume up to two workgroups of 3 calls
per contract year.

4.  []{#__RefHeading___Toc135712662 .anchor}Create and Maintain Data
    Acquisition Materials

The Contractor shall create and maintain various materials to be used
for the purpose of data acquisition activities. Examples from the past
include:

-   Updates to the [HCUP Data Use
    Agreement](http://www.hcup-us.ahrq.gov/team/NISDUA.jsp)

-   Annual update to [Sample Memorandum of Agreement (in the Overview
    Binder)]{.underline}
    <http://www.ahrq.gov/fund/contarchive/rfp060009.htm>

-   [The HCUP Annual Activities Report (in the Overview
    Binder)]{.underline}
    <http://www.ahrq.gov/fund/contarchive/rfp060009.htm> is released
    each spring to describe the project's previous year's
    accomplishments and detail plans for the upcoming year. For some
    HCUP Partners, the report fulfills a requirement for annual
    reporting of data use. The report should incorporate:

    -   Highlights/project achievements of the past year including data
        collaborations, and publications

    -   Objectives for the coming year including database development,
        tools, reports, and Partnership expansion

    -   Current intramural exploratory and research studies

    -   Abstracts of HCUP projects planned for upcoming year

-   The annual [HCUP Overview Binder]{.underline}
    <http://www.ahrq.gov/fund/contarchive/rfp060009.htm> is a collection
    of materials that contains information on all aspects of HCUP. It is
    a tool that provides an introduction to the project, and includes
    information on HCUP participation and benefits.

-   The Partner-Specific Requirements Report catalogs all information
    about unique Partner restrictions on the creation of the HCUP
    databases and their use. For example, there are restrictions that
    vary from State to State on which data elements may be included in
    the SID restricted access public release databases released through
    the Central Distributor. This report is referenced during
    recruitment and database development to ensure that the Partner's
    restrictions are followed. An example can be found in "NIS Data and
    State-Specific Restrictions".

To maintain the smooth operation of the data acquisition process, the
Contractor shall use the existing data acquisition materials (above)
during the first year of the contract. Recommendations for changes or
refinements in materials can be made in subsequent years of the contract
if desired.

1.  []{#__RefHeading___Toc135712663 .anchor}Participate in the Annual
    HCUP Partners Meeting

Once per year all HCUP Partners are invited to the HCUP Partners'
Meeting in the Washington D.C. area. The meeting is coordinated and led
by AHRQ staff. The meeting lasts two to three days and includes sessions
on current and future project activities, formal presentations on
research projects that use HCUP data, and sessions that discuss new
approaches and methods. The opinions of the Partners will be elicited to
provide guidance in directing the project.  The Contractor should
provide two recruitment task leaders to attend the annual Partners
meeting.  Up to three times during the course of this contract, the
Contractor may be asked to make a presentation at the Partners Meeting
on recruitment or data issues.

2.  []{#__RefHeading___Toc135712664 .anchor}Retain Existing Partners

Retaining Partner participation in the project is an important and
ongoing process. HCUP and HCUP Partners function within an environment
of change as a result of new Federal regulations (e.g., the Health
Insurance Portability and Accountability Act (HIPAA)), revised state
requirements for releasing data, and other considerations such as
funding fluctuations at the State and Federal level. It is not unusual
for several HCUP Partners to change staff over a year's time, meaning
there are changes in the appointed contact person that the HCUP team
will be working with. When staff changes occur at Partner organizations,
the Contractor is responsible for contacting new staff, explaining the
project in detail, answering questions and providing project materials
such as the Annual Activities Report, the Overview Binder, and the MOA.

1.  []{#__RefHeading___Toc135712665 .anchor}Maintain a Partner Contact
    List

Each HCUP Partner organization has an official representative that
serves as the primary contact to HCUP. The official Partner
representative, who has authority to sign documents for their
organization, may be different from the person who handles routine
communications with HCUP staff. The Contractor shall maintain two
versions of up-to-date Partner contact lists, reflecting the official
Partner representative (MOA contacts) vs. other representatives if
applicable in each Partner organization. The Contractor shall also
maintain up-to-date e-mail lists of HCUP Partners and other
representatives from Partner organizations.

2.  []{#__RefHeading___Toc135712666 .anchor}Maintain an Inventory of
    Data Available from HCUP Partners

Through-out the year, important information is obtained about what data
is available and what new types of data are under development. In the
course of routine contacts with HCUP Partners, the Contractor shall
maintain up-to-date information on data availability. This database /
inventory will allow HCUP to keep abreast of the type of data available
from Partners, anticipated release dates, and other information relevant
to the data acquisition process. On an annual basis, the Contractor
shall revise and deliver an updated Data Inventory that includes, at a
minimum, a summary section, recommendations for new Partner recruitment,
and a brief table of information for every state in the U.S. Information
contained in the Inventory is likely to include:

-   State population

-   Number of community and non-community hospitals

-   Number of discharges

-   Type of data collected and released (data of all kinds
    (encounter/claims/state sponsored surveys), data that might link to
    or complement administrative data)

-   Region of the US as defined by HCUP

-   Legislative mandates related to data collection and dissemination

-   Future plans

-   Exceptions or exclusions for participation

    1.  []{#__RefHeading___Toc135712667 .anchor}Obtain Annual Data Files

Obtaining annual data files requires that the Data Acquisition Team
contact each HCUP Partner to request data from the previous year. For
example, work to obtain calendar year 2005 data will begin in calendar
year 2006. The Contractor shall obtain annual inpatient data files and,
when applicable, ambulatory surgery and/or emergency department data
files from each HCUP State Partner. The annual data procurement process
involves:

-   Identifying changes that may affect data submission

-   Preparing to request the data

-   Implementing the data request

-   Executing a MOA

A detailed description of each of these activities is provided below.

At the beginning of the contract, it is expected that the 2004 data
cycle will be completed and part of the work for the 2005 cycle will
have begun. To ensure an uninterrupted progression of data collection
from HCUP Partners, the current Contractor shall complete activities
that are customarily performed at the start of each data year cycle
where possible; maintain and update Partner contractual agreements
(MOAs, IRB applications, and other agreements); proceed with requesting
and acquiring data for the 2005 data year; and examine inpatient,
ambulatory surgery (AS), and emergency department (ED) data sets
received from Partner organizations. The Partnership will be expanded to
include additional outpatient data sets for 2005; however, no new
Partner organizations will be recruited. It is anticipated that up to
one-third of the 2005 source data sets by the end of the current
contract period will be received by the current Contractor. The current
Contractor will have also begun recruitment of up to three new SASD and
five new SEDD data sets for the 2005 data year from existing Partners.

The Contractor will be provided a Recruitment Status Report which will
summarize completed activities for recruiting, retaining, and obtaining
data from Partners; the status of receiving and purchasing 2005 data;
and the status of exploratory statistics and data reviews for 2005 data.
This report will provide an overview of the HCUP Partnership at the end
of the contract period and will catalogue completed and outstanding work
on the 2005 data cycle.

For the purposes of planning, the Contractor can expect the 2005 data to
include up to 86 databases: 38 SID; 25 SASD, and 23 SEDD. It is expected
that the current Contactor shall have obtained 2005 data for 28 of the
86 databases by the end of the contract---11 databases by July 1; an
additional 10 databases by August 15; and the remaining seven databases
after August 15. The Contractor can assume that preliminary data reviews
were conducted on any data received by the current Contractor by July 1,
2006. For data received from July 2 through August 15, 2006, only brief,
exploratory statistics will be run to verify that the data is readable.
Partner source data received from August 15 through September 8, 2006,
will be accepted and stored only. Depending upon the Partner's
direction, the source data will be transferred to the new Contractor,
transferred to AHRQ, or returned to the Partner.

1.  []{#__RefHeading___Toc135712668 .anchor}Identifying Changes that May
    Affect Data Submission

At the onset of the data procurement process, the Contractor shall
interview all HCUP Partners by phone to identify changes that could
impact data submissions to HCUP. The interview explores issues such as:

-   Increases or decreases in the state's data price

-   Newly available data elements

-   Potential Partner decisions to withhold a data element previously
    submitted

-   New limitations placed on the contents of its source files (e.g.,
    masking particular values of a data element)

-   New withholding of discharge records with particular characteristics
    (e.g., substance abuse or HIV diagnosis)

-   New administrative requirements for obtaining data (e.g.,
    Institutional Review Board (IRB), application, or committee review).

The Data Acquisition Team will document the interview results in the
Recruitment Database, and Data Inventory and coordinate with AHRQ on any
necessary follow-up activities.

1.  []{#__RefHeading___Toc135712669 .anchor}Execute Memorandums of
    Agreement (MOA)

The MOA formalizes Partner participation by specifying the rights and
responsibilities of AHRQ and the participating statewide data
organization. The MOA specifies the type of data (i.e., inpatient,
ambulatory surgery, and/or emergency department) and specific data
elements that the Partner will supply for inclusion in the HCUP
databases. The MOA also identifies which data elements the Partner
allows to be used internally for AHRQ intramural research and which may
be released outside of AHRQ in "restricted access public release"
versions of the data. Each year, the Contractor shall update an HCUP
Sample MOA to be used as a template for state-specific MOAs.
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>

[]{.mark}

Completing a request for data encompasses any or all of the following:

-   Completing a data application

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-   Coordinating an in-person presentation by AHRQ and/or Contractor
    staff to an IRB or other committee (Currently, one state requires in
    person appearances, and it can be expected that approximately two
    more visits will be required for data acquisition purposes each
    year)

-   Assembling and distributing project documentation to an IRB or other
    review committee

-   Completing a state-specific MOA and supplemental documents such as a
    state-specific DUA.

    1.  []{#__RefHeading___Toc135712670 .anchor}Prepare to Request Data

To optimize the timing of data requests, the Data Acquisition Team will
monitor Partners' annual data release dates. The release date is the
date on which the state's data file is ready to be released to outside
researchers. Partners typically schedule these releases 5 to 13 months
after the end of the previous calendar year, with most Partners
scheduling their release for September or October.

The Contractor should aim to obtain data within one month of the release
date; however, Partners frequently delay their original release date for
any number of reasons (e.g., delays in receiving the data from
hospitals, system upgrades, changes in file structure, etc.).
Accordingly, the Contractor must continually monitor the status of the
release dates in order to secure data as soon as is feasible. Because
some data organizations only review data requests on a quarterly
schedule, the contractor should adjust their request cycle to coincide
with the Partner.

To save time and effort in obtaining annual files, the Contractor should
try to execute MOAs that allow use of data and continued participation
for more than one data year, preferably for the life of this contract.
If Partners will not permit data applications to include future years of
data beyond the one requested, a new application will have to be
completed each year. Preparing a data application may require
significant time and effort, even if the request is an update of the
prior year's application. Each state has it own format and questions.
The Contractor should anticipate that each year, some Partner
applications will change to reflect new policies and organizational
concerns. It is expected that most Partners will require annual
amendment to their MOA and a few Partners will require a full,
multi-year MOA.

2.  []{#__RefHeading___Toc135712671 .anchor}Implement Data Requests

The Contractor should prepare a written request for the data; billing
information and relevant file documentation. The request should be
individualized for each Partner based on their circumstances and
requirements. The data request letter should be prepared and sent in
advance of the Partner's scheduled data release. The Contractor should
actively pursue any data not received on schedule.

1.  []{#__RefHeading___Toc135712672 .anchor}Recruit New Partner States

The Contractor shall be responsible for recruiting new states and
databases into the project. Recruiting new states into the project is a
long-term process that can range in time from three months to two years.
Many considerations are involved in the decision to invite a statewide
data organization to participate in HCUP, e.g., how long they have
collected data (experience), quality and comprehensiveness of data,
geographical representation, ability to disclose data, state population,
etc. The Contractor shall compile relevant information on potential
statewide data organizations. In some cases, only inpatient data will be
available from the potential Partner and in other cases, outpatient data
will also be available.

To qualify for participation in HCUP, a state must be able to submit:

-   Inpatient data from all or nearly all community hospitals in the
    state.

-   All-payer discharge data i.e., data elements that identify private,
    Medicare, Medicaid, uninsured, and other insurance payers for each
    discharge

-   A minimum set of data elements from inpatient discharge records
    i.e., diagnosis and procedure codes; expected primary payer; total
    charges; patient demographics such as age, sex, and ZIP Code; and
    hospital identifiers

    1.  []{#__RefHeading___Toc135712673 .anchor}Identify Potential
        Partner Organizations

Every year, the Contractor shall investigate two to four statewide data
organizations for potential participation in HCUP to reach a goal of 44
Partners at the end of this contract period. Identification of these
data organizations will be based on information gained from the Data
Inventory, recommendations from the Contractor and guidance from AHRQ.
The Contractor shall conduct brief feasibility assessments specific to
one or just a few states and include information on the strengths and
deficiencies of the state's data files. Depending on the number of
states being evaluated for recruitment, the Data Acquisition Team should
recommend recruitment priorities.

AHRQ determines which data organizations are the best candidates to
approach for participation in the project, and then the Data Acquisition
Team will make contact with the potential Partner and begin the process
of communication and education. The Data Acquisition Team will gather
additional information before a final decision is made. This information
includes:

-   Level of interest in becoming an HCUP Partner

-   Data limitations resulting from state statutes or release policies

-   Availability of full year, non-aggregate data for all conditions and
    procedures

-   Willingness to allow HCUP to utilize hospital identifiers in the
    creation of HCUP databases, tools, and products

-   Ability to meet the project's data submission schedules.

The Data Acquisition Team will have the capability to educate potential
Partner/s on the following topics:

-   HCUP objectives

-   Process for creation of HCUP databases

-   HCUP policies and procedures for developing, distributing, and
    ensuring the confidentiality of project databases

-   Resources and benefits available to HCUP Partners

-   Minimum participation requirements

-   Data elements that HCUP requests from Partners

-   Data submission procedures and timelines

If there is general agreement on the terms of HCUP participation, the
Contractor should initiate execution of the MOA.

1.  []{#__RefHeading___Toc135712674 .anchor}Execute MOA Amendments

MOAs need to be amended from time to time. For example, the Partner may:

-   Agree to submit a data element not previously supplied

-   No longer agree to submit a data element previously submitted

-   Place new limitations on the content of source files

-   Place new limitations on the release of information on HCUP
    restricted access public release databases

Whenever an MOA amendment is necessary, the Contractor shall secure the
approval of both the Partner and AHRQ. Most often, formal signature is
not required; instead, the Partner acknowledges the addendum with an
e-mail or by initialing the MOA. The team coordinates all aspects of the
process, including negotiating or clarifying issues with Partners,
problem-solving with AHRQ, and coordinating internally, as needed, with
the Data Processing Team. Amendments to the MOA may require approval by
the Partner's executive council, board, or data review committee,
although this is usually expedited by the existing HCUP relationship.

1.  []{#__RefHeading___Toc135712675 .anchor}Purchase Data

The Contractor shall be responsible for all aspects of the purchase of
source data from HCUP Partners. There is a wide range of costs to
purchase data, but in the first year, the contractor should calculate an
average cost of \$6,000 per data year for each data setting (inpatient,
ambulatory surgery, and emergency department) or an estimated \$500,000
for a full year of all types of Partner databases.  Currently, costs for
purchasing data are contingent on the pricing policies of the data
organizations and can increase or decrease from year to year. Therefore,
it is recommended that budgets include an increase of 5 percent for each
subsequent year in addition to the costs for new data sets per year. It
should be noted that the data organization itself is solely responsible
for setting and publishing their data price. Any negotiations or
discussions related to data price shall be brought to the Project
Officer's attention. The Project Officer must also be advised of any
significant increase or decrease in data purchase price. The funds
budgeted for data purchase are to be reserved for this activity alone
and may not be shifted for other project costs without Project Officer
approval. No fees should be included on the cost of the purchase of
data.

It can be assumed that the current Contractor shall purchase source data
from approximately one-third of the 2005 source data. (In year 1, it is
assumed that the current Contractor will receive and pay for 28
databases at a cost of approximately \$170,000, thereby reducing first
year data purchase costs for 2005 data.) In future years, AHRQ may
implement a different payment approach to the HCUP Partners and will
work with the Contractor to put into place any changes. The following
Table 2 demonstrates the total number of databases that the Contractor
should anticipate during the contract period.

 

+----------+-------+-----------+-------+-------+-------+-------------+
|  Table 2 |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
| **HCUP   |       |           |       |       |       |             |
| DATA     |       |           |       |       |       |             |
| ACTI     |       |           |       |       |       |             |
| VITIES** |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
| **Total  |       |           |       |       |       |             |
| number   |       |           |       |       |       |             |
| of       |       |           |       |       |       |             |
| d        |       |           |       |       |       |             |
| atabases |       |           |       |       |       |             |
| by type  |       |           |       |       |       |             |
| and year |       |           |       |       |       |             |
| of       |       |           |       |       |       |             |
| co       |       |           |       |       |       |             |
| ntract** |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
+==========+=======+===========+=======+=======+=======+=============+
|          |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
| Contract | Data  | Inpatient |       |       |       | Total       |
| Year     | Year  | Databases |       |       |       |             |
|          |       |           | Outpa |       |       | Databases   |
|          |       |           | tient |       |       |             |
|          |       |           | Data  |       |       |             |
|          |       |           | bases |       |       |             |
+----------+-------+-----------+-------+-------+-------+-------------+
|          |       | (States)  |       |       |       |             |
|          |       |           |       |       |       |             |
|          |       |           | AS    | ED    | Total |             |
+----------+-------+-----------+-------+-------+-------+-------------+
| 1        | 2005  | 38        | 25    | 23    | 48    | 86          |
+----------+-------+-----------+-------+-------+-------+-------------+
| 2        | 2006  | 41        | 26    | 25    | 51    | 92          |
+----------+-------+-----------+-------+-------+-------+-------------+
| 3        | 2007  | 43        | 27    | 26    | 53    | 96          |
+----------+-------+-----------+-------+-------+-------+-------------+
| 4        | 2008  | 44        | 29    | 27    | 56    | 100         |
+----------+-------+-----------+-------+-------+-------+-------------+
| 5        | 2009  | 44        | 32    | 28    | 60    | 104         |
+----------+-------+-----------+-------+-------+-------+-------------+
|          |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
| AS =     |       |           |       |       |       |             |
| am       |       |           |       |       |       |             |
| bulatory |       |           |       |       |       |             |
| surgery  |       |           |       |       |       |             |
|          |       |           |       |       |       |             |
| ED =     |       |           |       |       |       |             |
| e        |       |           |       |       |       |             |
| mergency |       |           |       |       |       |             |
| de       |       |           |       |       |       |             |
| partment |       |           |       |       |       |             |
+----------+-------+-----------+-------+-------+-------+-------------+

Data for any particular calendar year generally becomes available for
purchase from the statewide data organizations throughout the following
calendar year.  Data availability ranges from 5 -- 12 months past the
end of the desired calendar year.  For example, data from the 2005
calendar year is currently projected to be available for purchase from
approximately half of the states by June 2006, from one-quarter of the
states by September 2006, and from the remaining quarter of the states
by December 2006.

2.  []{#__RefHeading___Toc135712676 .anchor}Explore Additional Data
    Types from Existing HCUP State Partners

HCUP long term planning includes a continued effort to increase the
number of ambulatory surgery and emergency department databases in the
project. Other types of data may become available from Partners as well,
e.g., physician-level office data, other types of ambulatory care claims
and encounter data, or nurse staffing databases. The Contractor shall
explore additional data types from existing HCUP State Partners at the
direction of the HCUP Project Officer. This process is similar to the
steps involved in identifying new states to target for project
recruitment; however, at times additional effort is required to complete
data requests.

-   Identify suitable data sources

-   Educate Partners about AHRQ's interest in the data and intended use

-   Explore Partners' willingness to share the data with AHRQ

-   Execute an MOA amendment that specifies the data elements the
    Partner will provide.

Recruiting new data types from existing HCUP State Partners typically
proceeds more quickly than recruiting new Partners because HCUP has
already established a relationship with the Partner. In addition, the
Partner is familiar with the project's requirements and benefits.

8.  []{#__RefHeading___Toc135712677 .anchor}Processing and Creating
    State Databases

    1.  []{#__RefHeading___Toc135712678 .anchor}Objectives

One key component of HCUP is processing, and creating uniformly
formatted state inpatient and outpatient encounter-level data files. The
hospital, ambulatory surgery and emergency department discharge records
contained in these files are originally collected by state governments,
hospital associations, and private data organizations, as part of a
state mandate or as a voluntary data initiative. The data are often
derived from billing records; thus, they are often submitted in formats
consistent with the Uniform Bill-92 (UB-92) and occasionally with the
Centers for Medicare and Medicaid Services Form 1500 (CMS-1500)
(although many of the statewide data organization deviate from these
national standards in coding and data content). HCUP purchases inpatient
data files from all 38 statewide data organizations (HCUP Partners).
HCUP purchases outpatient data files from a total of 23 data
organizations, including files containing only ambulatory surgery
visits, files containing only emergency department visits, and files
containing all outpatient data collected by the state data organization.
The Contractor is responsible for purchasing all data and software on
behalf of AHRQ and completing any forms or agreements to complete the
purchases.

Once the data files are purchased from the state, the Contractor must
process the data and create three uniformly formatted databases: State
Inpatient Databases (SID), State Ambulatory Surgery Databases (SASD),
and State Emergency Department Databases (SEDD). Description of these
databases is available on <http://www.hcup-us.ahrq.gov/databases.jsp>.
The design and processing of state databases is expected to follow a
number of objectives outlined below.

1\) [Give equal weight to process and release inpatient and outpatient
data]{.underline}

It is expected that equal weight should be given to the creation and
release of inpatient and outpatient databases. If both the inpatient and
outpatient data files arrive within a two-week interval, they should be
processed simultaneously to allow for detection of potential issues that
may affect both data files and for timely release of the data to users.
Otherwise, to ensure timeliness of creating the Nationwide Inpatient
Sample (NIS), the inpatient data file should be processed rather than
waiting for the outpatient data file to arrive. This constitutes a shift
in HCUP priorities. Historically, the SID constitute the backbone of
HCUP. Over time the project has experienced significant growth in
outpatient data as more states start collecting data on ambulatory
surgeries and emergency room visits. Among the 38 HCUP State Partners
that contributed to the 2003 data, 21 provided both inpatient and
outpatient data. Only four of these states did not submit their
outpatient data files at the same time as with the inpatient data files
and the time lag varied from two to five months.

2\) [Finish processing state data files within one month from receipt of
the data]{.underline}

After receiving the state data file from a HCUP Partner, the Contractor
should thoroughly examine the data in comparison with the source
documentation and summary statistics provided by the state. If no errors
are found that would warrant a replacement file, it is anticipated that
completion of data processing will not exceed one month after receipt of
the data. If a replacement file is needed, the one month timeframe
starts with arrival of the replacement file.

3\) [Be mindful of the creation of derivative databases\
]{.underline}

State databases form the basis of all derivative databases. Currently,
HCUP has two derivative databases including the NIS and the KID. In the
future, other derivative databases may exist for inpatient and/or
outpatient data. The Contractor is expected to ensure timeliness of the
state databases while being mindful of the deliverable dates for the
derivative databases, particularly the NIS which is released in June of
every year (see Section C.9 and C.10 for the NIS and KID).

The following Table 3 shows the number of states and total databases
arriving by month, based on 2003 data. The arrival dates are likely to
change from year to year. For each year, the Contractor should develop a
schedule with projected arrival dates based on information from the
State Partners. Please also note that the outpatient data include
ambulatory surgery and emergency department which may be provided in a
single, combined file or two separate files.

+--------------+-------------------+----------+------------+----------+
| Table 3      |                   |          |            |          |
|              |                   |          |            |          |
| **NUMBER OF  |                   |          |            |          |
| STATES AND   |                   |          |            |          |
| DATABASES BY |                   |          |            |          |
| MONTH**      |                   |          |            |          |
+--------------+-------------------+----------+------------+----------+
| Month        | \# of States      | \# of    |            |          |
|              | submitting data   | D        |            |          |
|              |                   | atabases |            |          |
+--------------+-------------------+----------+------------+----------+
|              |                   | I        | Outpatient | Total    |
|              |                   | npatient |            |          |
+--------------+-------------------+----------+------------+----------+
| May          | 2                 | 2        | 1          | 3        |
+--------------+-------------------+----------+------------+----------+
| June         | 3                 | 3        | 1          | 4        |
+--------------+-------------------+----------+------------+----------+
| July         | 4                 | 4        | 2          | 6        |
+--------------+-------------------+----------+------------+----------+
| August       | 6                 | 6        | 6          | 12       |
+--------------+-------------------+----------+------------+----------+
| September    | 8                 | 8        | 11         | 19       |
+--------------+-------------------+----------+------------+----------+
| October      | 3                 | 3        | 1          | 4        |
+--------------+-------------------+----------+------------+----------+
| November     | 1                 | 1        | 2          | 3        |
+--------------+-------------------+----------+------------+----------+
| December     | 6                 | 6        | 1          | 7        |
+--------------+-------------------+----------+------------+----------+
| January      | 1                 | 1        | 0          | 1        |
+--------------+-------------------+----------+------------+----------+
| February     | 3                 | 1        | 5          | 6        |
+--------------+-------------------+----------+------------+----------+
| March        | 3                 | 3        | 1          | 4        |
+--------------+-------------------+----------+------------+----------+
| April        | 2                 | 0        | 4          | 4        |
+--------------+-------------------+----------+------------+----------+

4\) [Accommodate different file structures]{.underline}

The state inpatient and outpatient data files may have different
structures. Additionally, certain data elements such as detailed charges
may be provided in a separate normalized file with multiple records per
discharge. The processing program to process data into a common format
and produce the HCUP version should be designed to accommodate these
different file structures to allow for retaining as much as possible the
original information while converting the data to user-friendly and
uniform format.

5\) [Number range CHAPTEREnsure uniformity in the coding of variables
across states]{.underline}

Some data elements are coded differently across states. Over the years,
HCUP has developed its uniform coding for those variables commonly
reported in discharge abstract. Number range CHAPTERThe Contractor shall
be provided with a copy of the existing software used to process
individual state data into the HCUP uniform format and the HCUP
processing codebook. No major changes in HCUP uniform format are
required in Year 1 and annual updates are anticipated starting Year 2.
Possible changes in HCUP uniform coding may be made in response to
developments and/or requirements at the state and Federal level, such as
changes in the UB (Uniform Bill). The Contractor is expected to consult
with the Project Officer to determine if any changes are desirable to
the current uniform format and approach to creating it.

6\) [Create data files with up-to-date and relevant data
elements]{.underline}

The Contractor is expected to be aware of changes in source data files
submitted by the states by reviewing data dictionaries yearly and
process all relevant data provided by the state and in accordance with
the MOA. The Contractor should maintain processing programs that are
flexible enough to integrate changes requested by the Project Officer,
such as but not limited to the addition of clinical data elements, and
information on line-item detail.

7\) [Consult with the Project Officer at various points in the data
processing stream]{.underline}

The Contractor is expected to inform and consult with the Project
Officer at various points in the data processing stream. At a minimum,
the Contractor shall provide the data processing schedule for each
state, the findings from an initial look at the state data, the proposed
approach for mapping state codes into HCUP uniform coding for each data
element, the quality of the data during processing, and summary
statistics after processing is complete. The Contractor should expect
input from the Project Officer that may affect the final processing of
the data, and demonstrate flexibility in requested changes to the
processor.

8\) [Adhere to data confidentiality and security agreements]{.underline}

During data processing, the Contractor must adhere to all data
confidentiality and security agreements covering the states' data as
specified in the MOA for the state. For example, personal identifier
must be encrypted or re-identified by the data source before the data
are shipped to the Contractor. Sensitive data elements such as dates,
patient and physician identifiers, and patient ZIP Codes should be put
into a separate file (Data Development file) once the state data have
been re-coded into the HCUP uniform format.

9\) [Aim to provide feedback to states on quality of data]{.underline}

It is anticipated that the final outputs of data processing include not
just individual state databases but also informational products such as
summary statistics and data quality reports for sharing with the states
(see section C.8.6.1). These information products should be generated as
a by-product of the processing stream rather than through a separate
resource-intensive effort.

10\) [Build in quality assurance]{.underline}

Quality assurance should be built into the processing stream to ensure
creation of accurate databases and reduce the likelihood of
reprocessing. This may involve, but not be limited to, a) proactive
communications with the Partners to attain timely information on any
changes in data restrictions (e.g., information masked for certain type
of cases, particular hospitals not participating in the HCUP), coding
and format of existing data elements, and addition or deletion of any
data elements; b) effective communication of the information to the
processing team; c) thorough examination of the data for any
discrepancies with the source file provided by the state and MOA, any
anomalies (e.g., out-of-range values, invalid coding, missing values),
and any unexpected changes from previous years; and d) design of robust,
and also efficient progressing programs. The quality assurance should be
designed to address a variety of issues, occurring in the past, present,
and future, that may comprise the quality of data processing.

Additionally, as users explore the HCUP databases, potential problems in
data processing may be uncovered, although this rarely is expected to
occur. It is expected that the Contractor shall fully investigate these
potential problems, report back to the Project Officer, and rectify the
problems if necessary, as directed by the Project Officer.

11\) [Perform annual updates to the processing program]{.underline}

Annual updates to the processing program should be performed to keep up
with changes in clinical coding such as ICD-9-CM, CPT/HCPCS, DRG, CCS,
and other groupers. Number range CHAPTERIt is anticipated that no more
than 15 significant changes in data elements will occur each year (e.g.
changes in coding and additions of new data elements including clinical
data elements). The Contractor should be prepared for the implementation
of ICD-10 when it replaces ICD-9-CM, the implementation of the UB-04
(Uniform Bill 2004) when it replaces the UB-92 and the implementation of
the National Provider ID. The Contractor should be knowledgeable about
changes in the CMS-1500. In addition, the Contractor should write
processing programs that can be flexible enough to integrate the changes
described previously without creating undue burden on resources.

Annual updates should also aim to improve the processing program so that
data are processed more efficiently and accurately. The Contractor is
expected to keep abreast of any technological innovations that could
make data processing more efficient and improve the quality of the
products. Recommendations for incorporating such innovations should be
addressed in the annual updates.

12\) [Maintain the HCUP data file structure and provide advice on
improved efficiencies in overall processing]{.underline}

The Contractor should assume that the current structure of the HCUP data
files including the name of data elements will remain as status quo in
order to maintain uniformity across years. The Contractor should advise
the Project Officer of alternative ways to improve overall processing of
the data.

13\) [Coordinate data processing with other aspects of
project]{.underline}

State data processing is an integral part of the project and must be
coordinated with other aspects of the project, such as recruitment of
states, signing of the MOAs, distribution of the data through the
Central Distributor, creation of derivative databases, development of
the HCUP statistics for the National Healthcare Quality and Disparities
Reports. The Contractor should establish formal mechanisms to establish
this coordination.

The Contractor shall provide a draft and final proposal for design of
the new processing program. The new processing program should be tested
and implemented in a timely fashion to allow for use starting with 2006
data. The Contractor shall also provide memo detailing annual updates to
the processing program each year.

2.  []{#__RefHeading___Toc135712679 .anchor}Review of State Source Data

When data are received from Partner organizations the Contractor shall
log relevant information about the file and review file content. Initial
review of source files is an important and detailed task. The Contractor
should run an initial check of the state data to detect any problems
reading the files; compare the data elements with those approved in the
MOA, to check for consistency with the source documentation and summary
statistics provided by the state, and to align the state data fields
with the data fields assigned by the processor. Key data elements should
be examined for field length, coding validity, consistency with prior
years and level of missing data. This includes an exploration of
essential information about the data and its documentation, including
but not limited to which hospitals reported data, whether data from
special units were included, whether diagnoses and procedures are masked
because of sensitive conditions, and how patient and physician
identifiers are coded.

The Contractor will be provided a list of edit checks performed by HCUP.
The results of the initial run should be reported to the Project Officer
in a memo, including those items listed below. Any discrepancies
relevant to the state source data should be clarified with the state
data organization, in coordination with the recruitment and purchasing
activities. In some cases, the Contractor may need to ask the Partner to
re-submit the data files entirely. Any discrepancies relevant to
processing uniform data should be clarified with the Project Officer.

1.  []{#__RefHeading___Toc135712680 .anchor}Check that the Data to be
    Processed is Consistent with the MOA

The Contractor should be sure that the processing program will process
all data consistent with the MOA. For example, records from hospitals
that are excluded on the MOA should not be processed. Data elements not
on the MOA should not be processed, regardless of whether the state data
organization provided the data element. All data elements on the MOA
should be processed, regardless of format. Discrepancies between the MOA
and processing programs should be addressed initially during MOA
negotiations, and in consultation with the data source and Project
Officer.

Each state has specific restrictions on processing and use of their
data. For example, the state may require exclusion of particular data
elements, hospitals, or records from the HCUP database. Sometimes
specific information is to be masked for particular types of patients.
The Contractor should find out what the restrictions are for each year's
data, apply the restrictions, record in the documentation system. In
addition, the recruitment team should document these restrictions and
provide them to the processing team with verification that restrictions
have been noted and applied.

2.  []{#__RefHeading___Toc135712681 .anchor}Check that the Coding of the
    Source Data is Consistent with the Documented Source Coding and the
    Processing Program

The Contractor should be sure that the processing program will read in
the correct values for each data element provided by the state and
agreed to in the MOA.

3.  []{#__RefHeading___Toc135712682 .anchor}Check Validity and
    Consistency of Diagnoses and Procedures

Check ICD-9-CM diagnoses and ICD-9-CM and CPT/HCPCS procedures codes on
the records for validity compared to a valid list of ICD-9-CM and
CPT/HCPCS codes for the same time period. Check that ICD-9-CM and
CPT/HCPCS codes on record are consistent with gender recorded on the
discharge compared to valid gender-specific ICD-9-CM and CPT/HCPCS codes
for that period.

4.  []{#__RefHeading___Toc135712683 .anchor}Exploratory Statistics to
    Check the Consistency in Coding with Previous Years

The Contractor should compare the data fields from previous years to the
current year. The Contractor should examine the frequency or descriptive
statistics of key data elements, including valid values, undocumented
values, and missing. Any obvious discrepancies should be checked with
the data source.

5.  []{#__RefHeading___Toc135712684 .anchor}Other Checks and
    Documentation

At any time, the Project Officer may request a report of additional edit
checks of the data prior to processing. The Contractor is expected to
maintain a document of edit checks performed prior to processing of the
state source data.

For each state, the Contractor should provide a memo detailing results
of initial check of the source data and providing recommendations on how
individual data elements should be mapped to HCUP uniform coding or
retained as unique, non-standardized variables.

3.  []{#__RefHeading___Toc135712685 .anchor}Create Uniform State Data
    Elements for State Databases

The SID, SASD, and SEDD should contain uniform data elements. Convert
state-specific files into a uniform a HCUP format as directed below. All
necessary software is purchased by the Contractor for use by AHRQ and in
HCUP. Complete any necessary negotiations or agreements with the
software vendor.

1.  []{#__RefHeading___Toc135712686 .anchor}Apply Quality Control Edits

Apply HCUP edits to the data. The Contractor will be provided with the
current HCUP quality control that lists detailed edits for individual
variables. The Contractor is expected to thoroughly review the quality
control measures and, in preparation for processing the 2006 data year,
make recommendations for changes, additions or deletions to improve the
quality edits checks to the Project Officer. Once reviewed and
finalized, it is expected that these quality edit checks will be
incorporated into the processing program. The Contractor shall review
and update the list yearly for the remainder of the contract, in
consultation with the Project Officer.

2.  []{#__RefHeading___Toc135712687 .anchor}Create Urban-Rural Patient
    Location Data Elements

The Contractor shall create several data elements for urban-rural
location of the patient residence based on different publicly available
categorization schemes (e.g., Urban Influence Codes, Rural Urban
Continuum Codes, Rural Urban Commuting Areas, Core-based Statistical
Areas). Because most of these categorization schemes use the county as
the basis of the categorization, the Contractor shall need to translate
ZIP Code of patient residence into county when the county of patient
residence is not supplied by the state. The translation of ZIP Code to
county will be updated each year using the most appropriate translation
for the data year.

3.  []{#__RefHeading___Toc135712688 .anchor}Add Data Elements as
    Directed

The Contractor should expect that no more than 10 additional data
elements will be added to the processing of data each year. The Project
Officer will provide guidance on whether these data elements should be
added to all databases or to a subset of databases.

4.  []{#__RefHeading___Toc135712689 .anchor}Apply Clinical
    Classification Software (CCS)

Apply the most current version of the CCS provided by the Project
Officer to the discharge data in order to group diagnoses and procedures
into CCS categories (one CCS code per diagnosis and one CCS code per
procedure). At the moment, the CCS is to be applied to both the
inpatient and outpatient data. At some point in the future, the
Contractor may be asked to apply a different version of the CCS to the
outpatient data. For example, different versions of the CCS may include
but are not limited to an ICD-9-CM diagnostic grouper appropriate to
emergency department settings, an ICD-9-CM diagnostic grouper
appropriate to ambulatory surgery settings, and/or a CPT/HCPCS procedure
grouper appropriate to emergency department settings.

5.  []{#__RefHeading___Toc135712690 .anchor}Apply the Diagnosis Related
    Groups (DRG) Grouper Software

Apply time period specific DRG Grouper software to the discharge data to
generate DRG and Major Diagnostic Category (MDC) to assign DRG codes.
Apply DRG version 18 for 2005 data. From 2005 onward (overlapping with
DRG 18 in 2005), apply DRG version 22, in addition to the DRG in effect
on the discharge date.

6.  []{#__RefHeading___Toc135712691 .anchor}Apply the Latest Versions of
    Severity Adjustment Software to the Inpatient Data

**\
**Apply the most current versions of Medstat's Disease Staging software,
3M's APR-DRG software, HSS's APS-DRG software, and AHRQ's comorbidity
software.

7.  []{#__RefHeading___Toc135712692 .anchor}Apply Place of Service Flag
    to the Outpatient Data Files

Apply ambulatory surgery (AS), emergency department (ED) and observation
stay (OS) service flags to the outpatient data files. The algorithms to
create the flags are defined in the processor, and are based on UB-92
data elements supplied in the source data, including bill type (UB-92
form locator 4), revenue center codes (UB-92 form locator 42), a defined
list of ICD-9-CM procedure codes or CMS' annual update of acceptable
CPT/HCPCS ambulatory surgery procedure codes, and service specific
charges. Because some outpatient records are recorded on the CMS-1500
and source data may include other relevant data elements in the future,
the Contractor is expected to review this algorithm for completeness and
accuracy in Year 2 and Year 4.

8.  []{#__RefHeading___Toc135712693 .anchor}Median Income of ZIP Code to
    Data Development Files

Obtain ZIP code data from an external vendor (HCUP currently uses
Claritas Inc. for ZIP--code level data and previously used CACI
Marketing Systems). Add median household income to the state databases
by linking to the patient ZIP code. Create income categories by
quartiles based on all ZIP codes in the U.S. The original income
variables will be placed in the Data Development File while the income
categories will go to the Core File of the state databases and the NIS
and KID.

4.  []{#__RefHeading___Toc135712694 .anchor}Create State Files

The SID, SASD, and SEDD should consist of Core, Charge, and Data
Development Files for each state. The Data Development File contains
sensitive variables such as dates, patient and physician identifiers,
and patient ZIP Codes. Convert state-specific files into a uniform HCUP
format and create a SID, SASD, and SEDD for each state that contributes
data to HCUP. Requirements, including deliverables, specific to the
processing of inpatient and outpatient data are described below. All
files shall be created in SAS format. The estimate of the number of
state files is shown in Table 4.

1.  []{#__RefHeading___Toc135712695 .anchor}Create State Inpatient
    Databases (SID) Files

The SID should consist of Core, Charge, and Data Development files for
each state. For the 2005 data year, HCUP is expecting to create up to 40
SIDs. The Contractor should expect that only a small number of new SIDs
(less than 10) will be added throughout the contract period.

2.  []{#__RefHeading___Toc135712696 .anchor}Create State Ambulatory
    Surgery Databases (SASD) Files

The SASD should consist of Core, Charge and Data Development files for
each state. For the 2005 data year, HCUP is expecting to create 25
SASDs. The Contractor should assume that at least two SASD will be added
each year, although be flexible in the substitution of a SEDD for a
SASD. Currently, charge files for the SASD are of three types (i.e.,
line item detail, charge arrays, bundled charges), depending on the way
in which the state source data is submitted. For the time being, charge
files will be maintained in this manner. The Contractor should consider
alternative ways to make these charge files more uniform beginning in
Year 2.

Records that have been flagged by the state source file as outpatient
(but not ED) or flagged by the HCUP processor (HCUP AS service flag \>
0) should be placed in the SASD. The Contractor should be aware that
some records are flagged as both AS and ED either by the state and/or
the HCUP processor; thus, the records will be in both the SASD and the
SEDD.

3.  []{#__RefHeading___Toc135712697 .anchor}Create State Emergency
    Department Databases (SEDD) Files

The SEDD should consist of Core, Charge and Data Development files for
each state. For the 2005 data year, HCUP is expecting to create a total
of 23 SEDDs. The Contractor should assume that at least 2 SEDD will be
added each year, although be flexible in the substitution of a SASD for
a SEDD. Currently, charge files for the SEDD are of three types (i.e.,
line item detail, charge arrays, bundled charges), depending on the way
in which the state source data is submitted. For the time being, charge
files will be maintained in this manner. The Contractor should consider
alternative ways to make the SEDD charge files more uniform beginning in
Year 2.

Records that have been flagged by the state source file as ED or flagged
by the HCUP processor (HCUP ED service flag \> 0 or HCUP OS service \>
0) should be placed in the SEDD. The Contractor should be aware that
some records are flagged as both AS and ED either by the state and/or
the HCUP processor; thus, the records will be in both the SASD and the
SEDD.

4.  []{#__RefHeading___Toc135712698 .anchor}Extract Rotavirus Data

The Contractor shall provide data for an ongoing, approved,
collaborative project between HCUP/AHRQ and the National Institute of
Allergy and Infectious Diseases (NIAID/National Institutes of Health.)
These data will be used in more detailed studies to determine whether
rotavirus vaccine should be disseminated in developing countries. For
all data years of the SID files, the Contractor should integrate this
data extraction into the data processing stream. The Contractor shall
extract data for all children 4 years and younger with specified
conditions, and merge the data set for all states in that data year, but
maintain a state indicator. Detailed specifications which include list
of variables to be extracted and created will be provided to the
Contractor.

For each data year, the Contractor should schedule two deliveries of the
Rotavirus files by state -- the first when half of the states are
processed, and the second with the remaining states. All files shall be
created in SAS format. The files will be documented with a PROC CONTENTS
from SAS.

5.  []{#__RefHeading___Toc135712699 .anchor}Document Errors in Data
    Processing

The Contractor is expected to keep a log of errors requiring the
re-processing of data. The log should include the name of the file, the
type of error, where the error originated and the way it was detected,
corrective measures taken to re-process the data, action steps taken to
ensure this type of error does not re-occur, resources used to correct
the error, and the dates of original processing/delivery, error
detection and re-processing/delivery. The log should also include the
time and cost that it took to correct the error. The Contractor is
expected to submit this log annually to the Project Officer.

6.  []{#__RefHeading___Toc135712700 .anchor}Create HCUP Central
    Distributor Files

State Partners maintain the rights to their respective SID, SASD, and/or
SEDD files created from the original data provided to HCUP. To help
State Partners facilitate expedited access to the SID, SASD, and SEDD,
AHRQ creates HCUP Central Distributor (also known as "restricted access
public release") versions of these files as specified in the MOAs or MOA
amendments (see section C.7.4.2). In general, these databases are
subsets of the corresponding SID, SASD, and/or SEDD files produced for
AHRQ plus variables that allow linkages to the AHA Annual Survey and to
community variables. The "restricted access public release" databases
are disseminated through the HCUP Central Distributor (see section
C.15). Not all State Partners participate in this aspect of the project.

The Contractor shall create HCUP Central Distributor versions of the
SID, SASD, and SEDD as specified by Partners in signed MOAs and/or MOA
Amendments. This should entail the elimination or customization of data
elements contained in the SID, SASD, and SEDD files prepared for AHRQ.
Prepare individual files on CD-ROMs in ASCII format for each
participating state. In future years other formats and/or media may be
considered. Files will contain SAS and/or other such programs for
converting files into different formats. A set of "master" CD-ROMs (or
other media) for each state stored in the contractor's offices, a set of
"master" CD-ROMs to AHRQ, a set of backup CD-ROMs stored offsite, and a
set of "master" CD-ROMs to the HCUP Central Distributor (if housed
separately) will be produced within two weeks of receipt of the signed
MOA, or within two weeks after the respective SID, SASD, and SEDD files
are prepared for AHRQ, whichever occurs later. The CD-ROMs will be
organized by state and by year and will include data elements as
specified in the signed agreements with the states. HCUP Central
Distributor files should be completed and available for purchase within
three weeks of creating the SID state-specific file for AHRQ.

The number of HCUP Central Distributor versions of the SID, SASD, and
SEDD data files over the contract period is estimated below. These
estimates include the creation of previous years of data for new or
current Partners participating in the HCUP Central Distributor.

+----------------+-----------------+-----------------+-----------------+
| Table 4        |                 |                 |                 |
|                |                 |                 |                 |
| **ESTIMATE OF  |                 |                 |                 |
| NUMBER OF**    |                 |                 |                 |
|                |                 |                 |                 |
| **CENTRAL      |                 |                 |                 |
| DISTRIBUTOR    |                 |                 |                 |
| FILES**        |                 |                 |                 |
+----------------+-----------------+-----------------+-----------------+
| **DATA YEAR**  | **\# of SID**   | **\# of SASD**  | **\# of SEDD**  |
+----------------+-----------------+-----------------+-----------------+
| 2005           | 30              | 18              | 15              |
+----------------+-----------------+-----------------+-----------------+
| 2006           | 31              | 19              | 17              |
+----------------+-----------------+-----------------+-----------------+
| 2007           | 32              | 20              | 18              |
+----------------+-----------------+-----------------+-----------------+
| 2008           | 33              | 22              | 20              |
+----------------+-----------------+-----------------+-----------------+
| 2009           | 33              | 24              | 21              |
+----------------+-----------------+-----------------+-----------------+

7.  []{#__RefHeading___Toc135712701 .anchor}Customize Files

Periodically, AHRQ may assist outside researchers to obtain additional
or customized data elements that are not included in the standard HCUP
Central Distributor files. While AHRQ staff will work with HCUP Partners
to obtain permission for these special requests, the Contractor shall
prepare the files as instructed by AHRQ. This work may involve, but is
not limited, to the following: (1) creating data files that link
existing HCUP data elements to HCUP Central Distributor files, (2)
creating new data elements based on existing HCUP data elements,
including them in a file that links to the HCUP Central Distributor
files, (3) aggregating observations based on existing HCUP data
elements. The Contractor should have the capacity to create these files,
copy them onto a CD-ROM, and provide them to the HCUP Central
Distributor for final dissemination. Approximately 5 such requests
involving 15 different HCUP databases per year can be assumed.

5.  []{#__RefHeading___Toc135712702 .anchor}Documentation for
    SID/SASD/SEDD

Number range CHAPTERDocumentation should be created and updated in
tandem with the creation of the data files. Documentation should include
descriptions of uniform HCUP formatting, retained unique data elements,
passwords, file locations, variable attributes and descriptive
statistics. The documentation should contain general information about
the file composition (information about the data source, the types of
hospitals included and excluded records), variables, data processing
programs, labels for variables and values, and re-codes. Ensure that all
documentation appears in the electronic documentation system
([www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/)).

In addition, the Contractor shall prepare the documentation for the HCUP
Central Distributor versions of the SID, SASD, and SEDD. Currently, for
each of these database types, there is a single set of documentation
that describes the contents of the respective databases for all State
Partners (and all years of data) participating in the HCUP Central
Distributor. These sets of documentation are updated with each new
release of the corresponding databases. See [http:///]() existing SID,
SASD, and SEDD documentation contents, e.g., the [SID
documentation](http://www.hcup-us.ahrq.gov/db/state/siddbdocumentation.jsp)
on the HCUP-US Web site. Documentation should be created when a
significant number of databases are ready to be released through the
Central Distributor. A "master" copy of the documentation on CD-ROMs
should be made available to the HCUP Central Distributor and AHRQ. In
addition, the documentation should also be posted on the HCUP-US
website.

In addition to the database documentation described above, approximately
25 pages of written materials are included as general introductory
information in each "database binder". Each database binder includes
approximately 25 pages of introductory text in hard copy format,
documentation on CD-ROMs as described in the previous paragraph and the
respective data files. Currently, there are five database binders (i.e.,
NIS, KID, SID, SASD, and SEDD). With each database release, these 25
pages of general information may require modest updates. No more than 5
releases per year are expected.

6.  []{#__RefHeading___Toc135712703 .anchor}Copy and Deliver Data and
    Programs

    1.  []{#__RefHeading___Toc135712704 .anchor}Copy and provide
        SID/SASD/SEDD Files for Return to States

Make a copy of AHRQ's version of the HCUP formatted SID/SASD/SEDD
files.  Return the SID/SASD/SEDD files and documentation for each state
to the corresponding HCUP Partner without charge to the Partner (each
Partner gets a copy of their state\'s data, but not other states\'
data).  The data files may be in SAS or ASCII format depending on the
Partner's request.  Once the AHA crosswalk (see section C.13.1.3) has
been completed, a copy of the crosswalk file is sent to each state
including only their state's hospitals.  Complimentary copies of
derivative databases such as the NIS and the KID will also be provided
to those states that request the data and complete the Data User
Agreement (DUA) for each database.

 

Provide each state with a report of their data quality in comparison to
averages across all the states or directly to other states with other
state names masked.  The report should be generated as a by-product of
data processing.  Aspects of the data examined in the report should
include type of hospitals and discharges included or excluded in the
database, completeness of the data in terms of the extent of missing
data, and errors in the data identified through automated edit checks
involving out-of-range or invalid values and inconsistency between data
elements.  For those states that submit inpatient and outpatient
databases, the data quality report should cover not just the SID file
but also the SASD/SEDD files.  The presentation shall consist mainly of
tables with minimum text.  To develop the report, the contractor shall
start in the first year of the contract with a prototype using a small
sample of states as examples.  After sharing with the Partners to get
feedback, a report for each state will become part of the deliverables
for year 2 and onward and will be updated automatically.  The report can
be posted on the Partners' page of the HCUP-US Web site allowing each
individual state to view its own report only.

 

2.  []{#__RefHeading___Toc135712705 .anchor}Copy Intramural Data for
    Delivery for AHRQ

All data is currently delivered to the Project Officer on
password-protected CD-ROMs. Given the increasing volume of data, the
Contractor shall explore alternative delivery mediums that are efficient
and secure while taking into consideration that each state's data file
is to be delivered as a distinct product and not combined with other
states. The Contractor shall deliver a memo that details alternate
methods of delivery and storage. The memo will include a cost
comparison, a security comparison, and convenience of accessing data
comparison to current operations.

3.  []{#__RefHeading___Toc135712706 .anchor}Copy of Data Processing
    Programs

Number range CHAPTERProvide the Project Officer with copies of programs
that create the SID/SASD/SEDD and other databases by posting them on the
password-protected section of the electronic documentation system
([www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/)).

4.  []{#__RefHeading___Toc135712707 .anchor}Copy of Summary Statistics

The Contractor is expected to post the results of summary statistics for
each data file on [www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/). 
The summary statistics should be generated as a by-product of data
processing, and include basic descriptives (e.g., mean, minimum,
maximum, standard deviation, and percent of cases with missing values)
and frequencies, as well as results of the quality edit checks (e.g.,
percents of cases with different types of invalid values).

7.  []{#__RefHeading___Toc135712708 .anchor}Create Physician Files

Obtain, examine, process, create, and document Physician Files from
those Partners that provide physician-level data files. Physician files
contain a record for each physician identifier with information on the
physician such as specialty. There are currently four states that
provide Physician Files. The file is linkable to the SID, SEDD and SASD
to augment those files with additional information on the physicians.
The HCUP Physician Files are considered Data Development files intended
for highly restricted use. These Physician Files are never released
outside of AHRQ and may only be used by AHRQ researchers with approval
from the Project Officer.

It is anticipated that the National Provider Identifier will be in place
and incorporated into statewide encounter data by year four of the
contract. It may then be possible to obtain a data file with physician
information, such as is currently maintained by the centers for Medicaid
and Medicare for the Uniform Provider Identifier Number (UPIN). The
Contractor should plan to incorporate such a file into HCUP.

8.  []{#__RefHeading___Toc135712709 .anchor}Evaluate the Collection,
    Processing, Documentation and Delivery Methods for State Databases

***Task C.8.8 is an Option.***

Under sections C.19.2 and C19.3 the Contractor will be monitoring
general technological advances and advances specific to health
information technology that may be of relevance to HCUP. Using the
information gathered from those tasks, as well as input from HCUP
Partner organizations and other experts, in year 3 of the contract the
Contractor shall evaluate whether there have been major changes in
technology that might warrant a major over-haul of the approach used for
collecting, processing, documenting or delivering the state databases.
Examples of major over-hauls stemming from technological advances
include such things as electronic exchange of data from Partners on a
more frequent basis (e.g. streaming data as opposed to a one-time annual
submission), or format changes to databases based on major changes in
data standards or the availability of new types of data from the
electronic healthcare record.

The report of this evaluation shall describe major technological
advances that have been identified; how these advances might improve
HCUP state databases collection, processing, documentation or delivery;
readiness of HCUP Partners to adopt or take advantage of the
technological advances; a general description of the HCUP over-haul that
would be needed to take advantage of the technological advances;
advantages and disadvantages of making the over-haul; and a rough
estimate of timeline and costs (and potential cost savings) for
implementing the over-haul.

9.  []{#__RefHeading___Toc135712710 .anchor}Nationwide Inpatient Sample
    (NIS)

Overview

The Nationwide Inpatient Sample (NIS) contains all-payer data on
hospital inpatient stays from states participating in HCUP. Each year of
the NIS provides information on approximately 5 million to 8 million
inpatient stays from about 1,000 hospitals. Summary records for all
discharges from sampled hospitals are included in the NIS database.

The NIS contains patient-level clinical and resource use information
included in a typical discharge abstract. The NIS can be linked directly
to hospital-level data from the AHA Annual Survey of Hospitals and to
county-level data from Bureau of Health Professions' ARF, except in
those states that do not allow the release of hospital identifiers.

The NIS is designed to approximate a 20-percent sample of U.S. community
hospitals, defined by the AHA to be "all nonfederal, short-term,
general, and other specialty hospitals, excluding hospital units of
institutions." Included among community hospitals are specialty
hospitals such as obstetrics-gynecology, ear-nose-throat, short-term
rehabilitation, orthopedic, and pediatric institutions. Also included
are public hospitals and academic medical centers. Excluded are
short-term rehabilitation hospitals (beginning with 1998 data),
long-term hospitals, psychiatric hospitals, and alcoholism/chemical
dependency treatment facilities.

This universe of U.S. community hospitals is divided into strata using
five hospital characteristics: ownership/control, bed size, teaching
status, urban/rural location, and U.S. region. The NIS is a stratified
probability sample of hospitals in the frame, with sampling
probabilities proportional to the number of U.S. community hospitals in
each stratum. The frame is limited by the availability of inpatient data
from the data sources in the SID.

Weights and other variables are included with the NIS to create national
estimates. Most states allow specific hospital identifiers to be
included in the NIS, though a number of states do not disclosure of
hospital identities.

Important Documents for the NIS

Introduction to the HCUP Nationwide Inpatient Sample (NIS), 2003

<http://www.hcup-us.ahrq.gov/db/nation/nis/NIS_Introduction_2003_v7.pdf>

Design of the HCUP Nationwide Inpatient Sample, 2003

<http://www.hcup-us.ahrq.gov/db/nation/nis/reports/NIS_2003_Design_Report.pdf>

Calculating Nationwide Inpatient Sample Variances

<http://www.hcup-us.ahrq.gov/reports/CalculatingNISVariances200106092005.pdf>

2002 HCUP Nationwide Inpatient Sample (NIS) Comparison Report

[http://www.hcup-us.ahrq.gov/reports/2005_03_del%20379.pdf](http://www.hcup-us.ahrq.gov/reports/2005_03_del 379.pdf)

NIS Data Sources and Restrictions

<http://www.hcup-us.ahrq.gov/db/nation/nis/NIS_Sources_and_Restrictions_2003.pdf>

1.  []{#__RefHeading___Toc135712711 .anchor}Create the NIS

The creation of the NIS is outlined in the document, NIS Processing
Logistics. The following section outlines these steps. It is expected
that the NIS will be released no later than June of each year. For
example, the 2005 NIS will be released no later than June 2007. The
following Table 5 provides information on timing of the NIS and KID
(described in the next section):

+---------+-----------+-----------+-----------+-----------+-----------+
| Table 5 |           |           |           |           |           |
|         |           |           |           |           |           |
| **NAT   |           |           |           |           |           |
| IONWIDE |           |           |           |           |           |
| IN      |           |           |           |           |           |
| PATIENT |           |           |           |           |           |
| SAMPLE  |           |           |           |           |           |
| AND     |           |           |           |           |           |
| KID'S   |           |           |           |           |           |
| IN      |           |           |           |           |           |
| PATIENT |           |           |           |           |           |
| D       |           |           |           |           |           |
| ATABASE |           |           |           |           |           |
| T       |           |           |           |           |           |
| IMING** |           |           |           |           |           |
+---------+-----------+-----------+-----------+-----------+-----------+
| C       | Contract  | Contract  | Year of   | Year of   | Data      |
| ontract | year      | year ends | NIS       | KID       | release   |
| year    | begins    |           |           |           | expected  |
+---------+-----------+-----------+-----------+-----------+-----------+
| 1       | Sep 2006  | Sep 2007  | 2005      | --        | June 2007 |
+---------+-----------+-----------+-----------+-----------+-----------+
| 2       | Sep 2007  | Sep 2008  | 2006      | 2006      | June 2008 |
+---------+-----------+-----------+-----------+-----------+-----------+
| 3       | Sep 2008  | Sep 2009  | 2007      | --        | June 2009 |
+---------+-----------+-----------+-----------+-----------+-----------+
| 4       | Sep 2009  | Sep 2010  | 2008      | --        | June 2010 |
+---------+-----------+-----------+-----------+-----------+-----------+
| 5       | Sep 2010  | Sep 2011  | 2009      | 2009      | June 2011 |
+---------+-----------+-----------+-----------+-----------+-----------+

1.  []{#__RefHeading___Toc135712712 .anchor}Select the NIS Sample

-   Identify the universe of AHA short-term acute care (community),
    non-rehabilitation hospitals.

-   Identify the sampling frame of AHA community, non-rehabilitation
    hospitals in the SID.

-   Apply state-specific restrictions to the sampling frame, as outlined
    in NIS Data Sources and Restrictions.

Many states impose restrictions such as limitation on the number of
discharges or number of hospitals that can be included in the NIS, or
exclusions on specific hospitals by name, or exclusions of hospitals
that could be indirectly identified (for those states that do not allow
disclosure of hospital identity).

1.  []{#__RefHeading___Toc135712713 .anchor}Create the Hospital Weights
    File

-   Create the hospital weights SAS file containing hospital and
    discharge weights calculated using data from the AHA Annual Survey
    of Hospitals and SID discharge counts adjusted for missing quarters
    of data.

```{=html}
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-   Sort the file by HCUP hospital identifier (HOSPID) and YEAR and
    include strata, weights, and two versions of the AHA hospital
    identifier variables.

    1.  []{#__RefHeading___Toc135712714 .anchor}Create Deliverable NIS
        Core and Severity Adjustment Files and Produce Verification of
        Restrictions Memo.

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```
-   Merge all the SID files with the NIS Hospital File, keeping records
    for sampled hospitals to create the NIS core file which includes all
    SIDs participating in the NIS.

-   Assign median income quartile value (ZIPINC_QRTL) from patient\'s
    ZIP Code (ZIP).

-   Apply state-specific restrictions, document that restrictions have
    been applied in the form of a Verification of Restrictions memo, and
    receive AHRQ approval before delivering NIS.

-   Sort the file by HOSPID and KEY. Keep only Core variables. In
    previous years a maximum of 15 diagnoses and procedures were kept on
    the file, but in future years it is likely that the entire vector of
    diagnoses and procedures will be kept.

-   In previous years, two 10% sample files were created; this will be
    discontinued.

-   Create the NIS Severity Adjustment files.

    1.  []{#__RefHeading___Toc135712715 .anchor}Generate Databases to be
        Delivered for External Release.

Create deliverable files: Hospital weights file, Core file, Severity
Adjustment file. Prepare the SAS files for delivery to AHRQ. Create
ASCII files for delivery to AHRQ and the Central Distributor.

2.  []{#__RefHeading___Toc135712716 .anchor}Create the NIS File for use
    within AHRQ

Create the NIS for use only within AHRQ which includes efficient links
to specific SID variables (e.g., sensitive data elements such as dates
and patient ZIP Codes, the full range of urban-rural variables). This
SAS file will enable AHRQ researchers to use data development variables
for the NIS without requiring linkage to multiple SID data development
files.

1.  []{#__RefHeading___Toc135712717 .anchor}Documentation for NIS

    1.  []{#__RefHeading___Toc135712718 .anchor}Generate Documentation
        for the NIS

The Contractor shall generate the following documentation for the NIS.
Documentation includes but is not limited to:

-   SAS, SPSS, and Stata (Stata load programs will begin with the 2005
    NIS) load programs

-   File specifications (layouts)

-   Value labels for CCSs, DRGs, and ICD-9-CM codes (ICD-9-CM labels
    will begin with the 2005 NIS)

-   Update Special Reports

    -   Introduction to the NIS

    -   HCUP Coding Practices

    -   HCUP Quality Control Procedures

    -   HCUP Hospital Identifiers

-   Adobe Acrobat versions of NIS Core, Severity, and Hospital Weights
    variable notes (data element descriptions)

Complete [NIS
documentation](http://www.hcup-us.ahrq.gov/db/nation/nis/nisdbdocumentation.jsp)
is available on the HCUP-US Web site. (Weighted summary statistics are
not posted on the Web due to privacy restrictions.) In the future, as
directed by the HCUP Project Officer, the NIS documentation may be made
available only on the HCUP-US Web site and not in hard copy.

The Contractor shall prepare the NIS package for dissemination including
making the documentation available on HCUP-US Web site. The NIS package
that will be received by NIS purchasers will consist of the following:

-   Introduction to the NIS

-   NIS core file (discharge level)

-   NIS severity adjustment file (discharge level)

-   NIS hospital file (hospital level)

-   Weighted summary statistics

-   Read_me txt file which outlines how documentation can be obtained.
    In addition, the NIS CD labels will include precise URLs that define
    where the documentation can be accessed.

    1.  []{#__RefHeading___Toc135712719 .anchor}Copy of NIS Data
        Processing Programs

Number range CHAPTERProvide the Project Officer with copies of programs
that create the NIS by posting them on the HCUP-US electronic
documentation system.

2.  []{#__RefHeading___Toc135712720 .anchor}Develop the NIS Comparison
    Report

This report compares estimates from the NIS to other data sources
including the National Hospital Discharge Survey, Medicare Part A claims
data (MedPAR files) and the annual survey of the AHA. The report will be
completed after MedPAR data become available later in the year of NIS
data release. Note that much of the report can be updated in
anticipation of completing the analysis to facilitate an expedited
release of the report.

1.  []{#__RefHeading___Toc135712721 .anchor}Other NIS- Related
    Activities

    1.  []{#__RefHeading___Toc135712722 .anchor}New Data Elements

As new data elements become available on the SID, they will be
considered for inclusion in the NIS. Anticipate 3 -- 5 new data elements
each year, beginning with Year 2 of the contract. New data elements can
include data elements constructed from SID files or from external files
such as the AHA Annual Survey. Examples of new data elements include:

-   nurse staffing ratios

-   variables based on detailed charges

-   additional ZIP Code-level variables

-   variables that describe the demographics of a hospital (such as
    percent of discharges of Hispanic ethnicity, percent of discharges
    who are black, percent of discharges covered by Medicare, percent
    uninsured, percent covered by Medicaid)

-   distance traveled to the hospital (or time required to travel to the
    hospital) based on patient's ZIP Code

-   clinical data elements as they become available, such as present on
    admission

-   organizational characteristics beyond the structural variables
    currently included on the NIS

-   linkages to other databases, such as the hospital's Medicare
    identifier, identifiers to allow linkage to state licensure numbers,
    and

-   encrypted provider identifiers for individual procedures.

    1.  []{#__RefHeading___Toc135712723 .anchor}Evaluate the NIS
        Sampling and Weighting Strategy

In year 2 of the contract (in time to be implemented for the 2006 NIS),
conduct a re-evaluation of the sampling and weighting strategy for the
NIS to ensure that the approaches yield the most reliable and valid
estimates possible given the sampling frame for the NIS (i.e., the SID).
For example, this report should assess the feasibility of creating
alternative sets of weights for various purposes, e.g., to allow
national estimates on variables that are not available from all states
such as race/ethnicity and birth weight, or to allow national estimates
using only those states that allow linkage of hospital identifiers to
the AHA . The report should describe the past approach, outline
suggested changes to the sampling and weighting strategy, outline
alternative methodologies, and make recommendations for revising the
approach. The document should include a description of the advantages
and disadvantages of changing the sampling and weighting strategy, as
well as an assessment of costs. "[Changes in NIS Sampling and Weighting
1998](http://www.hcup-us.ahrq.gov/db/nation/nis/reports/Changes_in_NIS_Design_1998.pdf)"
is an example of a past report of this type.

2.  []{#__RefHeading___Toc135712724 .anchor}Add New NIS Data Elements to
    Old Years of the NIS.

Over the years, new data elements have been added to the NIS or existing
data elements were redefined. For example, as PT_UR_CAT4 (the patient's
urban-rural code in 4 categories) which was added to the 2003 NIS. As
another example, the variable that provides information on the median
household income for the patient's ZIP Code was redefined in 2003 from a
4 category variable with dollar values in ranges, to a variable that is
defined based on quartiles of the distribution. In year 2 of the
contract, prepare a memo that evaluates to what extent these data
elements which were added or redefined over time can be created for
previous years. In addition, provide a recommendation for how these
variables can be made available to researchers outside AHRQ.

3.  []{#__RefHeading___Toc135712725 .anchor}Evaluate the Processing,
    Documentation, and Dissemination Procedures

***Task C.9.3.4 is an Option.***

In the process of developing, documenting, and disseminating the 2005
NIS, evaluate all procedures to identify potential improvements in
accuracy and efficiency. A goal of this evaluation is to develop a
process that will improve efficiency and make both the NIS and the KID
available as early as possible. In year 2 of the contract (in time to be
implemented for the 2006 NIS and KID), prepare a report that outlines
suggested changes to the NIS and KID production procedures from sampling
to dissemination. The report will include:

-   a description of the past approach

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-   descriptions of alternative procedures

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-   recommendations for revising the processing, documentation, and
    dissemination stream

-   an assessment of the advantages and disadvantages of changing the
    approach, and

-   an assessment of additional costs or cost savings associated with
    alternative approaches.

In addition, this report will assess the feasibility and advisability of
creating an interim NIS for internal use only which will be comprised of
states whose data are made available to HCUP early in the processing
stream and which will thus include only a subset of HCUP states. The
interim NIS would be available earlier than the final NIS to generate
interim statistics and forecasting health care costs and use trends.
This interim NIS would not be disseminated publicly, but would only be
used to produce reports.

This report will also include consideration of KID processing so that
the two databases can be developed simultaneously in those years when
the KID is also released.

10. []{#__RefHeading___Toc135712726 .anchor}Kids' Inpatient Database
    (KID)

Overview

The KID was developed to enable analyses of hospital utilization by
children across the United States. The target universe includes
pediatric discharges from community, non-rehabilitation hospitals in the
United States including children's hospitals. The sampling frame is
limited to pediatric discharges from community, non-rehabilitation
hospitals for which data were provided by HCUP Partner states, drawn
from the SID. Pediatric discharges are defined as all discharges with an
age at admission of 20 years or younger.

The KID contains charge information on all patients, regardless of
payer, including persons covered by Medicare, Medicaid, private
insurance, and the uninsured. The KID\'s large sample size enables
analyses of rare conditions, such as congenital anomalies and uncommon
treatments, such as organ transplantation.

Inpatient stay records in the KID include clinical and resource use
information typically available from discharge abstracts. Discharge
weights are provided for calculating national estimates. The KID can be
linked to hospital-level data from the AHA\'s Annual Survey of Hospitals
and county-level data from the ARF, except in those states that do not
allow the release of hospital identifiers.

The 2000 KID differs from the 1997 KID release in that more states are
included in 2000, some data elements were dropped, some were added, and
the values of some data elements were changed. The 2003 KID is similar
to the 2000 KID. The KID is created every three years (i.e., 1997, 2000,
2003, 2006, etc.).

Important Documents for the KID include:

[]{#_Ref122085817 .anchor}

[Introduction of the HCUP Kids' Inpatient Database (KID),
2003](http://www.hcup-us.ahrq.gov/db/nation/kid/Introduction_to_KID_2003.pdf)

[Design of the HCUP Kids' Inpatient Database (KID),
2003](http://www.hcup-us.ahrq.gov/db/nation/kid/reports/KID_2003_Design_Edited_013006.pdf)

[Calculating
Variances](http://www.hcup-us.ahrq.gov/db/nation/kid/reports/CalculatingKIDVariances.pdf)

[Comparison
Report](http://www.hcup-us.ahrq.gov/db/nation/kid/reports/KID_1997_Comparison.pdf)

1.  Create the KID

The creation of the KID follows roughly the same process as the creation
of the NIS, with several major exceptions: the KID is restricted to
discharges age 20 years or less, the KID is not an annual database (it
is created and released every three years), and the KID consist of a
sample of discharges from all hospitals in the SID that have any
pediatric discharges. The next KID is expected for data year 2006 (year
2 of the contract). The following Table 6 is reproduced from the section
on the NIS, and provides information on timing of the NIS and KID:

+---------+------------+-------------+-------+-------+--------------+
| Table 6 |            |             |       |       |              |
|         |            |             |       |       |              |
| **NAT   |            |             |       |       |              |
| IONWIDE |            |             |       |       |              |
| IN      |            |             |       |       |              |
| PATIENT |            |             |       |       |              |
| SAMPLE  |            |             |       |       |              |
| AND     |            |             |       |       |              |
| KID'S   |            |             |       |       |              |
| IN      |            |             |       |       |              |
| PATIENT |            |             |       |       |              |
| D       |            |             |       |       |              |
| ATABASE |            |             |       |       |              |
| T       |            |             |       |       |              |
| IMING** |            |             |       |       |              |
+---------+------------+-------------+-------+-------+--------------+
| C       | Contract   | Contract    | Year  | Year  | Data release |
| ontract | year       | year ends   | of    | of    | expected     |
| year    | begins     |             | NIS   | KID   |              |
+---------+------------+-------------+-------+-------+--------------+
| 1       | Sep 2006   | Sep 2007    | 2005  | --    | June 2007    |
+---------+------------+-------------+-------+-------+--------------+
| **2**   | **Sep      | **Sep       | **2   | **2   | **June       |
|         | 2007**     | 2008**      | 006** | 006** | 2008**       |
+---------+------------+-------------+-------+-------+--------------+
| 3       | Sep 2008   | Sep 2009    | 2007  | --    | June 2009    |
+---------+------------+-------------+-------+-------+--------------+
| 4       | Sep 2009   | Sep 2010    | 2008  | --    | June 2010    |
+---------+------------+-------------+-------+-------+--------------+
| **5**   | **Sep      | **Sep       | **2   | **2   | **June       |
|         | 2010**     | 2011**      | 009** | 009** | 2011**       |
+---------+------------+-------------+-------+-------+--------------+

In addition to the processing and documentation steps described for the
NIS, create an analytic file based on the KID that is available for
intramural use only (by AHRQ researchers), which includes all pediatric
discharges from all hospitals in the SID with any pediatric cases
(rather than just the sample of discharges which appears in the KID).
Similar to the intramural-only NIS file, this database will be
constructed to allow easy linkage to key SID data elements, without
requiring linkage to all individual SID files.

2.  []{#__RefHeading___Toc135712728 .anchor}Other KID-related Activities

    1.  []{#__RefHeading___Toc135712729 .anchor}Assess the Sampling and
        Weighting Strategy

The KID will undergo an evaluation of its sampling and weighting
strategy similar to the evaluation that will be conducted on the NIS.
Similarly, the purpose is to ensure that the sampling and weighting
approaches yield the most reliable and valid estimates possible given
the sampling frame for the KID (i.e., the SID). For example, the KID
could be redesigned to include a sample of hospitals rather than all
hospitals with any pediatric discharges in the SID. This may be
desirable if it will help reduce identifiability of individual
institutions and will eliminate the current practice of excluding
certain hospitals from the sampling frame from certain states. In year 2
of the contract (in time to be implemented for the 2006 NIS), prepare a
report that outlines suggested changes to the sampling and weighting
strategy, describes the past approach, outlines alternative
methodologies, and makes recommendations for revising the approach. The
document should include a description of the advantages and
disadvantages of changing the sampling and weighting strategy, as well
as an assessment of costs.

2.  []{#__RefHeading___Toc135712730 .anchor}Assess the Processing,
    Documentation, and Dissemination Procedures

This evaluation is described above under the NIS. This same report will
include evaluation of KID processes and will outline the strategy to be
used to create the KID and NIS simultaneously so they can both be
released in June 2006.

11. []{#__RefHeading___Toc135712731 .anchor}Multi-State and Nationwide
    Outpatient Databases

***Task C.11 - C.11.9 is an Option.***

HCUP does not currently create any nationwide outpatient databases. A
feasibility study, conducted in 2001, evaluated the creation of
nationwide sample of ambulatory surgery stays. The study determined that
the limited geographical distribution of the statewide data
organizations that provided 1999 ambulatory surgery data to HCUP
combined with the lack of complete information from all free-standing
ambulatory surgery centers in a state did not warrant the creation of a
nationwide sample of ambulatory surgery stays at this time. Similarly,
the geographical distribution of HCUP Partners that provide emergency
department data has been limited, and thus has not warranted the
creation of a nationwide sample of emergency department visits. During
the course of the project, however, we expect that the geographic
distribution of these databases will increase, making the creation of at
least one nationwide outpatient database plausible, which would enable
the creation of national and regional estimates. During Year 2 of the
contract, conduct an analysis that will assess the feasibility and
advisability of creating a Nationwide Emergency Department Database
(NEDD). Depending on the results of the analysis, the Contractor shall
repeat the analysis in Year 3 or proceed with the creation of the NEDD
in Year 3, and then yearly thereafter. During Year 4 of the contract,
conduct an analysis that will assess the feasibility and advisability of
creating a Nationwide Hospital-Based Ambulatory Surgery Database
(NHASD). Some or all of the following process will be required for
creating this nationwide outpatient database (NEDD or NHASD).

1.  []{#__RefHeading___Toc135712732 .anchor}Creation of Multi-State Data
    File

In preparation for the NEDD and the NHASD and to ease intramural
analyses, the Contractor shall create a multi-state version of emergency
department visits and ambulatory surgery visits annually. These two
files will be available for intramural use only (by AHRQ researchers).
The multi-state emergency department data file will include all
discharge abstracts from all SEDD and discharge abstracts from the
corresponding SID that have a record of an ED visit (e.g., admission
source, revenue code, detail charge) in a given data year. Flags will be
placed on the file to indicate how the record was identified for
inclusion. The multi-state ambulatory surgery data file will include all
records from all SASD in a given data year. Minimal documentation is
expected to accompany these data files.

2.  []{#__RefHeading___Toc135712733 .anchor}Comparison Report

Annually, the Contractor shall compare estimates from the multi-state
SEDD and SASD files to other data sources including, but not limited to,
the National Ambulatory Medical Care Survey, National Health Interview
Survey, AHA Annual Survey, Versant Freestanding Ambulatory Surgery
Center Data. Comparisons should be made to each individual SEDD and SASD
(noting which files are included in the Central Distributor) as well as
to the multi-state files. The report should include text that describes
the methodology of the other data sources. The Contractor should use the
report, "[Evaluation of the State Ambulatory Surgery Databases Available
through the HCUP Central Distributor
2002](http://www.hcup-us.ahrq.gov/reports/2005_04.pdf)" as a model. The
report shall be completed within 3 weeks after delivery of the
multi-state data files.

3.  []{#__RefHeading___Toc135712734 .anchor}Develop the Concept of a
    Nationwide Outpatient Database (NEDD, NHASD), Create a Test Database

Prepare and deliver an interim report that describes sampling and
weighting options (for a database that would be used for national and
regional estimates) and that outlines design options for the desired
database (e.g., NEDD, NHASD).  In the case of the NEDD, consideration
should be given to the variability in the meaning of data elements
collected in the SEDD and the SID (e.g., principal diagnosis for
admission versus primary diagnosis in the emergency department). In the
case of the NHASD, consideration should be given to ambulatory surgeries
in free-standing centers in order to make a decision about whether the
nationwide database should be limited to hospital-based surgeries. This
report should include an evaluation of the feasibility of developing a
NEDD or a NHASD, including considerations about the variability in the
meaning of data elements across databases (e.g., principal diagnosis for
admission as recorded in the SID versus primary diagnosis in the
emergency department as recorded in the SEDD) and variation across
states in the types of procedures (i.e., for NHASD). The report should
also include recommendations about which sampling/weighting options
would provide the most reliable estimates and additional data elements
that may be useful for the HCUP data end-user.  The Project Officer will
review this report and make a final determination about the sampling
strategy to be followed by the contractor.  After receiving guidance
from the Project Officer, construct the NEDD or NHASD sampling frame.

Once the test database has been created, and given the availability of
comparison databases, evaluate the estimates generated from the newly
created database by comparing the estimates with available data. 

The final report will include the interim report as well as the results
of the comparison with other data.  It should contain the full
description of the database, the process used for developing it, the
results of the comparison with other available data, and an evaluation
of the advisability of developing the NEDD or NHASD on an annual basis.
 

4.  []{#__RefHeading___Toc135712735 .anchor}Extract the Data from the
    Outpatient Databases, Merge Data, Create Weights, and Create the
    Files

If it is determined that the database should be created, develop the
final file. If appropriate, develop sampling weights so that national
and regional estimates can be developed using the NEDD or NHASD.  The
NEDD or NHASD may consist of several files that are structured to allow
efficient use of the database.  Both SAS (for AHRQ use) and ASCII (for
restricted access public dissemination) versions of the databases should
be created.

5.  []{#__RefHeading___Toc135712736 .anchor}Document the Database

Prepare documentation to fully describe the creation of the database and
its data elements, including a description of how to obtain weighted
estimates.  The documentation should be developed to be consistent with
the documentation for the routine products developed for HCUP (e.g.,
SID, SEDD, SASD, NIS, and KID).  Also, the Contractor shall document the
software and processes used to develop and maintain these databases
consistent with the documentation requirements described for the other
databases.

6.  []{#__RefHeading___Toc135712737 .anchor}Obtain Agreement from States
    for Release of the New Database

If it is determined that the database is acceptable for release,
negotiate with the states to gain permission to extract observations
from the processed HCUP state databases to create the NEDD or NHASD. 

7.  []{#__RefHeading___Toc135712738 .anchor}Prepare the Database for
    Dissemination

Develop the materials required to disseminate the database to users
outside AHRQ.  This should include writing the database to CDs (in ASCII
format) which are ready for reproduction and developing documentation.

8.  []{#__RefHeading___Toc135712739 .anchor}Deliver the NEDD or NHASD
    and Documentation

The NEDD or NHASD should be delivered to the Project Officer in an
agreed upon format with all accompanying documentation.  Included in the
documentation should be all programs developed to produce the database.

9.  []{#__RefHeading___Toc135712740 .anchor}Disseminate Databases

After the databases have been tested and approved by the Project
Officer, disseminate the databases through the Central Distributor.

12. []{#__RefHeading___Toc135712741 .anchor}NEW SPECIALIZED
    Discharge-level Database

***Task C.12 - C.12.7 is an Option.***

During the course of the project, create at least one specialized
hospital discharge-level database for making national estimates that has
the possibility of being created periodically thereafter. In year 3 of
the contract, conduct an analysis that will assess the feasibility and
advisability of creating a new specialized discharge-level database.

Examples of the types of databases that could be developed are:

-   Databases designed to take advantage of specific information from
    selected states, such as the ability to detect readmissions.

-   Panels of hospitals over time to allow for longitudinal research.

-   Samples of markets to allow for market-level research.

Number range CHAPTERSome or all of the following process will be
required for creating this specialized database.

Number range CHAPTER

1.  []{#__RefHeading___Toc135712742 .anchor}Develop the Concept, Create
    a Test Database, and Evaluate the Database

Prepare and deliver an interim report that describes sampling and
weighting options (for a database that would be used for national
estimates) and that outlines design options for the desired database.
This report should include an evaluation of the feasibility of
developing the specialized database, along with recommendations about
which sampling/weighting option would provide the most reliable
estimates. The Project Officer will review this report and make a final
determination about the sampling strategy to be followed by the
contractor. After receiving guidance from the Project Officer, construct
the specialized database sampling frame.

Once the test database has been created, and given the availability of
comparison databases, evaluate the estimates generated from the newly
created database by comparing the estimates with available data.

The final report will include the interim report as well as the results
of the comparison with other data. It should contain the full
description of the database, the process used for developing it, the
results of the comparison with other available data, and an evaluation
of the advisability of developing the specialized database on a periodic
basis (e.g., annually).

2.  []{#__RefHeading___Toc135712743 .anchor}Extract the Data from the
    SID, Merge Data, Create Weights, and Create the Files

If it is determined that the database should be created, develop the
final file. If appropriate, develop sampling weights so that national
estimates can be developed using the specialized databases. A specific
database may consist of several files that are structured to allow
efficient use of the database. Both SAS (for AHRQ use) and ASCII (for
restricted access public dissemination) versions of the databases should
be created.

3.  []{#__RefHeading___Toc135712744 .anchor}Document the Database

Prepare documentation to fully describe the creation of the database and
its data elements, including a description of how to obtain weighted
estimates. The documentation should be developed to be consistent with
the documentation for the routine products developed for HCUP (SID, NIS,
and KID). Also, the Contractor shall document the software and processes
used to develop and maintain these databases consistent with the
documentation requirements described for the other databases.

4.  []{#__RefHeading___Toc135712745 .anchor}Obtain Agreement from States
    for Release of the New Database

If it is determined that the database is acceptable for release,
negotiate with the states to gain permission to extract observations
from the processed SID to create specialized databases.

5.  []{#__RefHeading___Toc135712746 .anchor}Prepare the Database for
    Dissemination

Develop the materials required to disseminate the database to users
outside AHRQ. This should include writing the database to CDs (in ASCII
format) which are ready for reproduction and developing documentation.

6.  []{#__RefHeading___Toc135712747 .anchor}Deliver the Specialized
    Databases and Documentation

The specialized databases should be delivered to the Project Officer in
an agreed upon format with all accompanying documentation. Included in
the documentation should be all programs developed to produce the
database.

7.  []{#__RefHeading___Toc135712748 .anchor}Disseminate Databases

After the databases have been tested and approved by the Project
Officer, disseminate the databases through the Central Distributor.

13. []{#__RefHeading___Toc135712749 .anchor}THE AMERICAN HOSPITAL
    ASSOCIATION ANNUAL SURVEY

HCUP has a long-standing partnership with the American Hospital
Association (AHA) not only to purchase their annual survey data for
internal analytic use, but to re-release selected data elements in the
HCUP files distributed to the public under the restrictive HCUP DUAs.

The AHA Annual Survey of Hospitals file (hereafter, AHA Annual Survey)
will be used by the Contractor (1) to identify hospitals for the
sampling frames of the NIS, KID, and other such databases, (2) to
develop corresponding weights for these databases, and (3) to serve as
an internal analytical file with a rich source of linkable information
at the hospital level to the HCUP project. HCUP databases and other
discharge-level files may be linked to the AHA Annual Survey via a
hospital-level crosswalk file created by the Contractor (see below),
allowing access to hospital characteristics. Some of the AHA data
elements (e.g., hospital location by county and ZIP Code) also allow for
linkage to other files for community characteristics. The HCUP Web site
contains further description and documentation of the AHA database that
has been created each year from the data files obtained from AHA.

The AHA Annual Survey is based on the hospitals' fiscal year, which
usually ends on September 30. The AHA sells the AHA Annual Survey file
near the end of following calendar year. For example, the 2004 AHA
Annual Survey is sold in December of 2005. Processing of new HCUP data
from the Partners should be structured to avoid delays caused by this
lag in AHA data.

1.  []{#__RefHeading___Toc135712750 .anchor}Create the HCUP AHA Analytic
    File

    1.  []{#__RefHeading___Toc135712751 .anchor}Annually Acquire the
        Most Recent AHA Annual Survey File

Every year of the contract period, the Contractor shall purchase the
most recent release of the AHA Annual Survey within 2 weeks of its
availability. The Contractor shall negotiate new annual agreement as
necessary. The annual agreement is typically a brief written document
along with e-mail documented agreements. The approximate cost will be
\$7,000 each year.

2.  []{#__RefHeading___Toc135712752 .anchor}Check for Changes in
    Variable Set and Definitions

The variables collected on the AHA Annual Survey can change from year to
year. The Contractor shall check for changes in the availability of
variables and variable definitions. The Contractor shall alert the
Project Officer about changes that would affect any of the subsequent
processing steps for HCUP. It is possible that some new variables will
be retained. Subsequently, the Contractor shall prepare and deliver to
the Project Officer the HCUP AHA Annual Survey Analytic File (a SAS
dataset, unless an argument can be made for a different software system
for relational database management) that maintains the structure, coding
and naming conventions of past years of AHA Annual Survey data created
for the HCUP project, to the maximum extent possible. Documentation of
the previous processing of the Annual Survey file will be provided to
the Contractor upon award.

3.  []{#__RefHeading___Toc135712753 .anchor}Create AHA Crosswalk Files

Each year, the Contractor shall create and deliver to the Project
Officer AHA crosswalk files that create a link between the hospital
identifier provided by the data source (HCUP data element DSHOSPID) and
the AHA identifier (HCUP data element IDNUMBER/AHAID). There may be one
or several DSHOSPIDs for each IDNUMBER/AHAID. A hospital report to AHA
may combine several facilities, as convenient to the reporting entity,
and not related to state facility reporting requirements. The Contractor
shall create and maintain an internal project hospital identifier (HCUP
data element HOSPID) that is unique to the HCUP project and of no value
to the outside world but has a one-one correspondence to the
IDNUMBER/AHAID each year that the IDNUMBER/AHAID continues to exist in
the AHA Annual Survey. Outdated HOSPIDs should never be re-used. The
one-one correspondence of HOSPID and IDNUMBER/AHAID is essential for
each year's stratified sample and for weights supplied in the NIS and
KID files. Note that the composition of the HOSPID (i.e., the specific
state facilities with different DSHOSPIDs) may change over time due to
facility closures, openings, mergers or de-mergers.

The Contractor should create each state-specific Crosswalk File soon
after both the state discharge file and the AHA Annual Survey file are
available. This typically occurs after the corresponding state SID is
delivered to AHRQ. Creating the state-specific crosswalk files generally
involves updating the corresponding crosswalk from the previous year.
The creation of the crosswalk will require some time for checking the
crosswalk from the previous year and consulting with a supplementary
file from the AHA on closures, mergers and other status changes (see
below). Later in the year, when all source files have been processed and
all state-specific crosswalks have been developed, the Contractor shall
deliver a consolidated AHA Crosswalk File, with self-explanatory
variable labels and a brief documentation as produced in recent years.
Consideration will be given to additional variables that might be useful
on the AHA Crosswalk File for better assessment of hospitals that cannot
be linked to AHA data in the same year, or where the link appears
suspicious.

2.  []{#__RefHeading___Toc135712754 .anchor}Compare AHA Data with State
    Data

Supply a table of summary data describing the AHA Crosswalk File. Create
a separate table for each participating state showing the number of
discharges for each IDNUMBER/AHAID compared to the total number of
discharges for the set of state hospital identification numbers
(DSHOSPIDs) corresponding to the IDNUMBER/AHAID to illustrate any
discrepancies. Analyze significant discrepancies that may be due to
fiscal year definitions, imputed estimates in the AHA Annual Survey,
incomplete data from the state, or other and unknown causes. The effort
should be kept reasonable and proportionate to the total percentage of
discrepancy in total discharges.

3.  []{#__RefHeading___Toc135712755 .anchor}Create File of Hospital
    Status Changes

This file will identify and clarify any new or deleted IDNUMBERs/AHAIDs.
Use the reference materials supplied by AHA about closures, mergers,
de-mergers, openings and check for consistency with the contents of the
actual survey file supplied in the current and previous year. Errors and
inconsistencies have often been found in the past. Some of these may
never be corrected by AHA. Contact AHA to discuss anomalies and
non-matchable facilities and keep notes to be available for occasional
studies of closures, mergers and other changes of organization. Submit a
final annotated document on AHA IDNUMBER/AHAID changes to the Project
Officer, with notes of unresolved anomalies. It is expected that fewer
than 200 such problems will be observed per year. Due to time pressure
each year to create the NIS it may turn out that, based on checking the
reference materials from AHA, a crosswalk will need to be revised later
and a new edition can then be delivered.

4.  []{#__RefHeading___Toc135712756 .anchor}Document the AHA Files

    1.  []{#__RefHeading___Toc135712757 .anchor}Document AHA Annual
        Survey Changes

Document changes in the AHA Annual Survey, especially those that have
implications for research applications that use similar variables for
multiple years (e.g., addition or deletion of survey questions and data
elements). Ensure that all such documentation appears in the electronic
documentation system (section C.17). In the past, we have maintained a
single table that indicates which variables are available each year.
This type of table should be updated each year unless some new type of
query method is justified.

2.  []{#__RefHeading___Toc135712758 .anchor}Document Variables

The HCUP AHA Annual Survey Analytic File created from the AHA Annual
Survey should have variable labels and value labels for all variables.
Prepare a document <http://www.ahrq.gov/fund/contarchive/rfp060009.htm>
with variable names and definitions to reside on the HCUP-US Web site as
currently available. Create a hard copy Survey Notebook containing: an
annotated copy of the survey instrument, the file layout supplied by
AHA, contents of the data file with variable labels, and summary data
for each variable (means for continuous variables, frequencies for
classifying variables that have more than 1 or 0.) This notebook
duplicates material inserted in the online documentation or delivered
electronically, but has proved helpful to researchers at AHRQ.

14. []{#__RefHeading___Toc135712759 .anchor}HCUP Supplemental / Linkable
    Files

***Task C.14 - C.14.3 is an Option.***

The Contractor shall develop supplemental or linkable files and
additional such data that are valuable to users of HCUP and other
hospital discharge data for research, reporting, and technical
assistance. In many cases it is more efficient and timely to supply
supplemental or linkable hospital-level or area-level data files
separately rather than inserting such data directly in HCUP databases.
Typically, these linkable data files arise from sources requiring a more
lengthy acquisition and approval process. For example, the HCUP
Cost-to-Charge Ratio Files (CCRs) (see
<http://www.hcup-us.ahrq.gov/db/state/costtocharge.jsp>) which include
data elements that can be linked to the HCUP NIS and SID files are made
available several months after the release of the corresponding database
because of delays in acquiring the necessary data to produce them.

At present there is one annual linkable file required, several periodic
or exploratory examples that are candidates for implementation, and
other possibilities for the future. Each year, the Contractor shall
recommend to the Project Officer several supplemental or linkable files
to be created for the contract year. The Project Officer will select
supplemental or linkable files and one exploratory study for the year.
The currently required annual linkable file is the HCUP Cost-to-Charge
Ratio File (CCRs). Details are provided below.

1.  []{#__RefHeading___Toc135712760 .anchor}HCUP Cost-to-Charge Ratio
    (CCR) Files

The HCUP Cost-to-Charge Ratio (CCR) files consist of three stand alone
hospital-level files and are created each year. One file consists of the
universe of HCUP hospitals for the corresponding year and is used for
intramural research only. The other two are derivative files for public
release: the NIS Linkable file and the CD-SID Linkable file. The
programming uses the CMS Cost Report files, which are also released
annually. There is some lag in availability of data that are
sufficiently complete. For example, CMS data for hospital year 2002 were
taken from accounting reports filed by December 31, 2004, that were made
available by CMS in February, 2005. HCUP expects to speed up the process
by at least three to six months in the future. (We are doing experiments
on timing during 2006.) The Contractor shall download or acquire by mail
the CMS financial database in June or September of each calendar year
(cost has been \$100). This will yield the raw data needed for the
hospital data year, generally two years earlier. Programs will be
available from AHRQ for linking the CMS data to AHA annual survey data
and to the HCUP hospitals, checking for completeness and credibility of
the data and then calculating the cost/charge ratios. About two-thirds
of the hospitals will have sufficient data for hospital-specific,
all-payer, inpatient CCR. A weighted group average for every hospital
will be calculated using a peer group classification that has been
developed and tested in various ways over the last few years. The
Contractor shall complete the full intramural CCR file and documentation
within three months of receiving the CMS database.

Several component steps should be observed:

-   Check the relevant CMS databases for changes in reporting and
    release of data and then develop program modifications as needed to
    extract data.

-   Link the CMS data with the AHA data using Medicare Provider Numbers
    supplied by the AHA. Create the AHRQ intramural file using code
    developed in previous years and the data extracted from CMS. The
    Contractor staff will thoroughly examine all programming to suggest
    modifications and new refinements.

-   Create basic documentation for the NIS and CD-SID files (User
    Guides) with guidance on use that adapts to Partner restrictions.
    (See current examples on HCUP-US under [Cost to Charge Ratio
    Files](http://www.hcup-us.ahrq.gov/db/state/costtocharge.jsp)).

-   Produce a NIS-compatible file for public distribution that meets the
    restrictions requested by Partners. Produce a SID Central
    Distributor file for public distribution that meets the restrictions
    requested by Central Distributor participants.

For budgeting purposes, the Contractor shall make an estimate for
creating the linkable CCR files as one task. Based on this product,
where current software is available but there are some complexities in
using the CMS files which themselves are subject to change, other
linkable HCUP files should be budgeted as somewhat lower or higher
depending on source of data, ease of acquiring, software to be developed
and documentation. Some products could be higher or lower.

In the 3rd year of the contract, when the KID database is produced for
2006 data, the Contractor shall create a corresponding file of
cost-to-charge ratios relevant to the KID that meets the KID
restrictions requested by Partners. Existing programs from the 2000 KID
can be modified for this effort. There are a few differences in the
creation of the CCR for pediatric cases. The marginal cost of this work
over and above the routine cost/charge files should be modest.

DRG Adjustment Factors. The purpose of adjusting the hospital-wide CCRs
is to remove the bias due to some departments in the hospital having
higher CCRs than others, and patients not using all departments to the
same degree. However, a cost estimate for each patient cannot be built
up separately because (a) not all states require reporting of detailed
charges by department, and (b) not all hospitals have complete CMS cost
reports. Therefore, adjustment factors must be created from all cases in
a subset of states and hospitals. The cases can be sorted into DRGs and
then average cost within DRG, using departmental CCRs can be calculated.
This more refined cost estimate is divided by the hospital-wide estimate
of cost in a DRG to get the DRG Adjustment Factor. The Adjustment
Factors were created for data year 2002 and again for 2003 with
sensitivity testing for stability and generalizability from a subset of
states, broadly distributed geographically. It is envisioned that a
replication some year after the first year of the contract.
Documentation for the current DRG Adjustment factors will be provided
during Year 1. Depending on the results of current work, a table of DRG
adjustment factors and a brief user's guide shall be made available on
the HCUP-US Web site.

1.  []{#__RefHeading___Toc135712761 .anchor}Development of Other
    Linkable/Supplemental Data Files

The Contractor shall produce a total of three linkable files each year,
plus one exploratory study. In addition to the HCUP Cost-to-Charge Ratio
Files noted above, the following are brief examples for the Contractor
to consider. Strategic decisions on all the candidates will be made
during Year 1.

1.  []{#__RefHeading___Toc135712762 .anchor}Market Area Competition
    Measures

A linkable file of hospital market area competition measures has been
designed in intramural research and may be suitable for periodic
replication and updating. Information for the definitions and sources of
data will be supplied by AHRQ staff. Development and release of this
file would be developed with the participation of AHRQ staff.

2.  []{#__RefHeading___Toc135712763 .anchor}Hospital Management and
    Organization: Supplementary Data

This may involve acquisition of special survey data from AHA or sample
surveys from elsewhere that encompass a sufficient number of hospitals
in a broad geographic distribution. Opportunities are under
investigation by AHRQ. After a planning meeting early in the first year,
a plan of action will be developed that will probably involve
implementing at least two such linkable files over the five year period.
The issues of permission for re-release by the source, or permission for
linking to HCUP Partner hospitals must be addressed.

3.  []{#__RefHeading___Toc135712764 .anchor}Process Quality Measures
    Created for CMS

At present a number of measures on all patients within one of three
principal diagnoses are supplied to CMS for the Hospital Quality
Alliance by nearly all community hospitals (see:
[www.hospitalcompare.hhs.gov](http://www.hospitalcompare.hhs.gov/)).
These are designed for public reporting of practices in treatment of
specific diseases to improve patient outcomes. AHRQ staff is conducting
research with these data and it is likely that they will be found to be
sufficiently useful to the general community of HCUP users. The
Contractor shall meet with staff early in the first year to develop a
work plan to make these linkable files available subject to restrictions
on linking to hospitals in particular states.

4.  []{#__RefHeading___Toc135712765 .anchor}Adding Variables from the
    AHA Survey

As an alternative to creating linkable files for release to the public,
under consideration is adding a few variables from the AHA annual survey
directly to the Central Distributor Hospital-level files that accompany
the NIS, SID, SASD, and SEDD files. These should be selected to be
helpful to analysts who would otherwise have to acquire and process
other databases. Any such variables could only be released on the CD
files with the permission of the AHA and HCUP Partners. AHRQ staff would
assist in the negotiation. In general, it is expected that these data
would be measured at the hospital or geographic area level. As part of
any feasibility study to add data for users, the Contractor shall
recommend whether to add variables to current releasable files, as
opposed to creating linkable files. See section C.14.

5.  []{#__RefHeading___Toc135712766 .anchor}Evaluate and Create
    Readmission Variables

HCUP data is usually characterized as being "discharge-level", meaning
each discharge has generated a record (the discharge abstract). In
discharge-level data, it is difficult to identify readmissions to the
same facility or identify visits to other facilities across time. In
order to do that, it is necessary to assign a unique identification to
individuals rather than discharges. Most state-level data includes an
encrypted medical record number. This data element is broadly referred
to as "MRN" in HCUP. This variable can be used to identify readmissions
to the same facility over time, though often not across years if the
encryption routine changes. In some state-level data, a unique encrypted
person identifier has been assigned. This data element is broadly
referred to as a "PNUM" in HCUP. The patient identifiers that HCUP
receives from participating organizations have been encrypted, either by
an algorithm or a random re-identification process. For organizations
that don't supply unique, de-identified person-level identifiers, there
are methods that may allow probability matching.

Under the current HCUP, several reports have been generated regarding
person link data elements. One describes different linkage techniques. A
subsequent report evaluated the completeness, accuracy and consistency
of the person-link variables for the 2001 HCUP data and which was
updated in 2006 for the 2003 data year. Finally, a report was conducted
recommending possible pilot studies to further develop person links
within the HCUP data. These reports will be made available in hard copy
upon request.

The Contractor shall conduct several tasks that build upon the work
achieved under the current contract.

1.  []{#__RefHeading___Toc135712767 .anchor}Readmission/Revisit
    variables limited to states with a reliable person identifier

The Contractor shall provide a plan which reviews and builds upon a
previous report, "Final Report for Linkage Variable Pilot Study
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>. The report
explored the feasibility of using a combination of demographic elements
as a surrogate for the person identifier, especially for states that do
not provide a Person Number (PNUM). The report also assessed the
feasibility of a pilot study of states with a reliable PNUM to create
readmission variables across time and setting. Option 3 in the report
recommended developing readmission / revisit variables using existing
intramural HCUP data that had reliable patient identifiers. Potential
design options are provided, including the use of several variables
(sex, date of birth, ZIP code) along with patient identifier to create
derivative linking variables. The plan should address the feasibility,
timeline and resources necessary to creating derivative readmission /
revisit variables to identify and conduct analyses of readmissions /
revisits to the same or different institution and/or setting across time
for the same individual. For example, readmission / revisit data
elements would ideally identify when a single individual appears in the
hospital, then at a later date in the emergency department, or
readmitted into the hospital. This will require an understanding of
which state data have reliable, accurate, and complete encrypted patient
identifiers, and the additional variables that are necessary to enhance
and verify the encrypted patient identifier to create the readmission /
revisit variables. The Contractor should assume that no more than 20
State Partners provide a reliable person identifier and the additional
necessary data elements to implement this option (e.g. date of birth,
ZIP code, gender).

The Contractor should plan and implement a State Partner workgroup to
discuss the recommendations from the plan. The workgroup will consist of
State Partners that currently produce and provide a reliable person
identifier to the HCUP. The workgroup will serve several purposes. The
workgroup will assess partners' understanding the value of person-link
variables, will facilitate partner understanding of a newly proposed
readmission / revisit variable, and evaluate partner support for
producing this new variable on the intramural data bases, as well as
evaluate partner support for releasing this new variable on
restricted-access, public-release data bases. This workgroup will count
as one of the Partner workgroups described in section C.18.2.1. The
Contractor should assume a bi-monthly workgroup call, not to exceed 6
calls. The Contractor should organize and convene the calls, and provide
a summary of the discussion including any decision points following each
call.

If it is determined that production of new readmission / revisit
variables is feasible and supported by the Partner States, then the
Contractor shall pilot test the variable with the 2006 SID data and
implement the production of new readmission / revisit variables into the
2007 HCUP state and derivative data bases in Year two of the contract.

2.  []{#__RefHeading___Toc135712768 .anchor}Readmission / Revisit
    variables limited to states without a person identifier

The Contractor shall provide a plan which reviews and builds upon an
earlier report, "Linkage Variable Pilot Study", which details a plan for
implementing a variation of Option 3 described above. The report
explored the feasibility of using a combination of demographic elements
as a surrogate for the person identifier, especially for states that do
not provide a Person Number (PNUM). The proposed task would be limited
to State Partners that are known to collect patient identifiable
personal data (e.g. SSN, address, first name, last name), but who *do
not* currently produce a patient level link. The option in the report
assumed reliable patient identifiers. Therefore, the plan should address
the feasibility, timeline and resources necessary to aid State Partners
to either produce a patient level link variable, encrypted or
re-identified (e.g. PNUM) or to produce a derivative readmission /
revisit variable that would be released to HCUP. The Contractor should
assume no more than 20 State Partners.

The Contractor should include a State Partner workgroup to discuss the
recommendations from the plan. The workgroup will consist of State
Partners that are known to collect patient identifiable personal data
(e.g. SSN, address, first name, last name), but who do not currently
produce a patient level link. The workgroup will serve several purposes.
This workgroup will count as one of the Partner workgroups described in
section C.18.2.1. The Contractor should assume a bi-monthly workgroup
call, not to exceed 6 calls. The Contractor should organize and convene
the calls, and provide a summary of the discussion including any
decision points following each call. The workgroup will assess Partners'
understanding the value of person-link variables, will facilitate
Partner understanding of a newly proposed patient-level link (e.g. PNUM)
or readmission / revisit variable. The workgroup will establish whether
there are Partner states that are not currently producing a person-level
identifier, but would be interested in doing so. For those Partners who
express interest in producing a person-level encrypted identifier or a
readmission / revisit variable, the workgroup will assess what support
the state would need to proceed. The support could vary: 1) technical
assistance regarding methods; 2) understanding from other Partner states
that produce person-link variables what the confidentiality or
legislative or regulatory hurdles can be; or 3) human or financial
resources required producing the variable. The workgroup will also
evaluate Partner support for providing either a person-link variable or
a derivative readmission / revisit variable to the HCUP and / or
releasing this new variable on restricted-access, public-release
databases.

If it is determined that production of new person-level links or
derivative readmission / revisit variables on the Partner source data is
feasible and supported by the Partner states, and that at a minimum the
derivative readmission / revisit variables would be released to HCUP,
then the Contractor shall pilot test the variable with the 2008
intramural data and implement the production of either the new
person-level link or readmission / revisit variables with the 2009 HCUP
state and derivative data bases beginning in Year four of the contract.

6.  []{#__RefHeading___Toc135712769 .anchor}Other Linkable Files

Recommendations from Partners, AHRQ staff, outside experts and the
Contractor may warrant exploration in the second year of the Contract.
The Contractor should add at least one linkable file in this category
starting in Year 3 of the contract.

2.  []{#__RefHeading___Toc135712770 .anchor}Annual Memo Recommendations

The Contractor shall develop, in a memo, suggestions on the release of
new linkable files, based on likely value of the data to prospective
users, permission issues, and cost of acquisition or creation. For
example, one potentially interesting target would be data on physician
services and payments for particular procedures by area, and other
non-hospital service data or relevant demographic data available at the
ZIP Code, county or state level. Data now available in the ARF, or with
a high cost of purchase, would generally not be considered. In general,
a linkable file for public release would not be created until first
demonstrated to be useful in pilot research and reporting applications.

Suggestions by the Contractor for other potentially valuable data, to be
supported by a feasibility study of sources, value to users, cost and a
process to release data as permitted by sources and HCUP Partners will
also be requested.

15. []{#__RefHeading___Toc135712771 .anchor}HCUP Central Distributor

The HCUP Central Distributor is the entity that handles all activities
directly related to the sales and dissemination of the "restricted
access public release" versions of the HCUP databases and related HCUP
files that are authorized by individual State Partners. These versions
of the HCUP databases and files are described in sections C.8.4.6. Once
these databases are created, they are sent to the HCUP Central
Distributor for dissemination.

In general, the main functions of the HCUP Central Distributor are to
handle all inquiries about the availability and purchasing of HCUP
databases and related HCUP files; send, receive, and verify completeness
of applications; copy and send files to approved data requesters;
collect data use fees; reimburse fees to the appropriate State Partners;
prepare and send monthly activity reports to State Partners; and perform
other related tasks that are described more fully below.

*[Available HCUP Products]{.underline}*

Currently, the following HCUP databases are available through the HCUP
Central Distributor:

-   Nationwide Inpatient Sample (NIS) beginning in 1988;

-   Kids' Inpatient Databases (KID) for 1997, 2000, and 2003;

-   State Inpatient Databases (SID) beginning in 1990;

-   State Ambulatory Surgery Databases (SASD) beginning in 1997; and

-   State Emergency Department Databases (SEDD) beginning in 1999.

In addition, the following HCUP Cost-to-Charge Ratio Files are
available:

-   NIS beginning with 2001; and

-   SID beginning with 2001.

In total, there are currently over 300 HCUP products available through
the HCUP Central Distributor. Please see application kits for
information on the release of the NIS, KID, SID, SASD, SEDD and
Cost-to-Charge Ratio files through the HCUP Central Distributor.

*[Contact Information]{.underline}*

The HCUP Central Distributor established and maintains the following
contact channels for users interested in HCUP products:

1.  Toll-free phone number designated exclusively for HCUP;

2.  Fax number; and

3.  Email address designated exclusively for HCUP.

*[Electronic Tracking System]{.underline}*

An electronic tracking system in Microsoft Access Database is currently
used to organize and facilitate the work under the HCUP Central
Distributor. This electronic tracking system retains all information on
the HCUP Central Distributor including databases available, inquiries,
applications, sales, and units shipped. It also includes information on
who performed the task and when it occurred. To maintain the smooth
operation of the HCUP Central Distributor, the Contractor shall use the
existing processes and structure during the first year. (See section
C.15.9 for evaluation and possible modification of processes and the
system in subsequent years.) More specifically, the Contractor shall
perform the activities described below.

1.  []{#__RefHeading___Toc135712772 .anchor}Operations

*[General Activities]{.underline}*

The general activities of the HCUP Central Distributor in disseminating
HCUP databases and files include the following:

-   Maintain and operate an electronic tracking and distribution system
    (currently in Microsoft Access Database). See NIS, KID, and
    SID/SASD/SEDD [application
    kits](http://www.hcup-us.ahrq.gov/tech_assist/centdist.jsp) for
    information collected and entered. In addition, see reports related
    to electronic tracking system (i.e., "Evaluation of the HCUP Central
    Distributor Tracking System", December 7, 2001 and "Refined Tracking
    and Reporting System," July 10, 2002).

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-   Answer general inquires about HCUP databases and related products.
    Examples of such inquiries include the following: the availability
    data elements by database type and by state, costs of products,
    status of application, and dates of future data product releases.

-   Answer other inquiries that require more detailed knowledge of the
    HCUP products disseminated. Such inquiries are limited to
    information about file layouts of the HCUP databases, guidance on
    how to use programs designed to load data into a statistical
    software package (e.g., SAS), and other such information directly
    related to the use of the HCUP products disseminated. The HCUP
    Central Distributor will not handle technical assistance questions
    that have no direct application to HCUP products. All other HCUP
    related questions should be directed to HCUP Technical Support. See
    section C.20.

-   Send out and receive applications. Review applications for
    completeness. For other HCUP files (e.g., cost-to-charge file),
    applications are considered complete when all sections are
    appropriately filled out. For nationwide databases (i.e., NIS and
    KID), applications are considered complete when: (1) all sections of
    the applications are appropriately filled, (2) all relevant DUAs are
    signed, (3) indemnification clause is signed, and (4) all required
    fees are submitted. For state databases (i.e., SID, SASD, and SEDD),
    in addition to the requirements above, the application also must be
    approved by an AHRQ staff designated by the HCUP project officer.

-   Determine and collect all fees as designated by AHRQ and the State
    Partners including applicable taxes from data purchasers where
    possible (e.g., in state where the HCUP Central Distributor has a
    business presence. Data purchasers may purchase HCUP products by
    check or by credit card.

-   Make copies of the HCUP databases and files from "master" copies.
    Currently, databases and documentation are provided on CD-ROMs.
    Labels describing the products are screened onto the CD-ROMs.
    Prepare database binders. Database binders include the respective
    database and documentation on CD-ROMs and approximately 25 pages of
    general information about the respective HCUP product. Written
    binder materials are described in section C.8.5.

-   Send out HCUP databases, related products, and documentation to
    approved data requesters. Approved data requesters are those whose
    applications are complete. (See comments above).

-   Reimburse fees to the appropriate data organizations for purchases
    of statewide databases and taxes to the applicable local, state, and
    Federal organizations where possible. See "Pricing of Data" below.

-   Conduct customers' mailings to announce recently available data.

-   Refer inquires for more recent or sensitive data to the appropriate
    data organization representative as directed by the HCUP Project
    Officer.

Functions described above will be performed within time frames to be
specified by the Project Officer. In general, all inquiries should be
responded to within two business days. Products should be sent within
two business days after the application has met all requirements. In
shipping HCUP products, the Contractor should use a shipping / delivery
service that has the capability of tracking the shipment, unless
otherwise directed by AHRQ.

*[Contact Information Capabilities]{.underline}*

To successfully perform these tasks, the Contractor should have the
capability to establish and to receive inquires by mail, phone (toll fee
to the requester / inquirer and designated exclusively for HCUP Central
Distributor), fax, and email (designated exclusively for HCUP Central
Distributor).

*[Pricing of Data]{.underline}*

Prices of statewide databases are set by the individual data
organizations. Data organizations are reimbursed for the sale of their
respective databases. An additional fee of about \$20 is added to cover
shipping/mailing costs and materials (e.g., CD-ROMs, binder). Costs for
shipping/mailing and materials should not be included in the contract
proposal. This additional fee does not cover labor charges / costs
incurred by the Contractor. This fee can be changed with the approval of
the HCUP Project Officer.

Prices for nationwide databases are set by AHRQ. There are two levels of
prices for these databases: regular price (currently set by AHRQ at
\$200) and student discounted price (currently set by AHRQ at \$20).
AHRQ may implement a different pricing structure in the future. Costs to
cover shipping/mailing costs and materials will be deducted from the
revenues received for the sales of these databases. Any remaining funds
will be applied to the shipping/mailing costs and materials of
complimentary copies or other ways to promote HCUP as directed by AHRQ.
Unlike the requirements of the previous contract, but consistent with
the dissemination of the statewide databases, labor charges / costs
[should]{.underline} be included in the proposal.

The operations of disseminating the state and nationwide databases need
to be distinct. The Contractor should have the capability to track and
account for the funds from the dissemination of the nationwide
databases, separate from the statewide databases. Every six months, the
Contractor should provide a brief report that summarizes the revenues
received and the costs incurred for this segment of the operation.

*[Volume of Inquiries and Purchases]{.underline}*

The expected annual volume of inquiries and sales of databases for the
first year of the contract are as follows:

Total Inquiries 600

General Inquires 480

Other Inquiries 120

Total Databases 1750 units

Nationwide databases 875 units (from 475 applications -- see below)

State databases 875 units (from 125 applications -- see below)

Applications 600

Nationwide databases 475

State databases 125

Other Files (e.g., cost-to-charge file) 150

These figures include the complimentary copies noted above. For each of
these figures, the Contactor shall assume an average annual increase of
10 % after the initial year.

1.  []{#__RefHeading___Toc135712773 .anchor}Organization Restrictions
    for Central Distributor Operations

An organization's non-HCUP-related business shall remain completely
separate from HCUP activities. HCUP activities shall [not]{.underline}
be used as an opportunity to promote the organization and/or the
organization's products (e.g., non-HCUP databases, software) and/or
services. For example, the Contractor, in the course of answering HCUP
data inquiries, shall not direct or suggest to the inquirer, the use of
the organization's products or services, or direct them to others in the
organization with such knowledge. Nor shall the Contractor use
information obtained about the inquirer to promote non-HCUP related
activities at a separate time. The Contractor shall make it clear that
they are acting on behalf of AHRQ. Contractor staff assigned to HCUP
responsibilities should [not]{.underline} be engaged in other
organizational activities that may represent a conflict of interest to
HCUP activities, or harm HCUP and AHRQ in any way.

1.  []{#__RefHeading___Toc135712774 .anchor}Tracking System

An electronic tracking system in Microsoft Access Database is used to
help organize and document the activity of the HCUP Central Distributor.
As new products (i.e., additional states, years, and product lines) are
added, the Access Database must be updated. Assume up to ten updates per
year of the system. The activity report characterizes the information
collected in the tracking system.

Information in the tracking system is considered identifiable and must
be stored in a secure, limited-access environment. A process for
handling this information must be included in the security plan. See
section C.29.3.

2.  []{#__RefHeading___Toc135712775 .anchor}Applications Kits

There are at least three applications kits for HCUP databases and files:
NIS, KID, and SID/SASD/SEDD
([www.hcup-us.ahrq.gov/tech_assist/centdist.jsp](http://www.hcup-us.ahrq.gov/tech_assist/centdist.jsp)).
Update existing application kits in each contract year as new states,
years, and product lines are added. Provide draft copy in electronic
format to Project Officer for review before finalizing materials. Assume
that the NIS and KID application kits are updated annually. Assume that
the SID/SASD/SEDD application kits are updated up to seven times per
year. Assume three additional applications or forms will be created for
new or existing HCUP files (e.g., cost-to-charge file) annually.

3.  []{#__RefHeading___Toc135712776 .anchor}Customized Files

The HCUP Central Distributor should have the capacity to copy customized
files onto a CD-ROM and ship them to authorized users. Customized files
are described in Section C.8.4.7. Assume five such requests per year.

4.  []{#__RefHeading___Toc135712777 .anchor}Monthly Activity Reports

Produce and provide monthly reports using the established prototype to
all HCUP Partners about all the activities of the Central Distributor
including the number and types of inquiries and purchases of data. This
report is generated from the electronic tracking system (see Section
C.15.2. In addition to the report, reimburse individual states for sales
of their respective statewide databases on a monthly basis (e.g., when
the monthly report is disseminated). States are not reimbursed for any
sales of the nationwide databases (i.e., NIS, KID).

For each year, assume up to seven updates to the report format which
will require minimal revisions (e.g., the addition of several rows to
tables to account for new products). For the entire contract period,
assume up to three updates to the report format which will require
moderate revisions (e.g., creation of two or three new tables.) Quality
of the report (in terms of appearance and content) must be equal to or
better than the existing prototype. See section C.15.9 for opportunities
to refine these reports in future years.

5.  []{#__RefHeading___Toc135712778 .anchor}Data Use Agreements (DUAs)
    and Mailing Lists

Collect and maintain DUAs from all authorized users of HCUP databases.
The DUA is included as part of each application kit. This task entails
creating a PDF copy of the signed DUAs, storing these in a secured
environment, and transferring the original hard copies to AHRQ. Hard
copies will be delivered alphabetically in labeled, coded folders.

In addition to the paper records, selected information about each
customer and application should be entered into the electronic tracking
system. From the tracking system, generate and maintain a mailing list
for HCUP outreach efforts. The tracking system should provide a process
to assure that purchasers are not added to the mailing list when this is
indicated on the DUA that they do not wish to be on our mailing list.

6.  []{#__RefHeading___Toc135712779 .anchor}Flyers, Postcards, and
    Promotional Materials

Design and create flyers, postcards, and other such promotional
materials as directed by the HCUP Project Officer. Using the mailing
list maintained by the Central Distributor, mail promotional materials
as directed. In some cases, these materials may be included with the
purchased databases. Assume that up to seven one-page flyers or
postcards will be produced annually. Assume that two of these items will
be mailed out to 1,000 users.

7.  []{#__RefHeading___Toc135712780 .anchor}Exhibit Booth Representation

***Task C.15.8 is an Option.***

A representative from the HCUP Central Distributor will be asked to
represent the HCUP Central Distributor at the AHRQ exhibit booth at
various conferences and meetings. Assume one representative will attend
three 3-day meetings at non-local exhibit sites designated by AHRQ.

8.  []{#__RefHeading___Toc135712781 .anchor}Evaluation of Dissemination
    Processes and Tracking / Distribution System

***Task C.15.9 is an Option.***

The existing dissemination processes and tracking and reporting system
will be used in the first year of the contract. At the beginning of the
second year, evaluate and assess the efficiency of the dissemination
processes and the tracking and reporting system. Provide a report
outlining strengths, weaknesses, and recommendations for changes or
refinements in the context of existing and emerging technologies. This
may include a new system if recommended. Implement, create, or refine
system under the direction of the Project Officer.

16. []{#__RefHeading___Toc135712782 .anchor}delivery and management of
    databases, documentation, and records

Keeping a record of activities for HCUP is a vital part of almost every
task undertaken for the project. The Contractor shall generate
documentation to accompany all HCUP components (e.g., databases,
software, products, and reports) as they are developed and maintain the
information in an organized, consistent manner that retains
institutional memory. Naming conventions should be self-explanatory.
Examples of HCUP documentation are located under "Database Documentation
at
[www.hcup-us.ahrq.gov/databases.jsp](http://www.hcup-us.ahrq.gov/databases.jsp).

Documentation will be stored in a manner that will protect the
information while allowing appropriate access. Currently, HCUP
documentation is stored in two ways: electronically on the HCUP-US Web
Site (at <http://www.hcup-us.ahrq.gov/>) and hard copy archives. The
majority of documents are in an electronic format, however the project
dates back to the early 1990s and AHRQ holds extensive archive files.

1.  []{#__RefHeading___Toc135712783 .anchor}Databases

    1.  []{#__RefHeading___Toc135712784 .anchor}Database Format

The format for data delivered to AHRQ should be in SAS, and for
restricted access public release in ASCII. It is possible that future
years of this contract will require other formats and/or media based on
emerging or existing technologies, for example, data might be received
through a secure Internet transfer to a central AHRQ data warehouse.

2.  []{#__RefHeading___Toc135712785 .anchor}Source Data Destruction

At the direction of AHRQ, all source data received by the Contractor
from HCUP State Partners shall be destroyed approximately two years
after completing the HCUP data files, unless the state-specific HCUP
Memorandum of Agreement requires that the source data be returned to the
HCUP Partners. Destruction of electronic data files shall be implemented
either through physical destruction or erasure. Certification of
destruction shall be sent to the AHRQ Project Officer and the HCUP State
Partner following file destruction. After the termination of the HCUP
contract, AHRQ may, at its sole discretion, choose to retain the HCUP
intramural, data development, and restricted access public release
databases to support longitudinal research.

2.  []{#__RefHeading___Toc135712786 .anchor}Documentation

    1.  []{#__RefHeading___Toc135712787 .anchor}Data File Maintenance
        System

Large volumes of processing programs are used in the creation of HCUP
databases and software. The Contractor shall keep records and document
software requirements analyses, software development, testing, code
documentation, quality assurance and software change management as
necessary. The Contractor shall also maintain version control, and
naming conventions. The Contractor shall develop and deliver a memo with
a description of a proposed file maintenance system for databases and
other files related to data editing, analysis and data processing and
programming efforts. The system should include naming conventions and
tracking of files from production through final delivery. After approval
from the Project Officer, put the maintenance system into place that
allows for routine review, backup, and/or release of all HCUP state
files as appropriate. Assure appropriate disposition of project and data
files that will no longer be needed as work proceeds throughout the
contract period. Include documentation of which files need Project
Officer approval before destruction can take place.

2.  []{#__RefHeading___Toc135712788 .anchor}Create Documentation

The Contractor shall generate documentation files to describe all HCUP
components as they are developed. Some key documentation components
include but are not limited to: processing programs, databases (e.g.,
NIS, KID, SID, SASD, SEDD, and AHA) including intramural and restricted
access public release versions, reports, special studies, software,
tools, and linkable files. For HCUP databases, documentation should not
be recreated for different versions of the same database, but should
represent a subset of a "master file." For example, documentation for
restricted access public release versions of HCUP databases is the same
as the corresponding intramural version with the exception that certain
data elements have been removed. Documentation must accompany all
database deliverables at the time of data delivery to AHRQ. Delivery of
databases or other HCUP components without documentation is not an
acceptable deliverable.

All database and software documentation will be delivered in electronic
format accompanied by a memo describing file contents and structure. In
addition, documentation shall be posted in the HCUP-US documentation
system. Delivery of electronic files is accomplished by posting to the
password-protected side of the HCUP-US Web site. Documentation for new
data years will be added to the existing structure of HCUP-US for each
data year as information becomes available or when information requires
correction.

3.  []{#__RefHeading___Toc135712789 .anchor}Project Management Records

The Contractor shall maintain a consistent style, format and quality in
all HCUP reports, special analyses, and written materials. In most
cases, written materials will be delivered by; 1) Posting to the HCUP-US
documentation system, and 2) delivering hard copies. All reports, memos,
and documentation will be delivered electronically and with non-bound
original and 2 hard copies.

4.  []{#__RefHeading___Toc135712790 .anchor}Documentation Quality

The volume of documentation generated by HCUP each year requires careful
control. The Contractor shall create an HCUP policy for handling
documentation and management records. The policy will include methods
for quality control such as naming conventions, version control,
storage, and destruction of information when it is no longer needed.

3.  []{#__RefHeading___Toc135712791 .anchor}Back-up System for All
    Documentation

It is necessary to retain certain paper archives relevant to state
recruitment and retention activities. At present, these include, but are
not limited to: state applications, MOAs, technical documentation
checklist, data restriction checklist, correspondence significant to
negotiations, manuals, and data format libraries. All archived hard
copies of recruitment documents will be delivered to the Project Officer
at a minimum of every six months. No HCUP documentation will be
destroyed without approval from the Project Officer. The Contractor is
strongly encouraged to utilize conversion of hard copy documents to
electronic versions; however, certain original documents designated by
the project officer must be delivered to AHRQ on a quarterly basis in
hard copy format.

The Contractor shall develop and implement a reliable back-up system to
prevent permanent, accidental loss of any HCUP documentation files. The
current collection of documentation will be preserved to ensure adequate
support for researchers. Back-up will be in media and formats readily
accessible to the HCUP Project Officer. Keeping back-up files in a
format that is readily accessible may require conversion to a newer
application at least once during the period of this contract. With
approval of the HCUP Project Officer, certain older files may be
archived and placed in an alternative storage site.

4.  []{#__RefHeading___Toc135712792 .anchor}Evaluation of Records
    Management

The Contractor shall evaluate the process for creating and maintaining
documentation. Provide a report outlining strengths, weaknesses, and
recommendations for changes or refinements in the context of existing
and emerging technologies. Implement, create, or refine a system under
the direction of the Project Officer.

17. []{#__RefHeading___Toc135712793 .anchor}HCUP-US Web Site

The HCUP User Support Web Site serves two critical functions: (1) it is
the project's primary vehicle for public outreach and (2) it is a
virtual repository for nearly all project information and documentation.
HCUP databases are not stored on the HCUP-US Web site. All documentation
is archived on HCUP-US with the exception of hard copy documents that
are generated as a result of Partner recruitment activities. The Web
site allows for various levels of access to materials and is password
protected. Currently, there are seven access levels, however the
majority of informational material is identical.

1.  []{#__RefHeading___Toc135712794 .anchor}Maintain Content on the
    HCUP-US Web Site

The Contractor shall maintain the HCUP-US Web site on their server as a
"third-level domain" to the AHRQ Web site. The Contractor can assume
that routine updates to some existing information in HCUP-US can be made
without prior approval from AHRQ, (e.g., the addition of deliverables).
In general, new items will not be posted or removed from the HCUP-US Web
site without prior approval from AHRQ. Conversion of documents into HTML
will also require review and approval from AHRQ. The Contractor shall
develop a policy for control of Web site content, including the process
of approval for posting materials.

2.  []{#__RefHeading___Toc135712795 .anchor}HCUP- US Web Site Policy and
    Regulations

The Contractor shall be familiar with law, regulations and policies for
Federal Web sites as made available on the FirstGov Web site at
[[http://www.firstgov.gov/webcontent/laws_regs_policies.shtml]{.underline}](http://www.firstgov.gov/webcontent/laws_regs_policies.shtml).
Federal guidelines require that Web site design and maintenance give
careful consideration to public accessibility needs, although standards
and best practices for accessibility are expected to emerge and evolve
over time.

3.  []{#__RefHeading___Toc135712796 .anchor}HCUP-US Web Site Format and
    Accessibility

Current standards suggest that the best practice for Web site
accessibility is to utilize standard HTML, XHTML, or XML-formatted
pages, including most downloadable documents. For some content such as
large statistical tables there may be a business need to generate
downloads as Portable Document Formats (PDF), such as Adobe Acrobat, as
an alternate format to native web formats. When using PDF files, the
Contractor shall provide a link to the downloadable free viewer. When
linking to a non-HTML document, the Contractor shall include a text
description of the file, including the name, file type, file size, and
effective date.

Current standards suggest that the best practice for Web site
accessibility is to utilize standard HTML-formatted pages, including
most downloadable documents. For some content such as summary statistics
it is not possible to generate HTML-formatted pages either
programmatically or by converting existing content. Other documents,
such as reports, can be converted to HTML format but may require manual
review or verification to ensure the result is accessible to a broad
audience.

The Contractor should assume that the HTML and XML format for existing
documents will be maintained and the majority of new documents will be
posted in HTML. AHRQ will designate alternative applications to use in
the event that the size and complexity of a document prohibits
reasonable time and effort for conversion to HTML. In this case the
Contractor shall work with AHRQ to determine the optimum approach for
addressing public access needs. In rare cases Web documents may require
delivery in two versions (e.g., PDF and RTF). HTML documents containing
graphics and visual designs will usually require both HTML and PDF
versions for delivery. When the Contractor delivers documents to be
posted on the HCUP-US Web site, it must be verified for accessibility
using Watchfire's Bobby (or a similar tool) before submission to AHRQ
for review. For more detailed information see the Federal Web site
guidance at
<http://www.firstgov.gov/webcontent/laws_regs_policies.shtml>.

4.  []{#__RefHeading___Toc135712797 .anchor}Enhancing the HCUP-US Web
    Site

The Contractor shall work with AHRQ to identify and implement up to four
enhancements to the HCUP-US Web site per contract year. Examples of past
enhancement activities have included:

-   Re-design of the HCUP Partners section to be more user-friendly and
    accessible

-   Addition of a search engine to the site

-   Development of a technical manual describing the site organization
    and underlying structure

-   Creation of new section to archive final project-end reports and
    materials

-   Automation of certain updates to the database documentation that
    were maintained manually in the past

-   Addition of summary statistics for HCUP databases

    1.  []{#__RefHeading___Toc135712798 .anchor}Management of the
        HCUP-US Web Site

The Contractor's Web development staff will meet by phone with AHRQ
staff at least monthly to review areas of interest for potential
development, monitor progress on tasks, and discuss Web-related issues.
The Contractor shall provide an agenda for each conference call before
the meeting takes place.

2.  []{#__RefHeading___Toc135712799 .anchor}Technical Guide to Web Site

The Contractor shall develop a Technical Guide to the HCUP-US Web site.
The Technical Guide is intended to provide the technical information
that would be needed to re-create the HCUP-US Web site in the event of a
catastrophic loss of the Contractor's server. The goal for the technical
guide is to maintain consistent Web site operation with little or no
loss of information. The guide should include procedures for taking the
HCUP-US Web site off-line in the event of a system failure and
procedures for bringing the site back on-line and ensuring system
availability.

18. []{#__RefHeading___Toc135712800 .anchor}IMPROVING HCUP DATA THROUGH
    TECHNICAL SUPPORT FOR PARTNERS

***Task C.18 - C.18.8 is an Option.***

1.  []{#__RefHeading___Toc135712801 .anchor}Background

The partnership between the Federal government and data organizations is
the foundation of HCUP. Data organizations voluntarily participate in
HCUP by allowing the purchase of their data and participating in project
initiatives. As such, HCUP is continually seeking ways to improve the
partnership and meet the needs of HCUP Partners and the Federal
government. HCUP Partners are interested in receiving technical
assistance on the collection and use of their statewide encounter data
and want AHRQ to facilitate communication and information exchange among
Partners about data collection and use. Such support by HCUP will
ultimately improve the quality, consistency and timeliness of the data
HCUP receives from Partners. The purpose of this task is to provide
technical support for Partners to improve the collection and use of
inpatient and outpatient data.

The potential areas for technical support for data collection cover the
entire collection process from the development of a data initiative,
collection of data within hospitals, the transmission of data to the
Partner organization and the processing and checking of data by the
Partner organization. Topic areas of interest to Partners include but
are not limited to national standards for data elements in inpatient and
outpatient encounter data, electronic transmission of encounter data,
improved timeliness, edit checks and other data quality issues, and
adding clinical content and other analytically useful data elements to
encounter data. The topics also include the advances in health
information technology that may lead to improvements in their data
programs including the electronic healthcare record, Regional Health
Information Organizations, and the National Health Information Network.

The potential areas of technical support for the use of the data include
the development of analytic tools that Partners can use to analyze their
inpatient and outpatient data to answer their policy, programmatic, or
management questions. Because HCUP Partners are at various stages in the
development, collection and use of inpatient and outpatient encounter
level data, some Partners may need assistance in identifying important,
policy or program relevant questions that can be answered with encounter
level data. Statewide encounter data can inform questions related to the
cost-effectiveness of care, the quality, safety and continuity of care,
access to care for those enrolled in public insurance programs such as
Medicaid/SCHIP or Medicare, public health goals, and program planning,
budget forecasting and evaluation. The type of questions asked of HCUP
Partners is dependent on who the Partner must respond to. In general,
hospital associations must be responsive to the needs of the member
hospitals and state government must be responsive to the needs of state
policymakers, other state agencies, and community groups.

Examples of tools that may address these issues generally include tools
for users developed under Section C.22, benchmarking reports that
measure disparities and access to care, evaluation of various risk
adjustment and rate setting methods, and models that project program
costs or predict the impact of policy changes (see *[The Value of
Hospital Discharge
Databases](http://www.hcup-us.ahrq.gov/reports/final_report.pdf))*. In
addition to analytic tools, many Partners would benefit from a reporting
template that discusses and displays the content and format of a report
for target audiences (target audiences might include the public at
large, policy-makers, hospital staff and other health professionals,
local government, public health officials or community groups).

The Contractor shall perform the tasks specified below to provide
technical support to Partners. The Contractor shall participate in
monthly conference calls with AHRQ staff on this task and provide a
quarterly report to AHRQ summarizing task activities. The report should
include brief descriptions of workgroup calls, LISTSERV activity, brief
description of conferences, brief description of Federal and national
initiatives, posting on HCUP-US, individualized technical assistance to
Partners, brief description of educational briefs, brief summaries of
data standards activities. In addition, AHRQ expects that information
obtained from Partners during the course of this task will be treated
with sensitivity as Partners may be willing to share information as part
of a learning network with other Partners, but may prefer that this
information be shared only within the Partnership

2.  []{#__RefHeading___Toc135712802 .anchor}Facilitate Communication
    With and Among the HCUP Partners

Communication with and among the Partners is important to provide them
with updates on emerging issues and to facilitate knowledge transfer and
information exchange between Partners. As specified below, the
Contractor shall lead, support, and encourage communication through a
Partner LISTSERV, supporting Partner workgroups, participation in
meetings that many Partners attend, and maintenance of sections of the
HCUP-US Partners\' Web page devoted to data collection and data use
issues.

1.  []{#__RefHeading___Toc135712803 .anchor}HCUP Partner Workgroups

The Contractor shall form workgroups of representatives from HCUP
Partner organizations when the need arises, as specified by the Project
Officer. The workgroups may be on specific topic areas of interest to
Partners or AHRQ, they may be focused on specific technical assistance
products being developed under section C.18.7 and there may be a
workgroup that provides more general advice on the priority areas to
address in the Technical Support for Partners task. The Contractor shall
handle all the logistical arrangements for the conference calls such as
notification of meeting time, agenda, conference call phone line, and
minutes of the calls. The Contractor should anticipate three active
workgroups per year. The size of the workgroups will vary depending on
the nature of the workgroup objective and Partner interest. The
Contractor should assume that three active workgroups (i.e., topic area
one workgroup, topic area two workgroup, priority setting workgroup)
each year will include 30, 20 and 10 Partner organizations,
respectively. The Contractor should also assume that each workgroups
meets via conference call four times per year. Summaries of calls should
be posted on HCUP-US Partner page. Brief descriptions of the workgroup
activities should be included in the Technical Support for Partners
quarterly report.

2.  []{#__RefHeading___Toc135712804 .anchor}HCUP Partner Listserv

The Contractor shall manage and host an HCUP Partner LISTSERV devoted to
information exchange and discussion of issues concerning data collection
and use of inpatient and outpatient data. It is anticipated that there
will be about six new postings per month on the LISTSERV. Each quarter
the Contractor shall post on the HCUP-US Partners Web page a summary of
the substantive LISTSERV discussions that have occurred and provide a
list of these topics in the Technical Support for Partners quarterly
report.

3.  []{#__RefHeading___Toc135712805 .anchor}Participation in Conferences
    and Other Meetings of HCUP Partners

Conferences and other professional meetings attended by large numbers of
HCUP Partners are venues for information and knowledge exchange on data
collection and use. Consequently, it is important for the Contractor to
actively participate in these meetings to meet the objectives of this
technical support task. The Contractor should assume that each year two
staff members travel to and attend the annual National Association of
Health Data Organizations (NAHDO) meeting. The Contractor should also
assume that each year one staff member travel to and attend two other
national meetings relevant to the Partners, such as an AHRQ-sponsored
conference and the Allied Association Information and Resource Network
(Air2Net) meeting. The first meeting is generally held in the Washington
DC area, and the last two meetings are held in various locations each
year.

4.  []{#__RefHeading___Toc135712806 .anchor}Review of Information about
    Relevant Federal and National Initiatives

The Contractor shall maintain a list, brief description, and contact
information for Federal and national initiatives that are relevant to
the collection and use of hospital-based inpatient and outpatient data
and ambulatory care data. Federal and national initiatives may include
but are not limited to activities related to health information
technology, funding opportunities, development and quality improvement
of encounter level data, development and use of quality indicators,
activities sponsored by various national organizations (e.g., AHA,
National Governor's Association, National Conference of State
Legislatures, National Association of State Medicaid Directors, National
Academy of State Health Policy). This list should not be considered
comprehensive, and should be updated and supplemented on a regular
basis. The Contractor should assume two staff hours per week to maintain
the list with minimal effort. The list should be posted on HCUP-US
Partner page. Brief descriptions of the list should be included in the
Technical Support for Partners quarterly report.

5.  []{#__RefHeading___Toc135712807 .anchor}HCUP-US Partners\' Web Page
    Sections on Data Collection and Use

To facilitate information exchange and networking among Partners and to
provide easy access to technical support products, the Contractor shall
maintain a section of the HCUP-US Partners Web page devoted to technical
support. The information in this section must be user-friendly and
searchable. The Partner Web page will contain products and resources
developed as part of the Technical Support for Partners task. It will
also contain other resources (or internet links to resources) related to
data collection and use that may be of particular relevance to HCUP
Partners, such as: state-specific documents on data collection,
state-specific information on data submission and editing processes,
definitions and use of outpatient and inpatient data and data elements,
calendar of events, frequently asked questions and responses,
information on how to access various resources, description of and links
to Federal and national initiatives that may be relevant to Partners,
and links to other resources (e.g., Web sites of the National
Association of Health Data Organizations, AHA, National Uniform Billing
Committee, National Uniform Claims Committee, Public Health Data
Standards Consortium, and a link to the Health Care Services Data
Reporting Guide). Initially, the Contractor shall need to inform
Partners about the Web page and encourage Partners to use it as a
resource. Periodically, but at least annually, the Contractor should
evaluate its use by Partners, obtain Partner feedback on the Web page,
particularly its overall usefulness (are Partners using it), and ways
that it can be improved.

3.  []{#__RefHeading___Toc135712808 .anchor}Needs Assessment

An annual assessment of the HCUP Partners\' needs and priorities for
technical support is needed to prioritize the activities conducted under
the Improving HCUP Data through Technical Support for Partners task.
This assessment should be based largely on information gathered through
the communication channels described in section C.18.2 above, such as
LISTSERV discussions, workgroup input, and annual HCUP Partner and NAHDO
meetings. Other relevant sources of HCUP Partner need should also be
consulted, including reports and activities conducted in other tasks in
this contract (e.g., recruitment of Partners, MOA negotiations) or
suggested by the Project Officer.

This needs assessment will consist of a list of products, activities or
areas of support identified as priorities for Partners to improve their
data collection or use of data. Each item in the list should be
supported by text describing the product or technical support activity
and potential use and benefit to Partners. As directed by AHRQ, the
needs assessment will be used to set priorities for technical support
activities for the year.

4.  []{#__RefHeading___Toc135712809 .anchor}Advice to Individual HCUP
    Partners

The Contractor shall have a central resource to provide technical
support to individual HCUP Partners through the steps listed below. AHRQ
expects that this technical support will be limited to the HCUP Partners
only.

-   Receive requests for assistance by phone, email, or AHRQ referral
    from HCUP Partners

-   Provide guidance on inpatient and outpatient data development,
    collection, improvements, application for policy-relevant analyses,
    and data standards

-   Offer and promote technical assistance to HCUP Partners through the
    HCUP Partner LISTSERV

-   Redirect HCUP Partners to other resources where appropriate.
    Depending on the needs of the Partner, this could include, but is
    not limited to, such sources as other Partners, the National Uniform
    Billing Committee (NUBC), Public Health Data Standards Consortium
    (PHDSC), AHA, and Centers for Medicare and Medicaid Services (CMS)

-   Develop and maintain Frequently Asked Questions (FAQs)

-   Collect and report to AHRQ ideas and requests for improvements for
    the Technical Support for Partners task and/or the HCUP products
    overall

-   Secure voluntary feedback from those requesting technical assistance
    to assess the effectiveness of the service

The Contractor should assume a maximum of 15 simple inquiries per month
(requiring approximately 30 minutes of assistance each) and 5 complex
inquiries per month (requiring approximately two hours of assistance
each) for a total of 250 simple and complex inquiries per year. The
Technical Support for Partners quarterly report should include a
description of the types of support provided, including topic areas and
Partner organizations receiving support.

1.  []{#__RefHeading___Toc135712810 .anchor}Custom Data Analysis for
    Individual HCUP Partners

As directed by the Project Officer, the Contractor shall analyze HCUP
data to develop special statistical tables that have been requested by
individual HCUP Partners. Any tables that may be relevant to a wider
group of HCUP Partners will be posted to the HCUP Partners\' page, as
directed by the Project Officer. It is anticipated that this subtask
will require about 4 days per month, with about one-third for
senior-level staff to oversee the analysis and the remainder for
mid-level or junior programming and clerical support. The Contractor
shall provide a summary of requests for custom tables in the Technical
Support for Partners quarterly report. This summary will provide a
description of the request and the purpose for which the Partner
organization needs the custom table.

2.  []{#__RefHeading___Toc135712811 .anchor}Partnering with Data
    Organizations to Determine Solutions to Permit the Inclusion of
    Variables in their Datasets

Many participating data organizations have made minor or even major
changes in their data release policies in response to heightened
security and privacy concerns following the implementation of the HIPAA
Privacy Rule. It is possible that a few changes of this type will
continue over the course of this contract. Some changes in data release
policies have been accommodated by additional language or modifications
in the HCUP MOAs. However, some require more complex solutions. An
important goal for HCUP is to work with participating data organizations
to meet their needs for data protection, however; inclusion of key data
elements in externally-released databases and derivative products is
critical to regional representation and to support a variety of
healthcare analyses, including the NHQR/DR.

The Contractor shall provide support for HCUP and Partner organizations
to determine data solutions that permit inclusion of their data and
critical data elements while protecting the confidentiality of the data.
The Contractor shall maintain capacity to explore data issues with AHRQ
staff and appropriate staff at data organizations. The task includes
dialogue about options for including data and critical data elements,
one or two conference calls, and could require statistical expertise.
The Contractor shall then formulate a brief options paper, which will
include necessary analyses to determine an approach for protection of
patient confidentiality while retaining critical data elements needed
for research. Working with the data organization, HCUP will provide
guidance on which options to pursue and the Contractor shall then
provide support and analyses. The Contractor should anticipate no more
than two of these evaluations each data year; one evaluation to be less
complex in nature, and one more complex in nature.

3.  []{#__RefHeading___Toc135712812 .anchor}Products for Partners to
    Develop and Improve Data Collection

Based on the needs assessment, and as directed by AHRQ, the Contractor
shall develop various types of products to provide assistance to
Partners on data collection issues.

1.  []{#__RefHeading___Toc135712813 .anchor}Educational Briefs

The Contractor shall develop brief educational text (1-2 pages) each
month focused on a specific topic area related to data collection
issues. It is likely, given HCUP Partners\' current interest and need
for information that these educational pieces will initially focus on
data standards, issues on the electronic healthcare record and health
information technology, and development of outpatient databases. These
materials would be disseminated via the HCUP Partner LISTSERV to foster
education and stimulate discussion and will be archived on the HCUP-US
Partner Web page. The topics for the educational materials will be
chosen in consultation with the Project Officer. Educational briefs
should be posted on HCUP-US Partner page. Brief descriptions of these
educational pieces should be included in the Technical Support for
Partners quarterly report.

2.  []{#__RefHeading___Toc135712814 .anchor}Special Report on the
    Collection and Improvement of Encounter-Level Data

In years 2 and 4 of the contract, the Contractor shall develop a report
focusing on a specific area of data collection. The report topic will be
selected based on the needs assessment produced in task C.18.3 and AHRQ
priorities. The topic will likely be related to improving data that is
already widely collected or on newly emerging data collection efforts
such as outpatient databases or the enhancement of the clinical content
of statewide databases.

The report will be written as a technical assistance tool for the HCUP
Partners to improve their data collection efforts. Developing
information for the report may include a number of activities such as a
literature review, individual conversations with HCUP Partners and other
experts, input from an HCUP workgroup, or statistical analyses of HCUP
data. The approach for developing the report will depend on the topic
chosen and Partner needs.

The Contractor shall provide the Project Officer with a description of
the planned approach to develop the report including an outline of the
report. The Contractor shall begin work on the report after the plan for
the report is approved by the Project Officer. The Contractor shall
provide a draft of the report for AHRQ review and then revise the draft
based on AHRQ feedback. This draft will be provided to HCUP Partners
(all Partners or a specified subset, as directed by the Project Officer)
for their feedback. A final version of the report will be developed
after receiving Partner input.

The Contractor should assume that the two reports will be similar in
scope and effort to the following two reports in the HCUP Methods
series: [*Emergency Department Data
Evaluation*](http://www.hcup-us.ahrq.gov/reports/2005_02.pdf) and [*HCUP
E-Code Evaluation
Report*](http://www.hcup-us.ahrq.gov/db/state/seddrelatedreports.jsp).

3.  []{#__RefHeading___Toc135712815 .anchor}Summaries of Data Standards
    and Health Information Technology Meetings

To provide technical assistance to HCUP Partners on data standards and
health information technology (HIT) issues, the Contractor shall prepare
for, attend and participate in data standards and HIT meetings of
relevance to the data collection efforts of HCUP Partners. Examples of
such meetings include ANSI X12N, HL-7, National Uniform Billing
Committee, and Public Health Data Standards Consortium. The Contractor
shall develop a summary of each meeting attended focusing on issues of
particular relevance to AHRQ and HCUP Partners. The summary will be
posted on the Partners\' LISTSERV and the HCUP-US Partner Web page.
Brief descriptions of the summaries should be included in the Technical
Assistance for HCUP Partners quarterly memo. This task will support
staff time and travel expenses to 6 meetings per year that take place
around the country.

4.  []{#__RefHeading___Toc135712816 .anchor}Products for Partners to
    Improve the Use of Data

For Year 1 of the contract, create one reporting tool or template as
described in section C.18.1 at the direction of the Project Officer. For
budgeting purposes, the tool should require minimal effort building on
existing knowledge and be of similar scope and effort as the *AHRQ
Disparities Assessment Tool*
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm> and be of similar
scope and effort as the *Facilitating knowledge transfer and utilization
of regional bioterrorism preparedness workbook* created under AHRQ's
Integrated Delivery System Research Network (IDSRN) (Contract
#290-00-0018, Task Order #9).

For Years 2-5 of the contract, the Contractor should develop an annual
list of potential tools and templates that use inpatient and/or
outpatient data, based on responses to the needs assessment outlined in
section C.18.3. This list should include a brief description of each
tool, the rationale for doing the tool, the potential audience for the
tool, and summary recommendations on the priority of the tools. With the
Project Officer\'s approval, create up to two products that could be
used to answer high priority Partner questions using inpatient and/or
outpatient data. The Contractor should assume that this task will entail
the annual development of two products that require minimal effort in
terms of time and money (as described above) or one product that
requires moderate effort in terms of time and money. A template or tool
of moderate effort should be similar in scope and effort to *Planning
Guide for* *Community-based Mass Prophylaxis* at
<http://www.ahrq.gov/research/cpmprophyl/cbmpro.htm>, or *Reopening
Shuttered Hospitals to Expand Surge Capacity*
<http://www.ahrq.gov/research/shuttered/>. The Contractor should give
consideration to the fact that some products require maintenance and
revisions, and the frequency of those revisions.  Revisions would be in
addition to a new tool or template. The Contractor should give
consideration to the fact that some products require maintenance and
revisions, and the frequency of those revisions. Revisions would take
the place of a new tool or template.

For all tools and templates, the Contractor shall develop a draft
product(s) for comment by AHRQ and a final product(s) to be posted on
the Partner Web page. The Contractor is expected to communicate with
Partners about the release of the product(s) and provide electronic
training on the product(s), as needed.

19. []{#__RefHeading___Toc135712817 .anchor}PROVIDE TECHNICAL SUPPORT TO
    AHRQ

Provide periodic technical support in several main areas to AHRQ staff,
or to other Contractors working under the direction of AHRQ staff (e.g.,
on research studies and other programming tasks). The types of technical
assistance anticipated under this contract include those specified
below. It is anticipated that activities C.19.1 and C.19.2 will involve
a total of five staff days per month combined.

1.  []{#__RefHeading___Toc135712818 .anchor}Provide Technical Assistance
    in Understanding and Use of Data and Documentation System

Provide ad-hoc technical assistance to AHRQ staff and other AHRQ
Contractor staff to facilitate understanding and using the databases and
documentation created under this contract. Assistance includes such
activities as answering questions about the details of how a database or
data element was created, answering questions about the data that arise
when unexpected findings occur, providing statistical advice, and
providing help in finding a specific type of information in the
documentation system. It may also include providing some statistical
programming code to facilitate use of the data and statistical table
development to better understand data anomalies.

Examples of previous assistance provided under this task include:

-   Contractor provided the number of children's hospitals and beds
    included in each state in the KID then compared that number to what
    AHA has for all children's hospitals in the same states.

-   Contractor evaluated the Physicians' Current Procedural Terminology
    (CPT) modifier codes in five states.

    1.  []{#__RefHeading___Toc135712819 .anchor}Provide Information to
        AHRQ on General Technological Innovations Affecting HCUP Data
        Processing

Provide information to the Project Officer about technological
innovations that could make data processing more efficient, improve
access to data and information, and improve the quality of the products.
In order to keep abreast of such innovations, it is expected that two of
the Contractor staff will annually attend two professional meetings
specifically aimed at computer hardware and software advances, Internet
and web-based applications and technologies, and programming/data
processing. Annually, the Contractor shall prepare a memo to the Project
Officer describing technological innovations that may be useful for HCUP
to adopt within the next year or two.

2.  []{#__RefHeading___Toc135712820 .anchor}Provide Information to AHRQ
    on Advances in Health Care Information Technology (HIT) Relevant to
    HCUP

***Task C.19.3 is an Option.***

Assist AHRQ staff in keeping up-to-date on advances in HIT that impact
or are relevant to HCUP and the future of healthcare encounter data
(inpatient, outpatient, and non-hospital) for research and policy
analyses. In general, it differs from task C.19.2 by looking farther
into the future of health care data beyond the near term (one to two
years) processing and analytic needs of HCUP that are the focus of task
C.19.2.

The last few years have seen increased attention in the US on
development of the electronic health record (EHR), the National
Healthcare Information Network (NHIN) and Regional Health Information
Organizations (RHIOs), and electronic transmission of health care data,
including health care claims and claims attachments. Simultaneously,
there have been increasing calls for more clinical data in healthcare
encounter data sets and timelier encounter data. HCUP plans to be
forward-looking in terms of opportunities that lie ahead from the
advances in health information technology (HIT) to improve the
timeliness, accuracy and analytic capabilities of its databases. The
Contractor shall assist AHRQ staff by tracking developments and
providing staff with written summaries concerning HIT activities and
developments that are related to the development and analyses of health
care encounter data. The HIT areas to be covered will be somewhat
wide-ranging, from the hardware and software advances for electronic
transmission of data, to specific program/business activities
implementing HIT advances, to specific issues related to RHIOs, EHRs,
NHIN, claims attachments and other mechanisms to enhance the clinical
content of the data collected by HCUP Partners and HCUP and to expand
the scope of the health care encounter data collection to non-hospital
settings.

The Contractor shall provide a written two-page summary of one HIT
development/activity each month focusing on issues and details of
relevance to HCUP data development and research. These summaries will be
for HCUP Staff. It is anticipated that about half will also be of
relevance to HCUP Partners and placed on the Partner section of HCUP-US.
Periodically, as specified by the Project Officer, the Contractor shall
also provide AHRQ with a list of topics for future monthly summaries
from which AHRQ will designate summary topics for subsequent months. The
Contractor should anticipate three (3) staff days per month to track
current HIT activities and developments, examine one topic in depth for
the monthly two-page summary, and for a one-hour monthly conference call
with AHRQ staff. The Contractor shall also attend two HIT conference
during the year and provide a written summary of information presented
at the conference that is relevant to HCUP.

In addition, the Contractor shall develop an annual report that
summarizes the HIT advances and activities of relevance to HCUP. For the
most part, the highlights will be based on the monthly summaries. The
annual report will also provide an in-depth look at one HIT activity or
advance. The topic for this in-depth examination will be determined in
consultation with the Project Officer. It is anticipated that the annual
report will be about 10 to 15 pages, half of which will be the summary
of HIT advances and activities, and half a focus on one HIT advance or
activity. The audience for the report will be AHRQ and the HCUP
Partners. The Contractor shall provide a draft of the report for AHRQ
review one month prior to the deliverable due date.

20. []{#__RefHeading___Toc135712821 .anchor}PROVIDE TECHNICAL SUPPORT TO
    HCUP USERS

The Contractor shall create and maintain an infrastructure to provide
technical support to users and potential users of HCUP databases,
software tools, linkable files, written reports, HCUPnet, database and
software documentation and all other products developed for the HCUP
project. Technical Support provides a bridge between HCUP and its users
and potential users and is intended to respond to and meet users\' needs
for assistance with or advice on HCUP data and products. The objective
of the assistance is to increase the usefulness and use of HCUP data and
products, and of administrative data in general. Technical support is
provided to both purchasers and prospective purchasers of HCUP
databases, and to anyone interested in learning about the project, its
data and its products. Recipients of technical support include
Researchers, HCUP Partners, HCUP team members, other AHRQ staff, Federal
government, state and local government, media, universities, research
organizations and many other constituent groups. Methods for providing
technical support include: 1) explanations and methods for using HCUP
databases, software tools, linkable files and HCUPnet, 2) identification
of relevant written HCUP reports, 3) explanations of ordering procedures
and requirements for HCUP databases, and methods of acquiring other HCUP
products, and 4) use of HCUPnet and special programmed data runs for
select constituents.

Users of HCUP data, software tools and products are health services
researchers, policy analysts, decision makers and other constituent
groups. They have backgrounds in economics and other social sciences,
public health, medicine and other fields. They represent a variety of
sectors, including academia, private industry, the media, and
government. The Contractor must be able to work with these varied
constituents, understand their questions, problems, and demands, and be
able to investigate and communicate solutions to them.

Technical support also requires the Contractor to track usage, follow-up
with selected users to ascertain their feedback to improve the project,
and maintain a database with user information and statistics.

1.  []{#__RefHeading___Toc135712822 .anchor}Develop Staff and
    Infrastructure for Technical Support Services

    1.  []{#__RefHeading___Toc135712823 .anchor}Develop HCUP Expertise

Contractor staff providing Technical Support shall have sufficient
knowledge to communicate with HCUP users and respond to questions about
HCUP within one month of the start date of the contract. Sufficient
knowledge requires the ability to address inquires with basic
information about HCUP. More thorough knowledge should be acquired by
the third month of the contract, at which time contract staff will have
the ability to respond to more complicated inquiries.

For assistance in learning about previous practices in providing
Technical Support, the Contractor shall receive existing technical
support materials to use as prototypes in maintaining or developing
their own apparatus and mechanisms. These materials include a 10-page
procedure manual on Technical Support to serve as a guide, and a log of
user questions and Contractor answers from the past year to serve as a
prototype of technical support inquiries and responses. In addition, the
Contractor can receive up to 10 days of technical support consultation
from the previous HCUP Contractor. This consultation will include a
briefing that explains the technical support function and an explanation
of its setup and status. However, the new Contractor is responsible for
establishing its own operations and procedures in providing Technical
Support and may modify the past Contractor approach.

Contractor staff shall develop their HCUP knowledge through additional
focused efforts to learn about the project as well as thorough
on-the-job learning. It is expected that the technical assistance staff
will gain knowledge and experience with HCUP data and research and will
apply that knowledge to inform users and project development. For
example, use of HCUP data and tools for a research analysis provides in
depth knowledge which can be transferred to users. The research
experience and dialogue with users can be used to provide suggestions
for improvements or expansion of HCUP data and tools. Focused efforts to
develop HCUP knowledge include:

-   Becoming thoroughly familiar with the HCUP-US Web site

-   Review of key HCUP reports and database documentation

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-   Attending HCUP presentations given by AHRQ staff

-   Reviewing HCUP presentations and training materials

-   Discussions with AHRQ staff.

    1.  []{#__RefHeading___Toc135712824 .anchor}Establish Systems to
        Respond to and Monitor Inquiries

        1.  []{#__RefHeading___Toc135712825 .anchor}Telephone and E-mail

The Contractor shall maintain a toll-free telephone number as a call-in
help line and shall maintain a dedicated e-mail address. The majority of
technical assistance will be provided via e-mail. For requests coming by
e-mail, a return e-mail shall be automatically generated with a message
that states that their question will be answered within three business
days or sooner for simpler requests. Questions submitted via e‑mail that
are more easily answered in person‑to‑person conversation, should be
responded to by telephone.

The Contractor shall operationalize and staff the technical assistance
toll-free telephone number and e-mail address within one month of the
start date of the contract. Until then, the Contractor shall set up a
toll-free number and e-mail address that provide the user with an
announcement that these contact methods are under construction, and
providing alternative contact information. When the technical assistance
toll-free telephone number and e-mail address are fully operational,
AHRQ will forward Technical Support and assistance e-mails and calls to
the Contractor.

Telephones should be answered 24/7 with a voicemail message briefly
introducing HCUP Technical Support, providing referral to the HCUP-US
Web site and giving the option of using e-mail, followed by a request
for their contact information and specifics about the help needed and a
promise of a return call within three business days.

2.  []{#__RefHeading___Toc135712826 .anchor}Routing Protocol

The Contractor shall develop and maintain routing protocol for ensuring
that technical assistance inquiries are routed to the appropriate
contract staff. Routing protocol will include criteria for inquiries
that require notification of AHRQ staff, e.g., priority users (non-HCUP
AHRQ staff, Congressional offices, Partners, Federal government
agencies, the media, and strategic organizations) (see Section
C.20.2.2). The Contractor shall provide AHRQ with a list of key
Contractor personnel proposed to staff the technical support inquiries
by level of help required for an inquiry. The list should briefly
explain the staffers' relevant capabilities and their response roles.
The technical support staff and routing protocol require AHRQ approval
prior to implementation. Both are due to AHRQ by the end of the second
month of the contract. Both should be revised when there are changes in
personnel or routing procedures, and resubmitted to AHRQ for approval.

3.  []{#__RefHeading___Toc135712827 .anchor}Contractor Staffing
    Responsibilities

The Contractor's senior research staff shall provide oversight and
leadership to all technical support responses. Routine questions about
HCUP can be handled by mid-level Technical Support staff with relevant
technical backgrounds, which are knowledgeable about HCUP. Sophisticated
questions about HCUP (e.g., the appropriate use of HCUP, the
advisability of using a particular HCUP dataset for a particular
research question, etc.) should be referred to and handled by
experienced mid-level and senior-level Technical Support staff with
relevant technical and analytic backgrounds who have specialized HCUP
expertise. Questions from priority audiences and public users with
high-profile work (see Section C.20.2.2 and C.20.2.1) require
consultation with AHRQ prior to responding.

1.  []{#__RefHeading___Toc135712828 .anchor}Provide Technical Support to
    HCUP Users

    1.  []{#__RefHeading___Toc135712829 .anchor}Provide Assistance to
        Public Users

The Contractor shall receive, analyze, respond and track technical
assistance requests that come from the public. The requests will come by
e-mail and telephone, directly from the user, or routed through or
referred from AHRQ staff.

Based on past experience the Contractor can expect technical assistance
to include the following types of activities:

-   Guidance on using HCUP and directing users to database documentation

-   Guidance on selecting and obtaining an appropriate data base

-   Guidance on selecting and using a HCUP tool, and how to access or
    obtain the tool

-   Help troubleshooting software problems

-   Investigating potential data errors and potential errors with
    documentation

-   Guidance on navigating the HCUP Web site
    [http://www.hcup-us.ahrq.gov/](http://hcup.ahrq.gov/HCUPnet.asp)

-   Guidance on use of the HCUPnet Web site
    <http://hcup.ahrq.gov/hcupnet.asp>

-   Guidance on programming issues

-   Help in interpreting output

-   Answers to questions about appropriate use and reporting of data
    analyses

Technical assistance to public users should not include the task of
providing any actual programming services, study designs, complex
analyses, or running, revising or customizing software tools.

When appropriate, the Contractor shall redirect users to other
resources. Depending on the needs of the user, this could include such
sources as the American Hospital Association, the National Center for
Health Statistics, the Centers for Medicare and Medicaid, the American
Hospital Association, the Area Resource File, and the Bureau of the
Census. The Contractor shall be familiar with these and other relevant
health research data resources.

The total expected volume of assistance requests in Tasks C.20.2.2 and
C.20.2.1 is approximately 1,500 in Year 1 (125 per month times 12
months), and rising proportionately by 10 percent each year, to 2,200 in
Year 5. Assume a mix of simple inquiries, requiring approximately 15
minutes of assistance each, and complex inquiries (requiring
approximately 1 hour of assistance each). Additionally, assume that 75
percent of the responses will require simple answers, and 25 percent
will need complex solutions.

1.  []{#__RefHeading___Toc135712830 .anchor}Provide Assistance for
    Special Requests for Priority Audiences

The Contractor shall provide assistance in responding to special
requests for HCUP information from priority audiences, as directed by
the Project Officer. The audiences will usually be AHRQ staff that are
not part of the HCUP team, Congressional offices, Federal government
agencies, the media, Partners, and prominent organizations. The
Contractor shall alert the HCUP team for assistance in designating these
inquiries as high priorities and respond quickly. The responses may
require generation and explanation of special statistical tables and
other aggregate data, assistance with study designs, data analysis, and
use of software tools. AHRQ staff may also be involved in the response.

It is anticipated that the Task C.20.2.2 requires approximately four
Contractor staff days per month, with about one-third for senior-level
staff to oversee the analysis and the remainder for mid-level or junior
programming, technical, and clerical support.

1.  []{#__RefHeading___Toc135712831 .anchor}Monitor Technical Support
    Services

    1.  []{#__RefHeading___Toc135712832 .anchor}Log Technical Support
        Inquiries

The Contractor shall log all technical support inquiries into a user
database or other electronic system for tracking purposes as described
in Section C.20.6. Inquiries that require follow-up for impact analysis
and those from priority audiences should be flagged. The database or
tracking system should include the following types of information on
each technical assistance request: date of request, date the assistance
was provided, the organization, contact information, HCUP product, a
summary of the request including the reason the requestor needs the
information or assistance, and a description of the information or
assistance provided. The database or tracking system should have the
capability of being sorted by organization name and date and the
capability of searching on key words (for topics on which assistance was
provided). Outcomes of the follow-up will also be entered in the user
database. The tracking system should be updated within five working days
of the completion of a technical assistance request performed under task
17.4 or receipt of a technical assistance description from AHRQ.

2.  []{#__RefHeading___Toc135712833 .anchor}Monitor Potential Impact
    from Technical Support Assistance

The Contractor, as directed by ARHQ, shall follow-up on technical
assistance provided to users with high-profile, high-impact, or
resource-intensive work at selected appropriate time intervals to
determine the outcome of the information provided to them, to ascertain
any use and impact HCUP had, such as, used for decision making purposes,
presentations in published reports or articles, or effect on policy,
etc. Information on the use and impact it had, if any, shall be flagged
for follow up in the user database or for potential development of an
Impact Story (see Section C.20.4.2).

3.  []{#__RefHeading___Toc135712834 .anchor}Develop Standardized
    Responses and Limited Statistics

The Contractor shall compile and use an electronic collection of "best
responses" to routine technical assistance inquiries, and update them on
a regular basis, as improvements and variations to the response become
apparent.

The Contractor shall develop a limited number of statistical tables with
frequently requested HCUP data, distributions, or cross-tabulations to
facilitate responses for this information.

4.  []{#__RefHeading___Toc135712835 .anchor}Maintain and Update
    Technical Assistance Web Pages

The Contractor shall maintain and update the technical assistance Web
pages of the HCUP Technical Support Web site,
[www.hcup-us.ahrq.gov/techassist.jsp](http://www.hcup-us.ahrq.gov/techassist.jsp),
and create and construct new Web pages to communicate relevant and
accurate technical assistance information for users. These pages, which
will be for public access, will provide guidance on the types of
Technical Support provided and not provided, expected response time, how
to locate technical documentation, and other helpful information.
Technical assistance Web pages will include a section with frequently
asked questions and/or an index, and a search capability. The Contractor
shall provide AHRQ with recommendations on content and format for new
technical assistance Web pages, and suggestions for improving existing
Web pages. With AHRQ approval, the Contractor shall implement Web site
changes. The Contractor shall maintain and update the technical
assistance Web pages as needed for provision of accurate information to
the public. Web page development should be delivered in a format
compatible with both the AHRQ Web site and the HCUP-US Web site, and
adhere to Federal government and HHS standards, including Section 508
compliance. Technical assistance Web pages should be coordinated with
the HCUP-US Web site described in Section C.17.

5.  []{#__RefHeading___Toc135712836 .anchor}Use Technology for Outreach
    to HCUP Users

In Year 3, the Contractor shall do a small feasibility study to assess
the usefulness of employing a new technological application for
assisting users with their technical support needs. This assessment
should include evaluating the use of an interactive chat room style
LISTSERV of HCUP users monitored by Contractor staff. It should also
include an assessment of an online user forum where users can log on,
post questions and comments, and receive answers directly from each,
without Contractor staff involvement.

For all computer-based help options examined, the Contractor shall
provide examples of effective sites that use these technology
applications, and provide pros and cons of their use for HCUP. The
Contractor shall recommend the technological approaches that they
believe are optimal for AHRQ to employ. With AHRQ approval, the
Contractor shall implement and maintain a new technology to augment the
current methods of providing Technical Support.

2.  []{#__RefHeading___Toc135712837 .anchor}Improve and Demonstrate HCUP
    Value through User Feedback

Contact with users during the course of providing technical support can
help not just the user, but can yield important information that could
benefit the HCUP project.

1.  []{#__RefHeading___Toc135712838 .anchor}Encourage and Document
    Suggestions from Users

In the course of providing assistance to knowledgeable HCUP users, the
Contractor shall elicit and document their suggestions for improvement
of or enhancement of HCUP data, tools, reports and technical support.
Such feedback would include ideas for bettering existing HCUP products,
developing new products in the future, improving the dissemination of
HCUP information, and targeting special groups who would benefit from
knowing more about HCUP. Possible changes to improve technical support
may include developing clarifying materials to post on the HCUP-US Web
site
([www.hcup-us.ahrq.gov/home.jsp](http://www.hcup-us.ahrq.gov/home.jsp)),
recommending new tools or instructions to help users, or developing user
groups to share ideas.

The Contractor shall document user suggestions, analyze them and
communicate them to AHRQ. User suggestions should be logged in the user
database described in Section C.20.6. The suggestions should be flagged
and provided as technical support feedback in the quarterly Technical
Support and Outreach Statistics Report to AHRQ described in Section
C.20.7.

2.  []{#__RefHeading___Toc135712839 .anchor}Develop Impact Stories on
    the Value of HCUP Products

The Contractor shall develop stories of users for whom use of HCUP has
made a tangible difference. The story should describe how individuals or
organizations have utilized HCUP databases, software tools, reports, or
research results, and should demonstrate the impact that resulted from
their use. Priority interest should be given to stories that involve
improvement of quality and/or safety, better access to health care, or
greater efficiency. The Contractor shall identify potential user leads
from technical assistance inquiries and the user feedback task,
information collected during conference presentations, and from exhibit
booth activities. Information about possible user impact stories may
also come from AHRQ.

Users should be entered in the user database described in Section
C.20.6. Those who are potential targets for stories should be flagged in
the user database and evaluated for later contact. It is expected that
up to three contacts will need to be interviewed per period to develop
one lead story.

The Contractor shall contact the user and gain permission to use the
information. The Contractor shall obtain the necessary details and
develop the story to be suitable for dissemination to a broad audience.

3.  []{#__RefHeading___Toc135712840 .anchor}Demonstrate HCUP Value
    through Other Means

    []{#_Ref122154069 .anchor}

    1.  Locate and Review HCUP Publications

The Contractor shall search for and maintain a collection of HCUP
publications \-- published articles and reports that use or address HCUP
data, software tools and other HCUP products. The Contractor shall
employ a systematic approach to locating these publications. The Search
terms used under the previous contract to find publications that
reference HCUP will be provided to the Contractor by AHRQ. In Year 2,
the Contractor shall test and modify the list of search terms and
construct methods to find references to HCUP in publications. Articles
are published in peer-reviewed journals, professional forums,
newspapers, and magazines. Reports are published by Federal government
agencies (e.g., GAO), state governments, healthcare organizations (e.g.,
Blue Cross), etc.

The Contractor shall scan each publication to provide a brief review.
The publication review should identify any obvious errors in use or
citation of HCUP. Errors such as 1) obvious methodological errors (e.g.,
weights were not applied to obtain national estimates), 2) incorrect
citations/references, and inappropriate use of the data, 3) errors
citing / referencing the database or product, and 4) inappropriate use,
should be noted in the publications report.

The Contractor shall generate summary statistics on the numbers of
publications by HCUP product and publication type (journal article,
report, etc.) for the quarterly Technical Support and Outreach
Statistics Report described in Section C.20.7. It should include current
and trend statistics on publications by HCUP product (for each quarter
of current year and for previous years). With the approval of AHRQ, the
Contractor shall send to HCUP Partners hard copies of important
publications that are relevant to their specific SID, SASD, or SEDD
state data.

The Contractor shall develop a separate Publications Report with more
complete and detailed information on publications using HCUP. The report
shall list all publications generated over the past quarter.
Publications that use or cite HCUP wrongly should be flagged and coded
with the appropriate error category. Past volume of publications was 51
new publications in 2003; and 71 new publications in each of 2004 and
2005. The Publications Report will include:

-   Executive summary

-   Highlights

-   Full list of publications sorted by HCUP database or tool, including
    authors, dates, citations, Web link, HCUP product referenced, and a
    short summary of the content.

-   An Appendix with hard copies of each publication

    1.  []{#__RefHeading___Toc135712842 .anchor}Maintain a User Database

The Contractor shall maintain an electronic database with information on
user inquiries and technical support provided and usage of HCUP. The
Contractor shall receive the user database currently in existence for
HCUP that uses customer relationship management software developed under
the previous contract. For the first year of the contract, the
Contractor shall maintain the present system. The Contractor shall
assess the feasibility and cost-benefit of expanding the existing system
and of selecting or creating a new electronic system to add desired
items and/or capabilities not in the current system. With AHRQ approval,
the Contractor shall implement a new or revised database on users, uses
and impacts of HCUP. If implemented, the system should be operational by
the end of the first quarter of the second year of the contract.

Maintaining a user database of information has four major purposes:

1.  Document usage of technical support and HCUP products in order to
    provide statistics on current Technical Support activities and HCUP
    product use for future planning and development decisions for the
    project. The tracking will also help fulfill required AHRQ reporting
    needs, for example, the Government Performance and Results Act
    (GPRA).

2.  Document user suggestions and assessments of how the HCUP project
    could be improved.

3.  Follow up with select strategic users to assess the value and impact
    of HCUP products.

4.  Track impacts from HCUP use, such as reports published using HCUP,
    and policies developed as a result of using HCUP products.

The information to be kept in the database includes user (as allowed by
Government privacy regulations), user affiliation (university,
government agency, research organization, etc.), HCUP product (identify
the database, software tool, report, etc), issue addressed, method of
contact, level of response effort, and when obtainable, the purpose of
their use of HCUP and any resultant outcomes or actions that result from
it. Technical assistance requests that were resource-intensive should be
flagged.

The Contractor shall flag inquiries for special requests from priority
audiences and from public users who have high-profile or high-impact
work. These entries should be followed up, with outcomes entered in the
user database (see Section C.20.2.2 and C.20.2.1).

Records shall be kept for the maximum time allowed by Government record
keeping requirements. Allowable information should be kept for the
duration of the contract, for use in look backs and trend analyses.

The database should also serve as the source for information and
statistics to be generated quarterly in Technical Support and Outreach
Statistics Reports and other special reports for management purposes
(Described in Section C.20.7). The information in the user database
shall be set up so that information can be sorted by user or user's
organization, date, HCUP product category, assistance provided, outcome,
and other important variables. The system shall have the capability of
being searched by keywords. The user database shall be kept up-to-date,
with information entered promptly to allow tracking the completion of
technical assistance requests.

1.  []{#__RefHeading___Toc135712843 .anchor}Track HCUP Web site Visits

The Contractor shall maintain records on visits to HCUP Web sites in the
user database. There are three current principal Web sites: the HCUP
Technical Support homepage
([www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/)), the HCUPnet home
page
([www.hcup.ahrq.gov.hcupnet.asp](http://www.hcup.ahrq.gov.hcupnet.asp/)),
and AHRQ's HCUP home page
([www.ahrq.gov/data/hcup](http://www.ahrq.gov/data/hcup)). The
Contractor shall maintain WebTrends software or other Web analytic
software, to track statistics on the number of visits to the Web site by
domain type associated with users' internet provider (commercial,
educational, government, etc). AHRQ will provide the Contractor with
corresponding information on visits to the AHRQ HCUP Web page and
HCUPnet. Web site statistics are included in the quarterly Technical
Support and Outreach Statistics Reports.

2.  []{#__RefHeading___Toc135712844 .anchor}Record Counts of Subscribers

The Contractor shall maintain counts in the user database of the number
of subscribers to two web-based user lists: 1) the HCUP LISTSERV, which
is e-mail notification list maintained on the AHRQ Web site, and 2) the
HCUP mailing list, which is a postal address mailing list of people who
contacted the HCUP Central Distributor for database purchases and
support, who have not opted to be excluded from the list. AHRQ will
provide the Contractor with a quarterly count of active HCUP LISTSERV
subscribers to include in the quarterly Technical Support and Outreach
Statistics Report.

1.  []{#__RefHeading___Toc135712845 .anchor}Provide AHRQ with Technical
    Support and Outreach Statistics Reports

The Contractor shall aggregate and summarize all Technical Support and
information derived from the database of information on users and uses
of HCUP products (see Section C.20.6), into a Technical Support and
Outreach Statistics Report. This internal report will be provided to
AHRQ quarterly per calendar year for management purposes. It will
provide counts of user contacts by user affiliation, HCUP product that
help is needed for, level of difficulty of inquiry, and method of
contact, and other items deemed important by AHRQ or the Contractor. The
counts are to be provided for each quarter in the calendar year and from
one year earlier.

All outreach activities, presentations given, training sessions held,
and booths staffed, shall also be included in the quarterly report for
all events that took place in the previous quarter. The report should
provide an explanation of the activity, a description of the content,
audience, attendance, results, and any issues raised or suggestions for
improvements to the HCUP products, and an opinion as to whether this
activity, conference, meeting or session should be supported with a
similar activity, presentation or HCUP presence in the future.
Additional items to include are a list of attendees or participants with
contact information, frequently asked questions, and names of staff
involved. Information on the outcome and impact of the activity should
also be included when known. This information shall also be aggregated
and included in summary form in the Annual Report of HCUP Outreach
Activities described in Section C.24.3.

The report shall include a short Executive Summary, and a Highlights
section pointing out significant changes in usage statistics from
earlier times, or interesting trends. Suggestions for changes to HCUP,
presentations, materials or ideas of new HCUP products should be
included.

In summary, the internal report will typically include:

-   Executive Summary

-   Highlights with summaries

-   Number of HCUP database purchases by database by method of
    acquisition (purchase or complementary copy). (This information will
    be derived from the Central Distributor tracking system).

-   Technical assistance counts handled by Contractor and by Central
    Distributor by HCUP product, topic of inquiry, user affiliation,
    method of contact and level of response effort

-   Feedback comments and concerns about HCUP and its products

-   Counts of HCUP-US Web site visits

-   Number of subscriptions to HCUP web-based user lists (HCUP LISTSERV
    and Partner LISTSERV e-mail notification list and HCUP postal
    address mailing list)

-   Publication counts using HCUP products by HCUP product and type of
    publication

-   Outreach interventions

-   Impact of use of HCUP through technical support assistance

-   Impact on use of HCUP through outreach activities

-   Trend analysis by quarter, year to date and in comparison to
    previous year

21. []{#__RefHeading___Toc135712846 .anchor}DEVELOP EDUCATIONAL
    presentations AND TRAINING MATERIALS

***Task C.21- C.21.6.2 is an Option.***

AHRQ uses educational presentations to increase knowledge and training
about HCUP, its databases, software tools, and products among health
services researchers, policy analysts and decision makers. AHRQ has two
types of presentations currently in use for the HCUP project. The first
type, expository presentations were developed to describe HCUP to
audiences. The length of the presentation, the targeted audience and the
delivery venue determine the content. Shorter presentations are cursory
overviews of HCUP. Longer presentations are a full description of HCUP,
including databases and their development, software tools and their
applications, reports and their utility. The second type, technical
training presentations, was developed to teach audiences how to use HCUP
databases, software tools, and other tools to advance their research.
Technical training presentations demonstrate actual research
applications, applications of software tools and data runs. They usually
incorporate hands-on learning experiences for users. All presentations
require knowledge of the technical aspects of HCUP. Presentations must
also follow AHRQ Office of Communications and Knowledge Transfer (OCKT)
format guidelines.

These two types of presentations have been developed to be presented
either 1) in-person with or without transmitting through an electronic
medium, or 2) through electronic courseware. With the in-person
presentation alternative, the presentation will typically be a
PowerPoint slide show presented by either AHRQ staff or Contractor
technical staff, to an audience at a conference or workshop setting. On
occasion, the in-person presentation requires the audience to use
computers for training. The in-person presentation may also be delivered
as a web cast or webinar. A web cast is similar to a [broadcast
television](http://en.wikipedia.org/wiki/Television)
[program](http://en.wikipedia.org/wiki/Television_program) but designed
for [internet](http://en.wikipedia.org/wiki/Internet) transmission, and
transmits information in one direction only. In contrast, a webinar is
designed to be interactive between the presenter and audience. With a
webinar, a user can type in or call in questions or comments that the
presenter can address at the meeting. A web cast and a webinar are
\'live\' in the sense that information is conveyed according to an
agenda in real time, with a starting and ending time.

With electronic courseware, users typically access and use this form of
training independently without direct involvement from HCUP or
Contractor staff, and at their own convenience and schedule.

1.  []{#__RefHeading___Toc135712847 .anchor}Update Existing Presentation
    Masters

The Contractor shall update each existing presentation master annually
to make it accurate with regard to the current status of the HCUP
project. Existing presentations are shown in Table 7 by type of
presentation and type of delivery. The changes involve updating numbers,
dates, products and other regularly changing information that is in the
presentation. All six existing presentations shall be updated annually.

+-----------+-----------+----------+-----------+---+----------+---+-----------+
| Table 7   |           |          |           |   |          |   |           |
|           |           |          |           |   |          |   |           |
| *         |           |          |           |   |          |   |           |
| *EXISTING |           |          |           |   |          |   |           |
| ED        |           |          |           |   |          |   |           |
| UCATIONAL |           |          |           |   |          |   |           |
| PRE       |           |          |           |   |          |   |           |
| SENTATION |           |          |           |   |          |   |           |
| MASTERS** |           |          |           |   |          |   |           |
+===========+===========+==========+===========+===+==========+===+===========+
| Requiring |           |          | Requiring |   |          |   |           |
| In-Person |           |          | E         |   |          |   |           |
| Delivery  |           |          | lectronic |   |          |   |           |
| (live     |           |          | Delivery  |   |          |   |           |
| person)   |           |          | (co       |   |          |   |           |
|           |           |          | urseware) |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| Pre       | Targeted  | Delivery | Pre       |   | Targeted | D |           |
| sentation | Audience  | Venue    | sentation |   | Audience | e |           |
| De        |           |          | De        |   |          | l |           |
| scription |           |          | scription |   |          | i |           |
|           |           |          |           |   |          | v |           |
|           |           |          |           |   |          | e |           |
|           |           |          |           |   |          | r |           |
|           |           |          |           |   |          | y |           |
|           |           |          |           |   |          | V |           |
|           |           |          |           |   |          | e |           |
|           |           |          |           |   |          | n |           |
|           |           |          |           |   |          | u |           |
|           |           |          |           |   |          | e |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| HCUP      |           |          |           |   |          |   |           |
| E         |           |          |           |   |          |   |           |
| xpository |           |          |           |   |          |   |           |
| Pres      |           |          |           |   |          |   |           |
| entations |           |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| 45 -- 60  | Policy    | AHRQ     |           |   |          |   |           |
| minute    | and       | National |           |   |          |   |           |
| HCUP      | Decision  | Advisory |           |   |          |   |           |
| overview  | Makers    | Council, |           |   |          |   |           |
|           | (no       | HHS Data |           |   |          |   |           |
|           | n-primary | Council, |           |   |          |   |           |
|           | data      | GAO, OMB |           |   |          |   |           |
|           | users)    |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| 90 minute | Potential | National | 90 minute |   | Rese     | H |           |
| HCUP      | HCUP      | meetings | HCUP      |   | archers, | C |           |
| data,     | Res       | e.g.,    | data,     |   | Policy   | U |           |
| tools and | earchers, | Academy  | tools and |   | and      | P |           |
| research  | Policy    | Health,  | research  |   | Decision | - |           |
| products  | and       | HCUP     | products  |   | Makers   | U |           |
| overview  | Decision  | Partners | overview  |   | new to   | S |           |
|           | Makers    |          |           |   | HCUP     | W |           |
|           |           |          |           |   |          | e |           |
|           |           |          |           |   |          | b |           |
|           |           |          |           |   |          | s |           |
|           |           |          |           |   |          | i |           |
|           |           |          |           |   |          | t |           |
|           |           |          |           |   |          | e |           |
|           |           |          |           |   |          | o |           |
|           |           |          |           |   |          | r |           |
|           |           |          |           |   |          | C |           |
|           |           |          |           |   |          | D |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| 6 hour    | New HCUP  | National |           |   |          |   |           |
| (full     | Re        | meetings |           |   |          |   |           |
| day) HCUP | searchers | e.g.,    |           |   |          |   |           |
| training  |           | Academy  |           |   |          |   |           |
| with      |           | Health,  |           |   |          |   |           |
| p         |           | APHA,    |           |   |          |   |           |
| re-course |           | SGIM     |           |   |          |   |           |
| and       |           |          |           |   |          |   |           |
| methods   |           |          |           |   |          |   |           |
| seminars  |           |          |           |   |          |   |           |
|           |           |          |           |   |          |   |           |
| Suitable  |           |          |           |   |          |   |           |
| to be     |           |          |           |   |          |   |           |
| broken    |           |          |           |   |          |   |           |
| into 2 -- |           |          |           |   |          |   |           |
| 3 hour    |           |          |           |   |          |   |           |
| sessions  |           |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| HCUP      |           |          |           |   |          |   |           |
| Technical |           |          |           |   |          |   |           |
| Training  |           |          |           |   |          |   |           |
| Pres      |           |          |           |   |          |   |           |
| entations |           |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| 3         | Inte      | National |           |   |          |   |           |
| 90-minute | rmediate/ | organi   |           |   |          |   |           |
| segments  | Advanced  | zation's |           |   |          |   |           |
| e         | HCUP      | Web      |           |   |          |   |           |
| lectronic | Re        | sites    |           |   |          |   |           |
| Web cast  | searchers |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+
| 6 hour    | Inte      | National |           |   |          |   |           |
| (full     | rmediate/ | meetings |           |   |          |   |           |
| day)      | Advanced  | e.g.,    |           |   |          |   |           |
| "         | HCUP      | Academy  |           |   |          |   |           |
| hands-on" | Re        | Health,  |           |   |          |   |           |
| training  | searchers | SGIM,    |           |   |          |   |           |
| on        |           | AHRQ     |           |   |          |   |           |
| methods   |           | Seminars |           |   |          |   |           |
| of using  |           |          |           |   |          |   |           |
| HCUP for  |           |          |           |   |          |   |           |
| analyses  |           |          |           |   |          |   |           |
| with      |           |          |           |   |          |   |           |
| computer  |           |          |           |   |          |   |           |
| set ups   |           |          |           |   |          |   |           |
+-----------+-----------+----------+-----------+---+----------+---+-----------+

2.  []{#__RefHeading___Toc135712848 .anchor}Create and Update New
    Presentation Masters

AHRQ will use new presentations (including electronic courseware) to
reach new target audiences and new delivery venues. As with existing
presentations, new ones will be presented either by 1) in-person, or 2)
through interactive electronic courseware. New presentations may also be
delivered by a live person with modified electronic courseware, in a
"student-faculty" training session.

Once developed, the new presentations will also be updated annually to
make them accurate with regard to the current status of the HCUP
project. Additionally, if factual updates are required in between annual
updates, those minor edits should be made on a continuous basis. For
example, if the number of Partners changes, the master should be edited
to stay current so that the master can be used throughout the year as
the foundation for specific presentations. These edits are expected to
be very minor and consist only of factual edits.

The Contractor shall assess the merit of presentations after they have
been delivered and recommend in a written memo ways to improve the
presentations by modifying their design, organization and content. The
Contractor shall suggest modifications based on the usefulness of
individual presentations and how the presentations fit together as a
whole in fulfilling user needs. With AHRQ approval, the Contractor shall
annually modify selected existing masters to improve their content,
structure and presentation format.

Limited professional graphic and design support will usually be required
for development of new presentation materials.

The Contractor shall deliver initial, intermediate and final drafts of
all presentations. Each draft requires AHRQ approval.

1.  []{#__RefHeading___Toc135712849 .anchor}Create HCUP Training File

In Year 1, the Contractor shall create a HCUP de-identified mock file
for training purposes only, extracted from the NIS. This extraction will
be called the "de-identified training file". The de-identified training
file will be created so that there will be no risk of individual
hospital disclosure, and no risk of being used for a real analysis. The
term "de-identified" means that information considered to be protected
health information (PHI), as defined under the HIPAA Privacy Rule will
be removed. For training purposes, the file will need to have
similarities to the NIS and contain the same types of data elements;
however, all actual information should be altered in a way to render it
useless for research, i.e., fake. No more than 100,000 observations will
be included in the mock file. Documentation similar to the NIS will be
included with delivery of the file. The Contractor shall make available
250 copies of the mock file and documentation on CD with warnings that
clearly notify users that the data is "not real" and cannot be used for
research or aggregate statistical reporting. No data use agreement will
be required for use of the de-identified training file. (See Table 8.)

2.  []{#__RefHeading___Toc135712850 .anchor}Create 3-Part
    Intermediate/Advanced Level Electronic Courseware

In Year 3, the Contractor shall conceptualize and develop a three part,
electronic training course (See Table 8.) under HCUP Technical Training
Presentations). Each part should be approximately 90 minutes long and
should be based on the existing 90-minute segments already developed as
a presenter-led Web cast. The courseware should be geared to an
intermediate or advanced level HCUP user who is at a masters or
post-graduate level, and should be designed to follow the existing 90
minute stand-alone electronic overview. The new training course should
provide health services researchers with in-depth knowledge of how to
use HCUP databases, software tools and products and documentation to
conduct their analyses. The users will access the training
electronically from the HCUP-US Web site and/or a CD. Their training
will be independent and self-guided, and available to them 24/7. The
courseware shall be updated annually to reflect changes in HCUP facts.

Limited professional graphic and design support will be required for
development of electronic courseware materials. Services from a firm
specializing in computer based training may be desirable.

3.  []{#__RefHeading___Toc135712851 .anchor}Assess and Apply New
    Technologies for Training

In Year 4, the Contractor shall assess current technologies used for
electronic training, and in a short report, make recommendations to AHRQ
on new electronic mediums or approaches to use for training purposes.
Based on AHRQ preferences, the Contractor shall create a new electronic
teaching tool in Year 5. The tool shall be used on the HCUP-US Web site
or CD or another medium using appropriate technology of that time (See
Table 8 "Teaching tool TBD based on current technology" under HCUP
Technical Training Presentations).

Professional graphic and design support may be required for development
of electronic training tool.

+---------+----------+-------+----------+---+-------------------+-------+
| Table 8 |          |       |          |   |                   |       |
|         |          |       |          |   |                   |       |
| **NEW   |          |       |          |   |                   |       |
| EDUC    |          |       |          |   |                   |       |
| ATIONAL |          |       |          |   |                   |       |
| PRESE   |          |       |          |   |                   |       |
| NTATION |          |       |          |   |                   |       |
| MA      |          |       |          |   |                   |       |
| STERS** |          |       |          |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
| Re      |          |       | R        |   |                   |       |
| quiring |          |       | equiring |   |                   |       |
| in      |          |       | El       |   |                   |       |
| -Person |          |       | ectronic |   |                   |       |
| D       |          |       | Delivery |   |                   |       |
| elivery |          |       | (cou     |   |                   |       |
| (live   |          |       | rseware) |   |                   |       |
| person) |          |       |          |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
| Prese   | Targeted | Del   | Pres     | T |                   | Del   |
| ntation | Audience | ivery | entation | a |                   | ivery |
| Desc    |          | Venue | Des      | r |                   | Venue |
| ription |          |       | cription | g |                   |       |
|         |          |       |          | e |                   |       |
|         |          |       |          | t |                   |       |
|         |          |       |          | e |                   |       |
|         |          |       |          | d |                   |       |
|         |          |       |          | A |                   |       |
|         |          |       |          | u |                   |       |
|         |          |       |          | d |                   |       |
|         |          |       |          | i |                   |       |
|         |          |       |          | e |                   |       |
|         |          |       |          | n |                   |       |
|         |          |       |          | c |                   |       |
|         |          |       |          | e |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
| HCUP    |          |       |          |   |                   |       |
| Te      |          |       |          |   |                   |       |
| chnical |          |       |          |   |                   |       |
| T       |          |       |          |   |                   |       |
| raining |          |       |          |   |                   |       |
| Presen  |          |       |          |   |                   |       |
| tations |          |       |          |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
| HCUP    | Exp      | Nat   |          |   |                   |       |
| De-ide  | erienced | ional |          |   |                   |       |
| ntified | Health   | mee   |          |   |                   |       |
| t       | Care     | tings |          |   |                   |       |
| raining | Database | or    |          |   |                   |       |
| file    | Res      | AHRQ  |          |   |                   |       |
|         | earchers | Of    |          |   |                   |       |
|         |          | fices |          |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
|         |          |       | 3 Part   |   | Inte              | HC    |
|         |          |       | (9       |   | rmediate/Advanced | UP-US |
|         |          |       | 0-minute |   | HCUP Researchers  | Web   |
|         |          |       | s        |   |                   | site  |
|         |          |       | egments) |   |                   | or CD |
|         |          |       | El       |   |                   |       |
|         |          |       | ectronic |   |                   |       |
|         |          |       | Training |   |                   |       |
|         |          |       | Course   |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+
|         |          |       | Teaching |   |                   | HC    |
|         |          |       | tool TBD |   |                   | UP-US |
|         |          |       | based on |   |                   | Web   |
|         |          |       | current  |   |                   | site  |
|         |          |       | te       |   |                   | or CD |
|         |          |       | chnology |   |                   |       |
+---------+----------+-------+----------+---+-------------------+-------+

3.  []{#__RefHeading___Toc135712852 .anchor}Customize Masters for
    Specific Presentations

Existing and newly developed master presentations (including courseware)
will serve as the foundation and be customized for specific
presentations. Customizing the masters will enable each presentation to
be tailored to specific audiences and venues. AHRQ maintains a library
of previous master and customized presentations which can serve as a
reference for future customization. For example, the 90 minute master is
used as a starting point for an overview of HCUP at the AcademyHealth
Annual Research Meeting. After customizing for the audience and venue,
the meeting-specific presentation is maintained in the HCUP files. In
the following year, the Contractor should use the most current master
and review the previous years' AcademyHealth presentation to most
efficiently prepare a new AcademyHealth presentation.

1.  []{#__RefHeading___Toc135712853 .anchor}Customize Presentations

The Contractor shall customize the content of presentations to fit the
audience and venue of most presentation deliveries. Each time HCUP is
presented to a new special interest group, the Contractor shall select a
presentation master, and tailor it to the specific needs of the audience
and venue. The presentation selected as a master for customization shall
be based on the length and type of presentation desired by AHRQ to be
delivered. Research examples provided in the presentation shall be
tailored to the interests of the audience. For example, if a 90 minute
presentation were desired for clinicians at the American Pediatric
Association, the Contractor may use the existing 90 minute overview
presentation as a template, and customize its focus to reflect the
interests of that audience.

AHRQ anticipates that most new conferences, meetings and special
sessions will require customizing existing presentation templates.
Presentations will also need to be customized for audiences recommended
for outreach efforts (see Section C.24.1).

In Years 1 and 2, AHRQ anticipates five presentations will require
customization each year. In Years 3, 4 and 5, eight presentations will
require customization each year. The presentations selected for
customization will be determined by AHRQ staff independently and/or with
the Contractor.

4.  []{#__RefHeading___Toc135712854 .anchor}Provide all Presentation
    Materials and Equipment

    1.  []{#__RefHeading___Toc135712855 .anchor}Develop Written Support
        Materials

The Contractor shall provide all written materials associated with a
presentation. These materials include writing and submitting abstracts,
announcements, invitations, handouts, flyers, information packets, and
background analyses, etc. making sure that all materials contain
up-to-date, accurate technical information about HCUP. Written materials
and general HCUP materials will be required for most presentations, and
will need to be tailored for the specific audiences.

Professional graphic and design support may be required for development
of some written materials.

2.  []{#__RefHeading___Toc135712856 .anchor}Supply Presentation
    Equipment

The Contractor shall provide or arrange provision of all equipment
associated with a presentation. This equipment may include displays,
signs, posters, banners, and other presentation materials.

5.  []{#__RefHeading___Toc135712857 .anchor}Document Presentations

Contractor shall provide an annual report that lists the presentations
(including courseware) by name, with a description of them based on
length, targeted audience, delivery venue, and its electronic document
name. The dates and specific audiences for which they were used (e.g.,
June 2006 AcademyHealth Health Methods Seminar) should be listed for
each presentation. This list will be used to keep track of
presentations, and to help AHRQ and Contractor staff decide which
presentations to be used as templates for modification and customizing.

6.  []{#__RefHeading___Toc135712858 .anchor}Represent HCUP at
    Conferences, Meetings and Other Venues

In addition to the expository and training presentations, the Contractor
shall represent HCUP at conferences, meetings and at other venues for
promotion and dissemination of HCUP and its products. The Contractor
shall work with AHRQ to plan and implement outreach to established and
new audiences to educate them about HCUP resources.

1.  []{#__RefHeading___Toc135712859 .anchor}Deliver In-Person Expository
    and Training Presentations

In Years 1 and 2, the Contractor shall make 8 presentations per year at
conferences, meetings and other venues, to educate a variety of
audiences (health service researchers, policy analysts, decision makers,
social scientists, clinicians, etc.) about HCUP, its applications and
the benefits of its use, and to teach select audiences how to actually
use HCUP databases and software tools. The number of presentations will
increase to 10 for years 3 through 5. See Table 9 below. The expository
presentations will range from basic overviews to advanced explanations
of HCUP, using the 45- 60 minute, 90 minute, and all day, PowerPoint
slide shows developed, updated, modified and/or customized in Section
C.21. In the past, presentations have been made at Academy Health,
Society of General Internal Medicine (SGIM), National Association of
Health Data Organizations (NAHDO), American Public Health Association
(APHA), as well as any new meetings or venues that are suggested by the
Contractor and/or by AHRQ. The training presentations will usually be a
full day and will provide HCUP users with computer based hands-on
experience generating data and using software tools.

The Year 1 and Year 2 presentations are summarized in Table 9.

+----------+----------+--------------+--------------------------------+
| Table 9  |          |              |                                |
|          |          |              |                                |
| **I      |          |              |                                |
| N-PERSON |          |              |                                |
| ANNUAL   |          |              |                                |
| PRESE    |          |              |                                |
| NTATIONS |          |              |                                |
| BY       |          |              |                                |
| LENGTH   |          |              |                                |
| AND      |          |              |                                |
| AU       |          |              |                                |
| DIENCE** |          |              |                                |
+----------+----------+--------------+--------------------------------+
| Number   |          | Length       | Audience                       |
| of       |          |              |                                |
| Prese    |          |              |                                |
| ntations |          |              |                                |
+----------+----------+--------------+--------------------------------+
| Year 1   | Year 3   |              |                                |
| -- 2     | -- 5     |              |                                |
+----------+----------+--------------+--------------------------------+
| 2        | 3        | 45-60        | Policy Analysts, Decision      |
|          |          | minutes      | Makers, Intro for Researchers  |
+----------+----------+--------------+--------------------------------+
| 3        | 3        | 90 minutes   | Policy Analysts, Decision      |
|          |          |              | Makers, Partners, Intro for    |
|          |          |              | Researchers                    |
+----------+----------+--------------+--------------------------------+
| 3        | 4        | Full day     | Researchers/Technical          |
+----------+----------+--------------+--------------------------------+
| 8 Total  | 10 Total |              |                                |
+----------+----------+--------------+--------------------------------+

Prior to presenting, Contractor staff may observe an AHRQ led
presentation. The Contractor staff may initially co-present with AHRQ
staff, and eventually transition to presenting without AHRQ staff
present for most meetings. Contractor staff shall provide at least one
dry-run presentation to obtain AHRQ input on content and delivery style
prior to the first time individual Contractor staff members deliver any
public presentations.

The Contractor staff presenting or exhibiting shall have the following
expertise: (1) working knowledge of and experience with all public HCUP
databases (i.e., SID, SASD, SEDD, NIS, and KID), (2) In depth knowledge
of the types of research that could be conducted with each database; (3)
knowledge of how to obtain the HCUP databases and the application
process; (4) experience running HCUPnet and ability to answer related
questions; and (5) knowledge of other HCUP-related products (e.g., CCS,
AHRQ QIs, Fact books), and (6) complete knowledge of the PowerPoint
slide shows and teaching tools in described in Section C.21, and
familiarity with the content of each presentation, such as the HCUP
45-60 minute, 90 minute, half day, and all day slide shows.

Contractor staff training audiences with hands-on HCUP use should
additionally have the following expertise: (1) experience in using
statistical programs such as SAS, SPSS or SUDAAN, and (2) complete
familiarity with how to use HCUP databases and software tools.

The Contractor should assume that AHRQ will need two Contractor staff to
co-present with AHRQ staff when the conference is a full day event. A
Contractor senior-level researcher and intermediate-level researcher
will be required. For shorter presentations, one Contractor staff member
will team with AHRQ to deliver the presentations. In some cases the
Contractor shall present without AHRQ staff present for meetings. When
AHRQ staff are not present, there shall be two Contractor staff per
presentation, and as with the full day event, they shall be a senior-
and intermediate-level researcher.

2.  []{#__RefHeading___Toc135712860 .anchor}Represent HCUP at Exhibit
    Booths

The Contractor shall represent HCUP at up to 8 conference exhibit booths
per year. In staffing the exhibit booths, the Contractor shall present
and distribute promotional materials to inform conference attendees of
HCUP databases and products. The Contractor shall staff the exhibit
booth with two full-time equivalent (FTEs) staff persons for the entire
exhibit period for each conference attended. Between the two FTEs,
exhibit booth staff will have the following expertise: (1) technical
knowledge of and experience with all public HCUP databases (NIS, KID,
SID, SASD and SEDD) and basic understanding of the differences among
these databases, (2) general knowledge of the types of research that
could be conducted with each database; (3) understanding of how to
obtain the HCUP databases and the application process; (4) experience
running HCUPnet and ability to answer related questions; and (5)
familiarity of other HCUP-related products (e.g., CCS, AHRQ QIs, Fact
books). While providing information about HCUP, the Contractor shall
record leads for user impact stories among booth visitors. (See Section
C.20.4.2.)

The Contractor shall be responsible for providing all materials,
including actual presentations (PowerPoint or other electronic medium)
as per section C.21, podium signs, handouts and promotional items based
on the expected numbers of attendees. Handouts and promotional items
include folders, brochures, flyers, printed reports, and promotional
items. The Contractor shall recommend the handout and promotional
materials to furnish at each presentation and booth, with AHRQ making
the final decision. Materials will vary by audience. Most standard HCUP
printed materials will be provided by AHRQ. The Contractor shall develop
new materials that AHRQ does not have, but that would aid promotional
activities. Some graphics and design support may be required for
promotional materials. The Contractor shall be responsible for
transporting all materials to and from the sessions, and setting up and
taking down HCUP displays.

The Contractor shall work through HCUP staff with the AHRQ's OCKT staff
to ensure compliance with AHRQ rules and to coordinate exhibit booth
space sharing, when at AHRQ exhibit booths. When necessary The
Contractor shall also work through HCUP staff with OCKT staff to secure
exhibit booth space, coordinate logistics of exhibit booth set-up and
breakdown, and ensure delivery of materials and equipment at conference
sites.

Three business days following the close of booth activities, the
Contractor shall e-mail a memo to AHRQ briefing them about the issues
raised during the activity, and include a list of booth visitors with
contact information, frequently asked questions, suggestions for HCUP,
and the Contractor's suggestions for improving future booth activities.
The Contractor shall summarize the booth experience in the quarterly
Technical Support and Outreach Statistics Report (described in Section
C.20.7) and Annual Report of HCUP Outreach Activities (described in
Section C.24.3).

The Contractor shall budget for the required travel for presentations
and exhibitions using real locations of expected conferences where
possible (e.g., the AcademyHealth and SGIM conferences 2007, and each
year thereafter). Travel budget should include travel for two people to
eight locations outside of the DC area each year for presentations and
exhibits. It can be assumed that six presentations and six exhibit booth
activities per year will overlap. Travel costs and assumptions may be
adjusted accordingly as long as sufficient staff is provided for exhibit
booths.

22. []{#__RefHeading___Toc135712861 .anchor}MAINTAIN AND CREATE SOFTWARE
    TOOLS

As part of the HCUP project, various software tools are made available
to users that can be employed with HCUP and with other administrative
data to improve the ease of use and usefulness of its databases. The
software tools are posted on the HCUP-US Web site
(<http://www.hcup-us.ahrq.gov/tools_software.jsp>) where documentation
for each is available and files can be downloaded. These files include
SAS programs and files for categorizing ICD-9-CM, ICD-10, and CPT codes
in various ways. The Contractor shall maintain and update these software
tools, create new ones, and ensure that all the tools are available in a
user-friendly form. Currently, there are seven software tools which will
require Contractor maintenance. Over the course of the contract, the
Contractor shall create and maintain three additional software tools.

The "Tools & Software" page of the HCUP-US Web site provides details
about all currently available tools. Note that links to two tools
developed but maintained outside the HCUP contract (AHRQ Quality
Indicators and HCUPnet) are also included on this webpage. Web site
links to these two tools will be continued, but their maintenance will
not be part of this contract. A third tool, the cost-to-charge ratio
file is maintained under a different section of the contract (See
Section C.14.1)

The software tools maintenance and development tasks require the
services of expert programmers, medical coding specialists and
clinicians. In addition, skills in writing are required to ensure that
documentation is clear and understandable.

1.  []{#__RefHeading___Toc135712862 .anchor}Maintain and Update Existing
    Software Tools

The Contractor shall maintain and update existing software tools for use
with HCUP data and other administrative data. The Contractor shall
continue to make the software tools available on the HCUP-US Web site.
The existing software tools are:

1)  Clinical Classifications Software (CCS). The CCS provides a method
    for classifying ICD-9-CM diagnosis and procedure codes into
    clinically meaningful categories for aggregate statistical
    reporting. CCS consists of two related classification systems,
    single level and multi-level. The single-level CCS aggregates
    diagnoses and procedures into homogeneous, mutually exclusive
    categories. The multi-level CCS expands codes into a hierarchical
    system.

2)  CCS-ICD-10. This software tool assigns ICD-10 diagnosis codes (used
    for mortality reporting) to the CCS diagnosis categories.

3)  CCS-MHSA. This software tool re-assigns ICD-9-CM diagnosis codes for
    mental health and substance abuse to a new set of categories. The
    tool includes a SAS program that users can employ to reassign the
    original CCS categories pertaining to mental health and substance
    abuse to the new CCS-MHSA categories, as well as a SAS program to
    apply the CCS-MHSA to data that do not currently have the original
    CCS assignments.

4)  CCS-CPT. This tool assigns CPT-4 procedure codes to the CCS
    procedure categories. (Because CPT (Current Procedural Terminology)
    is a proprietary product of the American Medical Association, users
    who wish to download the CCS-CPT are required to agree to a
    "point-and-click" license agreement on the HCUP-US Web site).

5)  Comorbidity Software. This software tool assigns variables that
    identify coexisting conditions on hospital discharge records. It is
    composed of two SAS programs: one to create formats for the ICD-9-CM
    diagnoses and Diagnosis-Related Groups (DRGs) and the other to apply
    these formats to discharge data.

6)  Procedure Classes. This software tool assigns ICD-9-CM procedures to
    four mutually exclusive categories: major therapeutic, minor
    therapeutic, major diagnostic, and minor diagnostic.

7)  Chronic Conditions. This tool designates all ICD-9-CM diagnosis
    codes as chronic or not chronic.

The Contractor shall maintain and update these existing software tools,
by reviewing them annually to ensure that the most recent coding systems
are accommodated. ICD, DRG and CPT codes undergo at minimum annual
updates that require corresponding updates to these tools. ICD and DRG
updates are made available in the summer of every year and go into
effect on October 1 for the following fiscal year (e.g., FY 2006 changes
went into effect October 1, 2005). In the future it may be possible that
there will be mid-year updates of the ICD-9-CM and DRG systems. Should
this occur, the tools will be updated on a mid-year basis as well. CPT
codes are updated on July 1 of each year.

The Comorbidity Software tool should be updated first and made available
prior to the other tools because another AHRQ product (the AHRQ Quality
Indicators under separate contract) relies on it.

A staggered delivery timeline should be developed by the Contractor and
all updates for the ICD-based tools should be completed by October 1 of
the relevant fiscal year (i.e., FY 2007 changes should be incorporated
into the tools by October 1, 2006). Thus, some of the tool updates will
be completed prior to October 1. The CCS-CPT tool will be completed by
August 1 of each year in which the new codes go into effect. All aspects
of each software tool should be reviewed at this time to ensure they are
up-to-date, including programs, format libraries, online documentation
and instructions. In addition, throughout the year, the Contractor shall
make enhancements, revisions, and corrections based on feedback from
users, as directed by the Project Officer. All software tools and their
documentation should be designed for the HCUP-US Web site, with special
attention to making the tools easy to use and accessible to a wide range
of users.

Prior to the release of all updated tools, the Contractor shall perform
a thorough double check of all changes to the tools and test the tools
on data to check their accuracy and to ensure that no errors have been
introduced.

1.  []{#__RefHeading___Toc135712863 .anchor}Perform Tool-related
    Activities and Improvements

The Contractor shall maintain and update a software tool development
logistics document which outlines how the tools are maintained and
updated, how they are checked for accuracy, and the process used to make
them publicly available. The logistics document is approximately 5 pages
and should be updated at least annually or whenever there is a change in
the processes required for tool development and maintenance. The
Contractor will be given access to the existing mimeo on award of the
contract.

The Contractor shall review the software tool development logistics to
ensure that the process is efficient and accurate. During the first year
of the contract and for each new tool thereafter, the Contractor shall
critically evaluate the processes employed. The objective is to identify
how the processes can be improved in terms of accuracy (with
double-checks and safeguards built in) and timeliness. With AHRQ
approval, the Contractor shall implement changes to improve the
processes.

2.  []{#__RefHeading___Toc135712864 .anchor}Create New Software Tools

***Task C.22.3 is an Option.***

The Contractor shall develop new software tools for use with HCUP and
other administrative data. The Contractor shall create three new
software tools over the course of the contract, one in each of years 2,
3, and 4. Some of the concepts for software tools will originate from
AHRQ research staff, but it is expected that some of the concepts will
originate from the Contractor as well. AHRQ anticipates new tools to
emerge from analyses and research studies conducted by AHRQ or by the
Contractor. Experience has shown that the software tools are often
useful to outside researchers. The Contractor shall develop and release
each new software tool in a user-friendly manner with complete and
helpful documentation. Typically, a new software tool would be used or
described in a published article or government publication associated
with research conducted by AHRQ or contract staff. However some may be
developed and released on a faster track.

The following are examples of the types of software tools that are
likely to be created over the course of the five-year contract:

1)  Kids' CCS. This tool will modify the existing CCS in order to
    develop categories of diagnoses that are relevant to children's use
    of health care services. It is expected that the following process
    would be employed in developing this tool:

-   Apply the existing CCS diagnosis classification to the most recent
    Kid's Inpatient Database (KID) and examine those categories that
    currently do not capture children's care.

-   Review materials provided by AHRQ on a previous attempt to create a
    Kids' CCS.

-   With clinical and coding consultation, and using an iterative
    process that involves experimenting with various groupings of
    ICD-9-CM codes, develop CCS diagnosis categories that describe
    children's care in hospitals. Ideally, this will entail consulting
    with a panel of clinicians regarding logical and meaningful
    categories.

-   The total number of categories should be on the order of the current
    diagnosis CCS (approximately 250 - 300).

2)  ICD-10-CM version of the CCS. When ICD-10-CM becomes the new
    standard for health care data (possibly as early as 2009), a CCS
    tool should be developed specifically for the new coding system. The
    current CCS for ICD-10 can be used as a starting point for the
    diagnosis system, but the procedure system will have to be created.

3)  A compilation of statistical programs that can be applied directly
    to HCUP data so that users can easily generate statistics. Such
    programs could include frequencies and cross-tabulations,
    multivariate regression models, and hierarchical models. Some
    programs would include references to the software tools described
    above.

4)  Templates for annual reports. See section C.23.3 for a description
    of Annual Reports. Once an Annual Report becomes established there
    will be a SAS program associated with it that will be used annually
    to generate the report. This SAS program will be made available on
    the HCUP-US Web site so that HCUP Partners and others may use it to
    generate comparable reports based on their own data.

Prior to the release of all new tools, the Contractor shall perform
thorough double checks and tests of them. This quality control process
is briefly described in Section C.22.1. The Contractor shall write all
the documentation associated with the software tool (overviews,
descriptions, details, methods of use, etc.). The Contractor shall post
the completed tool and its documentation on the HCUP-US Web site.

23. []{#__RefHeading___Toc135712865 .anchor}conduct DATA analyses and
    Write analytic Reports

Reports are an important means of communicating and disseminating
information about HCUP and information derived from it to existing and
potential HCUP users. The reports describe HCUP data and research;
present statistics, analyses and findings; and provide special technical
analyses. Timely reports with information on healthcare quality, safety,
effectiveness and efficiency can impact decisions that inform health
care in the United States. Showcasing the HCUP project through relevant,
well-written reports properly disseminated is a critical function.

Several types of reports are already being generated on a regular basis.
New series of reports have been formulated for development. The goal of
the mix of series is for HCUP information to reach a wide range of
audiences through a variety of publications, electronic and print. The
reports within each series must be developed at a regular interval and
in a timely fashion.

1.  []{#__RefHeading___Toc135712866 .anchor}Special Technical Reports

[Special Technical Reports]{.underline} enable exploration of an
HCUP-related topic in some detail. The reports cover a broad range of
topics, often exploring specific data elements or methods used in HCUP
and are distinct from the technical documentation created for the
databases. Reports become part of the HCUP Methods Series
([www.HCUP-us.ahrq.gov/reports/methods.jsp](http://www.hcup-us.ahrq.gov/reports/methods.jsp)).
Special Analyses are developed by contract staff in close collaboration
with HCUP staff.

Examples of previously written Special Technical Reports include:

-   A study that examined the use of E codes in injury-related
    discharges across states participating in HCUP. The report can be
    found at: <http://www.hcup-us.ahrq.gov/reports/2004_6.pdf>

-   An analysis that scrutinized the use of the HCUP Nationwide
    Inpatient Sample for trend analysis over the time covered by HCUP
    data. This report resulted in the development of alternative weights
    for earlier years of data to compensate for changes in the sampling
    and weighting strategy for the NIS that occurred in 1998. The report
    can be found at:
    <http://www.hcup-us.ahrq.gov/reports/TrendReport2005_1.pdf> and the
    alternative weights can be found at:
    <http://www.hcup-us.ahrq.gov/db/nation/nis/trendwghts.jsp>

-   An exploration of the use of observation status in HCUP hospitals.
    The report can be found at:
    <http://www.hcup-us.ahrq.gov/reports/FinalReportonObservationStatus_v2Final.pdf>.

-   A study examines the use of the "present on admission" (POA)
    indicator for secondary diagnoses, comparing this indicator to
    selected AHRQ Patient Safety Indicators (PSIs). The purpose of the
    study currently underway is to examine the extent of agreement
    between the PSIs and the POA indicator in identifying potential
    complications of care and to assess to what extent hospitals change
    rankings when using the PSIs versus the POA indicator.

Examples of new Special Technical Analyses include:

-   Studies that make use of geographic information systems (GIS)

-   Modeling efficiency measures: severity-adjusted costs,
    severity-adjusted length of stay (LOS)

-   Evaluations of the extent to which HCUP (and the administrative data
    on which it is based) can be used for syndromic surveillance

-   Evaluations of the accuracy of race/ethnicity coding in HCUP data
    (e.g., compare race coding in HCUP data to race coding in Medicare
    data, at a hospital level)

-   Evaluations of the extent to which episodes of care can be created
    using HCUP and other administrative data

-   Tools that help users to make better use of HCUP data

-   Examinations of data quality and practices that will help states to
    improve the quality of their data

-   Examinations of current outpatient physician data collection efforts
    with the intent to provide guidance to other states interested in
    embarking on collection of physician office data

The Contractor shall post the final PDF report on the HCUP-US Web site.
Special Analyses are web-based only but may result in manuscripts to be
submitted for publication into peer-reviewed journals. No professional
layout and design services are required.

The Contractor shall develop and write one new Special Technical
Analysis Report in Year 1 of the contract, and two Reports per year
beginning in Year 2 as shown in Table 10.

+-------------+---------+---------+---------+---------+------------+
| Table 10    |         |         |         |         |            |
|             |         |         |         |         |            |
| **DATA      |         |         |         |         |            |
| ANALYSES    |         |         |         |         |            |
| AND         |         |         |         |         |            |
| ANALYTIC    |         |         |         |         |            |
| REPORTS**   |         |         |         |         |            |
+-------------+---------+---------+---------+---------+------------+
| **Task**    | Year 1  | Year 2  | Year 3  | Year 4  | Year 5     |
+-------------+---------+---------+---------+---------+------------+
|             |         | R       |         |         |            |
|             |         | eassess |         |         |            |
|             |         | all     |         |         |            |
|             |         | report  |         |         |            |
|             |         | series  |         |         |            |
+-------------+---------+---------+---------+---------+------------+
|             |         | Develop |         |         |            |
|             |         | plan    |         |         |            |
|             |         | for     |         |         |            |
|             |         | reports |         |         |            |
|             |         | series  |         |         |            |
+-------------+---------+---------+---------+---------+------------+
| **Existing  |         |         |         |         |            |
| Reports**   |         |         |         |         |            |
+-------------+---------+---------+---------+---------+------------+
| FACT BOOKS  | 1 per   | 1 per   | 1 per   | 1 per   | 1 per year |
|             | year    | year    | year    | year    | AHRQ-led   |
|             | A       | A       | A       | A       |            |
|             | HRQ-led | HRQ-led | HRQ-led | HRQ-led | 1 per year |
|             |         |         |         |         |            |
|             |         | 1 per   | 1 per   | 1 per   | Cont       |
|             |         | year    | year    | year    | ractor-led |
|             |         |         |         |         |            |
|             |         | Contrac | Contrac | Contrac |            |
|             |         | tor-led | tor-led | tor-led |            |
+-------------+---------+---------+---------+---------+------------+
| STATISTICAL | 9 per   | 12 per  | 12 per  | 12 per  | 12 per     |
| BRIEFS      | year    | year    | year    | year    | year       |
+-------------+---------+---------+---------+---------+------------+
| **New       |         |         |         |         |            |
| Report      |         |         |         |         |            |
| Series**    |         |         |         |         |            |
+-------------+---------+---------+---------+---------+------------+
| ANNUAL      | 1 per   | 1 per   | 1 per   | 1 per   | 1 per year |
| RESEARCH    | year    | year    | year    | year    |            |
| REPORTS     |         |         |         |         |            |
+-------------+---------+---------+---------+---------+------------+
| SPECIAL     | 1 per   | 2 per   | 2 per   | 2 per   | 2 per year |
| TECHNICAL   | year    | year    | year    | year    |            |
| ANALYSIS    |         |         |         |         |            |
| REPORTS     |         |         |         |         |            |
+-------------+---------+---------+---------+---------+------------+

1.  []{#__RefHeading___Toc135712867 .anchor}Write Descriptive and
    Analytic Reports for Multiple HCUP Series

***Task C.23.2 is an Option.***

In Year 1, the Contractor shall write the reports for the existing and
new series as described below. In Year 2, as covered in Section C.23.3,
the Contractor shall assess the adequacy of these two sets of report
series in meeting AHRQ's goal of reaching and providing coverage about
HCUP to a full range of constituents. At that time, the Contractor shall
develop a plan with recommendations on the combination of series of
reports to suit appropriate audiences, with report frequencies and
methods of dissemination. When recommendations from that plan are
implemented, there may be minor changes to the report descriptions, and
frequency and methods of distribution noted below.

1.  []{#__RefHeading___Toc135712868 .anchor}Existing Report Series

Two series of descriptive and analytic reports have already been
developed and a number of reports from each series have been written and
disseminated. These series are a regular

HCUP product with periodic production of reports at established times.
The reports in each series are published and/or placed on the HCUP-US
Web site
([www.hcup-us.ahrq.gov/reports.jsp](http://www.hcup-us.ahrq.gov/reports.jsp))
at somewhat regular intervals.

The Contractor shall write the reports in the existing series as
described below at the frequencies indicated. However, as mentioned,
there may be slight modifications to the characteristics of the series
and their dissemination frequencies based on the comprehensive report
series' assessment conducted in Year 2 described in Section C.23.3. The
existing reports will continue to use the same design template and
layout.

The existing report series are:

1\. [Fact Books]{.underline} are descriptive publications that use
graphics and minimal text in bullets to provide aggregate statistical
information created from HCUP data in a format that is easily
understood. Topics are of fairly broad interest to researchers and
policymakers. A relatively brief executive summary provides an overview
of findings for each Fact Book and can make use of "call-out" text to
focus on specific pieces of information that are most relevant. Fact
Books are developed by contract staff in close collaboration with HCUP
staff. A print-ready file is made available to AHRQ and a web-ready file
is produced for the HCUP Web site. Fact Books require professional
graphic and design services provided through the contract. An example of
a Fact Book can be found at:
<http://www.ahrq.gov/data/hcup/factbk6/factbk6.pdf>

The Contractor shall assist AHRQ staff in the development of a Fact Book
each year. The Contractor's responsibility will be to support AHRQ staff
by advising, generating data, and performing analyses and other
research. Additionally, the Contractor shall lead development of one new
Fact Book each year with AHRQ staff input, beginning in Year 2 of the
contract.

2\. [Statistical Briefs]{.underline} are quick, easy-to-read summaries
of HCUP data, 1 -- 2 pages of text plus graphics (5 -- 6 pages each),
suitable for a policy or non-technical audience and available only on
the HCUP Web site or through electronic dissemination. They will usually
be developed so that they are suitable to use for the AHRQ "News and
Numbers" series which is aimed at a general and trade journalistic
audience "[News and Numbers](http://www.ahrq.gov/news/newsnumix.htm)".
Some statistical briefs can be drawn from existing publications such as
Fact Books and the Annual Research Reports (described below). The
Contractor should allow one week for each approval step from AHRQ for
this report series only. Examples of [Statistical
Briefs](http://www.hcup-us.ahrq.gov/reports/statbriefs.jsp) can be found
on the HCUP-US Web site.

The Contractor shall develop one new Statistical Brief per month for
each year of the contract, starting with month 3 following award.
Depending on the availability of funding, additional Statistical Briefs
may be produced.

2.  []{#__RefHeading___Toc135712869 .anchor}New Report Series

[Annual Research Reports]{.underline} are a new approach for
disseminating information about HCUP. Annual Reports will be web-based
documents that will present interesting summary statistics on a variety
of topics. Some of the statistics may be drawn from publications such as
the Hospitalization Fact Book (see Section C.23.2 and
[http://www.ahrq.gov/data/HCUP/factbk6/factbk6.pdf](http://www.ahrq.gov/data/hcup/factbk6/factbk6.pdf)),
the children's annual report
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>, and other
descriptive statistics. Other statistics will be generated de novo. It
is anticipated that most of the statistics will be drawn from the
Nationwide Inpatient Survey (NIS). Once an Annual Research Report is
developed, it will be repeated annually with updated statistics, and
made available on the HCUP-US Web site. The initial Annual Research
Report will be approximately 10-15 pages long. With each annually
updated report, it is anticipated that 1-2 pages of new statistics will
be added to the material that was generated for the previous year. A
template design consistent with other reports series shall be developed
and used for each Annual Research Report.

The Contractor shall develop one new Annual Research Report per year of
the contract. The report must be completed by August of each year, which
is within two months of the annual June release of the NIS. Thus all
preparation for the Annual Report must be completed prior to NIS data
availability (including all programming, development of report
templates, and formatting) so that when the new data are available, the
programs can be run and all statistics generated immediately.

3.  []{#__RefHeading___Toc135712870 .anchor}Recommend Report Topics

For each report in a report series, the Contractor shall recommend
topics to AHRQ to consider for selection. Lists of desirable topics for
reports will be maintained by the Contractor and sometimes independently
by AHRQ. The list of topics will be generated as a result of user
contacts, Agency and department priorities and other considerations.
With guidance from the Contractor, AHRQ approves the topic selection for
each report.

4.  []{#__RefHeading___Toc135712871 .anchor}Prepare Drafts and Final
    Copies

The Contractor conceptualizes, performs analyses and writes each report,
although it is expected that there be an iterative process with
revisions suggested by AHRQ. The report writing task requires the
services of experienced health services researchers and policy analysts
who are strong and skilled writers. Some reports require the expertise
of a medical clinician.

The Contractor shall provide AHRQ with an outline and first draft of the
report for review and approval. First and second drafts of the report
should be reviewed and edited by Contractor staff prior to submission to
AHRQ, with the expected result of a well-written, relevant, high quality
report. These drafts are not considered deliverables, but should be
provided as milestones in the progress of the reports. The Contractor
shall provide AHRQ with final reports that are polished and accurate,
and that have relevant and interesting content. The Contractor should
allow four weeks for each approval step from AHRQ, unless otherwise
specified. The Contractor shall provide a professional technical editor
to review the final draft of each report. All text will adhere to HCUP
and AHRQ style guidelines. Published reports may require professional
layout, design and graphic services. Each outline, draft, and the final
report must be approved by AHRQ staff. For reports that will be
published, the Contractor shall give AHRQ a print-ready hard copy and
electronic copy. All reports posted on the HCUP-US Web page should be
delivered in an appropriate format, and adhere to federal government and
HHS Web standards, including Section 508 compliance (see
[www.section508.gov](http://www.section508.gov/)). The Contractor shall
post all final reports on the HCUP-US Web site.

2.  []{#__RefHeading___Toc135712872 .anchor}Assess All Report Series and
    Recommend an Overall Plan

***Task C.23.3 is an Option.***

In Year 2, the Contractor shall review the series of reports that HCUP
has already developed (described in Section C.23.2.1) and the reports
that AHRQ suggested as a new series (described in Section C.23.2.2) with
the purpose of assessing the comprehensiveness, appropriateness, and
value of these series of reports. The goal of the assessment is to
determine if a balanced and appropriate variety of written HCUP reports
have been selected to be generated to reach a varied audience of users,
including policy analysts, decision makers, and health services
researchers. In addition, the assessment should examine whether the
resources required to produce a report is appropriate given the impact
of the report.

The Contractor shall develop a long-term plan that describes and
specifies the characteristics of all the report series that it
recommends that AHRQ use. The plan should describe each report series,
production frequency, dissemination method, and target audiences.
Justifications for the recommendations should be given. The plan should
include samples of proposed topics of reports for each series, a
timeline for the reports in each series, and a list of Contractor staff
who would write the reports, and their relevant experience. AHRQ will
make a final determination of the report series to be selected and their
characteristics.

24. []{#__RefHeading___Toc135712873 .anchor}increase use of and impact
    from hcup Through outreach

***Task C.24 is an Option.***

Outreach efforts are needed to promote the use of HCUP and expand its
value among current and potential users. This requires developing and
implementing strategies to inform stakeholders about HCUP and its
products through presentations, training, information dissemination and
promotional activities.

1.  []{#__RefHeading___Toc135712874 .anchor}Develop, Recommend, and
    Implement Selected Outreach Initiatives

The Contractor shall assist AHRQ in prioritizing and implementing
efforts to disseminate and to increase use and impact of HCUP and its
products.

The Contractor is expected to work with an experienced marketing
professional, (i.e. either a firm or an individual), to develop and
implement outreach efforts. The Contractor is also expected to work with
a professional design firm for graphic presentation. To effectively
increase use and impact of HCUP, the marketing professional must have a
working knowledge of key components of HCUP.

The Contractor may recommend a marketing professional and graphic design
firm with previous or existing relationships to AHRQ. The marketing
professional should have experience with federal government clients,
healthcare related activities, and projects where databases are an
important component.

1.  []{#__RefHeading___Toc135712875 .anchor}Develop an Annual Outreach
    Plan

The Contractor and marketing professional shall develop an annual
outreach plan for HCUP. The plan shall be based on: 1) prioritizing
recommendations from two 2003 reports commissioned by AHRQ to produce an
HCUP marketing plan and a list of key audiences. Selected pages from the
reports, "HCUP Final Marketing Plan" and "Memo of Key Audiences for HCUP
Products" can be viewed at
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm> and provide useful
background information. Full reports will be available to the Contractor
awarded this contract.

The recommendations from the 2003 marketing plan and list of key
audiences will be the primary input to the plan, and will be based on
efforts that remain to be implemented, and that are still appropriate
and feasible to carry out.

The plan should identify key audiences to target (e.g., students,
researchers, consultants, policy makers) and the best venues and methods
to reach them (e.g., national meetings, AHRQ workshops, special visits,
e-mail campaigns, advertising, mailing lists, etc.). The plan should
describe the HCUP products best suited to promote to each audience. The
details of the plan should include:

-   Promotion, dissemination and outreach strategies

-   Specific evidence or rationales as to why the selected audiences
    should be targeted first

-   Specific evidence or rationales as to why the selected outreach
    tasks are best suited to reach selected audiences

-   The specific roles of the marketing professional, Contractor, and
    AHRQ staff

-   Suggested timeline for implementation of each initiative

-   Estimated budget for each component

-   Demonstrated ability to carry out all initiatives from conception to
    implementation, including all logistical and administrative tasks

The strategies recommended for implementation must be stand-alone
efforts that have clear goals with start and end dates and that could
easily be incorporated with a larger more coordinated effort.

1.  []{#__RefHeading___Toc135712876 .anchor}Implement Outreach
    Initiatives

Through regular meetings and/or conference calls, the Contractor,
marketing professional, and AHRQ will work together to decide on
implementing strategies and carry out particular options each year. AHRQ
makes the final decision on the initiatives to pursue. AHRQ will provide
guidance to insure that marketing and dissemination activities remain
consistent with agreed-upon uses for HCUP data. With AHRQ approval, the
Contractor and marketing specialist shall develop and implement selected
techniques or "benchmarks" to measure the success of each outreach
initiative conducted. Once a year, an in-person meeting will take place
at AHRQ headquarters in Rockville, Maryland.

Examples of outreach activities include partnerships with strategic
organizations, visits to schools of public health, establishment of
relationships with federal and state agencies, improvement of HCUP
computer-based presentation, representation at exhibit booths, and
promotional items. Outreach efforts may target particular groups, such
as academicians, researchers, or policy makers.

The Contractor shall be responsible for organizing and coordinating all
aspects of special meetings, workshops or sessions as part of HCUP
outreach initiatives. When outreach sessions are held at conferences
organized by other parties (e.g., APHA, AcademyHealth), the Contractor
shall be responsible for fulfilling the requirements of the conference
sponsors.

Three business days after the implementation of outreach activities, the
Contractor shall e-mail a short de-briefing memo to AHRQ about the
initiative and issues raised.

Summary information about the initiatives implemented should be included
in the quarterly Technical Support and Outreach Statistics Report
described in Section C.20.7.

Implementation of activities may require the Contractor and marketing
professional to travel to places outside the Washington DC area.

1.  []{#__RefHeading___Toc135712877 .anchor}Create, Coordinate, and
    Disseminate Written Materials

The Contractor shall produce outreach promotional materials for
dissemination. All materials shall be proofread and edited by a
professional technical editor. All written materials shall follow
standard AHRQ/OCKT and HCUP writing style. All materials produced shall
use AHRQ and HCUP logos and designs, when required.

1.  []{#__RefHeading___Toc135712878 .anchor}Create Announcements

The Contractor shall write drafts and subsequent revisions, and deliver
polished narratives of up to seven announcements per year. Each
announcement should be about 1-2 pages long. Electronic copies of all
developed materials shall be provided to AHRQ as soon as possible after
completion. Announcements may be used for press releases and for HHS and
AHRQ news items, and are placed on the HCUP-US Web site. Examples of
announcements can be viewed at <http://www.HCUP-us.ahrq.gov/news.jsp>.
Most announcements will be refinements or updates of previous
announcements.

2.  []{#__RefHeading___Toc135712879 .anchor}Create Quarterly HCUP
    Newsletter

The Contractor shall write and produce a quarterly newsletter that
focuses on HCUP news and events. The Contractor shall lead the effort
from conception to final distribution-ready copy. The newsletter is
written for HCUP Partners and other users of HCUP data and products. The
format will be the same as currently in use, which can be seen at
[www.HCUP-us.ahrq.gov/news.jsp](http://www.HCUP-us.ahrq.gov/news.jsp) .
The newsletter currently consists of the following sections: News and
Announcements, Recent Publications, User Tech Tips and HCUP Calendar.
The existing template will be used for the newsletter banner, layout and
design.

For newsletter content, the Contractor shall identify newsworthy topics
including:

-   New data or product releases

-   New publications using HCUP products

-   Sections spotlighting certain types of data, for example, outpatient
    data

-   Recent presentations given by staff

-   Data development efforts

-   Announcements of up-coming training and conferences

-   Interesting statistics from HCUP databases designed to generate
    excitement on research topics and/or HCUP products

-   Other AHRQ opportunities of relevance to Partners

The newsletter should include information on inpatient and outpatient
data that could be useful to HCUP Partners and other HCUP users. For
newsletter items that focus on data development efforts, technical
advice should be sought from a technical expert on the HCUP team.

The Contractor shall prepare initial, interim and final drafts of each
quarterly newsletter for HCUP review. The Contractor shall have the
final draft reviewed by a professional technical editor prior to HCUP
final review. The newsletters are to be well-written and polished.
Wording should comply with the AHRQ/OCKT and HCUP technical style
manual.

The Contractor shall convert the final approved version to HTML format
and deliver it to AHRQ ready for dissemination through e-mail
distribution to the HCUP LISTSERV (currently 700 subscribers). The
Contractor shall not need to process LISTSERV subscriptions. The
Contractor shall post the newsletter on the HCUP-US Web site and archive
the earlier edition.

1.  []{#__RefHeading___Toc135712880 .anchor}Maintain HCUP Calendar

The Contractor shall maintain a current HCUP calendar of events on all
relevant activities for the HCUP project. This will involve gathering
information from subcontractors and AHRQ staff about noteworthy events
such as meetings, conferences, database releases, and product releases.
The Contractor shall present the material in a consistent format that
they develop, and with clear and polished narrative and descriptions.
The Contractor shall post the calendar on the HCUP team section of the
HCUP-US Web site. A second calendar shall be developed with a subset of
these events that shall be posted on the public portion of the HCUP-US
Web site. The Contractor shall update the calendars weekly, as needed.

2.  []{#__RefHeading___Toc135712881 .anchor}Create Outreach and
    Educational Materials

The Contractor and marketing professional, with assistance from a
professional design firm, shall design and produce five new written
promotional items per year. Examples of these items include brochures,
flyers, letters, and notices. Maximum length is four pages per item. The
Contractor and marketing professional shall also update five existing
written promotional items per year, to make them accurate with current
HCUP information.

1.  []{#__RefHeading___Toc135712882 .anchor}Provide Management Reports
    on Outreach

An immediate short debriefing memo should be e-mailed to the AHRQ
Technical Support staff lead following each
outreach/presentation/training activity/booth activity addressing the
experience, any important issues raised, and suggestions for improvement
for future activities. Summarize information quarterly in the Technical
Support and Outreach Statistics Report (see Section C.20.7).

The Contractor and the marketing professional shall prepare a three- to
four-page "Annual Report of HCUP Outreach Activities" that contains:

-   Summary of work accomplished during each contract year, beginning
    one year after contract award

-   The Contractor and the marketing professional's recommendations for
    modifying or refining outreach, through promotion and dissemination
    plans for the next calendar year.

-   Summary of all activities for the last calendar year, regardless of
    who achieved the activity (e.g., performed by the Contractor,
    marketing professional, or AHRQ). For example, the annual report
    should document (1) HCUP presentations conducted, by audience and
    venue (e.g., conference name, meeting site and location), (2) HCUP
    training sessions conducted, by audience and venue, (3) Exhibit
    booth representation (with corresponding conference names), (4)
    Press releases and corresponding topics announced conducted, (5)
    Newsletters written, (6) New HCUP products released (e.g., Fact
    Books, Highlights, databases, software tools), and (7) New HCUP
    outreach tools (e.g., brochures, pamphlets, flyers).

25. []{#__RefHeading___Toc135712883 .anchor}Translation of Data for Use
    by Surveillance Data Systems

***Task C.25 is an Unpriced Option***

HCUP has information, including admission and discharge dates for
specific conditions by age, payer and charges, on all hospitalizations
in 38 states (State Inpatient Databases) and all emergency department
visits in 17 states (State Emergency Department Databases). If packaged
correctly, this information can be used to provide baseline estimates
and projections by date for specific conditions to inform surveillance
projects about deviations in expected hospital and emergency department
utilization and the potential cost impact of those deviations. HCUP is
uniquely suited to inform other Federal and state initiatives, including
but not limited to the Centers for Disease Control and Prevention
(CDC)'s BioSense, American College of Surgeons' National Trauma Bank,
Substance Abuse and Mental Health Services Administration (SAMHSA)'s
Drug Awareness Warning Network, infectious disease registries, CDC's
initiatives focused on emerging conditions (e.g., Early Aberration
Detection System), and surveillance initiatives related to other
environmental factors. With the growth of emergency department data in
HCUP, dissemination of the data in geographic information systems (GIS)
and other user friendly formats that readily inform national and state
surveillance projects is critical. Taking into account the needs of
existing Federal and state data systems for emergency preparedness, this
project would require the innovative creation of a product that displays
utilization data from HCUP in a readily accessible and translatable
format (e.g., importable maps, graphs, tables). The product would be
designed to be easily updated with HCUP data as it becomes available.

26. []{#__RefHeading___Toc135712884 .anchor}Expansion of HCUP Outpatient
    Data to Improve Geographic and Demographic Representation and to
    Improve Timeliness of HCUP

***Task C.26 is an Unpriced Option***

As mentioned throughout this RFC, HCUP will continue to increase its
expansion with outpatient data collection and dissemination. HCUP
currently collects ambulatory surgery (AS) data from 23 states and
emergency department (ED) data from 19 states. For the 2005 data year,
HCUP plans to have ED data from 23 states and AS from 25 states. The
base SOW requests the contractor to expand outpatient data collection
and dissemination at a moderate pace by recruiting outpatient data from
two states each year, develop a nationwide outpatient database within
two years, and develop products to disseminate the outpatient data. This
option facilitates the expansion of HCUP outpatient data on a faster
track than that requested in the base SOW by speeding up activities and
augmenting them.

Specifically, the contractor would be tasked to do the following: 1)
work with data source organizations to improve their outpatient data by
increasing the speed and accuracy of collection, 2) create a pilot
database with existing emergency department data and supplemented with
"real-time" data from a few pioneering data organizations that have the
capacity to submit data on a near real time basis, 3) work with these
pioneering data organizations to create models or "lessons learned"
regarding the collection of "real-time" data collection and
dissemination, 4) develop a nationwide emergency department database
within 1 year of the contract and a nationwide ambulatory surgery
database within 2 years of the contract, and 5) develop at least one
analytic and one reporting tool specifically for nationwide outpatient
databases within 6 months of release of the databases.

27. []{#__RefHeading___Toc135712885 .anchor}Improving Timeliness of HCUP
    Information through Near Real-Time Streaming of Data from State Data
    Organizations

***Task C.27 is an Unpriced Option***

Some HCUP Partners have begun to collect data from hospitals on a
continual, near real-time basis using electronic interchange technology
(as opposed to batch quarter or annual submissions).  Under this option,
the Contractor would pilot test a process to collect data as continuous
feeds from two to three such Partner organizations.  The Contractor
shall identify Partners with the capability of sending near-real time
data, recruit two to three Partners to participate in a pilot project to
send these data to HCUP, develop an implementation plan for this
streaming of data, develop the software for accepting the new data and
test the process with two to three states.  Data collected through near
real-time streaming could be useful for making early national estimates
on cost, quality and use trends when timelier information is needed than
can be produced using the NIS.

28. []{#__RefHeading___Toc135712886 .anchor}National Healthcare quality
    report (nhqr) and national healthcare disparities report (NHDR)

[Overview]{.underline}

Since FY 2003, the AHRQ has been required to submit to the Congress
annual reports on quality of health care and disparities in health care.
The National Healthcare Quality Report (NHQR) provides assessments of
health care quality at the national and state levels and tracks
improvement across a broad array of quality measures. The National
Healthcare Disparities Report (NHDR) provides assessments of health care
disparities related to racial and socioeconomic factors at the national
level and within diverse priority populations and tracks the NHQR
quality measures as well as an array of access measures.

To write these reports, AHRQ staff collects and examines data from over
three dozen data sources. HCUP is one of these data sources. This
section covers activities expected of the contractor in support of the
Reports during FY 2007-2011.

The Contractor shall support the generation of estimates derived from
HCUP data for the sixth, seventh, eighth, ninth, and tenth National
Healthcare Quality Reports and National Healthcare Disparities Reports
(2008-2012 NHQRs and 2008-2012 NHDRs). Each year, the key task involves
applying the AHRQ Quality Indicators (QI) software to the HCUP NIS, the
SID, and a special analytic file that supports national QI estimates by
race/ethnicity for the NHDR. The main products will include consistently
defined QI estimates in tables, documentation of methods, special
analyses, and coordination with HCUP Partners. The latter effort aims to
support States in use of the Reports and seeking to obtain their
permission to publish State-level estimates for the QIs in the Reports.

This work will be carried out in close collaboration with AHRQ analysts.
Each year, the Contractor shall meet with AHRQ staff to plan analyses
and table shells for the upcoming Reports. All design changes will be
discussed with and approved by members of the Reports Team. Wherever
possible the designs and programs developed in the work for the first
five rounds of analysis will be used to guide future work. An exception
would be cases where AHRQ's requirements have changed. If new programs
are written, older data should be re-run to ensure that identical
estimates are produced when compared to the existing programs.

Previous reports and documentation of methodology can be found at:
<http://www.qualitytools.ahrq.gov/qualityireport/browse/browse.aspx?id=2881>
for the 2004 NHQR and at
<http://www.qualitytools.ahrq.gov/disparitiesreport/browse/browse.aspx?id=3226>
for the 2004 NDHR.

1.  []{#__RefHeading___Toc135712887 .anchor}Design

    1.  []{#__RefHeading___Toc135712888 .anchor}Leadership

Each year the design of analyses and table shells used in the Reports
will be reassessed. To expedite this process, the Contractor shall be
expected to be proactive and drive the work to completion within the
timeframes specified under the schedule of deliverables. This approach
involves strong leadership in: anticipating steps of the process and
decisions required by AHRQ; setting deadlines for such decisions;
briefing decision makers in writing on each problem (with a solution or
options for solutions); arranging a schedule of regular teleconference
or meetings at AHRQ to facilitate decisions and review progress on
analytical work; and tracking decisions through a dynamic memo that
records all decisions on methodological topics with a history of prior
decisions. The Contractor shall attend meetings at AHRQ in-person for
initial planning meetings, initial results review meetings, and any
other meetings requested by AHRQ staff. About 6 meetings per year are
expected.

2.  []{#__RefHeading___Toc135712889 .anchor}Design Decisions

The Contractor shall track and document all design decisions in a
dynamic memo, as noted above. The Contractor shall be provided with a
report documenting in great detail the methodology work for the previous
NHQR-NHDR. The Contractor shall use those background "Technical Notes"
to develop decision memos for future Reports.

Decisions made by AHRQ each year include:

-   **New years of data processing:** Each year, the Contractor shall
    add an additional year of NIS and SID data. In 2007, it is
    anticipated that the Contractor shall process 2005 HCUP data for use
    in the 2008 Reports, etc.

-   **QI software review:** Each year, the Contractor shall obtain the
    most recent version of the QI software and perform elementary checks
    of the software to document any coding changes from the prior
    versions used in the Reports. The Contractor shall discuss with AHRQ
    whether changes to the most recent versions of the QI software
    justify using the latest version or whether it would be appropriate
    to continue with the versions used in previous Reports, in order to
    save the expense of running all back years of data. If using updated
    QI software, the Contractor shall need to obtain the updated risk
    adjustment variance-covariance matrices from AHRQ QI program staff.

-   **New QI measures:** It is anticipated that new QI measures will be
    developed over time. These may include measures developed to cover
    aspects of care not covered by current QIs as well as aggregate
    measures that summarize care across a number of existing QIs. Each
    year, the Contractor shall discuss with AHRQ staff the addition of
    these new QI measures.

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-   **Table shells:** Each year, the Contractor shall review previous
    Report tables against any proposed design changes and revise the
    table shells for the Reports as needed. In some instances the table
    shells will be expanded. In other instances the titles, footnotes,
    or row labels may be revised (e.g., if new QI software includes new
    or revised measures). Revised table shells will be provided to AHRQ
    for review before they are finalized for production. Templates for
    the tables are available for review.
    <http://www.ahrq.gov/fund/contarchive/rfp060009.htm>

> Each year, NHQR tables will include:

-   A national longitudinal table of QIs over time (Table A on "Example
    NHQR-NHDR Tables)

-   A State-level table of QIs for the most recent year of data (Table B
    on "Example NHQR-NHDR Tables)

-   A national table of the two most recent years of data (Table C on
    "Example NHQR-NHDR Tables), including subgroups defined by

> \- Patient characteristics (age, gender, median income of patient ZIP
> code of residence, urban-rural location of patient residence, region
> of the country, expected primary payer)
>
> \- Hospital characteristics (region of the country, ownership,
> teaching status, urban/rural location, bed size)
>
> Each year, NHDR tables will include:

-   A race specific table for two years of data by the NHQR subgroups
    (split into Tables D & E (on "Example NHQR-NHDR Tables) because of
    size)

-   A national table that lists adjusted rates and standard errors for
    the most recent year of NIS and NHDR analysis file by the NHQR
    subgroups (Table F on "Example NHQR-NHDR Tables)

-   A summary all-QI tables of relative rates for minorities relative to
    white subgroups

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-   **Composite measures:**

    -   Each year, the Contractor shall meet with AHRQ staff to
        determine the objectives and status of their internal plans for
        composite measures.

    -   Upon approval of the methods, the Contractor shall apply the
        algorithms to the HCUP NIS and NHDR analytic file QI estimates.

    1.  []{#__RefHeading___Toc135712890 .anchor}NHQR/NHDR Production

The production process involves assembling the different data sets
needed for the project, adding the necessary additional data elements to
the HCUP databases, organizing the data steps to generate QI estimates
using three separate QI software modules split into discharge-based and
population-based indicators, producing the estimates, and applying
quality control measures to ensure accurate statistical tables. The 3M
APR DRG version applicable to the QI software must be installed on the
SID for this task so that appropriate risk adjustment can be applied for
the IQIs. In addition to data processing jobs, area-population counts
must be obtained from external sources for every reporting category used
in the NHQR and NHDR and for every risk-adjustment stratification
category used in the AHRQ QI software. These population counts, which
must be updated each year, also must be reconfigured for any new or
revised reporting categories of the NHQR and NHDR (such as for new
geographic location or race categories). These external population
counts are used for denominators to generate the national and state QI
estimates. Each year, planned decisions that will affect this process
include two types of activities:

New general data preparation activities:

-   Weight generation for the SID data

-   Creation of the NHDR analytic sample

-   Incorporation of population denominator counts

New programming code activities for generating estimates:

-   New code for any new subgroups

-   New code for disease-specific denominators if feasible

The production task per se is a very large data processing effort
because of the many data sets with millions of records each that must be
prepared to generate the AHRQ QI estimates for the Reports. To meet the
deliverables schedule, the Contractor is expected to begin the data
preparation for the NHQR and NHDR analyses using the SID prior to the
completion of the NIS file. For example, to meet the deliverable date
for working tables in the fall of 2007, preparation of the 2005 SID for
this task will begin in early 2007 prior to the completion of the 2005
NIS which occurs in the summer of 2007. Specific steps include:

1.  []{#__RefHeading___Toc135712891 .anchor}Generating Hospital Weights

Each year, the Contractor shall limit hospitals in the SID to community,
non-rehabilitation hospitals so that the statistics will be comparable
to the national data. The Contractor shall then create discharge weights
for the SID data so that all community, non-rehabilitation hospitals in
the State are accounted for against the national Annual Survey of
Hospitals conducted by the American Hospital Association. This is
necessary to ensure comparisons of similar hospital universes across the
States. While the AHA may not accurately represent all hospitals in all
States, it is the only national source that provides enough specificity
on hospital characteristics to facilitate stratified sample weighting
consistent with the sample designs of the NIS and the NHDR analytic
sample.

2.  []{#__RefHeading___Toc135712892 .anchor}Creating the NHDR analytic
    sample

Each year, the Contractor shall build an NHDR analytic sample from the
SID similar to the databases built for previous NHDRs. Building a new
analytic sample annually is consistent with the approach that HCUP uses
for the NIS. The NHDR analysis file also will be sampled from community,
non-rehabilitation hospitals.

1.  []{#__RefHeading___Toc135712893 .anchor}Build NHDR Analytic Sample

Each year, the Contractor shall build an NHDR analytic sample from the
SID for States that provide relatively detailed information on patient
race (i.e., they code White non-Hispanic, African American non-Hispanic,
Asian/Pacific Islander non-Hispanic, and Hispanic). For the 2002 data
year this was 22 states. This file will incorporate:

-   States with a minimum proportion of discharges with race/ethnic
    coding (other than "other race") potentially weighted to the nation.

-   Hospitals with "good" race data, defined in terms of missing,
    "other", and percent of discharges in "one" race category.

-   The NIS sample design approach.

    1.  []{#__RefHeading___Toc135712894 .anchor}Evaluate NHDR Analytic
        Sample

After the sample is constructed it should be evaluated against MedPAR
and NIS data. If the evaluation does not show good representation by
race/ethnicity across regions of the country, then the Contractor shall
propose an alternate approach that may include the development of an
aggregate State database. The evaluation will include:

-   Testing of the NHDR analytic sample against the MedPAR to validate
    the racial/ethnic counts of discharges -- a table by race/ethnicity
    (in columns) and the top 25 DRGs (in rows) containing the number of
    discharges.

-   Comparing the distribution of discharges in the NHDR analytic sample
    against the NIS by age, gender, payer, race, and the top 25 DRGs.

    1.  []{#__RefHeading___Toc135712895 .anchor}Incorporating Population
        Denominators

Each year, for the population-based QIs, the Contractor shall obtain
geographic population data from an external source such as Claritas.
Claritas uses intra-census methods to estimate ZIP-Code-level
statistics. ZIP-Code-level counts are necessary for statistics by median
household income and location of the patient's ZIP Code. Within ZIP
Code, Claritas population files also contain population counts by age,
gender, and race. Claritas race categories are more specific than the
race coding in the HCUP data files. Claritas includes White (Hispanic
and non-Hispanic), Black (Hispanic and non-Hispanic), Asian/Pacific
Islander (Hispanic and non-Hispanic), American Indian (Hispanic and
non-Hispanic), 2 or more race (Hispanic and non-Hispanic), and Other
(Hispanic and non-Hispanic). To make the Claritas race categories
consistent with the HCUP race coding, the Contractor shall need to
proportionally allocate the "mixed" race population estimates into the
"only" race categories (excluding any race combined with Hispanic).
Disease-specific denominators will not be obtained.

Claritas has been the source of these population data in the past, but
the Contractor may recommend, and with AHRQ\'s approval, may use data
from another vendor if it is advantageous to HCUP and the NHQR and NHDR
analyses. (Note that the ZIP-code level data is also used to create the
NIS, see Section C.9.1.3.)

2.  []{#__RefHeading___Toc135712896 .anchor}Reporting on American
    Indian/Native American

AHRQ uses Indian Health Service (IHS) hospital discharges to make
estimates of AHRQ QIs for the NHDR. Each year, the Contractor shall
support the development of three sets of estimates:

-   AHRQ QI rates for the American Indian and Alaska Native (AI/AN)
    population in IHS hospitals

-   AHRQ QI rates for the AI/AN population in U.S. community hospitals
    (a weighted HCUP-based estimate)

-   AHRQ QI rates for the AI/AN population combined across both settings
    -- IHS and community hospitals

The data sets to support these analyses will be in addition to the
standard NHDR analytic file which includes AI/AN in the "Other"
race/ethnicity category. AHRQ will provide the Contractor with a copy of
the IHS data. The Contractor shall format the IHS data for ease of
processing, and apply the necessary software (e.g. APR-DRG and AHRQ QI
software) to the IHS data to develop estimates.

The purpose of these estimates is to provide 1) IHS with a set of
estimates that they can use for their own internal policy discussions
and decisions, 2) AHRQ with a set of estimates consistent with the
previous NHDR estimates that were developed but not reported in those
earlier editions of the NHDR and to provide the IHS with a set of
community-hospital comparisons to IHS hospitals, and 3) a set of
estimates for the entire AI/AN population that can be reported in the
NHDR, if feasible. It is also possible that AHRQ and the IHS may decide
to report some measures separately for the two hospital settings.

1.  []{#__RefHeading___Toc135712897 .anchor}Applying QI Software

Each year, the Contractor shall undertake three steps in applying the QI
software: 1) apply the most recent revision of the AHRQ QI software to
the data sets, appending the indicators to each discharge record, 2) add
the population denominators from various sources, and 3) calculate the
rates and standard errors for each cell of each table shell. The
standard errors will account for the sample design effects of the NIS
and the NHDR analytic sample.

2.  []{#__RefHeading___Toc135712898 .anchor}Applying Significance
    Testing

Each year, the Contractor shall apply significance tests to compare
rates across subgroups and across years within subgroups as designed for
previous Reports. Significance testing will use SAS PROC SURVEYMEANS to
take account of the complex sampling design of the NIS and the NHDR
analytic sample, when appropriate. For the risk-adjusted discharge-based
IQIs and PSIs, the Contractor shall use the variance covariance matrices
to calculate standard errors that account for the modeling error.

3.  []{#__RefHeading___Toc135712899 .anchor}Quality Control

During each step of this task, the Contractor shall apply quality
control measures to ensure that the file-building, statistical
processing and table production result in accurate statistical tables.

1.  []{#__RefHeading___Toc135712900 .anchor}NHQR/NHDR Products

    1.  []{#__RefHeading___Toc135712901 .anchor}Working Tables

Each year, after SAS production runs are completed, the Contractor shall
transfer output from SAS printouts into Excel "working" tables. These
tables will be delivered to AHRQ by posting them on the HCUP-US website
in the \"HCUP Team\" section devoted to the NHQR and NHDR. There are
approximately 74 QIs and 7 table formats for each QI yielding a total of
roughly 518 working tables (not counting the special AI/AN tables).
These working tables include the key components of the QI rates
(numerators, denominators, standard errors, p-values for pre-specified
comparisons for both the observed and adjusted rates) and alternate
specifications of variables that do not apply to every QI (alternative
age groups). Subsets of these working tables eventually will feed into
Word manuscripts for the NHQR and NHDR. The Contractor shall use
automated data transfer to avoid transcription errors from SAS to Excel
to Word and to facilitate repeating analyses if any data processing
errors are detected along the way. Automated transfer also increases the
efficiency of performing this work annually for the NHQR and NHDR.

2.  []{#__RefHeading___Toc135712902 .anchor}Final Tables

Each year, the contractor also will prepare streamlined "final" tables
for all QIs. In addition, the Contractor shall check all labels, titles,
and footnotes for accuracy. The tables will be delivered electronically.
The final tables will be part of the technical appendices for the
Reports, prepared by AHRQ.

3.  []{#__RefHeading___Toc135712903 .anchor}SID and NIS NHQR/DR Skinny
    Files

Each year, the Contractor shall develop and deliver electronically a
subset of the SID and NIS data processed under this task. The SID and
NIS "skinny" files will contain all of the data elements generated for
QI calculations, along with SID and NIS linkage variables. These files
support AHRQ researchers in other projects involving the AHRQ QIs. The
Skinny files will be provided in SAS format. The file documentation will
include a brief description of all data elements.

4.  []{#__RefHeading___Toc135712904 .anchor}Task Documentation

The Contractor shall develop short reports describing the methods used
to develop the HCUP statistical tables used in the NHQR and NHDR (a
separate report for each). These reports will be made available to the
public for those who want information on how HCUP was analyzed for the
reports. In addition, the Contractor shall write one report covering
both the NHQR/NHDR with detailed technical specifications and notes
about the methods for developing the statistical tables. This report is
intended primarily for the Contractor and AHRQ\'s use, but occasionally
may be disseminated to those outside AHRQ with an interest in the
detailed technical decisions that have been made.

Shown below is a Table 11 outlining the NHQR/NHDR data and report
schedule.

+------------------------------+-------+-------+-------+-------+-------+
| **Table 11**                 | *     | *     | *     | *     | *     |
|                              | *2008 | *2009 | *2010 | *2011 | *2012 |
| **NHQR/NHDR Data and Report  | NHQR  | NHQR  | NHQR  | NHQR  | NHQR  |
| Schedule**                   | /NHDR | /NHDR | /NHDR | /NHDR | /NHDR |
|                              | Due   | Due   | Due   | Due   | Due   |
|                              | D     | D     | D     | D     | D     |
|                              | ate** | ate** | ate** | ate** | ate** |
+==============================+=======+=======+=======+=======+=======+
| Skinny files and             | 8/31  | 8/31  | 8/31  | 8/31  | 8/31  |
| documentation of data for    |       |       |       |       |       |
| Reports                      | 2007  | 2008  | 2009  | 2010  | 2011  |
+------------------------------+-------+-------+-------+-------+-------+
| NHQR/NHDR Estimates Working  | 9/30  | 9/30  | 9/30  | 9/30  | 9/15  |
| Tables (excluding AI/AN      | 2007  | 2008  | 2009  | 2010  | 2011  |
| tables)                      |       |       |       |       |       |
+------------------------------+-------+-------+-------+-------+-------+
| Short methods reports        | 11/30 | 11/30 | 11/30 | 11/30 | 9/15  |
| describing NHQR/NHDR table   | 2007  | 2008  | 2009  | 2010  |       |
| production                   |       |       |       |       | 2011  |
+------------------------------+-------+-------+-------+-------+-------+
| AI/AN tables of rates and    | 1/15  | 1/15  | 1/15  | 1/15  |       |
| documentation for NHDR       | 2008  | 2009  | 2010  | 2011  |       |
+------------------------------+-------+-------+-------+-------+-------+
| Final NHQR/NHDR Tables       | 1/15  | 1/15  | 1/15  | 1/15  |       |
|                              | 2008  | 2009  | 2010  | 2011  |       |
+------------------------------+-------+-------+-------+-------+-------+
| Technical specifications     | 2/28  | 2/28  | 2/28  | 2/28  | 9/15  |
| report, computer programs,   | 2008  | 2009  | 2010  | 2011  |       |
| and program documentation    |       |       |       |       | 2011  |
| for Reports                  |       |       |       |       |       |
+------------------------------+-------+-------+-------+-------+-------+

2.  []{#__RefHeading___Toc135712905 .anchor}Special Analyses

The Contractor shall conduct special analyses or respond to special
requests related to HCUP data or HCUP Partners under the direction of
AHRQ staff. About six of these analyses are anticipated per year.
Special analyses will evolve from several sources: 1) insights gained
from work on estimates for the NHQR/NHDR, 2) directly from AHRQ staff
questions aimed at creating the best estimates possible for the NHQR-DR,
3) indirectly from other work on the HCUP data. Examples of special
analyses conducted in the past, and possible ideas for the future,
include the following:

Development of an aggregate measure of patient safety derived from the
Patient Safety Indicators (PSIs).

Perform power analysis of racial and ethnic HCUP data in the NHDR to
determine if the sample sizes are sufficient for specific comparisons.

Development of resource guides for particular audiences, as in AHRQ's
Diabetes and Asthma Resource Guides for State Leaders (see
<http://www.ahrq.gov/qual/diabqguide.pdf>). These guides provide
extensive analyses of data (both HCUP and non-HCUP) derived from the
NHQR/DR measures to assist states to carry out quality improvement
strategies. The guides could be developed for other diseases, e.g. heart
disease, and other audiences, e.g. employers.

Produce State Reports: These reports (See
[[www.qualitytools.ahrq.gov/qualityreport/2005/**state**]{.underline}](http://www.qualitytools.ahrq.gov/qualityreport/2005/state))

were initiated in 2004 and will be produced every year. These reports
are "mini" NHQRs, one for each state, which present the actual state
estimates compared to benchmarks. The contractor will work with AHRQ to
repackage the state-level information (both HCUP and non-HCUP) from the
NHQR/NHDR for state-level reporting. AHRQ will provide the Contractor
with electronic files containing all state-level estimates in the NHQR.
Repackaging will include some additional analyses, such as calculating
benchmarks. The State Reports will continue to be posted on the Quality
Tools Website, although the format and content may vary from year to
year. For the first year (2004), the reports included State rankings on
selected measures, state summary tables, and state "snapshots" which
provided detail on opportunities for quality improvement. The report
formats changed for the 2005 reports to include a more graphical
presentation and additional information, specifically on trends. (Note
that tasks and costs of posting the reports on the Quality Tools Website
will be performed by a separate contractor.)

State Reports---new variations. As additional quality measures are
included in the NHQR, there is great opportunity to produce new
derivative versions/foci of the state reports for states. In addition,
there may be special analyses of HCUP state information included in the
NHQR to support special AHRQ initiatives aimed at improving quality and
quality measurement.

For any of these special requests, the Contractor shall consult with
AHRQ on the topics to be explored. The Contractor shall provide a draft
list of potential analyses and timelines. Once a topic has been agreed
upon, develop a design to answer the question, identify data sources,
conduct quantitative analyses, and interpret the results in a memo,
manuscript, or incorporate the results in written documentation,
depending on AHRQ's intended uses of the results.

For the purpose of this proposal, the bidders should assume that the 6
special analyses each year will consist of the state reports (considered
one analysis), one new resource guide and four analyses that are
moderate in size; the equivalent of a power analyses of measuring racial
disparities for each of the QIs.

3.  []{#__RefHeading___Toc135712906 .anchor}Coordination with HCUP
    Partners on the NHQR/NHDR

The Contractor shall perform the activities and develop the products
below to assist the HCUP Partners in understanding and using the NHQR.

1.  []{#__RefHeading___Toc135712907 .anchor}Prepare State-level Preview
    Materials for the HCUP Partners

The Contractor shall prepare materials and provide State-level PQI, PSI
and IQI results for Partner review at the annual HCUP Partners' meeting
in a way that maintains the confidentiality of States' identities
through masked identifiers. The Contractor shall discuss these materials
with the Partners at the Partners\' meeting. These materials will
include:

-   State-level PQI analysis

-   State-level PSI analysis

-   State-level IQI analysis

-   State Fact Sheet of demographic and environmental factors that may
    affect state-level results (see Appendix B of the report at
    <http://www.hcup-us.ahrq.gov/reports/2004_07.pdf> )

-   Other materials to support the Partners\' use of the NHQR and NHDR.

AHRQ will provide the Contractor with all HCUP-based state and national
QI statistics prepared for the 2007 NHQR and NHDR for preparation of
materials for the HCUP Partners\' meeting in the spring 2007.
(Statistics for the following years will be produced by the Contractor
as described in previous sections).

1.  []{#__RefHeading___Toc135712908 .anchor}NHQR/NHDR Briefing Materials
    for HCUP Partners

Prior to the annual release of the NHQR and NHDR, the contractor will
work with AHRQ staff to prepare a list of briefing items for the
Partners. AHRQ will provide the Contractor with materials prepared for
the release of the 2005 NHQR and NHDR to use as a starting point: A list
of questions that the Partner organization may be asked by their local
constituents and draft responses; a document analyzing the AHRQ QIs to
assist the Partners in interpreting their QI results (in relation to the
national and regional estimates); press release materials on the NHQR
and NHDR. In addition, the contractor will design a set of tables that
Partners could use to present their own results separately in comparison
to national and their regional rates across all the PQIs, IQIs, and
PSIs. For the 2006 and 2007 reports briefing materials, AHRQ will
provide the Contractor with all HCUP-based national and state statistics
developed for those reports.

2.  []{#__RefHeading___Toc135712909 .anchor}Additional Communication
    with HCUP Partners

The contractor will prepare and send a letter to the Partners which
inquires if they would like to volunteer to have their state-specific
QIs included in the NHQR. The contractor will respond to individual
requests by HCUP Partners for assistance in understanding their state's
QI results. At AHRQ's direction, the contractor will also prepare the
necessary materials and conduct special Partner workgroup conference
calls to facilitate the understanding of the state-level QI results. The
Contractor should assume that there will be two conference calls per
year. The Contractor shall provide AHRQ with a list of Partners who have
volunteered for the NHQR.

3.  []{#__RefHeading___Toc135712910 .anchor}Involve all Partners in the
    Final Review

Prior to the release of the NHQR/NHDR reports, the contractor will share
the sections of the draft reports that include HCUP state-level
information with the HCUP Partners who agreed to provide state-level
statistics to the reports. The contractor will collect feedback from the
HCUP Partners and modify the text/graphics appropriately.

29. []{#__RefHeading___Toc135712911 .anchor}CONFIDENTIALITY AND SECURITY
    PROTECTIONS

The Contractor shall protect the security and confidentiality of HCUP
databases, project files, and any individually identifiable information
associated with the project. The Contractor shall develop procedures and
mechanisms that shall adhere to all Federal, Department of Health and
Human Services, and AHRQ IT security and confidentiality regulations.
The Contractor shall also take other steps that are deemed necessary by
the Project Officer to adequately protect data confidentiality.

1.  []{#__RefHeading___Toc135712912 .anchor}Become Familiar with all
    HCUP Confidentiality and Security Provisions

AHRQ is authorized to obtain data for research purposes "to enhance the
quality, appropriateness, and effectiveness of health services."[^2]
AHRQ is also charged with promoting the protection of individually
identifiable patient information used in health services research and
health care quality improvement.

The identities of patients and physicians who might be included in the
HCUP databases are protected from disclosure by the statutes that govern
the activities of AHRQ. Additionally, AHRQ excludes identities of
patients and physicians from publicly released HCUP databases and the
HCUP Data Use Agreements (DUA) prohibit users from making any effort to
determine the identity of any person contained in publicly released
databases (including but not limited to patients, physicians, and other
health care providers).

The identity of institutions (e.g., hospitals) included in the HCUP
databases are protected from disclosure, according to the laws of the
state providing the information, or according to HCUP agreements between
the data organization and AHRQ. Permission is obtained from the data
organizations to include hospital identification on restricted access
public release databases. When such information appears in HCUP
databases, it may be used only for the purpose of conducting research,
which includes linking institutional information from outside data sets
to enhance analysis and aggregate statistical reporting. Additionally,
HCUP DUAs preclude using information about individual establishments in
the HCUP databases for commercial or competitive purposes involving
those establishments, or to determine the rights, benefits, or
privileges of those establishments. Users of the data must not identify
establishments directly or by inference in disseminated material.

2.  []{#__RefHeading___Toc135712913 .anchor}Legal Protections

The statute that governs AHRQ activities ([Section 924\[c\] of the
Public Health Service Act \[42 U.S.C.
299c-3(c)\]](http://www.ahrq.gov/hrqa99a.htm)), requires that
information that might identify an individual cannot be used for any
purpose other than the explicit purpose for which it is collected. In
the case of the HCUP data, the purpose is limited to conducting research
and developing statistical estimates. Information that could be used to
identify persons, either those included in the database or those who are
the source of information, cannot be released without specific
permission from the individual. In addition to the statute that deals
specifically with AHRQ, the Agency, like all Federal agencies, must
adhere to the protections included in the [Privacy Act of
1974](http://www.usdoj.gov/04foia/privstat.htm) (as amended) (5 U.S.C.
552a). This Act also restricts the use and dissemination of identifiable
information and imposes criminal penalties for violations. The Privacy
Act is similar to, but not as restrictive as, the specific AHRQ
statutory protections.

AHRQ\'s use of the HCUP data acquired from the data organization is also
subject to any other limitations that may be imposed on or by the data
organization. Specifically, HCUP shall observe and be bound by any state
statutory requirements governing the data organization's release of
these data and any additional requirements specified in the HCUP MOA and
its addenda between AHRQ and the data organization.

The HIPAA Privacy Rule protects individually identifiable health
information by establishing conditions for its use and disclosure by
"covered entities." Disclosure of identifiable data from covered
entities for the purpose of research is allowed by the Privacy Rule
under section 164.502 and 164.512(i). AHRQ and the data organizations
currently participating in HCUP, are not covered entities because they
do not fit the definition of (1) a health plan, (2) a health care
clearinghouse, or (3) a health care provider that electronically
transmits health information in connection with standard financial or
administrative transactions. However, some HCUP Partners have entered
business associate agreements with covered entities, and it is possible
that future Partners could be covered entities directly affected by the
Privacy Rule.

Contracts between the Federal government and contractors authorized to
have access to the HCUP databases contain sections governing the
authorized use of data under the contracts. These sections restrict the
publication and dissemination of material derived from the contracts,
specify that the contractors have no rights to data collected or
developed under the contracts, and specify provisions for debarment
should these restrictions be violated.

The Contractor shall review the existing confidentiality statutes and
regulations governing AHRQ and contractors to AHRQ. These include but
may not be limited to: 1) the Privacy Act of 1974 and the Public Health
Service Act (42 U.S.C. 299c-3(c)); 2) the Health Insurance Portability
and Accountability Act 3) AHRQ and DHHS regulations; and, 4) HCUP DUAs
required of staff and contractors, and MOAs and DUAs in place with
Partner data organizations. In some cases, a participating data
organization may require a specific security or confidentiality
protection.

The Contractor shall retain at least one staff member who has a
demonstrated understanding of the HIPAA privacy rule.

The HCUP Project Officer may request that the Contractor review and
comment on new legislation or regulation at the state or Federal level
which affect data security and confidentiality.

3.  []{#__RefHeading___Toc135712914 .anchor}HCUP Security Plan

The Contractor shall develop an HCUP Contractor Security Plan to define
the procedures for protection of the security and confidentiality of
data in all phases of work. The Security Procedures may vary for
data/information with different levels of sensitivity. Procedures that
the Contractor shall provide include: 1) physical access to files; 2)
back up of files 3) storage of files including location/s application
and types of media; 4) network firewalls 5) secure shipping and/or other
delivery of data files; 6) password generation and version control 7)
encryption or re-identification methods to allow data linkage without
identification of individuals on final files; 8) tracking of data files;
9) structure of final data files; 10) disposal of files following
completion of the project, or sooner if deemed necessary by the HCUP
Project Officer.

4.  []{#__RefHeading___Toc135712915 .anchor}Evaluate Mechanisms to
    Ensure Security and Confidentiality of HCUP Data

The Contractor shall evaluate confidentiality and security protections
on an annual basis. The Contractor shall provide a short memo of their
evaluation, conclusions, and recommendations for alternative (if
appropriate) procedures for securing and storing HCUP data.

The Contractor shall also provide technical assistance to Partners in
ensuring confidentiality of patient records (e.g. the Contractor may be
requested to provide encryption or re-identification software to Partner
organizations to assist in the encryption of patient identifiers prior
to the release of data to AHRQ).

1.  []{#__RefHeading___Toc135712916 .anchor}Conduct Security Audit

The Contractor shall conduct an audit to evaluate the appropriateness
and effectiveness of policies and procedures in for protection of
privacy, confidentiality, and security of HCUP data including an
analysis of the mechanisms used for data transfer and storage. While the
audit may include a review of the networking and computer facilities
used by the HCUP project, penetration testing, or an active assault on
the network and computers is outside the scope of this audit.

The audit should be considered as a preliminary evaluation of basic data
security issues and therefore some sources of risk may only need to be
evaluated categorically \[i.e., significant vs. not significant\]. The
audit will be conducted by an external subcontractor with expertise in
the field of data security.

A report on the results of the security audit will contain at a minimum:

-   Effectiveness/ineffectiveness of current data security policy and
    procedures, including receipt of data, storage, handling printouts,
    LAN access, remote access, staff knowledge and compliance, data
    transmission, and loss control

-   Security risks not addressed in the report

-   If appropriate, how findings compared to standards relevant to
    general businesses that develop research files for the government

-   If significant data security risks are identified by the audit, the
    report should recommend measures by which such risks can be
    minimized

    1.  []{#__RefHeading___Toc135712917 .anchor}Annual Security and
        Confidentiality Evaluation

The Contractor shall evaluate confidentiality and security protections
on an annual basis. The Contractor shall provide a memo on their
evaluation, conclusions, and recommendations for alternative (if
appropriate) procedures for securing and storing HCUP data.

2.  []{#__RefHeading___Toc135712918 .anchor}Provide Technical Assistance
    to Partners for Security and Confidentiality of Data

The Contractor shall provide technical assistance to Partners in
ensuring confidentiality of patient records (e.g. the contractor may be
requested to provide encryption or re-identification software to partner
organizations to assist in the encryption of patient identifiers prior
to the release of data to AHRQ).

1.  []{#__RefHeading___Toc135712919 .anchor}Maintain and Update
    Electronic Privacy Training Tools

As a result of the HIPAA Privacy Rule, participating data organizations
(HCUP Partners) voiced increasing concern over many aspects of data
protection. An important area of consideration involves privacy training
for all persons given access to HCUP data (both internal and external to
AHRQ). Internal users are required to sign a HCUP DUA, and
Staff/Contractor Agreement. External users are required to sign an HCUP
DUA before receipt of data. The DUA imposes several data use and
publication restrictions of a complex nature.

An improved method of privacy training has recently been developed for
internal AHRQ staff and Contractors, as well as users who access the
data through the Central Distributor. The electronic HCUP Privacy
Training Tool and DUA Training Tool
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm> are maintained on
CD and on the HCUP-US Web site. The Contractor should familiarize
themselves with both training tools. The Contractor shall maintain both
of the tools by reviewing the contents yearly and updating as necessary,
e.g., text may need to be changed in certain sections, or questions may
need revision at the end of the training. The Contractor shall provide a
brief memo documenting the yearly review and any updates that are
needed.

30. []{#__RefHeading___Toc135712920 .anchor}PROJECT MANAGEMENT

The Contractor shall develop and implement methods to ensure that
project tasks and subtasks are coordinated so that work progresses in an
orderly, efficient manner. The Contractor shall develop and implement a
method for planning future project activities so that tasks are
completed within expected timeframes and budgets. The Contractor shall
implement quality control procedures to monitor and evaluate the quality
of the products that will be delivered. The Contractor shall document
all proposed project management methods and software tools for review by
the Project Officer.

1.  []{#__RefHeading___Toc135712921 .anchor}Meetings and Conference
    Calls

The Contractor shall meet with the Project Officer and other individuals
designated by the Project Officer for their technical expertise or
substantive interest in the project. These meetings will be at
designated intervals during the course of the project in the Washington
D.C. area and onsite at the Contractor\'s facility. The purpose of the
meetings will be to review the progress of work, specific deliverables,
and future plans under the contract.

1.  []{#__RefHeading___Toc135712922 .anchor}Prepare, Arrange, and Attend
    an Orientation Meeting

Meet with the Project Officer and HCUP team from AHRQ/CDOM in Rockville,
MD within ten working days of the award of the contract. Discussion
topics will include, but are not necessarily limited to, the purpose of
the project, technical approach, and deliverables and reporting
requirements. The result of the meeting will be the development and
delivery of a work plan, delivery schedule, timeline, and project
management methods for the project. A draft work plan will be due one
month after the effective date and a final work plan will be due two
months after the effective date.

2.  []{#__RefHeading___Toc135712923 .anchor}Participate in Conference
    Calls with the Project Officer

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

3.  []{#__RefHeading___Toc135712924 .anchor}Participate in Other
    Communications with the Project Officer

It is anticipated that less formal communications will also occur on a
more frequent basis, as needed between the Project Officer, and other
AHRQ staff as assigned, and the Contractor

4.  []{#__RefHeading___Toc135712925 .anchor}Participate in Annual HCUP
    Partners Meeting

Once per year, all HCUP Partners will be invited to AHRQ offices to
participate in a two or three day meeting during which new approaches
and methods will be discussed and the opinions of the Partners will be
elicited to provide guidance in directing the project. In addition to
the two recruitment task representatives, one senior manager and one
senior technical staff person from the Contractor shall be asked to
participate in this meeting.

2.  []{#__RefHeading___Toc135712926 .anchor}Prepare an Annual Project
    Management Plan

Prepare and submit an annual project management plan which provides for
the budgeting, monitoring, and documentation of all contract activities
and costs by major tasks. The plan should include an annual work plan
for the tasks to be completed, including an updated delivery schedule
and timeline for the project tasks and identify and recommend any
changes in approach or process to the creation and management of the
HCUP databases and other tasks. The plan should include such items as
procedures for ensuring adequate availability of staff, efficient use of
computer and programmer resources on each task, the performance of tasks
in a timely manner, and procedures for ensuring data security and
confidentiality. A draft project management plan and a final work plan
will be due at the start of the project and annually thereafter.

1.  []{#__RefHeading___Toc135712927 .anchor}Annual Site Visit

At the start of contract years 2, 3, 4, and 5, the Contractor shall
prepare for and present the project status at an annual site visit with
the Project Officer(s). In years 2 and 4, the Project Officer(s) will
travel to the Contractor's site and in alternate years, key staff from
the Contractors' team will travel to the ARHQ offices to conduct a two
day meeting. The meeting will review the previous year's progress of
work including successes, problems, solutions and plans for the upcoming
year with respect to project budget, staff and other resources,
timelines and deliverables.

3.  []{#__RefHeading___Toc135712928 .anchor}Progress and Final Reports

Monthly, the Contractor shall submit to the Project Officer written
reports describing major activities of the project, beginning one and
one half months following the effective date. Each monthly progress
report will list, by major task, project activities of the past month,
the cost of those activities, the anticipated next month\'s activities,
problems encountered and proposed solutions, milestones, and any other
information which has a significant impact on ongoing or planned
activities or costs. For certain tasks (to be identified later), costs
should be reported by sub-tasks as well. The report should also compare
progress and resource expenditures to the original schedule and budget
and provide explanations for any variances, assess whether the current
total estimated contract cost is sufficient to complete the contract,
and describe significant changes in the Contractor\'s operational
personnel. It is anticipated that certain components of project
management may require the application of Earned Value Management (EVM -
as referenced in section 300.4 of OMB Circular A-11) techniques in
future years. The Contractor shall provide EVM management information to
the Project Officer to the extent practicable.

Annually, at 6 and 9 months, the Contractor shall prepare an estimate of
"cost-to-complete" showing major tasks and subtasks in order to evaluate
resources for that year's activities.

The format and delivery mechanism for all monthly, final and other
progress reports and contract deliverables shall adhere to any Agency
standards and procedures and automated systems and data bases
established by the Agency for this purpose. Also, all documentation
prepared and delivered in the support of this contract shall be
maintained in an electronic document management system (HCUP-US), shall
be maintained current throughout the contract life-cycle, and shall be
accessible to the government for review at any time during the life of
the contract.

The Contractor shall also submit a final report summarizing the work
accomplished at the end of the project. This report will include a
description of the project overview, database components, a description
of all processes used to generate data files, documentation, and summary
of all major deliverables under the contract, user support,
dissemination, recommendations for future efforts, and other issues as
determined in conjunction with the Project Officer.

4.  []{#__RefHeading___Toc135712929 .anchor}Project Close-out

At the end of the current contract period, the Contractor should develop
a draft transition plan which includes an assessment of all major
on-going tasks and their proposed resolution for close-out. The approach
for closing out the current contract period should identify which
project files, processing programs, software, documentation, and
supporting materials should be deleted, archived, or carried forward to
the new contract period. The transition plan should also provide for an
orderly and documented method for disposition of data files,
documentation, the provision of services through the Central Distributor
(database sales), the HCUP-US Web site, and Technical Support to HCUP
Users. The plan should consider approaches that include transferring
HCUP data and activities to AHRQ and a subsequent Contractor, if
necessary, during a two-month transition period to overlap with any new
contract.

It will also provide for the following:

-   security arrangements for ensuring the confidentiality of data,

-   methods and physical location for transfer of data files, processing
    programs, software, and all relevant documentation

-   documentation of the procedures followed

-   assignment of adequate and specific staff to each task

-   estimated costs

For the data specifically, the plan will provide for an inventory of all
data files, software, and documentation; security arrangements for
ensuring the confidentiality of data; and adequate, staffing of ongoing
tasks. Particular attention should be given to the Partner source data.
The HCUP Partner MOAs require that all source data will be returned or
destroyed 2 years following the completion of the delivery of that data
year to ARHQ. At the conclusion of this contract, there will be source
data from all partners for several years, given that some of the HCUP
source data will not be 2 years old. Therefore, at four months prior to
the conclusion of the contact, the Contractor shall provide a table
which details all source data that the contractor is storing, a
suggested timeline and process for inquiring of the Partners how they
would like their source data either transferred or returned in the event
of transfer to a new contractor or end of the Project, and a process for
secure transfer of all source data that States allow to be transferred.
The timeline should allow for any necessary file cleanup. The Contractor
shall provide a final memo that details the final outcome of the source
data, including verification of destruction where appropriate.

A final plan, subject to Project Officer review and approval, will be
prepared and implemented. The Contractor shall provide AHRQ with a
compilation of HCUP data files, documentation, and software under this
contract for use by AHRQ or a subsequent Contractor.

**DEFINITIONS**

**ANSI X12N (American National Standards Institute)**

A set of transaction standards for use with electronic health care
claims for HIPAA.

**Administrative data**

A collection of data that documents services provided by hospitals,
nursing homes, and physicians. The data tracks hospital discharge
summaries, physician billing claims, and other health related data.
Using this data, researchers can study the utilization of health
resources over time.

**AHAID**

Identification number assigned by the American Hospital Association
(AHA) to each hospital in the AHA Survey.

**Agency for Healthcare Research and Quality (AHRQ)**

The lead Federal agency charged with improving the quality, safety,
efficiency, and effectiveness of health care for all Americans. As one
of 12 agencies within the Department of Health and Human Services, AHRQ
supports health services research that will improve the quality of
health care and promote evidence-based decisionmaking.

**AHRQ Quality Indicators (QIs)**

Measures of health care quality that make use of readily available
hospital inpatient administrative data. The AHRQ QIs consist of three
modules measuring various aspects of quality. Software and user guides
for all three modules are available to assist users in applying the
Quality Indicators to their own data.

**American Hospital Association (AHA)**

The national organization that represents and serves all types of
hospitals, health care networks, and their patients and communities.
Close to 5,000 hospitals, health care systems, networks, other providers
of care and 37,000 individual members form the AHA.

**American Hospital Association Annual Survey of Hospitals (AHA
Survey)**

An annual survey of hospitals administered in the fourth quarter of each
year to all AHA registered and nonregistered facilities. The survey
covers areas related to facilities and services and their use, staffing,
finances, and administration. Data from the AHA Annual Survey of
Hospitals are used to produce data products such as the AHA Guide and
Hospital Statistics. They are also widely used by hospital
administrators, academic researchers, and healthcare marketers.

**Area Resource File (ARF)**

A county-level database with information on health professions, health
facilities, hospitals, vital statistics, population and economics,
utilization, expenditures, and health professions training. The ARF
contains geographic codes and descriptors which enable it to be linked
to other files and to aggregate counties into various geographic
groupings. With more than 7000 variables for every county in the U.S.,
the ARF is used for health services research, health policy analysis and
other geographic analyses. The ARF is maintained by Health Resources and
Services Administration (HRSA).

**Ambulatory Surgery (AS) Data**

Surgeries performed on the same day in which patients are admitted and
released. The State Ambulatory Surgery Databases (SASD) contain the
ambulatory surgery data from encounter abstracts in participating HCUP
States, translated into a uniform format to facilitate multi-state
comparisons and analyses.

**BioSense**

BioSense is a national initiative housed at CDC to enhance the nation\'s
capability to rapidly detect, quantify, and localize public health
emergencies, particularly biologic terrorism, by accessing and analyzing
diagnostic and prediagnostic health data. BioSense will establish near
real-time electronic transmission of data to local, state, and federal
public health agencies from national, regional, and local health data
sources.

**Centers for Medicare and Medicaid Services (CMS)**

US federal agency which administers Medicare, Medicaid, and the State
Children\'s Health Insurance Program.

**Central Distributor (CD) -- See HCUP Central Distributor**

**Clinical Classification Software (CCS)**

A software system or Aclinical grouper@ for classifying diagnoses or
procedures into a manageable number of clinically meaningful categories.
CCS was developed at AHRQ and is available for downloading for use with
HCUP and other administrative data.

**The Center for Delivery, Organization, and Markets (CDOM)**

Organizational unit within the Agency for Healthcare Research and
Quality (AHRQ), which manages the HCUP project. CDOM conducts and
manages studies of the structure, financing, organization, behavior, and
performance of the health care system and providers within it.

**The Center for Quality Improvement and Patient Safety (CQuIPS)**

Organizational unit within the Agency for Healthcare Research and
Quality (AHRQ), which manages the National Healthcare Quality and
Disparity Reports. CQuIPS improves the quality and safety of all
Americans through strategic partnerships.

**Cost-to-Charge Ratio (CCR)**

Hospital-level files that convert hospital charges into estimates of
cost of production. The CCR are designed to supplement the data elements
in the NIS and SID databases. The CCR were developed at AHRQ based on
hospital accounting reports to CMS, for use with HCUP and other
administrative charge data.

**Current Procedural Terminology (CPT)**

A listing of descriptive terms and five character identifying codes and
modifiers for reporting medical services and procedures performed by
physicians. The CPT was developed by the AMA.

**Current Procedural Terminology (CPT)/Healthcare Common Procedure
Coding System (HCPCS) Code (CPT/HCPCS)**

Field for Centers for Medicare and Medicaid (CMS) claims.

**Data Development Files**

One of the four types of files that make up the HCUP state databases,
the Data Development files contain variables used to create synthetic or
derived uniform HCUP data elements. They contain the most sensitive
patient information, such as unencrypted dates of birth, dates of
admission, discharge and procedure dates, and encrypted patient and
physician identifiers.

**Data Use Agreement (DUA)**

A document informing HCUP data users of federal and state limits on
disclosure, and prohibiting the identification of individuals directly
or by inference. A signed DUA is required for the release of any HCUP
database.

**Data Years**

The years the data in the HCUP databases represent. Databases are
usually released 1-2 years after their data years.

**Department of Health and Human Services (DHHS)**

The United States government\'s principal agency for protecting the
health of all Americans and providing essential human services,
especially for those who are least able to help themselves.

**Diagnosis Related Group (DRG)**

Classifications of patient diagnosis which demonstrate similar resource
consumption and length-of-stay patterns, from a system used by Centers
for Medicare and Medicaid for determining payment schedules to
hospitals.

**DSHOSPID**

A data element in the HCUP databases for a type of hospital identifier.
The identifier codes are assigned to hospitals by state data
organizations.

**Effective Date of Contract (edoc)**

The date the contract commences.

**Electronic health record (EHR)**

A longitudinal electronic record of patient health information generated
by one or more encounters in any care delivery setting.

**Encounter level data**

Information about, or resulting from, a contact between a patient and a
health care provider. Contains information about costs and services
used. Administrative data.

**Episode of illness**

A sequence of care for a specific medical problem or condition from
onset to resolution of the problem. An episode may extend over more than
one encounter with physicians, hospital or ambulatory care facility.

**Healthcare Cost and Utilization Project (HCUP (pronounced
\"H-Cup\"))**

A family of powerful health care databases, software tools and products
for advancing research. Sponsored by the Agency for Healthcare Research
and Quality (AHRQ), HCUP includes the largest collection of longitudinal
health care (inpatient, ambulatory surgery and emergency department)
data in the United States, with all-payer, encounter-level information
beginning in 1988. HCUP is a Federal-State-Industry partnership that
brings together the data collection efforts of State data organizations,
hospital associations, private data organizations, and the Federal
government to create a national information resource of patient-level
health care data.

**HCUP Application Kit**

The materials and instructions provided to prospective purchasers of the
HCUP public release databases available for purchase through the HCUP
Central Distributor.

**HCUP Central Distributor**

The mechanism through which many of the HCUP databases are offered for
purchase. Its main functions are to handle inquiries for public files,
process applications for purchase, collect data use fees, and distribute
products.

**HCUP Databases**

Longitudinal health care databases, used to identify, track, and analyze
national trends in health care utilization, access, charges, quality,
and outcomes. HCUP has nationwide and state-specific databases:

-   Nationwide Inpatient Sample (NIS) - inpatient data from a national
    sample of over 1,000 hospitals.

-   Kids\' Inpatient Database (KID) - a nationwide sample of pediatric
    inpatient discharges.

-   State Inpatient Databases (SID) - contain the universe of inpatient
    discharge abstracts from participating states.

-   State Ambulatory Surgery Databases (SASD) - contain data from
    ambulatory care encounters from hospital-affiliated and sometimes
    freestanding ambulatory surgery sites.

-   State Emergency Department Databases (SEDD) - contain data from
    hospital-affiliated emergency departments for visits that do not
    result in hospitalizations.

**HCUP User Support (HCUP-US)**

The Web site designed to answer HCUP-related questions; provide detailed
information on HCUP databases, tools, and products; and offer technical
assistance to HCUP users. It is at <http://hcup-us/home.jsp> .

**HCUPnet**

A web-based interactive tool for identifying, tracking, analyzing, and
comparing statistics on hospital care. HCUPnet queries generate
statistics in a table format using data from the NIS and SID databases
for those States that have agreed to participate. HCUPnet is at
<http://hcup.ahrq.gov/HCUPnet.asp> .

**Healthcare Common Procedure Coding System (HCPCS)**

The standard HIPAA code set for reporting supplies, orthotic and
prosthetic devices, and durable medical equipment. In combination with
the Current Procedure Terminology Codes (CPT), it is used to report
physician and other health care services.

**Health Insurance Portability and Accountability Act (HIPAA)**

Legislation with regulations divided into four standards or rules:
privacy, security, identifiers and transactions and code sets. A
provision of this act calls for the Department of Health and Human
Services to implement administrative simplification and to protect
health information in any form or medium. The purpose of this mandate is
to simplify and modernize the health care system by standardizing
electronic data interchange, and to protect the security and privacy of
the transmitted data.

**The International Classification of Diseases, Ninth Revision, Clinical
Modification (ICD-9-CM)**

The official system of assigning codes to diagnoses and procedures
associated with hospital utilization in the United States. ICD-9-CM is
based on the World Health Organization\'s Ninth Revision, International
Classification of Diseases (ICD-9).

**International Statistical Classification of Diseases and Related
Health Problems\
10th Revision** (**ICD-10)**

The latest international standard diagnostic classification for all
general epidemiological and many health management purposes. ICD-10 is
planned as the replacement for ICD-9-CM, volumes 1 and 2.

**Intramural SID/SASD/SEDD**

HCUP Intramural State Databases consist of the Intramural State
Inpatient Database (SID), Intramural State Ambulatory Surgery Databases
(SASD), and Intramural State Emergency Department Databases (SEDD). The
Intramural State Databases are restricted to use by AHRQ researchers and
their contractors.

**Kids\' Inpatient Database (KID)**

One in a family of databases and software tools developed as part of
HCUP. The KID is a unique and powerful database of hospital inpatient
stays for children. The KID is the only all-payer inpatient care
database for children in the United States. It contains data from two to
three million hospital discharges for children. The KID is available for
1997, 2000, and 2003.

**Major Diagnostic Category (MDC)**

A system for further grouping Diagnosis Related Groups (DRGs) into
relatively specifically defined interventions and illnesses, typically
grouped by body system.

**Medical Record Number (MRN)**

The current method of identifying a patient and their medical
information by the majority of organizations. Each provider organization
maintains a Master Patient Index (MPI) and the Medical Record Number is
issued and maintained through this index. The MPI usually contains the
patient\'s demographic information such as name, date of birth, address,
mother\'s maiden name, SSN, etc. The Medical Record Number is designed
to be unique only within the same organization, with the numbering
system, including the content and format of the medical record number,
usually being specific to the individual organization.

**Medicare Provider Analysis and Review (MedPAR)**

A CMS file of records of beneficiaries using hospital inpatient
services. Most data elements that will permit identification of
beneficiaries are removed.

**Memorandum of Agreement (MOA) (or Memoranda of Agreement)**

A signed agreement between HCUP state partners and AHRQ. The MOA
outlines the responsibilities of each party, specifies data elements
that will be provided by the state partner, and identifies the data
elements that the state allows AHRQ to release.

**National Association of Children\'s Hospitals and Related Institutions
(NACHRI)**

An organization of children\'s hospitals with 194 members in the United
States, Australia, Canada, Italy, Mexico and Puerto Rico.  NACHRI
promotes the health and well-being of all children and their families
through support of children\'s hospitals and health systems that are
committed to excellence in providing health care to children.

**National Association of Health Data Organizations (NAHDO)**

A national, not-for-profit membership organization with a mission to
improve health care through the collection, analysis, dissemination,
public availability, and use of health data.

**National Uniform Billing Committee (NUBC)**

A committee of all major national provider and payer organizations,
formed by the American Hospital Association (AHA) in 1975, to develop a
single billing form and standard data set that could be used nationwide
by institutional providers and payers for handling health care claims.

**National Center for Health Statistics (NCHS)**

The Nation's principal health statistics agency, part of the Centers for
Disease and Control, one of the 13 major operating components of U.S.
Department of Health and Human Services (DHHS).

**National Healthcare Disparities Report (NHDR)**

A Congressionally mandated annual report that the Agency for Healthcare
Research and Quality (AHRQ) produces on health care disparities. The
NHDR and the National Healthcare Quality Report (NHQR) have been
designed and planned as companion reports.

**National Healthcare Information Network (NHIN)**

An Internet-based architecture that links disparate health care
information systems together to allow patients, physicians, hospitals,
community health centers and public health agencies across the country
to share clinical information securely.

**National Healthcare Quality Report (NHQR)**

A Congressionally mandated annual report that the Agency for Healthcare
Research and Quality (AHRQ) produces on health care quality. The NHQR
and the National Healthcare Disparities Report (NHDR) have been designed
and planned as companion reports.

**National Hospital Discharge Survey (NHDS)**

A national probability survey on characteristics of inpatients
discharged from non-Federal short-stay hospitals in the United States.
The survey collects data from a sample of approximately 270,000
inpatient records acquired from a national sample of about 500
hospitals. The survey is administered by the NCHS and based on data from
a sample of 525 hospitals in the U.S.

**Nationwide Inpatient Sample (NIS)**

One in a family of databases and software tools developed as part of
HCUP. The NIS is a unique and powerful database of hospital inpatient
stays. NIS is the largest all-payer inpatient care database in the
United States. It contains data from approximately 8 million hospital
stays, all discharge data from 995 hospitals located in 37 States,
approximating a 20-percent stratified sample of U.S. community
hospitals. NIS databases are available for the years 1998-2003.

**Private Data Organizations (PDO)**

Non-government, generally non-profit information agencies, such as
hospital associations, to which the reporting of state health data is
generally voluntary.

**Public Health Data Standards Consortium (PHDSC or Consortium)**

A national non-profit member-based partnership of federal, state and
local health agencies; national and local professional associations; and
public and private sector organizations and individuals to promote
standardization of information on health and healthcare.

**Regional Health Information Organizations (RHIOs)**

Health organizations that support state and other regional projects that
help harmonize the privacy and business rules for health information
exchange. There are over 100 regional projects under way that are funded
by the Federal government. Several other projects are being supported by
private industry efforts or are substantiated by State Governors and/or
state legislation.

**Restricted access, public release files (Central Distributor)**

Restricted access public release versions of many of the HCUP databases
are available to the public through the AHRQ-sponsored HCUP Central
Distributor. The content of the restricted access public release
versions of the HCUP databases is developed in partnership with the
participating data organizations. Because the participating data
organizations dictate the release of specific data elements, the data
elements on the restricted access public release databases are a subset
of the data elements in the intramural databases.

**Quality Indicators (QIs) - See AHRQ Quality Indicators**

**State Ambulatory Surgery Databases (SASD)**

Individual state databases containing the universe of ambulatory surgery
data from HCUP participating states, translated into a uniform HCUP
format. Those data capture surgeries performed on the same day in which
patients are admitted and released. SASD databases are available for the
years 1997-2003. Composition and completeness of data files may vary
from State to State.

**State Emergency Department Databases (SEDD)**

Individual state databases containing the universe of discharge
information on all emergency department visits that do not result in an
admission from HCUP participating states, translated into a uniform HCUP
format. (Information on patients initially seen in the emergency room
and then admitted to the hospital is included in the State Inpatient
Databases). SEDD databases are available for the years 1999-2003.

**State Inpatient Databases (SID)**

Individual state databases containing the universe of inpatient data
collected from all community hospital discharges from HCUP participating
states, translated into a uniform HCUP format. SIDD databases are
available for the years 1990-2003

**State Data Organizations (SDO)**

State-funded data agencies, to which the reporting of state health data
is generally mandated by state law.

Number range CHAPTER**REFERENCE MATERIALS**

Offerors are directed to information about the HCUP procurement at
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>. Offerors are
directed to [www.hcup-us.ahrq.gov](http://www.hcup-us.ahrq.gov/) for
general information about HCUP.

[]{#__RefHeading___Toc135712930 .anchor}**APPENDIX A: HCUP Databases**

**1. HCUP State Databases**

HCUP state databases are annual, state-specific files that share a
common structure and common data elements. During development, they are
subjected to a common set of edits. The uniform format of the HCUP state
databases facilitates multi-state comparisons and analyses. Most data
elements are coded in a uniform format across all states. In addition to
the core set of uniform data elements, the state databases include state
specific data elements, data elements available only for a limited
number of states, or versions of a core uniform data element using the
state-specific coding. Strict policies and procedures are in place to
protect privacy and confidentiality.

There are three types of HCUP state databases:

State Inpatient Databases (SID)

State Ambulatory Surgery Databases (SASD)

State Emergency Department Databases (SEDD).

The following is a general description of each database. Detailed
information on HCUP databases can be found at the HCUP-US web site (
<http://www.hcup-us.ahrq.gov/databases.jsp>).

*[State Inpatient Databases (SID)]{.underline}*

The State Inpatient Databases (SID) are a collection of state-specific
inpatient databases created from data provided by data organizations in
participating states. When considered together, the SID encompass more
than 90 percent of all hospitals' discharges in the United States.

Researchers and policy analysts use the SID to investigate questions
unique to one state; to utilize data elements that are not collected by
all States (and therefore not on the NIS); to compare data from two or
more states; to conduct market area variation analyses; and to identify
state-specific trends in inpatient care utilization, access, charges,
quality, and outcomes. The SID are well suited for research that
requires complete enumeration of hospitals and discharges within
geographic areas or states.

In general, the SID contain the universe of that state's hospital
inpatient discharge records. The SID range in size from 60,000 to 3.9
million records. Many states publicly release their SID through the
AHRQ-sponsored HCUP Central Distributor.

*[State Ambulatory Databases (SASD)]{.underline}*

The State Ambulatory Surgery Databases (SASD) are a collection of
state-specific outpatient databases that capture surgeries performed on
the same day in which patients are admitted and discharged in 20
participating states. All of the databases include the universe of
ambulatory surgery abstracts from hospital-affiliated ambulatory surgery
sites. Some databases also contain ambulatory surgery encounter
abstracts from freestanding surgery centers.

Researchers and policy analysts use the SASD to compare ambulatory
surgery patterns; to conduct market area research or small area
variation analyses; and to identify state-specific trends in ambulatory
surgery utilization, access, charges, quality, and outcomes. The SASD
are well suited for research that requires complete enumeration of
hospital-based ambulatory surgeries within geographic areas or states.

The SASD range in size from 270,000 to 2.4 million records and vary by
state. Many states publicly release their SASD through the
AHRQ-sponsored HCUP Central Distributor.

*[State Emergency Department Databases (SEDD)]{.underline}*

The State Emergency Department Databases (SEDD) capture outpatient
emergency department encounters (i.e. treat and release) from data
organizations in 15 participating states. The SEDD include the universe
of abstracts from hospital-affiliated emergency department sites.
Encounters in the emergency department which are later admitted to the
hospital are captured in the SID.

Researchers and policy analysts can use the SEDD to investigate access
to health care in a changing health care marketplace; trends and
correlations between emergency department use and environmental events;
community assessment and planning; and emerging infections. The SEDD
when combined with the SID are well suited for research that requires
complete enumeration of hospital-based emergency departments within
states.

The SEDD range in size from 1 million records to 1.8 million records. A
few states publicly release their SEDD through the AHRQ-sponsored HCUP
Central Distributor.

*[Physician Files]{.underline}*

Cleaned and standardized physician files are available for a small
number of states. Generally, these files are based on the Medicare
Unique Physician Identification Number (UPIN) and provide information on
the physician name and specialty code.

**2. HCUP Nationwide Databases**

HCUP nationwide databases are created from the HCUP state databases by
sampling hospitals or encounter records across the participating states.
They include comprehensive discharge-level clinical, resource, and
demographic information on all patients, regardless of payer, including
persons covered by Medicare, Medicaid, private insurance, and the
uninsured. Researchers and policy analysts use the HCUP nationwide
databases to identify, track, and analyze national and regional trends
in health care utilization, access, charges, quality, and outcomes.

Currently, there are two types of HCUP nationwide databases:

The Nationwide Inpatient Sample (NIS)

The Kids' Inpatient Database (KID).

The following is a general description of each database.

*[Nationwide Inpatient Sample (NIS)]{.underline}*

The Nationwide Inpatient Sample (NIS) is the largest all-payer inpatient
care database in the United States. The NIS contains data on all
discharges from about 1,000 hospitals located throughout the country
(approximately seven to eight million discharge records per year),
approximating a 20 percent stratified sample of community
non-rehabilitation hospitals in the United States.

Researchers and policy analysts use the NIS to identify, track, and
analyze national trends in health care utilization, access, charges,
quality, and outcomes. Its large sample size (more than seven million
unweighted hospital records) is ideal for creating national and regional
estimates and enables analyses of rare conditions, such as immunity
disorders and uncommon cancers; uncommon treatments, such as organ
transplantation; and special populations, such as women and children.

NIS data are available annually from 1988, allowing analysis of trends
over time, and may be purchased from the HCUP Central Distributor. The
NIS underwent a redesign in 1998. In order to facilitate analysis across
the entire time period, an alternate set of NIS discharge and hospital
weights for the 1988 -- 1997 HCUP NIS were developed. These alternative
weights account for changes in the sampling and weighting strategy
beginning in 1998 and are available for download on the HCUP-US Web
site.

*[Kids' Inpatient Database (KID)]{.underline}*

The HCUP Kids' Inpatient Database (KID) is the only all-payer pediatric
inpatient care database in the United States, containing data from
approximately two million hospital stays. The KID was developed as a
"specialized" database that is re-created approximately every three
years. The KID contains a sample of discharges from approximately 2,500
hospitals. Within each hospital, 10 percent of normal newborn discharges
and 80 percent of other pediatric discharges are sampled.

Researchers and policy analysts use the KID to analyze hospital
utilization, charges, quality, and outcomes for children across the
United States. Its large sample size is ideal for developing national
and regional estimates. Its scope permits analyses of rare conditions,
such as spinal cord tumors and congenital anomalies, as well as uncommon
treatments, such as bone marrow transplantation and brain surgery.

KID data are available for 1997, 2000 and 2003 and may be purchased from
the HCUP Central Distributor. Please refer to Appendix 1, *HCUP Database
Availability by Data Organization,* for state-specific information on
participation.

**3. Other Databases Related to HCUP**

Other auxiliary databases are used to augment information in the HCUP
state and nationwide databases. Section VII of this document details how
the other HCUP databases are constructed. The following is a general
description of each database.

*[Hospital Characteristics]{.underline}*

Hospital characteristics such as bed size, ownership, teaching status,
location, utilization, finances, and personnel are available from the
American Hospital Association's (AHA) Annual Survey of Hospitals.
Cleaned and standardized versions of the AHA Annual Survey are prepared
for use by AHRQ staff and can be linked to the state and nationwide
databases. All the HCUP databases may be directly linked to
hospital-level data from the AHA Annual Survey

*[Demographic Data and Area Characteristics by ZIP Code]{.underline}*

The HCUP ZIP Code files provide population data and area characteristics
for residential ZIP Codes in the United States. For information prior to
2001, data files were obtained from CACI Marketing Systems. Beginning
with data year 2001, population data and area characteristics for
residential ZIP Codes in the United States were purchased annually from
Claritas, Inc.

*[Community Information]{.underline}*

Community information such as population counts, socio-demographic
indicators, and measures of community health care resources are
available from the U.S. Census and from the Area Resource File (ARF) of
the Health Resources and Services Administration (HRSA). Forecasted
population counts and socio-demographic data were purchased from CACI
Marketing Systems and Claritas for use by HCUP for non-Census years. The
ARF is not one of the HCUP databases, but it may be linked to these
databases by the hospital's state county code.

[]{#__RefHeading___Toc135712931 .anchor}**APPENDIX B: File Structure of
the HCUP Databases**

The structure of the HCUP state databases has evolved over time.
Starting with the 1998 data, the structure is unified so that the state
databases are more flexible, easier to data process and document, and
still adhere to all data confidentiality and security requirements. The
structure of the HCUP state databases needs to be flexible because the
content and layouts of the data provided by the HCUP State Partners
change periodically. Being flexible also allows for the incorporation of
state-specific innovations in the coding and availability of data
elements. This approach also makes adding or modifying HCUP variables
relatively simple because changes are made to one master program, but
affect every data type. Furthermore, having data in the same format
simplifies documentation because the description of standard HCUP coding
will be identical across all HCUP databases.

**1. Intramural File Structure of HCUP State Databases**

Beginning in 1998, the HCUP state databases are comprised of four types
of files: Core, Charges, Data Development, and Hospital. The following
table describes the differences in the file structure between pre- and
post-1998 files.

+-------------+--------------------------------------------------------+
| **HCUP      |                                                        |
| State       |                                                        |
| Databases** |                                                        |
|             |                                                        |
| **File      |                                                        |
| Structure** |                                                        |
+=============+========================================================+
| **          | **Description**                                        |
| 1998-2004** |                                                        |
+-------------+--------------------------------------------------------+
| Core        | The Core files contain data elements that are provided |
|             | by most data organizations and can be uniformly coded  |
|             | across states. These variables include patient         |
|             | demographics, clinical information, admission          |
|             | type/source, admission/discharge status, charge        |
|             | information, expected payer and linkage variables.     |
+-------------+--------------------------------------------------------+
| Charges     | Includes data elements related to detailed charges.    |
|             | There are two kinds of charge files. One includes line |
|             | item detail and the other includes a summary of        |
|             | charges by revenue center code.                        |
+-------------+--------------------------------------------------------+
| Hospital -- | The Hospital Crosswalk files contain American Hospital |
| Crosswalk   | Association (AHA) linkage data elements that allow the |
|             | HCUP databases to be used in conjunction with the AHA  |
|             | Annual Survey of Hospitals data files. These files     |
|             | contain information about hospital characteristics     |
+-------------+--------------------------------------------------------+
| Data        | The Data Development files contain variables used to   |
| Development | create synthetic or derived uniform HCUP data          |
|             | elements. They contain the most sensitive patient      |
|             | information, such as unencrypted dates of birth, dates |
|             | of admission, discharge and procedure dates, and       |
|             | encrypted patient and physician identifiers.           |
+-------------+--------------------------------------------------------+

Since the creation of the first HCUP databases, there has been a
significant change in the availability and coding of data elements
supplied by the HCUP State Partners. The file structure of the HCUP
state database beginning in 1998 allows flexibility in adding new
variables. Specific data elements are defined in identical ways in all
HCUP state databases. Documentation for the variables is simplified
because it applies to all state databases.

A description of how the HCUP Databases are built and the uniform coding
for all variables in the HCUP state databases can be found in the
Overview of HCUP Process and Databases
<http://www.ahrq.gov/fund/contarchive/rfp060009.htm>.

**2. File Structure of HCUP Nationwide Databases**

The HCUP nationwide databases are developed so that researchers and
policy analysts can identify, track, and study national and regional
trends in health care utilization, access, charges, quality, and
outcomes. Nationwide databases are built from the HCUP state databases
by taking a stratified sample of hospitals across the available HCUP
states and weighting them to all hospitals in the United States.

The process for creating a nationwide database is the same regardless of
the type of database (i.e., the steps to build the KID are the same as
those to build the NIS). However, the sampling approach may differ.

*File Structure for the Nationwide Inpatient Sample (NIS)*

The HCUP Nationwide Inpatient Sample consists of four types of
fixed-width ASCII formatted data files:

[Inpatient Core File]{.underline} -- This file contains all discharges
from a sample of short-term, acute care, non-rehabilitation hospitals in
participating states. It contains the core data elements such as
diagnoses and procedures, patient characteristics, admission and
discharge information, length of stay, and charges. The unit of
observation is the inpatient stay record. This file is available for all
years of the NIS.

[Subsample Inpatient Core Files]{.underline} - There are two subsample
files, each of which contains a random, non-overlapping 10 percent
subsample of discharges from the NIS. These files can be combined to
form one 20 percent NIS subsample. These files can be used for testing
programs or validating models. The unit of observation is the inpatient
stay. These files are available for all years, but will be discontinued
in future years.

[Disease Severity Measures Files]{.underline} -- These discharge-level
files contain information from four different sets of disease severity
measures: APR-DRGs, APS-DRGs, Disease Staging, and AHRQ Comorbidity
Measures. There is one severity measure file for each of the Core and
Subsample Core files (three files in total). The unit of observation is
the inpatient stay record. The HCUP unique record identifier (KEY)
provides the linkage between the Core and Severity Measures files. These
files are available beginning with the 2002 NIS.

[Hospital Weights File]{.underline} -- This file contains one
observation for each hospital in the NIS. Each record contains weights
(for making national estimates), data elements required for variance
calculations, and linkage data elements. The unit of observation is the
hospital. The HCUP hospital identifier (HOSPID) provides the linkage
between the core files and weights file but it cannot be used to
specifically identify a hospital by name. This information is provided
in other data elements (such as the American Hospital Association (AHA)
identifier) for those hospitals in states that allow disclosure of
hospital identity. This file is available in all years.

In addition to data files, there are four different types of
documentation and tool files.

[Documentation]{.underline} -- Complete file documentation, variable
notes, summary statistics, and special reports are provided in a series
of portable document format (\*.pdf) files.

[Source code]{.underline} -- Source code is provided to load the data
from ASCII into both SAS and SPSS. Code is also provided to create a
format library in SAS or a variable library in SPSS.

[Labels]{.underline} -- Labels are provided for the Clinical
Classification Software (CCS), and for the Diagnosis Related Groups
(DRGs).

[File specifications]{.underline} -- These files contain record layouts
for all files.

***File Structure for the Kids' Inpatient Database (KID)***

The HCUP KID consists of three types of fixed-width ASCII formatted data
files, similar to the NIS, except that there are no subsample files for
the KID:

[Inpatient Core File]{.underline} -- This file contains pediatric
discharges sampled from all short-term, acute care, non-rehabilitation
hospitals in participating states. It contains the core data elements
such as diagnoses and procedures, patient characteristics, admission and
discharge information, length of stay, and charges. The unit of
observation is the inpatient stay record. This file is available for all
years of the KID.

[Disease Severity Measures Files]{.underline} -- This discharge-level
file contains information from four different sets of disease severity
measures: APR-DRGs, APS-DRGs, Disease Staging, and AHRQ Comorbidity
Measures. The HCUP unique record identifier (KEY) provides the linkage
between the Core and Severity Measures files. These files are available
beginning with the 2003 KID.

[Hospital Weights File]{.underline} -- This file contains one
observation for each hospital in the KID. Each record contains weights
(for making national estimates), data elements required for variance
calculations, and linkage data elements. The unit of observation is the
hospital. The HCUP hospital identifier (HOSPID) provides the linkage
between the core files and weights file but it cannot be used to
specifically identify a hospital by name. This information is provided
in other data elements (such as the American Hospital Association (AHA)
identifier) for those hospitals in states that allow disclosure of
hospital identity. This file is available in all years.

In addition to data files, the KID includes four different types of
documentation and tool files, just as for the NIS.

[Documentation]{.underline} -- Complete file documentation, variable
notes, summary statistics, and special reports are provided in a series
of portable document format (\*.pdf) files.

[Source code]{.underline} -- Source code is provided to load the data
from ASCII into both SAS and SPSS. Code is also provided to create a
format library in SAS or a variable library in SPSS.

[Labels]{.underline} -- Labels are provided for the Clinical
Classification Software (CCS), and for the Diagnosis Related Groups
(DRGs).

[File specifications]{.underline} -- These files contain record layouts
for all files.

[]{#__RefHeading___Toc135712932 .anchor}**APPENDIX C: HCUP SOW List of
Options**

The following tasks are identified as Options in the SOW and may be
considered depending on the availability of funds. Tasks C.8.8 through
C.24 are evaluated priced options. Tasks C.24 through C.27 are evaluated
unpriced options.

[Evaluated Priced Options]{.underline}

C.8.8. Evaluate the Collection, Processing, Documentation and Delivery
Methods for State Databases

C.9.3.4. Evaluate the Processing, Documentation, and Dissemination
Procedures

C.11. Multi-State and Nationwide Outpatient Databases

C.12. New Specialized Discharge-level Database

C.14. HCUP Supplemental / Linkable Files

C.15.8. Exhibit Booth Representation

C.15.9. Evaluation of Dissemination Processes and Tracking /
Distribution System

C.18. Improving HCUP Data Through Technical Support for Partners

C.19.3. Provide Information to AHRQ on Advances in Health Care
Information Technology (HIT) Relevant to HCUP

C.21. Develop Educational Presentations and Training Materials

C.22.3. Create New Software Tools

C.23.2. Write Descriptive and Analytic Reports for Multiple HCUP Series

C.23.3. Assess All Report Series and Recommend an Overall Plan

C.24. Increase Use of and Impact from HCUP through Outreach

[Evaluated Unpriced Options]{.underline}

C.25. Translation of Data for Use by Surveillance Data Systems

C.26. Expansion of HCUP Outpatient Data to Improve Geographic and
Demographic Representation and to Improve Timeliness of HCUP

C.27. Improving Timeliness of HCUP Information through Near Real-Time
Streaming of Data from State Data Organizations

**ATTACHMENT 2**

**PAST PERFORMANCE QUESTIONNAIRE**

**PART ONE: INSTRUCTIONS**

The offeror listed below has submitted a proposal in response to the
Agency for Healthcare Research and Quality (AHRQ) Solicitation No.
AHRQ-06-0009, entitled "Healthcare Cost and Utilization Project (HCUP)."
Past performance is an important part of the evaluation criteria for
this acquisition, so input from previous customers of the offeror is
important. This office would greatly appreciate you taking the time to
complete this form. **This information is to be provided to Sharon
Williams, the AHRQ Contracting Officer and is NOT to be disclosed to the
offeror either verbally or in writing.** Please provide an honest
assessment and return to AHRQ to the address shown below, no later than
**June 30, 2006** If you have any questions, please contact Ms. Sharon
Williams at (301) 427-1781.

Sharon Williams

Agency for Healthcare Research and Quality

Division of Contracts Management

540 Gaither Road

Rockville, Maryland 20850

FAX: (301) 427-1740

NAME OF
OFFEROR:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

ADDRESS:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**[Contractor Performance Form]{.underline}**

1\. Name of
Contractor:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\.
Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Contract/Grant Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Contract/Grant Value (Base Plus Options):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. Contract/Grant Award Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6\. Contract/Grant Completion Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7\. Type of Contract/Grant: (Check all that apply) ( )FP ( )FPI

( ) Award Fee ( ) CPFF-Completion ( ) CPFF-Term ( ) CPIF ( ) CPAF

( ) IO/IQ ( ) BOA ( ) Requirements ( ) Labor-Hour ( )T&M ( ) SBSA

( )8(a) ( )SBIR ( ) Sealed Bid( )Negotiated( )Competitive (
)Non-Competitive

8\. Description of Requirement:

**[CONTRACTOR'S PERFORMANCE RATING]{.underline}**

Ratings: Summarize contractor performance and circle in the column on
the right the number which corresponds to the performance rating for
each rating category. Please see reverse page for explanation of rating
scale.

+------------------+-----------------------------------------------+---+
| Quality of       | Comments                                      | 0 |
| Product or       |                                               |   |
| Service          |                                               | 1 |
|                  |                                               |   |
|                  |                                               | 2 |
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|                  |                                               | 3 |
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|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Cost             | Comments                                      | 0 |
|                  |                                               |   |
| Control          |                                               | 1 |
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|                  |                                               | 3 |
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|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Timeliness of    | Comments                                      | 0 |
|                  |                                               |   |
| Performance      |                                               | 1 |
|                  |                                               |   |
|                  |                                               | 2 |
|                  |                                               |   |
|                  |                                               | 3 |
|                  |                                               |   |
|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Business         | Comments                                      | 0 |
| Relations        |                                               |   |
|                  |                                               | 1 |
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|                  |                                               | 2 |
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|                  |                                               | 3 |
|                  |                                               |   |
|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
|                  |                                               |   |
+------------------+-----------------------------------------------+---+

Customer Satisfaction - Is/was the Contractor committed to customer
satisfaction? Yes No ; Would

you use this Contractor again? Yes No

Reason:

**NAME OF EVALUATOR:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**TITLE OF EVALUATOR:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**SIGNATURE OF
EVALUATOR:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**DATE:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**MAILING ADDRESS:**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PHONE
#:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Rating Guidelines:** Summarize contractor performance in each of the
rating areas. Assign each area a rating 0(Unsatisfactory), 1(Poor),
2(Fair), 3(Good), 4(Excellent) 5(Outstanding). Use the following
instructions as guidance in making these evaluations.

+------------+-------------+-----------+------------+----------------+
|            | **Quality** | **Cost    | **         | **Business     |
|            |             | Control** | Timeliness | Relation**     |
|            |             |           | of**       |                |
|            |             |           |            |                |
|            |             |           | **Per      |                |
|            |             |           | formance** |                |
+------------+-------------+-----------+------------+----------------+
|            | -Compliance | -Within   | -Met       | -Effective     |
|            | with        | bud       | interim    | management     |
|            | contract    | get(over/ | milestones |                |
|            |             |           |            | -Businesslike  |
|            | r           | under     | -Reliable  | correspondence |
|            | equirements | target    |            |                |
|            |             | costs)    | -          | -Responsive to |
|            | -Accuracy   |           | Responsive | contract       |
|            | of reports  | -Current, | to         |                |
|            |             | accurate, | technical  | requirements   |
|            | -Technical  | and       |            |                |
|            | excellence  |           | direction  | -Prompt        |
|            |             | complete  |            | notification   |
|            |             | billings  | -Completed | of problems    |
|            |             |           | on time,   |                |
|            |             | -Rel      |            | -Reasonab      |
|            |             | ationship | including  | le/cooperative |
|            |             | of        | wrap-up    |                |
|            |             |           | and        | -Flexible      |
|            |             | n         |            |                |
|            |             | egotiated | contract   | -Pro-active    |
|            |             | costs to  | adm        |                |
|            |             |           |            | -Effective     |
|            |             | actual    | -No        | small/small    |
|            |             |           | liquidated |                |
|            |             | -Cost     | damages    | disadvantaged  |
|            |             | eff       |            | business sub-  |
|            |             | iciencies | assessed   |                |
|            |             |           |            | contracting    |
|            |             | -Change   |            | program        |
|            |             | orders    |            |                |
|            |             | issue     |            |                |
+------------+-------------+-----------+------------+----------------+
| 0-unsa     | Nonc        | Ability   | Delays are | Response to    |
| tisfactory | onformances | to manage | je         | inquiries,     |
|            | are         | cost      | opardizing |                |
|            |             |           |            | tech           |
|            | j           | issues is | the        | nical/service/ |
|            | eopardizing | jeo       | a          | administrative |
|            | the         | pardizing | chievement |                |
|            |             |           | of         | issues is not  |
|            | achievement | pe        |            | effective      |
|            | of contract | rformance | contract   |                |
|            |             | of        | req        |                |
|            | re          | contract  | uirements, |                |
|            | quirements, |           |            |                |
|            | despite use | requ      | despite    |                |
|            |             | irements, | use of     |                |
|            | of Agency   | despite   | Agency's   |                |
|            | resources   |           |            |                |
|            |             | use of    | resources  |                |
|            |             | Agency    |            |                |
|            |             |           |            |                |
|            |             | resources |            |                |
+------------+-------------+-----------+------------+----------------+
| 1-Poor     | Overall     | Ability   | Delays     | Response to    |
|            | compliance  | to manage | require    | inquiries,     |
|            |             | cost      | major      |                |
|            | requires    |           |            | tech           |
|            | major       | issues    | Agency     | nical/service/ |
|            | Agency      | requires  | resources  | administrative |
|            |             | major     | to         |                |
|            | resources   |           |            | issues is      |
|            | to ensure   | Agency    | ensure     | marginally     |
|            |             | resources | a          | effective      |
|            | achievement | to        | chievement |                |
|            | of contract |           | of         |                |
|            |             | ensure    |            |                |
|            | r           | ac        | contract   |                |
|            | equirements | hievement | re         |                |
|            |             | of        | quirements |                |
|            |             |           |            |                |
|            |             | contract  |            |                |
|            |             | req       |            |                |
|            |             | uirements |            |                |
+------------+-------------+-----------+------------+----------------+
| 2-Fair     | Overall     | Ability   | Delays     | Response to    |
|            | compliance  | to manage | require    | inquiries,     |
|            |             | cost      | minor      |                |
|            | requires    |           |            | tech           |
|            | minor       | issues    | Agency     | nical/service/ |
|            | Agency      | requires  | resources  | administrative |
|            |             | minor     | to         |                |
|            | resources   |           |            | issues is      |
|            | to ensure   | Agency    | ensure     | somewhat       |
|            |             | resources | a          | effective      |
|            | achievement | to        | chievement |                |
|            | of contract |           | of         |                |
|            |             | ensure    |            |                |
|            | r           | ac        | contract   |                |
|            | equirements | hievement | re         |                |
|            |             | of        | quirements |                |
|            |             |           |            |                |
|            |             | contract  |            |                |
|            |             | req       |            |                |
|            |             | uirements |            |                |
+------------+-------------+-----------+------------+----------------+
| 3-Good     | Overall     | M         | Delays do  | Response to    |
|            | compliance  | anagement | not impact | inquiries,     |
|            | does        | of cost   |            |                |
|            |             |           | a          | tech           |
|            | not impact  | issues    | chievement | nical/service/ |
|            | achievement | does not  | of         | administrative |
|            | of          | impact    | contract   |                |
|            |             |           |            | issues is      |
|            | contract    | ac        | re         | usually        |
|            | r           | hievement | quirements | effective      |
|            | equirements | of        |            |                |
|            |             | contract  |            |                |
|            |             |           |            |                |
|            |             | req       |            |                |
|            |             | uirements |            |                |
+------------+-------------+-----------+------------+----------------+
| 4          | There are   | There are | There are  | Response to    |
| -Excellent | no quality  | no cost   | no delays  | inquiries,     |
|            |             |           |            |                |
|            | problems    | m         |            | tech           |
|            |             | anagement |            | nical/service/ |
|            |             | issues    |            | administrative |
|            |             |           |            |                |
|            |             |           |            | issues is      |
|            |             |           |            | effective      |
+------------+-------------+-----------+------------+----------------+

5-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 3 0348-0046**

Complete this form to disclose lobbying activities pursuant to 31 U.S.C.
1352

(See reverse for public burden disclosure.)

+-----------------------+-----------------------+----------------------+
| 1\. Type of Federal   | 2\. Status of Federal | 3\. Report Type:     |
| Action:               | Action:               |                      |
|                       |                       | > a\. initial filing |
| > a\. contract        | a\.                   | >                    |
| >                     | bid/offer/application | > b\. material       |
| > b\. grant           |                       | > change             |
| >                     | b\. Initial award     | >                    |
| > c\. cooperative     |                       | > For Material       |
| > agreement           | c\. post-award        | > Change Only:       |
| >                     |                       | >                    |
| > d\. loan            |                       | > year \_\_\_\_\_\_  |
| >                     |                       | > quarter            |
| > e\. loan guarantee  |                       | > \_\_\_\_\_\_\_     |
| >                     |                       | >                    |
| > f\. loan insurance  |                       | > date of last       |
|                       |                       | > re                 |
|                       |                       | port\_\_\_\_\_\_\_\_ |
+-----------------------+-----------------------+----------------------+

+----------------------------------+-----------------------------------+
| 4\. Name and Address of          | 5\. If Reporting Entity in No. 4  |
| Reporting Entity:                | is Subawardee, Enter Name and     |
|                                  | Address of Prime                  |
| G Prime G Subawardee             |                                   |
|                                  | Congressional District, if known: |
| Tier\_\_\_\_\_, if known:        |                                   |
|                                  |                                   |
| Congressional District, if       |                                   |
| known:                           |                                   |
+----------------------------------+-----------------------------------+
| 6\. Federal Department/Agency:   | 7\. Federal Program               |
|                                  | Name/Description                  |
|                                  |                                   |
|                                  | CFDA Number, if applicable:       |
|                                  | \_\                               |
|                                  | _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+----------------------------------+-----------------------------------+
| 8\. Federal Action Number, if    | 9\. Award Amount, if known:       |
| known:                           |                                   |
|                                  | \$                                |
+----------------------------------+-----------------------------------+
| 10\. a. Name and Address of      | b\. Individual Performing         |
| Lobbying Entity                  | Services (including address if    |
|                                  | different from No. 10a)           |
| (if individual, last name, first |                                   |
| name, MI):                       | (last name, first name, MI)       |
|                                  |                                   |
| (attach Continuation Sheet(s)    | SF-LLL-A, if necessary)           |
+----------------------------------+-----------------------------------+
| 11\. Amount of Payment (check    | 13\. Type of Payment (check all   |
| all that apply):                 | that apply):                      |
|                                  |                                   |
| \$\_\_\_\_\_\_\_\_\_\_ G actual  | G a. retainer                     |
| G planned                        |                                   |
|                                  | G b. one-time fee                 |
|                                  |                                   |
|                                  | G c. commission                   |
|                                  |                                   |
|                                  | G d. contingent fee               |
|                                  |                                   |
|                                  | G e. deferred                     |
|                                  |                                   |
|                                  | G f. other; specify:              |
|                                  | \_\_\_\_\_\_\_\_\_\_\_\_\         |
|                                  | _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+----------------------------------+-----------------------------------+
| 12\. Form of Payment (check all  |                                   |
| that apply):                     |                                   |
|                                  |                                   |
| G a. cash                        |                                   |
|                                  |                                   |
| G b. in-kind; specify:           |                                   |
| nature\_\_\_\_\_\_\_\_\_\_\_\_\_ |                                   |
|                                  |                                   |
| v                                |                                   |
| alue\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |                                   |
+----------------------------------+-----------------------------------+

+------------------------------+------+--------------------------------+
| 14\. 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)                   |      |                                |
+------------------------------+------+--------------------------------+
| 15\. Continuation Sheet(s)   | Yes  | No                             |
| SF-LLL-A attached:           |      |                                |
+------------------------------+------+--------------------------------+

+-----------------------------------------+----------------------------+
| 16\. Information requested through this | Signature:\_\_\_\_\_       |
| form is authorized by title 31 U.S.C.   | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| section 1352. This disclosure of        | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| lobbying activities is a material       |                            |
| representation of fact upon which       | Print                      |
| reliance was placed by the tier above   | Name:\_\_\_\_\_\_\_\_\_\_  |
| when this transaction was made or       | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| entered into. This disclosure is        | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| required pursuant to 31 U.S.C. 1352.    |                            |
| This information will be reported to    | Title:\_\_\_\_\_\_\_\_\_   |
| the Congress semi-annually and will be  | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| available for public inspection. Any    | \_\_\_\_\_\_\_\_\_\_\_\_\_ |
| person who fails to file the required   |                            |
| disclosure shall be subject to a civil  | Telephone                  |
| penalty of not less than \$10,000 and   | No.:\_\_\_\_\_\            |
| not more than \$100,000 for each        | _\_\_\_\_\_\_\_\_\_\_\_Dat |
| failure.                                | e:\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------+----------------------------+

**DISCLOSURE OF LOBBYING ACTIVITIES**

**CONTINUATION SHEET**

Approved by OMB

0348-0046

  -----------------------------------------------------------------------------------------------------------

  Reporting
  Entity:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
  Page \_\_\_\_\_ of \_\_\_\_\_

  -----------------------------------------------------------------------------------------------------------

Authorized for Local Reproduction

Standard Form\--LLL-A

INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether
subawardee of prime Federal recipient, at 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 of 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 entity 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 1st
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 charge
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) contacted 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, D.C. 20503.                                             |
+-----------------------------------------------------------------------+

> Number range CHAPTER**ATTACHMENT 4**
>
> ***PROPOSAL INTENT RESPONSE SHEET***
>
> **[RFP No. AHRQ-06-0009]{.underline}**
>
> **Please review the attached request for proposal. Furnish the
> information requested below and return this page by June 1, 2006. Your
> expression of intent is not binding but will greatly assist us in
> planning for the proposal evaluation.**
>
> **\[ \] INTEND TO SUBMIT A PROPOSAL**
>
> **\[ \] DO NOT INTEND TO SUBMIT A PROPOSAL FOR THE FOLLOWING
> REASONS:**
>
> **\[ \] I GRANT PERMISSION TO THE AGENCY FOR HEALTHCARE RESEARCH AND
> QUALITY, CONTRACTS OFFICE TO ADD THE CONTACT INFORMAION BELOW TO A
> BIDDERS LIST TO PROVIDE TO OTHER INTERESTED OFFERORS FOR
> SUBCONTRACTING OPPORTUNITIES. (\*MUST INCLUDE AUTHORIZED SIGNATURE)**
>
> **COMPANY/INSTITUTION NAME:**
>
> **\*AUTHORIZED SIGNATURE:**
>
> **TYPED NAME AND TITLE:**
>
> **DATE:**
>
> **\[ \] PLEASE [DO NOT]{.underline} RELEASE THE CONTACT INFORMATION.**
>
> **Please return to:**
>
> **Sharon Williams**
>
> **Agency for Healthcare Research and Quality**
>
> **Contracts Management**
>
> **540 Gaither Road**
>
> **Rockville, Maryland 20850**

**Attachment 5**

**SMALL BUSINESS SUBCONTRACTING PLAN**

**DATE OF PLAN**: \_\_\_\_\_\_\_\_\_\_\_\_\_\_

CONTRACTOR
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

ADDRESS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DUNN & BRADSTREET NUMBER:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SOLICITATION OR CONTRACT NUMBER:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

ITEM/SERVICE (Description):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

TOTAL CONTRACT AMOUNT: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total contract or Option #1

> Base-Year, if options (if applicable)

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Option #2 Option #3 Option #4

(if applicable) (if applicable) (if applicable)

TOTAL MODIFICATION AMOUNT, IF APPLICABLE \$
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

TOTAL TASK ORDER AMOUNT, IF APPLICABLE\$ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

PERIOD OF CONTRACT PERFORMANCE (Month, Day & Year):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

The following outline meets the minimum requirements of section 8(d) of
the Small Business Act, as amended, and implemented by Federal
Acquisition Regulations (FAR) Subpart 19.7. While this outline has been
designed to be consistent with statutory and regulatory requirements,
other formats of a subcontracting plan may be acceptable. It is not
intended to replace any existing corporate plan that is more extensive.
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 calling for supplies or services
required for performance of the contract or subcontract. **If assistance
is needed to locate small business sources, contact the Office of Small
and Disadvantage Business Utilization (OSDBU) at (202) 690-7300 or the
OPDIV Small Business Specialist at
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**. **Sources may also be obtained
from SBA's PRONET website**. Please note that the Department of Health
and Human Services (HHS) has subcontracting goals of \_30\_\_% for small
business (SB), \_11\_% for small disadvantaged business (SDB), \_3\_\_%
for HubZone businesses (HUBZone), \_\_\_5\_\_% for women-owned business
(WOSB), \_\_3\_\_% for veteran-owned business (VOSB), and service
disabled veteran-owned small business (SDVOSB) concerns for fiscal year
\_\_\_\_\_. For this procurement, HHS expects all proposed
subcontracting plans to contain the following goals, at a minimum,
\_\_\_\_\_% for small business, \_\_\_\_% small disadvantaged business,
\_\_\_\_% for HubZone businesses, \_\_\_\_\_\_% for woman owned
businesses, and \_\_\_\_\_\_% for veteran-owned businesses. These
percentages shall be expressed as percentages of the total estimated
subcontracting dollars. **The offeror is required to include an
explanation for a category that has zero as a goal.**

**NOTE TO CONTRACTORS:** Please provide your CCS number with your Dun &
Bradstreet number.

**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*** This plan is used
> when the contractor sells products and services customarily used for
> non-government purposes. Plan/goals are negotiated with the initial
> agency on a company-wide basis rather than for individual contracts.
> The plan is effective only during the year approved. The contractor
> must provide a copy of the initial agency approval, and must submit an
> annual SF 295 to HHS with a breakout of subcontracting prorated for
> HHS (with a OPDIV breakdown, if possible.)

**2. Goals**

State separate dollar and percentage goals for Small Business (SB),
Small Disadvantaged Business (SDB), Woman‑owned Small Business (WOSB),
Historically Underutilized Business Zone (HUBZone) Small Business,
Veteran‑owned (VOSB), Service-Disabled Veteran-owned Small Business
(SDVOSB) and "Other than small business" (Other) as subcontractors, for
the base year and each option year, as specified in FAR 19.704 (break
out and append option year goals, if the contract contains option years)
or project annual subcontracting base and goals under commercial plans.

a.  Total estimated dollar value of ALL planned subcontracting, i.e.,
    with ALL types of concerns under this contract is \$
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (b + h = a) (Base
    Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

b.  Total estimated dollar value and percent of planned subcontracting
    with SMALL BUSINESSES (including SDB, WOSB, HUBZone, SDVOSB and
    VOSB): (% of "a") \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_%

> (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

c.  Total estimated dollar value and percent of planned subcontracting
    with SMALL DISADVANTAGED BUSINESSES: (% of "a") \$
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

d.  Total estimated dollar value and percent of planned subcontracting
    with WOMAN‑OWNED SMALL BUSINESSES: (% of "a") \$
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

e.  Total estimated dollar and percent of planned subcontracting with
    HUBZone SMALL BUSINESSES:

> (% of "a") \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

Total estimated dollar and percent of planned subcontracting with
VETERAN SMALL BUSINESSES: (% of "a") \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
and \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

g.  Total estimated dollar and percent of planned subcontracting with
    Service-Disabled Veteran-Owned Small Business: (% of "a)
    \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

h.  Total estimated dollar and percent of planned subcontracting with
    "OTHER THAN SMALL BUSINESSES":

> (% of "a") \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ and
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_% (Base Year)

FY \_\_\_1^st^ Option FY \_\_\_2^nd^ Option FY \_\_\_3^rd^ Option FY
\_\_\_4^th^ Option

\$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ \$
\_\_\_\_\_\_\_\_\_\_\_\_\_ \$ \_\_\_\_\_\_\_\_\_\_\_\_\_

> **Notes:** 1. Federal prime contract goals are:
>
> SB equals 30%; SDB equals 11%; HUBZone equals 3%, WOSB equals 5% and
> SDVOSB equals 3%, VOSB equals 3% and can serve as objectives for
> subcontracting goal development.

2.  SDB, WOSB, HUBZone, SDVOSB and VOSB goals are subsets of SB and
    should be counted and reported in multiple categories, as
    appropriate.

3.  If any contract has more four options, please attach additional
    sheets showing dollar amounts and percentages.

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).

  ------------------- ------- ------ ------ ------- ---------- ------ --------
  Product/Service     Other   SB     SDB    WOSB    HUBZone    VOSB   SDVOSB

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      

                                                                      
  ------------------- ------- ------ ------ ------- ---------- ------ --------

> i\. Provide a description of the method used to develop the
> subcontracting goals for SB, SDB, WOSB, HUBZone, and VOSB 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, SDB, WOSB, HUBZone, and VOSB 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.)
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> j\. Indirect costs have \_\_\_\_ have not \_\_\_\_ been included in
> the dollar and percentage subcontracting goals above (check one).

k.  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, SDVOSB and VOSB 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 indicate who
in the company performs those duties, or indicate why the duties are not
performed in your company.)

> Developing and promoting company‑wide policy initiatives that
> demonstrate the company's support for awarding contracts and
> subcontracts to SB, SDB, WOSB, HUBZone, SDVOSB and VOSB 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
>
> Developing and maintaining bidder source lists of SB, SDB, WOSB,
> HUBZone, SDVOSB and VOSB concerns from all possible sources;
> \_\_\_\_\_\_ yes \_\_\_\_\_\_\_\_ no

a.  Ensuring periodic rotation of potential subcontractors on bidder's
    lists; \_\_\_\_\_ yes \_\_\_\_\_ no

b.  Assuring that SB, SDB, WOSB, HUBZONE, SDVOSB and VOSB businesses are
    included on the bidders' list for every subcontract solicitation for
    products and services that they are capable of providing.

> \_\_\_\_\_\_ yes \_\_\_\_\_\_\_ no

c.  Ensuring that requests for proposals (RFPs) are designed to permit
    the maximum practicable participation of SB, SDB, WOSB, HUBZone,
    SDVOSB and VOSB concerns. \_\_\_\_\_\_\_ yes \_\_\_\_\_\_ no

d.  Reviewing subcontract solicitations to remove statements, clauses,
    etc., which might tend to restrict or prohibit small, HubZone small,
    small disadvantaged, and women-owned small business participation.

> \_\_\_\_\_\_\_ yes \_\_\_\_\_\_ no

e.  Accessing various sources for the identification of SB, SDB, WOSB,
    HUBZone, SDVOSB and VOSB concerns to include the SBA's PRO-Net and
    SUB-Net Systems, ([http://www.sba.gov](http://www.sba.gov/)), the
    National Minority Purchasing Council Vendor Information Service,
    the Office of Minority Business Data Center in the Department of
    Commerce, local small business and minority associations, contact
    with local chambers of commerce and Federal agencies' Small Business
    Offices; \_\_\_\_\_\_ yes \_\_\_\_\_\_\_ no

f.  Establishing and maintaining contract and subcontract award records;
    \_\_\_\_\_\_ yes \_\_\_\_\_\_ no

g.  Participating in Business Opportunity Workshops, Minority Business
    Enterprise Seminars, Trade Fairs, Procurement Conferences, etc;

h.  Ensuring that SB, SDB, WOSB, HUBZone, and VOSB concerns are made
    aware of subcontracting opportunities and assisting concerns in
    preparing responsive bids to the company;

i.  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;

j.  Monitoring the company's subcontracting program performance and
    making any adjustments necessary to achieve the subcontract plan
    goals;

k.  Preparing, and submitting timely, required subcontract reports;

l.  Conducting or arranging training for purchasing personnel regarding
    the intent and impact of 8(d) of the Small Business Act on
    purchasing procedures.

m.  Coordinating the company's activities during the conduct of
    compliance reviews by Federal agencies; and

n.  Other duties:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**4.** **Equitable Opportunity**

Describe efforts the offeror will Describe efforts Describe efforts the
offeror will make to ensure that SB, SDB, WOSB, HUBZone, and VOSB
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.  Contacting minority and small business trade associations; 2)
        contacting business development organizations and local chambers
        of commerce; 3) attending SB, SDB, WOSB, HUBZone, and VOSB
        procurement conferences and trade fairs; 4) requesting sources
        from the Small Business Administrations (SBA) PRO-Net and
        SUB-Net Systems, (<http://www.sba.gov/>) and other SBA and
        Federal agency resources. Contractors may also conduct market
        surveys to identify new sources, to include, accessing the NIH
        e-Portals in Commerce, (e-PIC), (<http://epic.od.nih.gov/>). The
        NIH e-Portals in Commerce is not a mandatory source and may be
        used at the offeror's discretion.

b\. Internal efforts to guide and encourage purchasing personnel:

1.  Conducting workshops, seminars, and training programs;

2.  Establishing, maintaining, and utilizing SB, SDB, WOSB, HUBZone, and
    VOSB source lists, guides, and other data for soliciting
    subcontractors; and

3.  Monitoring 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 \$500,000 (\$1,000,000 for
construction) must adopt and comply with a plan similar to the plan
required by FAR 52.219‑9, "Small Business Subcontracting Plan." (Flow
down is not applicable for commercial items/services as described in
52.212-5(e) and

52.244-6(c).)

**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
show compliance with the subcontracting plan; (3) submission of Standard
Form (SF) 294, "Subcontracting Report for Individual Contracts," and
attendant Optional Form 312, SDB Participation Report, if applicable,
(required only for contracts containing the clause 52.219-25) and SF
295, "Summary Subcontract Report," in accordance with the instructions
on the forms; and (4) ensuring that subcontractors agree to submit
Standard Forms 294 and 295.

  --------------------------- ------------------------- ------------------
  Reporting Period            Report Due                Due Date

  Oct 1 - Mar 31              SF 294                    4/30

  Apr 1 - Sept 30             SF 294                    10/30

  Oct 1 - Sept 30             SF 295                    10/30

  Contract Completion         OF 312                    30 days after
                                                        completion
  --------------------------- ------------------------- ------------------

Special instructions for commercial plan: SF 295 Report is due on 10/30
each year for the previous fiscal year ending 9/30.

a.  Submit SF 294 to cognizant Awarding Contracting Officer.

> b\. Submit Optional Form 312, (OF-312), if applicable, to cognizant
> Awarding Contracting Officer.
>
> c\. Submit SF 295 to cognizant Awarding Contracting Officer and to
> the:
>
> Office of Small and Disadvantaged Business Utilization
>
> Department of Health and Human Services
>
> 200 Independence Avenue, SW
>
> Humphrey H. Building, Room 517‑D
>
> Washington, D.C. 20201
>
> d\. Submit "information" copy of the SF 295 and the SF 294 upon
> request to the SBA Commercial Market Representative (CMR); visit the
> SBA at <http://www.sba.gov/gc> and click on assistance directory to
> locate your nearest CMR.

**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, and VOSB source lists, guides and other data
    identifying such vendors;

b.  Organizations contacted in an attempt to locate SB, SDB, WOSB,
    HUBZone, and VOSB 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, and/or VOSB
    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;

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 item is not required on a *contract --
    by -- contract basis* for company or division‑wide 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 small business concerns, HubZone small business
concerns, small disadvantaged small business concerns, veteran-owned
small business concerns and women-owned small business concerns.

Your company has established and uses such procedures: \_\_\_\_\_\_\_\_
yes \_\_\_\_\_\_\_\_\_ no

**9. Description of Good Faith Effort**

Maximum practicable utilization of small, HubZone small, small
disadvantaged, veteran-owned, and women-owned small business 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
small, HubZone, small disadvantaged, veteran-owned and women-owned small
business subcontracting goals, outline the steps your company plans to
take. These steps will be negotiated with the contracting officer prior
to approval of the plan.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**SIGNATURE PAGE**

Signatures Required:

This subcontracting plan was submitted by:

**Signature:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Typed Name:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Title:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Date:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

This plan was reviewed by:

**Signature:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Typed Name:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Title: [\_\_\_\_\_\_\_\_Contracting
Officer\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Date:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

This plan was reviewed by:

**Signature:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Typed Name:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Title: [\_\_\_\_\_\_\_\_Small Business
Specialist\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Date:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

This plan was reviewed by:

**Signature:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Typed Name:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Title: [\_\_\_\_\_\_\_\_SBA Procurement Center
Representative\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Date:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**And Is Accepted By:**

**OPDIV:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Typed Name:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Title:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

**Date:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

> Number range CHAPTER

**Attachment 6**

**Guidelines for Developing Web-Based Products**

>  
>
> Retrofitting Web-based products after the fact is highly undesirable
> because it adds time and costs to the process of making these products
> publicly available. All products that are developed with the intent of
> being posted on the AHRQ Web site should meet the following minimum
> requirements:
>
>  
>
> **Titles of Products**
>
> Coordinate with your project officer on the titles of your products.
> They need to be concise and relevant to the purpose of the project,
> but cannot include the name of the contractor or grantee as the
> performing organization as part of the title. Report titles should be
> no more than 10-words maximum and Web-based tools should be no more
> than 5-words maximum (make every word count---eliminate initial
> articles such as "The" or "A" ). Titles need to be distinct enough to
> differentiate among similar sounding products.
>
> **Quality Control/Editorial Review**
>
> This involves checking for spelling and grammar mistakes, formatting
> issues, general consistency, and style. This should be done by the
> AHRQ grantee or contractor prior to submission of the final product
> for posting on the AHRQ Web site. Federal resources follow the GPO
> Style Manual which is available electronically at:
> <http://www.access.gpo.gov/styleman/2000/browse-sm-00.html>
>
>  
>
> **Accessibility**
>
> As an agency of the Federal Government, AHRQ must ensure that anything
> that is posted on our Web site is in compliance with requirements for
> information resources under Section 508 of the Americans With
> Disabilities Act. Also, federally funded resources need to be
> generally available to users in multiple formats to ensure that we are
> not forcing a particular platform, operational system, or software
> package on users.
>
>  
>
> **Intellectual Property Rights**
>
> Before we can post a product on the AHRQ Web site, we must have a
> written explanation of the following four questions:

-   Who retains the copyright?

-   Who has licenses for what purposes and uses?

-   What are the constraints imposed?

-   Who grants permission for further use or adoption?

> **Technical Assistance**
>
> We cannot release a tool without providing the following:

-   Written instructions on the use of that tool and what to do if a
    user encounters problems in accessing and using it.

-   A contact name, telephone number, and e-mail address for technical
    assistance.

-   A feedback mechanism for errors, future updates, and revisions.

> This information must be provided in writing along with the tool or
> product to be posted.  Provision of technical assistance support
> should be included in the life-cycle costs of the product.
>
>  
>
> **Source Code**
>
> AHRQ's intent is to make tools available to the public, clinicians,
> health planners and providers, and other Federal, State and local
> government agencies as appropriate for their intended purposes. Any
> software and products resulting from these projects should be easily
> transportable to other users and developers. The best way to ensure
> adoption and implementation for these audiences is to have a Web-based
> final product that is platform independent. Coordinate with AHRQ on
> infrastructure requirements for housing any robust back-end
> applications before they are developed.
>
> Source code for any technical application must be delivered to the
> Agency with the product. This provides AHRQ with the knowledge of how
> the application was created by the original developers and enables the
> Agency to make corrections, updates, or conversions as necessary to
> keep pace with technological changes once the products are released.
>
> **Usability and Version Control**
>
> Web resources should include usability testing, evaluation, and
> modification as an integral and recurring part of the development
> effort to ensure they are effective for the electronic business
> processes they are designed to facilitate. A set of Research-Based Web
> Design and Usability Guidelines that should be consulted are available
> at: <http://www.usability.gov/pdfs/guidelines.html>
>
> Beta testing prior to release is desirable, evaluating the product
> against usability heuristics. As feedback is received and products are
> updated, the revisions will need to be designated by version number
> and date of release.
>
>  
>
> **Privacy Act Protections**
>
> Web resources are subject to the Privacy Act and this can impact both
> the development of Web-based tools and the users of those tools.
> Persistent cookies should not be programmed into the functionality of
> a Web-based tool, although session cookies are allowed. Registration
> for use cannot be requested if this would involve collection of
> individual identifiers from the users. Although exemptions to both
> rules can be sought, this involves a strong justification and several
> levels of review for approval through the U.S. Department of Health
> and Human Services (HHS).
>
>  
>
> **[B.1:  Guidelines for New Web Sites]{.underline}**
>
>  
>
> The following list highlights basic issues that need to be addressed
> when developing Web sites that will be **publicly available** when
> launched to ensure deliverables are on target, in compliance with
> legal and policy requirements, and do not require expensive rework to
> meet Federal and HHS requirements for information resources.
>
> **Clearance**
>
> Web resources require clearance, minimally by AHRQ, sometimes
> by HHS\--including justification against a set of criteria.
> Publications cleared for printing are cleared for Web uploading at the
> same time. Web resources must comply with the numerous laws and
> directives that affect federally funded electronic information
> resources. Web content loaded on a site by contractors must be
> appropriate and follow all laws and directives. AHRQ Offices and
> Centers must coordinate initial review through AHRQ\'s Office of
> Communications and Knowledge Transfer (OCKT) before launch. If any
> materials are deemed to be sensitive, OCKT will seek departmental
> clearance. ***OCKT responsibility: To initiate clearance for Web sites
> and Web-based resources as appropriate. Initiating Office or Center
> responsibility: To ensure that subsequent Web site postings for which
> they have let contracts are constantly reviewed for appropriateness.
> If there are any questions about whether such material is appropriate,
> contact the OCKT Division of Public Affairs for approval.***
>
> **Domain Names**
>
> All domain names for any Web resource funded in whole or in part by
> Federal funds must be registered as .gov through HHS with the General
> Services Administration (GSA). Although other domains, such as .org,
> .net, .edu, .com may also be reserved by the Agency, the .gov domain
> must be registered and that domain name will need to be indexed by
> FirstGov, the GSA portal to government-funded resources. The FirstGov
> link is then required on the home page of the site. Coordinate with
> OCKT on domain name requests. ***AHRQ Chief Information Officer (CIO)
> and AHRQ Webmaster (OCKT) responsibility: To obtain approval for
> domain names.***
>
> **Editorial Review**
>
> All content for upload needs to be reviewed to ensure consistency and
> compliance with best practices and established style and conventions.
> As a minimum, the copy needs to be production edited to ensure there
> are no typos and the GPO Style Manual is followed for punctuation,
> spelling, use of numerals, abbreviations, etc. Do not use unexplained
> acronyms; they need to be spelled out on first reference in any
> document or file. There should not be anything marked DRAFT on a
> public site. Once the materials are uploaded, they are published and
> considered in the \"public domain.\" Do not use placeholders for
> content that does not exist. Government funded sites should not have
> anything designated \"under construction.\" A process needs to be
> established for regular review of content and updating. Additional
> materials need to undergo editorial review and be approved before
> uploading. The GPO Style Guide is available electronically as a
> reference
> at <http://www.gpoaccess.gov/stylemanual/browse.html> ***Contractor
> responsibility: To comply with GPO Style Manual and AHRQ Web site
> conventions.***
>
> **Accessibility**
>
> Under the Americans With Disabilities Act, Federal agencies have an
> obligation to provide equal access to the disabled through their
> Web-based resources. Requirements are specified in section 504 and
> more recently 508. Development in frames is strongly discouraged
> because accessibility design requirements might necessitate creating a
> text or non-frames version of a site developed in frames. Equivalent
> alternatives are required for auditory and visual information, such as
> providing alternative descriptive text for images for the blind and
> providing captions for audio-video files for the deaf. Written
> transcripts are required for all streaming audio. PDF files can be
> offered in conjunction with accessible files, such at HTML versions,
> but avoid uploading PDF-only versions of documents. OCKT has software
> used to evaluate Web sites and can provide a report on any
> accessibility violations that would need to be addressed before
> launch. ***Contractor responsibility: To develop Web resources that
> are 508 compliant and respond to any violations determined during AHRQ
> assessment of the site.***
>
> **Privacy**
>
> A privacy policy notice must be prominently displayed, and the Web
> site host has to follow it. Sites are periodically audited to ensure
> that they observe their stated privacy policy. A Privacy Act System
> notice may need to be prepared and published for users to register on
> a site if the registrations represent a group of records, under the
> control of the Agency (or a contractor), that can be retrieved by
> personal identifier. This notice must go through several levels of
> review\--including the Office of General Counsel\--and be published in
> the *Federal Register*. Persistent cookies cannot be used on Federal
> sites unless the Secretary of HHS grants an exemption, and this
> involves a strong justification and review process. ***Contractor
> responsibility: To work in coordination with AHRQ staff for submission
> of the Privacy Act System notice and to adopt or modify the general
> privacy policy of the AHRQ main Web site. Contractor responsibility:
> To work in coordination with AHRQ staff for submission of the Privacy
> Act System notice and to adopt or modify the general privacy policy of
> the AHRQ main Web site.\
> ***\
> **Web Site Mailbox**
>
> Every Web site must provide full contact information for the sponsor
> and have a Contact Us link for submission of comments or questions as
> a customer feedback mechanism. Web site e-mail is subject to the same
> privacy and records management issues that affect the overall Web site
> as well as departmental standards for handling inquiries and customer
> feedback. ***Contractor responsibility: To maintain the Web site
> mailbox according to HHS requirements for response times and
> confidentiality, to maintain an electronic archives of responses on an
> annual basis of retention and destruction, and to submit the number of
> inquiries handled on an annual fiscal year basis to the AHRQ Webmaster
> to include as Web metrics for Agency reporting under the Government
> Performance Reporting Act .***
>
> **Records Management**
>
> All content on the site and e-mail generated by the site must be
> archived electronically and handled according to records retention
> schedules and disposition authorities as established with the National
> Archives and Record Administration. This requirement also affects Web
> site log files and statistical reporting on Web site usage.
> ***Contractor responsibility: To comply with the records management
> requirements of the AHRQ main Web site and to submit Web site usage
> statistics on an annual fiscal year basis to the AHRQ Webmaster to
> include as Web metrics for Agency reporting under the Government
> Performance Reporting Act .***
>
> **Information Collection Budget**
>
> If a Web site is used to collect information from users, such as for
> surveys or evaluations, then the Office of Management and Budget must
> first approve the burden hours for such an effort for this collection.
> A notice must be posted on the Web site at the point of collection
> with the OMB approval number and a statement on the process of
> collection. ***AHRQ project officer responsibility: To submit requests
> for OMB approval.***
>
>  
>
> **Intellectual Property**
>
> Copyright and trademark protections need to be observed on Web sites.
> Permissions for use must be granted for any copyrighted information
> included and registered trademarks need to be reflected in copy. Any
> copyright or trademark constraints related to materials uploaded to a
> site must be specified for users.
>
> Public domain does not extend outside the borders of the United
> States. Therefore, foreign countries must request specific permission
> for use. Given the global nature of the Internet, citation as to
> source is a critical issue. ***Contractor responsibility: To
> coordinate with AHRQ on permission requests and follow trademark
> guidelines provided.***
>
> **Linking**
>
> External links constitute an implied endorsement and create a business
> advantage for the linked sites. OMB requires Agencies to do a risk
> assessment of external links, and potential links need to be assessed
> against the HHS and AHRQ linking policies and criteria. If a site
> deviates from these policies, then the specific review and selection
> criteria must be justified and posted on the Web site for full
> disclosure. Outside Web resources may link to Agency resources
> providing the link is not displayed in any way that would imply an
> endorsement by the Agency of a specific commercial product or service.
> ***Contractor responsibility: To assess links according to AHRQ
> linking policy requirements and evaluation checklist provided.***
>
> **Electronic FOIA**
>
> The Agency is required by law to have an electronic FOIA reading room
> and to provide materials that can be requested under the Freedom of
> Information Act in electronic form, if so requested. HHS will normally
> require that any Web resource funded by the Agency provide a link to
> the AHRQ electronic reading room, which is housed on the main AHRQ Web
> site. ***Contractor responsibility: To include link to AHRQ electronic
> reading room.***
>
> **Security**
>
> Web sites need to be monitored and protected against intrusion and
> corruption or compromise of content. This is especially critical if
> there are any business processes involved or financial transactions
> conducted on the Web site with users. Web resources are periodically
> audited and evaluated for security by the GSA. Security measures must
> be specifically delineated for any federally funded Web resources in
> existence or in development. Any attacks on Web resources must be
> documented and reported to the HHS Inspector General. ***Contractor
> responsibility: To establish and maintain security according to AHRQ
> and HHS policies and procedures.***
>
> **Usability**
>
> Web resources should include usability testing, evaluation, and
> modification as an integral and recurring part of the development
> effort to ensure they are effective for the electronic business
> processes they are supposed to facilitate. Go to
> [http://www.usability.gov](http://www.usability.gov/) as a reference
> for best practices in initial development or redesign of Web
> resources. ***Contractor responsibility: To address usability issues
> and to work in coordination with AHRQ staff on usability testing.***\
> \
> **Web Sponsor Identity**
>
> AHRQ has uniform principles to identify AHRQ as the primary sponsor of
> AHRQ-related Web sites. These principles reflect HHS best practices
> for a consistent look and feel of Web resources, reinforce
> credibility, and support HHS and Agency branding efforts. The four
> specific principles that should be consistent across all AHRQ-funded
> Web sites are:
>
>  
>
> •     ***Web site URL name**:* The name of a Web site should always
> contain AHRQ in the URL. A Web resource should either be a folder on
> the main AHRQ Web site
> ([www.ahrq.gov/chiri](http://www.ahrq.gov/chiri)) or a third-level
> domain of the Web site
> ([www.webmm.ahrq.gov](http://www.webmm.ahrq.gov/)).
>
> •     ***Title of Web site project:*** AHRQ\'s name should be part of
> the formal title and appear at the beginning of the Web site\'s
> project name. For example: AHRQ\'s Web Morbidity and Mortality online
> journal.
>
> •     ***HHS and AHRQ logos**:* The HHS and AHRQ logos should be
> featured prominently on the Web site and in materials that are used to
> market that Web site.
>
> •     ***Web site home page format**:* The Web site home page should
> have common design and navigation elements with the HHS Portal and the
> AHRQ Web site so that all Web sites look as though they belong to the
> Department and AHRQ Web family. An HHS Portal Web Development Style
> Guide is available upon request from OCKT to provide technical
> specifications and templates for developers to consult when designing
> Web resources.
>
> ***Contractor responsibility: To develop Web resources that are
> consistent with identity principles and design specifications in
> coordination with AHRQ staff.***
>
> **[B.2: Additional Information]{.underline}**
>
> To discuss specific issues or to get additional guidance on Web
> requirements, contact:
>
> Gerri Michael Dyer
>
> Electronic Dissemination Advisor
>
> E-mail: <gdyer@ahrq.gov>
>
> Phone: 301-427-1898
>
> Biff LeVee
>
> AHRQ Web Site Manager
>
> E-mail: <blevee@ahrq.gov>
>
> Phone: 301-427-1897
>
> **ATTACHMENT 7**
>
> **[Guidelines for Developing AHRQ Web-based Tools]{.underline}**
>
> The Guidelines for Developing AHRQ Tools is based on a conceptual
> methodology that describes the stages involved in an information
> system development project, referred to as the Software Development
> Life Cycle (SDLC).

**Planning**

Planning focuses on defining the project's objectives, scope, target
audiences, deliverables, resources, and schedule. Project planning is
the responsibility of the Project Manager or Principal Investigator and
takes place initially and throughout the life cycle of the project.

**Requirements**

This phase involves establishing an understanding and agreement with
AHRQ and documenting [what]{.underline} the system is supposed to do and
the specifications for the tool. These requirements are expected to be
managed throughout the life cycle of the project.

**Design**

This phase describes [how]{.underline} the system is supposed to work,
including system architecture, development platforms, underlying
databases, and user interfaces.

**Development**

This phase involves the actual development of the prototype, including
source code, to ensure compliance with design specifications and
usability.

**Testing**

This phase involves putting the components together and testing the
product to demonstrate to AHRQ that it meets the requirements, is error
free, and achieves the original objectives of the project. The general
types of testing performed are integration, system, performance, and
user acceptance testing. Deliverables should be certified as to the
quality assurance process undertaken.

> The diagram below depicts the phases involved and the allocated
> documentation AHRQ expects from grantees or contractors throughout the
> life cycle.

![](media/image1.wmf){width="4.9847222222222225in"
height="3.6465277777777776in"}

>  

**[Forms and Checklists]{.underline}**

This section contains the forms, checklists, and templates to be
completed by the grantee or contractor and submitted to the AHRQ Task
Order Officer (TOO) or Project Officer (PO).

**Phase 1: Project Planning**

The grantee or contractor will complete a copy of the Project Planning
Form at the time specified by the Deliverable Schedule of the SOW.

  ----------------- --------------- ----------------------------------------
  **General                         
  Information**                     

  **Project Name:**                 

  **Project Manager Name:           
  or Principal                      
  Investigator:**                   

                    Organization:   

                    Address:        

                    Phone No.:      

                    Fax No.:        

                    E-mail:         
  ----------------- --------------- ----------------------------------------

+----------------+-----+-----------------+---+---+---+---+----------------------+
| **Initial      |     |                 |   |   |   |   |                      |
| Technical      |     |                 |   |   |   |   |                      |
| Information**  |     |                 |   |   |   |   |                      |
+================+=====+=================+===+===+===+===+======================+
| **Project End  |     | Software        |   |   |   | P |                      |
| Result:**      |     | /Web/Multimedia |   |   |   | r |                      |
|                |     |                 |   |   |   | i |                      |
| **(Select as   |     |                 |   |   |   | n |                      |
| many as        |     |                 |   |   |   | t |                      |
| apply)**       |     |                 |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Hardware        |   |   |   | A |                      |
|                |     |                 |   |   |   | c |                      |
|                |     | Other:          |   |   |   | t |                      |
|                |     |                 |   |   |   | i |                      |
|                |     |                 |   |   |   | v |                      |
|                |     |                 |   |   |   | i |                      |
|                |     |                 |   |   |   | t |                      |
|                |     |                 |   |   |   | y |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
| **If the end   |     |                 |   |   |   |   |                      |
| result of the  |     |                 |   |   |   |   |                      |
| project is a   |     |                 |   |   |   |   |                      |
| software, Web, |     |                 |   |   |   |   |                      |
| or multimedia  |     |                 |   |   |   |   |                      |
| product please |     |                 |   |   |   |   |                      |
| complete the   |     |                 |   |   |   |   |                      |
| following      |     |                 |   |   |   |   |                      |
| fields in this |     |                 |   |   |   |   |                      |
| form:**        |     |                 |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
| **Software     | **  |                 | * |   |   |   |                      |
| Type :**       | Typ |                 | * |   |   |   |                      |
|                | e** |                 | D |   |   |   |                      |
| **(Select as   |     |                 | e |   |   |   |                      |
| many as        |     |                 | v |   |   |   |                      |
| apply)**       |     |                 | e |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | p |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | L |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | u |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | , |   |   |   |                      |
|                |     |                 | T |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | s |   |   |   |                      |
|                |     |                 | , |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | S |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | f |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | w |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | N |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | * |   |   |   |                      |
|                |     |                 | * |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Web             | L |   |   |   |                      |
|                |     | Page/Site/Link  | a |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | u |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | / |   |   |   |                      |
|                |     |                 | T |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | s |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Web-based       | L |   |   |   |                      |
|                |     | Application     | a |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | u |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | / |   |   |   |                      |
|                |     |                 | T |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | s |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Client-server   | L |   |   |   |                      |
|                |     | Application     | a |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     | PDA-based       | g |   |   |   |                      |
|                |     | Application     | u |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | / |   |   |   |                      |
|                |     |                 | T |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | s |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     |                 | L |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | n |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | u |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | g |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | / |   |   |   |                      |
|                |     |                 | P |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | f |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Word            | S |   |   |   |                      |
|                |     | Processor/PDF   | o |   |   |   |                      |
|                |     |                 | f |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | w |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | N |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Spreadsheet     | S |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | f |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | w |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | N |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | e |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Multimedia      | P |   |   |   |                      |
|                |     |                 | l |   |   |   |                      |
|                |     |                 | a |   |   |   |                      |
|                |     |                 | t |   |   |   |                      |
|                |     |                 | f |   |   |   |                      |
|                |     |                 | o |   |   |   |                      |
|                |     |                 | r |   |   |   |                      |
|                |     |                 | m |   |   |   |                      |
|                |     |                 | : |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Other:          |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
| **Development  |     | Commercial      |   |   |   |   | Custom built         |
| Type:**        |     | off-the-shelf   |   |   |   |   |                      |
|                |     | (COTS) Product  |   |   |   |   |                      |
| **(Select      |     |                 |   |   |   |   |                      |
| one)**         |     |                 |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
| **Application  |     | Database        |   |   |   |   | CD-ROM               |
| Components:**  |     |                 |   |   |   |   |                      |
|                |     |                 |   |   |   |   |                      |
| **(Select as   |     |                 |   |   |   |   |                      |
| many as        |     |                 |   |   |   |   |                      |
| apply)**       |     |                 |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Reports/Query   |   |   |   |   | DVD                  |
|                |     | Module          |   |   |   |   |                      |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Peripheral      |   |   |   |   | Video/Audio          |
|                |     | Hardware        |   |   |   |   | Streaming            |
+----------------+-----+-----------------+---+---+---+---+----------------------+
|                |     | Other           |   |   |   |   | Video/Audio Tapes    |
+----------------+-----+-----------------+---+---+---+---+----------------------+

Please note that a mathematical model created in a spreadsheet is
considered a software development project.

+------------------+---+-----------------------+---+--------------------+
| **Project        |   |                       |   |                    |
| Planning**       |   |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
| **Project        | * |                       |   |                    |
| Objectives:**    | \ |                       |   |                    |
|                  | [ |                       |   |                    |
|                  | E |                       |   |                    |
|                  | x |                       |   |                    |
|                  | a |                       |   |                    |
|                  | m |                       |   |                    |
|                  | p |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | : |                       |   |                    |
|                  | T |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | o |                       |   |                    |
|                  | b |                       |   |                    |
|                  | j |                       |   |                    |
|                  | e |                       |   |                    |
|                  | c |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  | d |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | r |                       |   |                    |
|                  | i |                       |   |                    |
|                  | b |                       |   |                    |
|                  | u |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | - |                       |   |                    |
|                  | s |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | s |                       |   |                    |
|                  | i |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | f |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  | m |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | g |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | c |                       |   |                    |
|                  | y |                       |   |                    |
|                  | f |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | p |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  | ' |                       |   |                    |
|                  | P |                       |   |                    |
|                  | D |                       |   |                    |
|                  | A |                       |   |                    |
|                  | s |                       |   |                    |
|                  | a |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  | c |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  | p |                       |   |                    |
|                  | h |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | g |                       |   |                    |
|                  | a |                       |   |                    |
|                  | r |                       |   |                    |
|                  | d |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | g |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | S |                       |   |                    |
|                  | t |                       |   |                    |
|                  | r |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | g |                       |   |                    |
|                  | i |                       |   |                    |
|                  | c |                       |   |                    |
|                  | N |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | a |                       |   |                    |
|                  | l |                       |   |                    |
|                  | S |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  | c |                       |   |                    |
|                  | k |                       |   |                    |
|                  | p |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | \ |                       |   |                    |
|                  | ] |                       |   |                    |
|                  | . |                       |   |                    |
|                  | * |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
| **Project        | * |                       |   |                    |
| Scope:**         | \ |                       |   |                    |
|                  | [ |                       |   |                    |
|                  | E |                       |   |                    |
|                  | x |                       |   |                    |
|                  | a |                       |   |                    |
|                  | m |                       |   |                    |
|                  | p |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | : |                       |   |                    |
|                  | T |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | c |                       |   |                    |
|                  | o |                       |   |                    |
|                  | p |                       |   |                    |
|                  | e |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | p |                       |   |                    |
|                  | r |                       |   |                    |
|                  | o |                       |   |                    |
|                  | j |                       |   |                    |
|                  | e |                       |   |                    |
|                  | c |                       |   |                    |
|                  | t |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  | b |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | i |                       |   |                    |
|                  | m |                       |   |                    |
|                  | i |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | f |                       |   |                    |
|                  | o |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  | o |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | g |                       |   |                    |
|                  | : |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | A |                       |   |                    |
|                  | n |                       |   |                    |
|                  | a |                       |   |                    |
|                  | l |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
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|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
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|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
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|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | q |                       |   |                    |
|                  | u |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | t |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | p |                       |   |                    |
|                  | r |                       |   |                    |
|                  | o |                       |   |                    |
|                  | c |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | u |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | g |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | c |                       |   |                    |
|                  | y |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | f |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
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|                  |   |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | p |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  | . |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | D |                       |   |                    |
|                  | e |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | o |                       |   |                    |
|                  | p |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
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|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | i |                       |   |                    |
|                  | m |                       |   |                    |
|                  | p |                       |   |                    |
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|                  | m |                       |   |                    |
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|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
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|                  | f |                       |   |                    |
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|                  | s |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | . |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
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|                  | s |                       |   |                    |
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|                  | t |                       |   |                    |
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|                  | m |                       |   |                    |
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|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | r |                       |   |                    |
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|                  | g |                       |   |                    |
|                  | h |                       |   |                    |
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|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | d |                       |   |                    |
|                  | u |                       |   |                    |
|                  | r |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  | s |                       |   |                    |
|                  | k |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | . |                       |   |                    |
|                  | \ |                       |   |                    |
|                  | ] |                       |   |                    |
|                  | * |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
| **Project        | * |                       |   |                    |
| Assumptions and  | \ |                       |   |                    |
| Constraints:**   | [ |                       |   |                    |
|                  | E |                       |   |                    |
|                  | x |                       |   |                    |
|                  | a |                       |   |                    |
|                  | m |                       |   |                    |
|                  | p |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | : |                       |   |                    |
|                  | T |                       |   |                    |
|                  | h |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  | b |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | o |                       |   |                    |
|                  | p |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | a |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  | u |                       |   |                    |
|                  | m |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | g |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | : |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | A |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | g |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | c |                       |   |                    |
|                  | y |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | f |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | p |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | n |                       |   |                    |
|                  | e |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | h |                       |   |                    |
|                  | a |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | P |                       |   |                    |
|                  | D |                       |   |                    |
|                  | A |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | c |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | p |                       |   |                    |
|                  | h |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | . |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | P |                       |   |                    |
|                  | D |                       |   |                    |
|                  | A |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | h |                       |   |                    |
|                  | a |                       |   |                    |
|                  | v |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | o |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | r |                       |   |                    |
|                  | u |                       |   |                    |
|                  | n |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | n |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | P |                       |   |                    |
|                  | a |                       |   |                    |
|                  | l |                       |   |                    |
|                  | m |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | x |                       |   |                    |
|                  | . |                       |   |                    |
|                  | x |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | P |                       |   |                    |
|                  | o |                       |   |                    |
|                  | c |                       |   |                    |
|                  | k |                       |   |                    |
|                  | e |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | P |                       |   |                    |
|                  | C |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | x |                       |   |                    |
|                  | . |                       |   |                    |
|                  | x |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | p |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | g |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | s |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | h |                       |   |                    |
|                  | i |                       |   |                    |
|                  | g |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | . |                       |   |                    |
|                  | \ |                       |   |                    |
|                  | ] |                       |   |                    |
|                  | * |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
| **Project        | * |                       |   |                    |
| Risks:**         | \ |                       |   |                    |
|                  | [ |                       |   |                    |
|                  | E |                       |   |                    |
|                  | x |                       |   |                    |
|                  | a |                       |   |                    |
|                  | m |                       |   |                    |
|                  | p |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | : |                       |   |                    |
|                  | T |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | k |                       |   |                    |
|                  | s |                       |   |                    |
|                  | o |                       |   |                    |
|                  | f |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | i |                       |   |                    |
|                  | s |                       |   |                    |
|                  | p |                       |   |                    |
|                  | r |                       |   |                    |
|                  | o |                       |   |                    |
|                  | j |                       |   |                    |
|                  | e |                       |   |                    |
|                  | c |                       |   |                    |
|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | : |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | W |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | c |                       |   |                    |
|                  | c |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | f |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | P |                       |   |                    |
|                  | D |                       |   |                    |
|                  | A |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | m |                       |   |                    |
|                  | a |                       |   |                    |
|                  | y |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | n |                       |   |                    |
|                  | o |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | b |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | v |                       |   |                    |
|                  | a |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | a |                       |   |                    |
|                  | b |                       |   |                    |
|                  | l |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | a |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | w |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  | g |                       |   |                    |
|                  | e |                       |   |                    |
|                  | n |                       |   |                    |
|                  | c |                       |   |                    |
|                  | y |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | c |                       |   |                    |
|                  | c |                       |   |                    |
|                  | u |                       |   |                    |
|                  | r |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | . |                       |   |                    |
|                  | * |                       |   |                    |
|                  |   |                       |   |                    |
|                  | - |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | * |                       |   |                    |
|                  | A |                       |   |                    |
|                  | f |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  | s |                       |   |                    |
|                  | k |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | r |                       |   |                    |
|                  | d |                       |   |                    |
|                  | e |                       |   |                    |
|                  | r |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | e |                       |   |                    |
|                  | x |                       |   |                    |
|                  | p |                       |   |                    |
|                  | i |                       |   |                    |
|                  | r |                       |   |                    |
|                  | e |                       |   |                    |
|                  | s |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | t |                       |   |                    |
|                  | h |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | s |                       |   |                    |
|                  | y |                       |   |                    |
|                  | s |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | m |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | n |                       |   |                    |
|                  | o |                       |   |                    |
|                  | t |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | b |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | m |                       |   |                    |
|                  | a |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  | i |                       |   |                    |
|                  | n |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | a |                       |   |                    |
|                  | n |                       |   |                    |
|                  | d |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | d |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | a |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | w |                       |   |                    |
|                  | i |                       |   |                    |
|                  | l |                       |   |                    |
|                  | l |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | b |                       |   |                    |
|                  | e |                       |   |                    |
|                  | c |                       |   |                    |
|                  | o |                       |   |                    |
|                  | m |                       |   |                    |
|                  | e |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  |   |                       |   |                    |
|                  | o |                       |   |                    |
|                  | u |                       |   |                    |
|                  | t |                       |   |                    |
|                  | d |                       |   |                    |
|                  | a |                       |   |                    |
|                  | t |                       |   |                    |
|                  | e |                       |   |                    |
|                  | d |                       |   |                    |
|                  | . |                       |   |                    |
|                  | \ |                       |   |                    |
|                  | ] |                       |   |                    |
|                  | * |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
| **Target         |   | Clinicians            |   | Consumers          |
| Audience:**      |   |                       |   |                    |
|                  |   |                       |   |                    |
| **(Select as     |   |                       |   |                    |
| many as apply)** |   |                       |   |                    |
|                  |   |                       |   |                    |
| \*(Double click  |   |                       |   |                    |
| the check box to |   |                       |   |                    |
| mark your        |   |                       |   |                    |
| answer)          |   |                       |   |                    |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Nurses                |   | First Responders   |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Allied Health         |   | Public Health      |
|                  |   | Professionals         |   | Officials          |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Hospitals             |   | State and Local    |
|                  |   |                       |   | Officials          |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Federal Officials     |   | Schools of Public  |
|                  |   |                       |   | Health             |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Congress              |   | Civic/Gov\'t       |
|                  |   |                       |   | Associations       |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Health Insurers       |   | Health             |
|                  |   |                       |   | Administrators     |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Educators             |   | Employers          |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Librarians            |   | Students           |
+------------------+---+-----------------------+---+--------------------+
|                  |   | Researchers           |   | Media/Press        |
+------------------+---+-----------------------+---+--------------------+

**Phase 2: Requirements**

The grantee or contractor will complete and submit a copy of the
Requirements Phase Checklist and the Requirements Specifications
Template or similar requirements document at the time specified by the
Deliverable Schedule of the SOW.

+---+-------------------------------------------------------+---+---+---+---+
| R |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| q |                                                       |   |   |   |   |
| u |                                                       |   |   |   |   |
| i |                                                       |   |   |   |   |
| r |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| m |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| n |                                                       |   |   |   |   |
| t |                                                       |   |   |   |   |
| s |                                                       |   |   |   |   |
| P |                                                       |   |   |   |   |
| h |                                                       |   |   |   |   |
| a |                                                       |   |   |   |   |
| s |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| C |                                                       |   |   |   |   |
| h |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| c |                                                       |   |   |   |   |
| k |                                                       |   |   |   |   |
| l |                                                       |   |   |   |   |
| i |                                                       |   |   |   |   |
| s |                                                       |   |   |   |   |
| t |                                                       |   |   |   |   |
+===+=======================================================+===+===+===+===+
| \ | Evaluation Criteria                                   | Y |   | N | N |
| # |                                                       | e |   | o | / |
|   |                                                       | s |   |   | A |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are requirements documented?                          |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 2 | Are requirements clear and concise?                   |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 3 | Are requirements testable?                            |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 4 | Are requirements unambiguous?                         |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 5 | Are major product functions summarized?               |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 6 | Is the system version clearly defined?                |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| * |                                                       |   |   |   |   |
| * |                                                       |   |   |   |   |
| D |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| t |                                                       |   |   |   |   |
| a |                                                       |   |   |   |   |
| i |                                                       |   |   |   |   |
| l |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| d |                                                       |   |   |   |   |
| R |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| q |                                                       |   |   |   |   |
| u |                                                       |   |   |   |   |
| i |                                                       |   |   |   |   |
| r |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| m |                                                       |   |   |   |   |
| e |                                                       |   |   |   |   |
| n |                                                       |   |   |   |   |
| t |                                                       |   |   |   |   |
| s |                                                       |   |   |   |   |
| * |                                                       |   |   |   |   |
| * |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 7 | Is the user interface clearly defined?                |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 8 | Are the database requirements complete?               |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 9 | Are Web hosting requirements identified?              |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are performance requirements clearly identified?      |   |   |   |   |
| 0 |                                                       |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are design constraints clearly identified?            |   |   |   |   |
| 1 |                                                       |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are usability requirements specified?                 |   |   |   |   |
| 2 |                                                       |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are security requirements specified?                  |   |   |   |   |
| 3 |                                                       |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are accessibility requirements clearly identified     |   |   |   |   |
| 4 | according to Section 508 of the Americans with        |   |   |   |   |
| . | Disabilities Act (see Appendix B)?                    |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+
| 1 | Are maintainability requirements specified?           |   |   |   |   |
| 5 |                                                       |   |   |   |   |
| . |                                                       |   |   |   |   |
|   |                                                       |   |   |   |   |
+---+-------------------------------------------------------+---+---+---+---+

Use the Requirements Specifications Template provided below or similar
document to record requirements.

**Requirements Specification Template**

+----+----------------------------+--------+------+--------+---------+
| Re | Requirement Description    | Status | Rel  | Type   | Testing |
| q. |                            |        | ease |        | Me      |
| ID |                            |        | Ver  |        | chanism |
|    |                            |        | sion |        |         |
+====+============================+========+======+========+=========+
| 1. | *\[Example: The system     | *      | *    | *Inte  | *       |
|    | shall be Web-based\]*      | Implem | 1.0* | rface* | Logging |
|    |                            | ented* |      |        | Test    |
|    |                            |        |      |        | Script* |
+----+----------------------------+--------+------+--------+---------+
| 2. |                            |        |      |        |         |
|    |                            |        |      |        |         |
+----+----------------------------+--------+------+--------+---------+
| 3. |                            |        |      |        |         |
|    |                            |        |      |        |         |
+----+----------------------------+--------+------+--------+---------+
| 4. |                            |        |      |        |         |
|    |                            |        |      |        |         |
+----+----------------------------+--------+------+--------+---------+

**Phase 3: Test Phase**

The grantee or contractor will complete and submit a copy of the Test
Phase Checklist and Results or similar document as evidence of system
testing along with a draft version of the tool or system at the time
specified by the Deliverable Schedule of the SOW.

+---+----------------------------------------------------+---+---+----+
| T |                                                    |   |   |    |
| e |                                                    |   |   |    |
| s |                                                    |   |   |    |
| t |                                                    |   |   |    |
| P |                                                    |   |   |    |
| h |                                                    |   |   |    |
| a |                                                    |   |   |    |
| s |                                                    |   |   |    |
| e |                                                    |   |   |    |
| C |                                                    |   |   |    |
| h |                                                    |   |   |    |
| e |                                                    |   |   |    |
| c |                                                    |   |   |    |
| k |                                                    |   |   |    |
| l |                                                    |   |   |    |
| i |                                                    |   |   |    |
| s |                                                    |   |   |    |
| t |                                                    |   |   |    |
| a |                                                    |   |   |    |
| n |                                                    |   |   |    |
| d |                                                    |   |   |    |
| R |                                                    |   |   |    |
| e |                                                    |   |   |    |
| s |                                                    |   |   |    |
| u |                                                    |   |   |    |
| l |                                                    |   |   |    |
| t |                                                    |   |   |    |
| s |                                                    |   |   |    |
+---+----------------------------------------------------+---+---+----+
| \ | Verification                                       | Y | N | N  |
| # |                                                    | e | o | /A |
|   |                                                    | s |   |    |
+---+----------------------------------------------------+---+---+----+
| 1 | Has a test environment been established?           |   |   |    |
| . |                                                    |   |   |    |
|   |                                                    |   |   |    |
|   |                                                    |   |   |    |
+---+----------------------------------------------------+---+---+----+
| 2 | Have test scripts been created?                    |   |   |    |
| . |                                                    |   |   |    |
|   |                                                    |   |   |    |
|   |                                                    |   |   |    |
+---+----------------------------------------------------+---+---+----+
| 3 | Has the product successfully completed system      |   |   |    |
| . | testing?                                           |   |   |    |
|   |                                                    |   |   |    |
|   |                                                    |   |   |    |
+---+----------------------------------------------------+---+---+----+

<table style="width:100%;">
<colgroup>
<col style="width: 3%" />
<col style="width: 7%" />
<col style="width: 1%" />
<col style="width: 11%" />
<col style="width: 1%" />
<col style="width: 5%" />
<col style="width: 9%" />
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 2%" />
<col style="width: 9%" />
<col style="width: 2%" />
<col style="width: 12%" />
<col style="width: 2%" />
<col style="width: 9%" />
</colgroup>
<thead>
<tr class="header">
<th colspan="2"><strong>Test Script Number:</strong></th>
<th colspan="3"></th>
<th colspan="2"><strong>Environment:</strong></th>
<th colspan="3"></th>
<th colspan="3"><strong>Tester Name:</strong></th>
<th></th>
<th colspan="2" rowspan="2"><strong>Pass/Fail:</strong></th>
</tr>
<tr class="odd">
<th colspan="3"><strong>Revision Number:</strong></th>
<th colspan="2"></th>
<th colspan="2"><strong>Username:</strong></th>
<th colspan="3"></th>
<th colspan="3"><strong>Test Date:</strong></th>
<th></th>
</tr>
<tr class="header">
<th colspan="4"><strong>Estimated Execution Time:</strong></th>
<th colspan="4"></th>
<th colspan="4"><strong>Actual Execution Time:</strong></th>
<th colspan="4"></th>
</tr>
<tr class="odd">
<th colspan="16"><strong>Test Objective:</strong></th>
</tr>
</thead>
<tbody>
<tr class="odd">
<td colspan="16"><strong>Test Setup:</strong></td>
</tr>
<tr class="even">
<td></td>
<td colspan="5"><strong>Test Action</strong></td>
<td colspan="3"><strong>Expected Results</strong></td>
<td colspan="2"><strong>Pass / Fail</strong></td>
<td colspan="4"><strong>Actual Results/Comments</strong></td>
<td><strong>Req. ID</strong></td>
</tr>
<tr class="odd">
<td><ol type="1">
<li></li>
</ol></td>
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td colspan="4"></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="2" type="1">
<li></li>
</ol></td>
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td colspan="4"></td>
<td></td>
</tr>
<tr class="odd">
<td><ol start="3" type="1">
<li></li>
</ol></td>
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td colspan="4"></td>
<td></td>
</tr>
</tbody>
</table>

**Phase 4: User Manual and Other Technical Documentation**

The grantee or contractor will submit a copy of the product user's guide
and any other technical assistance documentation such as source code and
installation procedures along with a final version of the tool or system
at the time specified by the Deliverable Schedule of the SOW.

Attachment 8

RFP Number:

Organization:

Date:

SAMPLE

[BREAKDOWN OF PROPOSED ESTIMATED COST (PLUS FEE) AND LABOR
HOURS]{.underline}

[COST ELEMENT]{.underline} [Year 1]{.underline} [Year 2]{.underline}
[Year 3]{.underline} [Year 4]{.underline} [Year 5]{.underline} [Year
6]{.underline} [Year 7]{.underline} [Total]{.underline}

[DIRECT LABOR:]{.underline}

[Hours]{.underline} [Hours]{.underline} [Hours]{.underline}
[Hours]{.underline} [Hours]{.underline} [Hours]{.underline}
[Hours]{.underline} [Hours]{.underline}

[Labor Category]{.underline} [Rate]{.underline} [Amt]{.underline}
[Amt]{.underline} [Amt]{.underline} [Amt]{.underline} [Amt]{.underline}
[Amt]{.underline} [Amt]{.underline} [Amt]{.underline}

(Title and Name\--

use additional

pages as necessary)

[DIRECT LABOR COST]{.underline}: \$ \$ \$ \$ \$ \$ \$ \$

[MATERIAL COST]{.underline}: \$ \$ \$ \$ \$ \$ \$ \$

[TRAVEL COST]{.underline}: \$ \$ \$ \$ \$ \$ \$ \$

[OTHER (Specify)]{.underline} \$ \$ \$ \$ \$ \$ \$ \$

[OTHER (Specify)]{.underline} \$ \$ \$ \$ \$ \$ \$ \$

TOTAL [DIRECT]{.underline} COST: \$ \$ \$ \$ \$ \$ \$ \$

[FRINGE BENEFIT COST]{.underline}:

(if applicable)

\% of Direct Labor Cost \$ \$ \$ \$ \$ \$ \$ \$

[INDIRECT COST]{.underline}:

\% of Total Direct Cost \$ \$ \$ \$ \$ \$ \$ \$

[TOTAL COST]{.underline}: \$ \$ \$ \$ \$ \$ \$ \$

[FIXED FEE]{.underline}:

(if applicable)

\% of Total Est. Cost \$ \$ \$ \$ \$ \$ \$ \$

[GRAND TOTAL EST COST]{.underline} \$ \$ \$ \$ \$ \$ \$ \$

(PLUS FIXED FEE )

[^1]:
    > ^?^The term "edoc" is used in this document to refer to effective
    > date of contract, hereafter referred to as effective date.

[^2]: Amendment to Title IX of the Public Health Service Act, the
    Healthcare Research and Quality Act of 1999, P.L. 106129