Number range CHAPTEROMB 0990-0115

**PART I - THE SCHEDULE** **Request for Proposal No. AHRQ-07-10024**

**SECTION A - SOLICITATION FORM**

Date Issued: **May 31, 2007**

Date Questions Due: **June 14, 2007 12PM**

Date Notice of Intent Due: **June 14, 2007**

Date Proposals Due: **July 2, 2007 12 Noon EST**

You are invited to submit a proposal to the Agency for Healthcare
Research and Quality (AHRQ) for Request for Proposal (RFP) No.
AHRQ-07-10024, entitled "User Network Project for CAHPS and Patient
Safety". Your proposal must be developed and submitted in accordance
with the requirements and instructions of this RFP.

The Government anticipates awarding one (1) contract from this one
solicitation. A cost reimbursement performance-based contract is
contemplated for a period of five years. Please see Section L.10
Technical Proposal Instructions for further information. The North
American Industry Classification System (NAICS) code that best describes
the requirement is 541690.

Offerors shall submit the following:

A. Technical Proposal (See Section L.10) (Original, 10 copies, 1
electronic copy)

B. Past Performance Information (See Section L.11) (Original and 3
copies)

C. Small Disadvantaged Business Participation Plan (See Section L.12)
(Original and 2 copies, 1 electronic copy)

D. Business Proposal (See Section L.13) (Original and 3 copies, 1
electronic copy)

Your **technical proposal** must be concisely written and should be
**limited to** **100 typewritten pages** (double-spaced, single sided),
exclusive of personnel qualifications (i.e., resume, etc., see Section
L.10 for additional details). Your **appendices are** **limited to 100
pages** (single sided) including all resumes, bibliographies, exhibits
and attachments. This limitation is for administrative purposes only and
exceeding the limitation shall not, of itself, be considered a basis for
rejection of your proposal.

For this particular acquisition, the AHRQ recommended goal (as a
percentage of total contract value for the base period) is 20% for Small
Businesses, which shall included at least 5.5% (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.

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.10 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 (attached) and submit the form no later
than June 14, 2007. Please fax it to 301-427-1740, Attention: Jessica
Alderton, Contracting Officer or email to
<jessica.alderton@ahrq.hhs.gov>.

Questions regarding this solicitation shall be received in this office
no later than June 14, 2007. (See Section L.7). All questions shall be
submitted electronically by e-mail to Jessica Alderton, Contracting
Officer at the following email address: [jessica.alderton
\@ahrq.hhs.gov](mailto:gayle.mccelelland@ahrq.hhs.gov) . The subject
line should be marked "Proposal Questions RFP No. AHRQ-07-10024**."**

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," "Contracts" and the 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**, **EST**, on **July 2, 2007**. Your proposal must be mailed
to the following address:

Agency for Healthcare Research and Quality

Division of Contracts Management

540 Gaither Road, Room 4319

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. Requests for any information concerning this RFP should
be referred to Jessica Alderton at <jessica.alderton@ahrq.hhs.gov>.
Please note e-mail requests should state subject as **RFP AHRQ
07-10024**.

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

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

Section A Solicitation 1-2

Table of Contents 3

Section B Supplies or Services & Prices/Costs 4-6

Section C Description/Specification/Work Statement 7-22

Section D Packaging and Marking 23

Section E Inspection and Acceptance 23

Section F Deliveries or Performance 24-29

Section G Contract Administration Data 30-33

Section H Special Contract Requirements 34-43

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

Section I Contract Clauses 44-47

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

Section J List of Attachments 48

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

Section K Representations and Instructions 50-55

Section L Instructions, Conditions & Notices to Offerors 56-77

Section M Evaluation Factors for Award 78-81

**[Attachments]{.underline}**

1\. Past Performance Questionnaire and Contractor Performance Form 82-87

2\. Proposal Intent Response Sheet 88

3\. Breakdown of Proposed Estimated Cost and Labor Hours 89-90

4\. Performance Requirements Summary 91-100

5\. AHRQ Application and System Development Requirements 101-111

6\. HHS Web Standards 112-133

7\. AHRQ Linking Policy 1 134-144

8\. Web Accessibility Checklist 145-153

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

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

> "User Network Project for CAHPS and Patient Safety". See Section C for
> a complete description.

**B.2 ESTIMATED COST**

> a\. The estimated cost (exclusive of fees) for performance of the work
> under this five (5) year 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 maximum amount of award fee that may be earned for this contract
    is \$ (TO BE NEGOTIATED). Award fee earned shall be based upon an
    evaluation and determination by the Government as to the
    Contractor's level of performance in accordance with the following
    procedures:

    1.  The Contractor's performance shall be evaluated on a semi-annual
        basis, during the performance of the contract. The award periods
        and maximum amounts for each are listed in Section H, Special
        Contract Requirements, H.8 Performance Evaluation and Award Fee.

    2.  The criteria set forth in the Performance Requirements Summary,
        Attachment 4, shall be used to evaluate the Contractor's
        performance.

    3.  The Contractor further agrees that the final determination as to
        the amount of Award Fee earned will be made by the Contracting
        Officer, taking into consideration an analysis and evaluation of
        the Contractor's performance made by the Evaluation Group
        described in Section H.8, and shall not be subject to the terms
        of the "Disputes" clause of this contract. The Contractor shall
        be advised in writing of the decision setting forth reasons why
        the Award Fee was earned or why it was not earned, in order that
        the Contractor may improve its performance during the next
        six (6) month period, if the latter is applicable.

    4.  Notwithstanding any other provisions of this contract, the fee
        for performing this contract shall not exceed the statutory
        limitations prescribed in the first sentence of Section 304(b)
        of the Federal Property and Administrative Services Act (41 USC
        254(b)) for services other than research, development or
        experimental work.

    5.  Authorization to claim and be reimbursed for award fee under
        this contract will be accomplished by a signed Contracting
        Officer's Authorization (COA) letter, issued when the award fee
        is determined to be due. The COA letter shall set forth the
        amount of award fee to be paid and shall indicate the
        performance period evaluated. Upon receipt of the COA letter,
        the Contractor may submit a public voucher for payment of the
        total award fee earned for the period evaluated. Payment of the
        award fee shall be subject to the withholding provision of the
        clause entitled "Fixed Fee."

d\. The Government's maximum obligation, represented by the sum of the
estimated cost plus the fixed fee and award fee obtainable for the
contract period is as follows:

(TO BE NEGOTIATED)

+---------------+-------------+----------+-------------+-------------+
| Period of     | Estimated   | Fixed    | Maximum     | Total       |
|               |             | Fee      |             | Estimated   |
| Performance   | Cost        |          | Award Fee   |             |
|               |             |          |             | Cost Plus   |
|               |             |          |             | All         |
|               |             |          |             |             |
|               |             |          |             | Fees        |
+---------------+-------------+----------+-------------+-------------+
| Year 1        |             |          |             |             |
|               |             |          |             |             |
| 09/30/07 --   |             |          |             |             |
| 05/31/08      |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+
| Year 2        |             |          |             |             |
|               |             |          |             |             |
| 06/01/08 --   |             |          |             |             |
| 05/31/09      |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+
| Year 3        |             |          |             |             |
|               |             |          |             |             |
| 06/01/09 --   |             |          |             |             |
| 05/31/10      |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+
| Year 4        |             |          |             |             |
|               |             |          |             |             |
| 06/01/10 --   |             |          |             |             |
| 05/31/11      |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+
| Year 5        |             |          |             |             |
|               |             |          |             |             |
| 06/01/11 --   |             |          |             |             |
| 05/31/12      |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+
| TOTAL         |             |          |             |             |
+---------------+-------------+----------+-------------+-------------+

e\. 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 and \$(TO BE NEGOTIATED) represents the award
fee pool.

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

g\. 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.

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

**B.4 PROVISIONS APPLICABLE TO DIRECT COSTS**

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

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

\(2\) Rearrangement or alteration of facilities;

\(3\) Purchase or lease of any item of general purpose-office furniture
or 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 \$800/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 - DESCRIPTION/ SPECIFICATION/ WORK STATEMENT]{.underline}**

Number range CHAPTER

> A. [Background Information]{.underline}
>
> The Agency for Health Care Research and Policy (AHCPR), now called the
> Agency for Healthcare Research and Quality (AHRQ), was created in 1989
> \"to enhance the quality, appropriateness and effectiveness of health
> care services and access to such services, through the establishment
> of a broad base of scientific research and through the promotion of
> improvements in clinical practice (including the prevention of
> diseases and other health conditions and in the organization,
> financing and delivery of health care services).\" Number range
> CHAPTERIn 1999, Congress in its reauthorization language, stated that
> the Director of the AHRQ "shall conduct and support research and build
> private-public partnerships to (1) identify the causes of preventable
> health care errors and patient injury in health care delivery; (2)
> develop, demonstrate, and evaluate strategies for reducing errors and
> improving patient safety; and (3) disseminate such effective
> strategies throughout the health care industry."
>
> The purpose of this RFP is to request proposals for work related to
> two AHRQ initiatives: the Consumer Assessment of Health Providers and
> Systems (CAHPS®) program and the Patient Safety (PS) program.
>
> [CAHPS]{.underline}
>
> Consumers and other purchasers of health care are among AHRQ's primary
> constituents. One of the Agency's goals is to help these groups make
> informed choices about their health care purchasing decisions.
>
> Since October of 1995, the CAHPS Consortium\--CAHPS grantees, the User
> Network contractor and AHRQ CAHPS staff\--have developed and tested
> surveys that consumers can use to assess the quality of care they
> receive through their health plans, from providers and in hospitals,
> nursing homes, in-center hemodialysis facilities, and other settings. 
> The CAHPS team has also conducted research and developed guidance for
> reporting these data to consumers, providers and other audiences.  The
> CAHPS I cooperative agreements took place from 1995 to 2002; CAHPS II,
> from 2002 to 2007. AHRQ has recently awarded two CAHPS III cooperative
> agreements. This phase of the work will extend five years. (Detailed
> information about CAHPS products and history can be found at
> [[www.cahps.ahrq.gov]{.underline}](http://www.cahps.ahrq.gov/).)  In
> 2006, 138 million Americans were enrolled in health plans for which
> CAHPS data were collected. 
>
> In parallel with CAHPS I and CAHPS II, AHRQ funded two five-year
> contracts to provide support for the development of the CAHPS
> products. This support contract was originally called the Survey User
> Network contract; it is now called the User Network contract. The User
> Network contract supports the CAHPS Consortium through dissemination
> of CAHPS products, provision of technical assistance to users of the
> products, facilitation of the CAHPS team collaboration effort through
> handling of conference call logistics, maintenance of an extranet site
> for members of the CAHPS team, construction of a database for
> compilation of CAHPS health plan data (formerly called the National
> CAHPS Benchmarking Database), construction of a database for data
> obtained through the CAHPS Hospital Survey, providing technical and
> conference support for meetings and providing technical and logistical
> support to AHRQ in managing the CAHPS project.
>
> The CAHPS III team will build on the work of CAHPS II team completing
> the survey development of the following instruments: a survey for
> people with mobility impairments (PWMI), a survey for people receiving
> home health services and an item set on consumer assessment of health
> information technology. These products will require support from the
> User Network contractor as will the currently available instruments
> and reports.
>
> There are two significant ways in which the work of CAHPS III will
> differ from that of CAHPS II, both of which have consequences for the
> User Network contract. AHRQ has designed CAHPS III to place less
> emphasis on development of new instruments, and greater emphasis on
> development and testing of quality improvement strategies and research
> on reporting CAHPS data to different audiences. A complete list of
> proposed activities for CAHPS III cooperative agreements can be found
> at: <http://grants.nih.gov/grants/guide/rfa-files/RFA-HS-07-001.html>.
>
> In addition, the User Network will differ from the previous User
> Network contracts in its focus on database development, both for CAHPS
> and for Patient Safety Culture surveys. The contractor shall continue
> to maintain the existing CAHPS databases and shall also construct a
> database for data from the CAHPS Survey for Clinician and Group
> Practices. Database development for Patient Safety Culture Surveys and
> other patient safety-related activities are discussed below.
>
> [Patient Safety Culture]{.underline}
>
> In the landmark study *"To Err is Human,"* the Institute of Medicine
> (IOM, 1999) called for the creation of a culture of safety as a major
> component in a program to reduce the risk of harm to patients from the
> process of care. The IOM and other organizations have stressed the
> need to measure the safety culture in health care organizations.
> Number range CHAPTEROrganizations with a positive safety culture are
> characterized by communications founded on mutual trust, by shared
> perceptions of importance of safety, and by confidence in the efficacy
> of preventive measures.
>
> An organization's safety culture will determine the success or failure
> of any safety initiatives. Yet, at the beginning of the patient safety
> movement, there were no valid and reliable instruments through which
> to assess patient safety culture. In order to meet this need, AHRQ, in
> partnership with the federal Quality Interagency Council (QuIC)
> Medical Errors Workgroup, funded the development of the needed
> instrument. The resulting instrument, the *Hospital Survey on Patient
> Safety (HSOPS)*, was released for national distribution on November
> 10, 2004, in partnership with Premier, Inc., the Department of Defense
> (DoD), and the American Hospital Association (AHA). HSOPS (available
> at <http://www.ahrq.gov/qual/hospsurveydb/>) is an employee survey
> that places emphasis on medical error reporting. The survey also
> includes scales that measure other aspects of organizational culture
> that impact patient safety, such as: organizational learning, overall
> perceptions of safety, compliance with procedures, attitudes and
> frequency of error reporting, non-punitive response to error, reasons
> errors occur, and employee teamwork. HSOPS has become the most
> widely-used patient safety culture instrument in the United States and
> is now being used world-wide by DOD.
>
> In addition to maintaining the existing and new CAHPS databases, the
> User Network contractor shall maintain the HSOPS database. The 2007
> HSOPS database consists of data from 382 participating hospitals and
> 108,621 hospital staff that completed the survey. A report based on
> these data was released in March 2007 and is available at
> <http://www.ahrq.gov/qual/hospsurveydb/>. The contractor shall also
> develop new databases for data from these surveys: the Medical Office
> Survey of Patient Safety Culture and the Nursing Home Survey of
> Patient Safety Culture. These draft surveys will be pilot tested in
> April 2007. While no further testing of these instruments is
> necessary, the scope of work for the present contract includes
> development and management of databases related to these two
> instruments and provision of technical assistance to instrument users.
>
> B. [Objectives]{.underline}
>
> The User Network contractor shall facilitate the work of the CAHPS
> Consortium and of the AHRQ SOPS team over the next five years by:

-   Supporting the development and maintenance of CAHPS and SOPS
    products.

-   Providing assistance to CAHPS and SOPS product users.

-   Promoting the adoption and use of CAHPS products and SOPS surveys.

-   Developing and maintaining new CAHPS and SOPS databases.

-   Providing technical and conference support for meetings.

-   Providing support to AHRQ CAHPS and SOPS staff.

-   Managing all aspects of the project work.

> Activities related to each one of these objectives are described
> below.
>
> C. [Specific Requirements]{.underline}
>
> Through the User Network, the contractor shall continue support for
> CAHPS and begin support for SOPS projects over the next five years.
> The contract provides support to AHRQ and the CAHPS Consortium and the
> SOPS user network group in the development of instruments, reporting
> and quality improvement products and to users of those products.
>
> Specifically, the contractor shall perform these tasks:
>
> [Task 1: Support the development and maintenance of CAHPS and SOPS
> products]{.underline}
>
> [Subtask 1.1 Provide conference and Extranet support for CAHPS and
> SOPS teams.]{.underline}
>
> The contractor shall support the work of various specially-created
> CAHPS teams. This support is as follows:

-   Poll team members for availability for conference calls

-   Schedule and arrange calls with conference call service. The
    contractor shall arrange the calls using the Federal government
    conference call system. The actual costs of the calls shall be borne
    by AHRQ.

-   Develop the agenda for calls

-   Take notes on all conference calls and publish first draft within 48
    hours on the CAHPS Extranet.

-   Maintain the CAHPS Extranet services including team directories,
    call and meeting notes, calendar of events, posting of materials for
    calls and meetings, research products from the CAHPS projects, and
    the "document search" feature.

-   Ensure effective use of the CAHPS Extranet site for handling
    electronic communication for the User Network contractor and CAHPS
    grantees. This task includes, on an as-needed basis, evaluating
    existing and implementing improved strategies for use of CAHPS
    Extranet.

It is anticipated that the support for the following teams or meetings
shall be needed:

-   PI/PO Team (calls every other week in the first year, monthly
    thereafter)

-   Instrument Specific Teams: PWMI, Health Information Technology
    (HIT), Home Health, and Assisted Living (weekly calls in the first
    year)

-   QI Team -- Cross grantee coordination (every other week in the first
    year, as needed thereafter)

-   Reports Team (weekly calls in the first year, monthly thereafter)

-   Instrument Team (every two months)

-   Cultural Comparability and Competence Team (every other week)

> It is anticipated that support for one annual in-person SOPS meeting
> of 25 people shall be needed.
>
> The list of the teams requiring the contractor's support may be
> modified based on the priorities identified by CAHPS Grantees and the
> Project Officer as well as the contractor's available funds.
>
> In addition to this general support to the Consortium and SOPS, there
> are specific tasks for supporting CAHPS instruments, QI and reports
> team work as described below.
>
> [Subtask 1.2 Instrument specific support]{.underline}
>
> Though new instrument development will be a minor part of CAHPS III
> (compared to quality improvement studies and reporting research), the
> User Network contractor shall still need to perform activities related
> to their development and maintenance.  For the list of completed CAHPS
> surveys, please refer to the Web site at
> [www.cahps.ahrq.gov](http://www.cahps.ahrq.gov/). The following are
> CAHPS surveys approaching or in the field testing phase of the survey
> development:

-   CAHPS HIT Survey module,

-   CAHPS Health Literacy Survey module (to be completed by CAHPS II
    team),

-   CAHPS Cultural Competence Survey (to be completed by CAHPS II team),

-   CAHPS Home Health Survey,

-   CAHPS PWMI Survey.

> There are three additional surveys nearing completion:

-   CAHPS Family Nursing Home Survey,

-   CAHPS Resident Nursing Home Survey,

-   CAHPS Discharge Resident Nursing Home Survey.

> During the development phase of CAHPS surveys, the contractor shall
> provide support as specified in the Task #1. When the CAHPS team
> completes these surveys, the contractor shall be responsible for
> preparing survey kits as described in Task #2.
>
> Assume that one fifth of the surveys will be reviewed and updated as
> necessary each year of the contract.
>
> The contractor shall also need to maintain and update the SOPS surveys
> listed below.
>
> Hospital Survey on Patient Safety Culture
>
> Medical Office Survey on Patient Safety Culture
>
> Nursing Home Survey on Patient Safety Culture
>
> [Subtask 1.3 Quality Improvement (QI)-specific tasks]{.underline}
>
> CAHPS began with a primary goal of providing high-quality information
> which consumers and purchasers could use to support their health plan
> selection decisions. As CAHPS has evolved, there has been growing
> interest in exploring the usefulness of CAHPS data for designing
> strategies to improve the quality of health care from the consumer or
> patient perspective.  In view of this, we have placed major emphasis
> on development and implementation of quality improvement (QI) studies
> in CAHPS III. (Complete text of the CAHPS III FOA can be found at:
> <http://grants.nih.gov/grants/guide/rfa-files/RFA-HS-07-001.html>).
>
> Since CAHPS III work has not yet begun, AHRQ does not know the
> specific content of the CAHPS III QI program. However, the tasks that
> the User Network contractor shall perform in support of this objective
> are:

-   Conduct of literature reviews on topics relating to QI; for example,
    literature reviews on the impact of pay-for-performance programs,
    tested strategies for improving communication skills of health
    providers or outcome evaluations of QI programs.

-   Contact QI researchers to obtain early results, best practices or
    lessons learned before they are published.

-   Help prepare materials to support QI efforts; for example,
    qualitative interview guides, brief questionnaires designed to
    obtain information on the focal issue (provider communication
    skills, access to services, etc), reports of QI projects.

-   Develop time-lines for the conduct of QI projects and assist the
    Project Officer in monitoring completion of individual tasks.

> [Subtask 1.4 Reporting-specific tasks]{.underline}.
>
> The CAHPS III FOA asks applicants to specify the reporting research
> and resources that they will develop based on their assessment of
> which products would be most helpful to the community of individuals
> who develop CAHPS-like reports for various audiences, including
> consumers, purchasing coalitions, State Medicaid agencies, quality
> assurance or accreditation organizations, and others. Since the CAHPS
> III work has not yet begun, AHRQ does not know the specific research
> and reporting resources to be developed during this period. However,
> the tasks that the User Network contractor shall perform in support of
> this objective are:

-   Contact researchers with expertise in reporting to identify early
    research results or the preliminary data from research studies,
    obtain early results, best practices or lessons learned before they
    are published.

-   Help prepare materials to support reporting efforts.

-   Develop time-lines for the conduct of reporting projects and assist
    the Project Officer in monitoring completion of individual tasks.

-   Assist the grantees in reviewing and summarizing existing research,
    published and unpublished, on reporting quality information to
    consumers, patients, providers and other audiences to determine
    priority topics for reporting research.

> [Task 2: Provide technical assistance to CAHPS and SOPS product
> users]{.underline}.
>
> Technical assistance for CAHPS and SOPS products includes four major
> areas:

-   Ongoing response to questions through the Web site and other
    sources.

-   Provision of Survey, Reporting and QI Kits that provide users with
    the information they need to conduct a survey, report results and
    perform quality improvement.

-   Updating of the *TalkingQuality* Web site and *Report Card
    Compendium*.

-   Securing feedback from users of technical assistance.

> Specific requirements for each of these are described below.
>
> [Subtask 2.1 Develop a strategic plan for technical assistance
> services focused on CAHPS and SOPS products]{.underline}
>
> The User Network contractor working with AHRQ staff shall develop a
> strategic plan for technical assistance. To perform this work the
> contractor shall carry out the following:

-   Meet with AHRQ staff to define objectives of the plan and review
    steps to completing the plan.

-   Prepare draft work plan.

-   Review draft work plan with AHRQ staff and revise.

-   Discuss needs for technical assistance for CAHPS and SOPS products
    with users.

-   Review current efforts by public and private sector organizations
    that provide technical assistance on CAHPS products (e.g., CMS for
    H-CAHPS; NCQA for CAHPS HP or vendors for H-CAHPS) and assess what
    gaps exist in the technical assistance that will need to be filled.

-   Document the range of technical assistance needs and recommend most
    effective configuration.

> [Subtask 2.2 Ongoing technical assistance]{.underline}

The contractor shall provide clarification and explanation regarding all
CAHPS and SOPS products, including survey instruments, reports, sampling
and data collection procedures, and project implementation processes.
Requests for assistance from users can be quite diverse and may include
such issues as: requests for general information about CAHPS and SOPS;
help with getting a project started; detailed information or explanation
about technical issues, such as the implications of changing the
sampling methodologies; updates regarding progress on new CAHPS and SOPS
products; assistance with reporting of CAHPS or SOPS data; advice on
reporting clinical data along with CAHPS or SOPS data; advice on hiring
a vendor (the contractor does not recommend vendors, but provides
guidelines to follow in the process of selecting one); and obtaining
copies of questionnaires, or reports and articles about CAHPS and SOPS.

> With regard to both CAHPS and SOPS products, the contractor shall also
> perform these specific technical assistance activities:

-   Offer and promote technical assistance to users.

-   Receive and analyze requests for assistance.

> Provide a toll-free help line and email address to receive requests
> and provide assistance. Assume an average of 200 contacts per month.
> Further assume that half of the calls require fairly straight-forward
> provision of information requiring about 15 minutes. The other half
> would involve more complex assistance and advice, for example,
> concerning starting up a project or dealing with more technical
> issues. This assistance shall require on average about 1 hour.

-   Maintain a directory of available resources for providing more
    in-depth technical assistance.

-   Provide technical assistance to requestors with questions about use
    of electronic reporting templates for users interested in using
    CAHPS for quality improvement.

-   Provide technical assistance in the use of qualitative or
    quantitative instruments developed by grantees to determine specific
    issues that should be the focus of quality improvement efforts.

[Subtask 2.3 Provide survey, reporting and QI kits]{.underline}

> A major task is preparation of two Survey, Reporting and QI kits for
> electronic publication on the AHRQ Web site: one set for CAHPS
> surveys, a second set for SOPS surveys. The current CAHPS Kits can be
> accessed at <https://www.cahps.ahrq.gov/default.asp>.
>
> Each kit should contain at least the following information about CAHPS
> instruments: the most up-to-date information about survey content,
> formatting, implementation procedures, sampling, software for data
> analysis, and complete instructions for reporting and conducting
> quality improvement strategies. Kit preparation and updating for CAHPS
> products involves the following major tasks:

-   Work with AHRQ CAHPS staff and CAHPS grantees to plan the content
    and layout of the next version of the kits, ensuring compliance with
    Section 508 Standards or any revisions of these standards.

-   Coordinate writing to be done by grantees for the CAHPS kits. Assume
    about 25% of the writing shall be done by CAHPS grantees and about
    75% of the writing shall be done by the User Network contractor
    staff.

-   If any elements of the kits require outside-the-team review, obtain
    reviewers and coordinate this process.

-   Edit all material and coordinate final edit with AHRQ staff.

> The most recent survey and reporting kit for HSOPS is available at
> <http://www.ahrq.gov/qual/hospculture/>. This kit will need to be
> updated as necessary. Each kit should contain at least the following
> information about HSOPS instruments: the most up-to-date information
> about survey content, formatting, implementation procedures, sampling,
> software for data analysis, and complete instructions for reporting.
> Kit preparation and updating for HSOPS products involves the following
> major tasks:

-   Work with AHRQ SOPS staff to plan the content and layout of the next
    version of the kits, ensuring compliance with Section 508 Standards
    or any revisions of these standards.

-   Coordinate writing to be done by authors of various sections. Assume
    that about 75% of the writing shall be done by the User Network
    contractor staff.

-   If any elements of the kits require outside-the-team review, obtain
    reviewers and coordinate this process.

-   Edit all material and coordinate final edit with AHRQ staff.

> [Subtask 2.4 Updating of the *TalkingQuality* Web site and *Report
> Card Compendium*]{.underline}
>
> In CAHPS I, the CAHPS team developed a template for users of CAHPS
> surveys so they could report results to consumers and other
> audiences.  This was a "turn-key" template---it included information
> about the CAHPS health plan survey and how it was developed; how the
> data were collected; how to interpret the data display; why quality
> information was important in choosing a health plan and how to apply
> survey findings to choice of a health plan.  Over time, however, the
> CAHPS team learned that most sponsors did not use the template in its
> entirety.  Instead, they used selected sections of the text and
> developed additional text themselves.  In view of this experience, the
> CAHPS team concluded that they could best serve report developers by
> developing what is called "reporting resources" rather than a turn-key
> template. They also concluded that the only report elements regarded
> as essential and unchangeable were composite presentation and
> explanation.  Based on these insights, the CAHPS II team developed two
> products, *Reporting Resources* and the *Report Card Compendium*,
> which are briefly described below.
>
> *Reporting Resources.*  Though many organizations develop and
> distribute reports with health care quality data, very few have the
> resources to test whether their target audience a) understands these
> reports, b) uses them to make a selection decision and c) ultimately
> feels that this information informed their choice and eased their
> decision-making burden.  In other words, though it is commendable that
> organizations take the time to produce and disseminate these reports,
> they are working in the dark concerning their extent of use and
> effectiveness.    To respond to this, the CAHPS II team developed a
> Web site, [*www.TalkingQuality.gov*](http://www.talkingquality.gov/),
> which organizes existing expertise and research about principles of
> effective reporting.  The *TalkingQuality* Web site describes the
> entire process of developing a quality report, from "Getting Started"
> to "Evaluating the Project" and offers, when available, evidence-based
> advice on strategies that contribute to a successful report.  The
> organization of the Web site makes it easy for the user to know where
> to go for a response to a particular question or for information about
> a specific issue.  *TalkingQuality* contains a wealth of information
> both for organizations who have never developed a quality report and
> for those who have experience in this area.  This resource is an
> improvement over the CAHPS I turn-key template in that it organizes
> existing knowledge in one location and allows the user to go directly
> to sources of information that apply to their specific questions.  
>
> *Report Card Compendium.*  In addition to advice about effective
> reporting, sponsors often want to see how other similar organizations
> respond to the demand from consumers for easily understandable health
> quality information.  In response, a *Report Card Compendium* was
> developed, which is a directory of over 200 sources of comparative
> information on the quality of health plans and providers.  Its
> purposes are to inform and support the various organizations that
> develop report cards and to provide easy access to examples of
> different approaches to content and presentation.  To develop the
> compendium, examples of report cards meeting these criteria were
> solicited. They must: a) be designed for consumers (defined as
> enrollees, employees, beneficiaries of Medicare or Medicaid, or the
> public at large); b) be available to consumers (but not necessarily
> all consumers or for free) and c) include comparative data on quality
> for more than one health care organization.  The report cards in this
> database are not offered as stellar examples of quality reporting;
> rather, they respond to two needs expressed by sponsors---to have
> convenient access to a range of examples of the types of report cards
> that are being produced and to allow an easy way to find and network
> with other sponsors.  The *Report Card Compendium* can be viewed at
> [www.cahps.ahrq.gov](http://www.cahps.ahrq.gov/).
>
> The User Network contract shall review and update the content of these
> sites each year. AHRQ is responsible for managing the site.
>
> [Subtask 2.5 Securing feedback from users of technical
> assistance.]{.underline}
>
> The contractor shall secure feedback from those requesting technical
> assistance to assess the effectiveness of the service. Under AHRQ's
> Customer Survey OMB clearance, the User Network contractor may conduct
> a brief mail survey of users of technical assistance services. Assume
> a mail survey of 10-12 items with a sample of 100 persons who received
> assistance by telephone or email. Also, assume that persons visiting
> the Web site (approximately 102,000 hits in 2005) will also be asked
> to provide their feedback during their visit to the site.
>
> [Task 3: Promote the adoption and use of CAHPS products and SOPS
> surveys]{.underline}.
>
> The User Network contractor shall:

-   Develop and implement plans for disseminating and promoting all
    CAHPS and SOPS products. This could include managing the development
    of reporting information for the CAHPS kits; identifying audiences
    for these products and identifying events (annual meetings, etc)
    where target audience members are likely to be.

-   Prepare all CAHPS and SOPS products for dissemination to potential
    users.

-   Maintain and update the CAHPS/SOPS list serve.

-   Develop and disseminate the quarterly *CAHPS Connections*

    -   Operate and maintain the current CAHPS Web site
        ([https://www.cahps.ahrq.gov](https://www.cahps.ahrq.gov/)) to
        provide information to users and potential users.

    -   Operate and maintain the current SOPS Web site
        (http//www.ahrq.gov/qual/hospsurvey) to provide information to
        users and potential users.

-   Design and conduct online workshops for enrolled users. Using
    computer networking and teleconferencing, conduct six online
    workshops a year, each about 1.5 hours. Assume that there will be
    about 150 participants per session, not counting staff and experts
    assisting with the process.

-   Inform the Project Officer of meetings or conferences where CAHPS
    and SOPS products should be promoted. Attend these meetings or
    conferences when deemed necessary by the Project Officer.

> [Task 4: Develop and maintain CAHPS and SOPS databases]{.underline}.

The CAHPS Health Plan Database and the CAHPS Hospital Database are large
and growing sources of CAHPS data collected by sponsors on commercial
health plans and public health plans (Medicare and Medicaid). Each year,
the User Network provides a standard report free of charge to all
sponsors who submit data. Contractor staff working on the databases also
considers and fills requests for data from researchers and others
interested in analyzing CAHPS data. The staff provides some custom
reports as requested.

> [Develop a strategic plan for provision of CAHPS and SOPS database
> products and services]{.underline}
>
> The User Network contractor working with AHRQ staff shall develop a
> strategic plan for the database products and services. To perform this
> work the contractor shall carry out the following:

-   Meet with AHRQ staff to define objectives of the plan and review
    steps to completing the plan.

-   Prepare draft work plan.

-   Review draft work plan with AHRQ staff and revise.

-   Discuss needs for database products and services for CAHPS and SOPS
    users.

-   Review current efforts by public and private sector organizations
    which provide database products and services on CAHPS products and
    SOPS products. Assess what gaps exist for database services that
    will need to be filled.

-   Document the range of database products and service needs and
    recommend most effective configuration for the CAHPS/SOPS Databases.

> [Specific tasks]{.underline}
>
> Specifically, the contractor shall:

-   Maintain existing databases. These include the databases for CAHPS
    Health Plan Survey, the CAHPS Hospital Survey, and the Hospital
    Survey on Patient Safety Culture (HSOPS). The contractor who now
    maintains these databases shall provide the User Network contractor
    with all data files, software, hard copy reports and other materials
    necessary for maintaining these databases.

-   Develop and maintain new databases. The contractor shall develop new
    databases for data obtained through the CAHPS Survey for Clinicians
    and Group Practices, the Medical Office Survey on Patient Safety
    Culture, and the Nursing Home Survey on Patient Safety Culture.
    These databases should correspond to existing CAHPS and SOPS
    databases in all possible respects.

-   Recruit sponsors to submit data. Sponsors of CAHPS and SOPS survey
    are requested to submit data to the CAHPS and SOPS databases with
    the assurance that the confidentiality of the data shall be
    protected.

-   Clean and prepare data for inclusion in the databases. While the
    CAHPS and SOPS questionnaires are standardized, sponsors may use
    different programs for creating their data sets and follow different
    standards. Therefore, some cleaning of the data shall be required.

-   Protect the confidentiality of respondents and entities being
    assessed.

-   Provide access to data for qualified users. Requests for data access
    are reviewed by a subcommittee of the CAHPS/SOPS Advisory Committee.
    Requests are assessed for their provisions for protecting the
    confidentiality of the data. Assume 20 requests for data per year.

-   Provide data to the National Healthcare Quality Report and National
    Healthcare Disparities Report produced by AHRQ. Since 2003, AHRQ has
    produced an annual report describing the quality of health care in
    the United States. (The 2006 reports are available at
    http://www.ahrq.gov/qual/nhqr06/nhqr06.htm.) Data from CAHPS surveys
    are a major source of information on consumer assessment of the
    quality of their health care experiences. Since it is anticipated
    that the SOPS survey data shall be added to the National Healthcare
    Quality Report (NHQR) and National Healthcare Disparities Report
    (NHDR), the User Network contractor shall need to provide these data
    as well.

-   Provide assistance to NHQR/NHDR staff in analyzing CAHPS and SOPS
    data. These may include analyses to assess the reliability of CAHPS
    and SOPS data or the extent to which it represents different
    populations and payers.

-   Produce electronic reports for sponsors of CAHPS and SOPS who submit
    data. An example of a sponsor report based on CAHPS data can be
    accessed at:
    (<https://www.cahps.ahrq.gov/content/NCBD/PDF/ph4sample.pdf>).
    Assume that SOPS reports will be similar to CAHPS reports in style
    and length.

-   Produce an annual report from each CAHPS and SOPS database for broad
    distribution. The contractor shall produce a report each year that
    summarizes the data available. A draft copy of the current report
    based on the health plan database is available at
    <http://www.ahrq.gov/qual/nhqr06/nhqr06report.pdf>. An example of
    the HSOPS benchmarking report is available at
    <http://www.ahrq.gov/qual/hospsurveydb/>.

-   Develop a plan for getting feedback from users of CAHPS and SOPS
    databases. Report periodically on received feedback.

-   Explore potential methodological improvements to the CAHPS databases
    that would allow for improved future reporting of state-based data
    on CAHPS, specifically in ways that could be summarized across payor
    types for individual states and across a wider range of states and
    institute these changes as feasible.  This work would also examine
    the potential future reporting of CAHPS data by state by priority
    population groups as defined in the National Healthcare Disparities
    Report.  This work would feed the National Healthcare Reports'
    on-line tool for state quality benchmarking and improved, the NHQR
    State Snapshots.

> [Task 5: Provide technical and conference support for
> meetings]{.underline}.
>
> The contractor shall provide logistical, administrative and technical
> support for at least the following meetings and conferences:

-   CAHPS/SOPS User Network meetings. There shall be four in-person User
    Network meetings during the five project years. For budgeting
    purposes assume years 1-4. Though the contractor takes the lead
    responsibility for this meeting, CAHPS grantees and AHRQ CAHPS and
    SOPS staff shall contribute to planning the content of and making
    presentations at the meeting. With the inclusion of SOPS
    participants, assume meetings shall be 2.5 days each with an
    estimated 300 participants.

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-   One Steering Committee meeting (in-person) per year. The Committee
    consists of the AHRQ Project Officers, at least one representative
    from each of the organizations which partner with AHRQ to fund the
    CAHPS grants, the CAHPS PI's and their alternates, and the project
    director of the User Network contract.

-   One Grantee Advisory Committee meeting (in-person) per year. The
    Committee consists of 10-12 participants selected by the Grantees.

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-   One annual CAHPS/SOPS Advisory Committee meeting (in-person). The
    Committee consists of key stakeholder organizations that provide
    guidance for the CAHPS/SOPS databases. Assume a one day meeting with
    25 participants.

-   One annual Database Technical Advisory Panel (TAP) meeting. The
    Committee consists of at least one representative from each of the
    CAHPS grantee teams and is constituted to provide guidance on
    technical matters regarding the databases. Assume a one day meeting
    with 25 participants.

> Support shall include:

-   Preparation of meeting agendas and supporting materials.

-   Logistical and administrative meeting support, including reserving
    meeting and hotel accommodations, notifying participants, providing
    registration and scheduling use of equipment. For the User Network
    meetings participants pay for their own transportation and housing
    (except for presenters- assume 30 presenters), the Contractor shall
    bear the costs of the hotel conference fees however, the contract
    cannot be charged for meals. The Contractor must have a way to
    collect on-site for meals and have participants per diem reduced
    (for participants that are traveling under the contract). Assume
    that grantees shall pay travel costs for participants in the
    CAHPS/SOPS Advisory Committee meeting. Assume the User Network
    contract shall pay travel costs for the Database Technical Advisory
    Panel (TAP) meeting

-   Technical support including, as required, preparation of background
    papers, arranging for speakers and producing summaries of meetings.

> [Task 6: Provide support to AHRQ CAHPS and SOPS staff]{.underline}.
>
> The contractor shall provide support to AHRQ CAHPS and SOPS teams in
> the following areas:

-   Conduct literature searches to assist AHRQ project staff in
    addressing technical issues that arise regarding consumer
    assessment, safety culture and reporting. Assume 6 literature
    searches a year.

-   Coordinate with grantees to maintain content for
    *TalkingQuality.com* Web site. This Web site which is operated on an
    AHRQ server shall require periodic update of the content material.
    The Web site contains information of use to persons and
    organizations designing materials for reporting information on
    quality to consumers and other audiences. The Web site can be
    accessed at <http://www.talkingquality.gov/>.

-   Coordinate with grantees and project officers to maintain content
    for the *Report Card Compendium* on the AHRQ CAHPS Web site.

-   Prepare research papers and background papers to assist AHRQ project
    staff with developing information on topics related to consumer
    assessment, safety culture and reporting. Assume two a year.

-   Track relevant efforts in the public and private sectors involving
    consumer surveys and reporting and make available to AHRQ and
    CAHPS/SOPS users. The contractor shall continually scan the
    scientific and popular literature to identify and capture articles
    about CAHPS and SOPS, articles listing CAHPS and SOPS data and other
    consumer assessment and reporting activities and research.

-   Assist in holding expert and stakeholder meetings on topics that are
    important to the measurement and reporting of quality and safety to
    consumers, purchasers, policy makers and others. This will include
    arranging for meetings that support obtaining input and feedback
    from experts and stakeholders regarding the NHQR and other new
    consumer assessment and reporting initiatives.

> Task 7: [Manage funds, time lines, staffing, project
> work.]{.underline}
>
> The contractor shall provide for the effective and efficient
> management of the technical functions and all contractor activities
> described in this scope of work. The contractor shall carry out the
> following tasks in implementing the management of the project.

-   Prepare and implement a management plan. The contractor shall
    prepare a management plan that shall outline the structure of the
    organization of the project, the work to be done, the schedule for
    completing work, an estimate of the resources required, and the
    overall approach to be applied to each task area. The management
    plan shall be prepared in the first month after contract award. It
    shall be used as the basis for reviewing and assessing progress in
    the first year. An updated management plan shall be prepared at the
    beginning of each subsequent contract year and shall reflect lessons
    learned from the previous year.

-   Prepare monthly progress report. The monthly report shall summarize
    progress for each task, note milestones, describe past and
    anticipated problems, propose solutions, cast future directions, and
    compare progress and resource expenditures to the original schedule
    and budget.

-   Hold management meetings. The contractor shall plan and hold monthly
    management meetings with the project officers during which the
    project shall be discussed. Progress shall be reviewed, milestones
    discussed, problems examined, and short and long-range plans made.

[Task 8 Transition Phase]{.underline}

> If there is a recompetition of this contract in 2012 and a new User
> Network IV Contractor is selected, the User Network III Contractor
> shall perform the following activities at the time of, or prior to,
> contract expiration:
>
> The Contractor shall cooperate fully with the successor contractor to
> effect an orderly transition.
>
> The Contractor shall participate in meetings and/or telephone
> conversations with the successor contractor in which current
> procedures and activities are discussed in detail.
>
> The Contractor shall deliver to the successor contractor the following
> in accordance with the delivery schedule: all database files, all
> software programs developed or altered in the performance of this
> contract and for which contract funds were expended; all program
> files; and correspondence files. All information shall be provided on
> CD-ROM.
>
> REFERENCES
>
> LT Kohn, JM Corrigan, and MS Donaldson, eds., *To Err is Human:
> Building a Safer Health System* (Washington, National Academies Press,
> 1999).

**[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. The full text
> of a clause may be accessed electronically at this address:
> <http://www.arnet.gov/far/>.

**FAR Clause No. Title and Date**

52.246-5 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. The full
> text of a clause may be accessed electronically at this address:
> <http://www.arnet.gov/far/>.

**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 30, 2007 and run through September 29, 2012.

**F.3 DELIVERY SCHEDULE**

> The Contracting Officer shall receive one copy of each progress report
> and final report/ final deliverable. In addition, one electronic and
> one hard copy of final reports and all other deliverables shall be
> submitted to the Project Officer.

Agency for Healthcare Research and Quality

ATTN: Jessica Alderton, Contracting Officer

Contracts Management / OPART

540 Gaither Road

Rockville, Maryland 20850

<Jessica.Alderton@ahrq.hhs.gov>

Agency for Healthcare Research and Quality

ATTN: Christine Crofton, Project Officer

CQUIPS

540 Gaither Road

Rockville, Maryland 20850

Christine.Crofton@ahrq.hhs.gov

> The Contractor shall submit the following items (in electronic format)
> in accordance with the stated delivery schedule as noted below:

+-------+--------------------------------+-----------------------------+
| [IT   | [DESCRIPTION]{.underline}      | [DELIVERY]{.underline}      |
| EM]{. |                                |                             |
| under |                                |                             |
| line} |                                |                             |
+=======+================================+=============================+
| Task  | [Support the development and   |                             |
| 1     | maintenance of CAHPS and SOPS  |                             |
|       | products]{.underline}          |                             |
+-------+--------------------------------+-----------------------------+
| 1.    | Draft conference call notes    | 48 hours                    |
|       | emailed to participants        |                             |
+-------+--------------------------------+-----------------------------+
| 2.    | Final conference call notes    | 1 week after call           |
|       | posted on CAHPS Extranet       |                             |
+-------+--------------------------------+-----------------------------+
| 3.    | A draft of a report evaluating | 12 months and 36 months     |
|       | effectiveness of CAHPS         | from the EDOC.              |
|       | Extranet based on the input    |                             |
|       | from its users. The report     |                             |
|       | should include recommendations |                             |
|       | for improvement if             |                             |
|       | deficiencies are identified.   |                             |
+-------+--------------------------------+-----------------------------+
| 4.    | Final report evaluating        | 1 month after review of the |
|       | effectiveness of CAHPS         | draft report by Project     |
|       | Extranet.                      | Officer (PO).               |
+-------+--------------------------------+-----------------------------+
| 5.    | Draft literature searches      | 2 weeks after the request   |
|       |                                | is made                     |
+-------+--------------------------------+-----------------------------+
| 6.    | Revised literature searches    | 1 week after review of the  |
|       |                                | draft by PO.                |
+-------+--------------------------------+-----------------------------+
| 7.    | Electronic copies of           | 5 working days after        |
|       | literature used in literature  | completing the revised      |
|       | search report                  | literature search.          |
+-------+--------------------------------+-----------------------------+
| 8.    | Project timelines for projects | 10 working days after the   |
|       | identified by Project Officer  | need for project timeline   |
|       |                                | is identified               |
+-------+--------------------------------+-----------------------------+
| 9.    | Updated timelines              | Monthly                     |
+-------+--------------------------------+-----------------------------+
| Task  | [Provide technical assistance  |                             |
| 2     | to CAHPS and SOPS product      |                             |
|       | users]{.underline}             |                             |
+-------+--------------------------------+-----------------------------+
| 10.   | A draft of a strategic plan    | 6 months from EDOC.         |
|       | for technical assistance       |                             |
|       | services around CAHPS and SOPS |                             |
|       | products                       |                             |
+-------+--------------------------------+-----------------------------+
| 11.   | Final strategic plan for       | 1 month after review of the |
|       | technical assistance services  | draft plan by PO.           |
|       | around CAHPS and SOPS products |                             |
+-------+--------------------------------+-----------------------------+
| 12.   | Monthly Report on Technical    | 15^th^ of each month        |
|       | Assistance                     | starting within 2months of  |
|       |                                | EDOC                        |
+-------+--------------------------------+-----------------------------+
| 13.   | Draft plan for obtaining user  | 6 months from EDOC          |
|       | feedback                       |                             |
+-------+--------------------------------+-----------------------------+
| 14.   | Final plan for obtaining user  | 1 month after review of the |
|       | feedback                       | draft plan by PO            |
+-------+--------------------------------+-----------------------------+
| 15.   | Draft report on user feedback  | Month 13, 27, 41, 53        |
+-------+--------------------------------+-----------------------------+
| 16.   | Final report on user feedback  | One month after review of   |
|       |                                | draft by PO                 |
+-------+--------------------------------+-----------------------------+
| 17.   | Draft of survey, reporting or  | 2 months after completion   |
|       | QI kits                        | of the final product by     |
|       |                                | CAHPS team.                 |
+-------+--------------------------------+-----------------------------+
| 18.   | Final version of survey,       | 1 month after review of the |
|       | reporting or QI kits.          | draft by PO                 |
+-------+--------------------------------+-----------------------------+
| Task  | [Promote the adoption and use  |                             |
| 3     | of CAHPS products and SOPS     |                             |
|       | surveys]{.underline}           |                             |
+-------+--------------------------------+-----------------------------+
| 19.   | Draft plan for promotion and   | 2 months from EDOC          |
|       | dissemination                  |                             |
+-------+--------------------------------+-----------------------------+
| 20.   | Final plan for promotion and   | 1 month after review of the |
|       | dissemination                  | draft by PO                 |
+-------+--------------------------------+-----------------------------+
| 21.   | Draft agenda for online        | 2 months before workshop    |
|       | workshops                      |                             |
+-------+--------------------------------+-----------------------------+
| 22.   | Final agenda for online        | 1 month before workshop     |
|       | workshops                      |                             |
+-------+--------------------------------+-----------------------------+
| 23.   | Draft of presentation slides   | 1 month before workshop     |
+-------+--------------------------------+-----------------------------+
| 24.   | Final of presentation slides   | 2 weeks before workshop     |
+-------+--------------------------------+-----------------------------+
| 25.   |                                |                             |
+-------+--------------------------------+-----------------------------+
| Task  | [Develop and maintain CAHPS    |                             |
| 4     | and SOPS                       |                             |
|       | databases]{.underline}         |                             |
+-------+--------------------------------+-----------------------------+
| 26.   | A draft strategic plan for     | 6 months from EDOC          |
|       | data base services for CAHPS   |                             |
|       | and SOPS products              |                             |
+-------+--------------------------------+-----------------------------+
| 27.   | A final strategic plan for     | 1 month after review of the |
|       | data base services for CAHPS   | draft plan by PO.           |
|       | and SOPS products              |                             |
+-------+--------------------------------+-----------------------------+
| 28.   | Sponsor reports                | 1 month after database is   |
|       |                                | prepared                    |
+-------+--------------------------------+-----------------------------+
| 29.   | Data for NHQR/NHDR             | Based on agreed upon        |
|       |                                | schedule to meet NHQR/NHDR  |
|       |                                | requirements                |
+-------+--------------------------------+-----------------------------+
| 30.   | Draft Annual Report for CAHPS  | September 1 each year       |
|       | and SOPS databases             | starting in contract year 2 |
+-------+--------------------------------+-----------------------------+
| 31.   | Final NCBD Annual Report for   | November 1 each year        |
|       | CAHPS and SOPS databases       | starting on contract year 2 |
+-------+--------------------------------+-----------------------------+
| 32.   | Custom Reports                 | Within 30 working days      |
|       |                                | after request               |
+-------+--------------------------------+-----------------------------+
| 33.   | Draft plan for getting         | Within 3 months from EDOC   |
|       | feedback from users of CAHPS   |                             |
|       | and SOPS databases             |                             |
+-------+--------------------------------+-----------------------------+
| 34.   | Final plan for getting         | Within 6 months from EDOC   |
|       | feedback from users of CAHPS   |                             |
|       | and SOPS databases             |                             |
+-------+--------------------------------+-----------------------------+
| 35.   | Draft report on feedback from  | Months 13, 25, 37, 49, from |
|       | users of CAHPS and SOPS        | EDOC                        |
|       | databases                      |                             |
+-------+--------------------------------+-----------------------------+
| 36.   | Final report on feedback from  | Months 14, 26, 38, 50, from |
|       | users of CAHPS and SOPS        | EDOC                        |
|       | databases                      |                             |
+-------+--------------------------------+-----------------------------+
| 37.   | A draft of feasibility report  | 11 months from EDOC         |
|       | exploring potential            |                             |
|       | methodological improvements to |                             |
|       | the CAHPS databases that would |                             |
|       | allow for improved future      |                             |
|       | reporting of state-based data  |                             |
|       | on CAHPS                       |                             |
+-------+--------------------------------+-----------------------------+
| 38.   | Final feasibility report       | 1 month after review of the |
|       |                                | draft by PO                 |
+-------+--------------------------------+-----------------------------+
| Task  | [Technical and Conference      |                             |
| 5     | Support for                    |                             |
|       | Meetings]{.underline}          |                             |
+-------+--------------------------------+-----------------------------+
| 39.   | Draft agenda and materials for | 20 working days before each |
|       | meetings                       | meeting                     |
+-------+--------------------------------+-----------------------------+
| 40.   | Final agenda and materials for | 10 working days before each |
|       | meetings (one week review)     | meeting                     |
+-------+--------------------------------+-----------------------------+
| 41.   | Draft of summary of meetings   | Within 10 working days      |
|       |                                | following each meeting      |
+-------+--------------------------------+-----------------------------+
| 42.   | Final summary of meetings      | Within 30 working days      |
|       |                                | following each meeting      |
+-------+--------------------------------+-----------------------------+
| Task  | [Provide support to AHRQ CAHPS |                             |
| 6     | and SOPS staff]{.underline}.   |                             |
+-------+--------------------------------+-----------------------------+
| 43.   | Draft literature search        | 2 weeks after request       |
+-------+--------------------------------+-----------------------------+
| 44.   | Final literature search        | 1 week after review of      |
|       |                                | draft by PO                 |
+-------+--------------------------------+-----------------------------+
| 45.   | Draft research and background  | 30 working days after       |
|       | papers                         | request                     |
+-------+--------------------------------+-----------------------------+
| 46.   | Draft agenda and materials for | 20 working days before each |
|       | expert and stakeholder         | meeting                     |
|       | meetings                       |                             |
+-------+--------------------------------+-----------------------------+
| 47.   | Final agenda and materials for | 10 working days before each |
|       | expert and stakeholder         | meeting                     |
|       | meetings                       |                             |
+-------+--------------------------------+-----------------------------+
| 48.   | Draft summary of expert and    | 10 working days after each  |
|       | stakeholder meetings           | meeting                     |
+-------+--------------------------------+-----------------------------+
| 49.   | Final summary of expert and    | 20 working days after each  |
|       | stakeholder meetings           | meeting                     |
+-------+--------------------------------+-----------------------------+
| 50.   | Draft Semi Annual Update of    | 7^th^ month of the frst     |
|       | Talking Quality Web site       | contract year and 5^th^ and |
|       | content                        | 11^th^ month of each        |
|       |                                | subsequent contract year..  |
+-------+--------------------------------+-----------------------------+
| 51.   | Final Semi Annual Update on    | 8^th^ month of the first    |
|       | Talking Quality Web site       | contract year and 6^th^ and |
|       | content                        | 12^th^ month of the         |
|       |                                | subsequent contract years.  |
+-------+--------------------------------+-----------------------------+
| 52.   | Draft Semi Annual Update of    | 7^th^ month of the frst     |
|       | *[Report Card                  | contract year and 5^th^ and |
|       | Compendium]{.underline}* Web   | 11^th^ month of each        |
|       | site content                   | subsequent contract year..  |
+-------+--------------------------------+-----------------------------+
| 53.   | Final Semi Annual Update on    | 8^th^ month of the first    |
|       | *[Report Card                  | contract year and 6^th^ and |
|       | Compendium]{.underline}* Web   | 12^th^ month of the         |
|       | site content                   | subsequent contract years.  |
+-------+--------------------------------+-----------------------------+
| Task  | [Manage funds, time lines,     |                             |
| 7     | staffing, project              |                             |
|       | work]{.underline}              |                             |
+-------+--------------------------------+-----------------------------+
| 54.   | Management Plan                | 1 month after the           |
|       |                                | initiation of the contract  |
+-------+--------------------------------+-----------------------------+
| 55.   | Monthly progress report in     | 5^th^ working day of each   |
|       | Excel format (the contractor   | month                       |
|       | will work with PO to develop a |                             |
|       | template)                      |                             |
+-------+--------------------------------+-----------------------------+
| 56.   | Draft annual CAHPS/UN and      | End of the last month of    |
|       | SOPS/UN management plan -      | the 1^st^, 2^nd^, 3^rd^ and |
|       | update                         | 4^th^ contract years and    |
|       |                                | the end of the 10^th^ month |
|       |                                | of the last contract year.  |
+-------+--------------------------------+-----------------------------+
| 57.   | Final annual CAHPS/UN and      | 1 month after review of the |
|       | SOPS/UN management plan -      | draft by PO                 |
|       | update                         |                             |
+-------+--------------------------------+-----------------------------+
| Task  | [Transition Phase]{.underline} |                             |
| 8     |                                |                             |
+-------+--------------------------------+-----------------------------+
| 58.   | Draft delivery schedule        | One month prior to          |
|       |                                | expiration of the contract  |
+-------+--------------------------------+-----------------------------+
| 59.   | Final delivery schedule        | 5 work days after review by |
|       |                                | the Project Officer         |
+-------+--------------------------------+-----------------------------+
| > H.9 | Draft IT Security Plan         | Draft within 60 days of     |
| > 1.0 |                                | contract award              |
|       | Final IT Security Plan         |                             |
|       |                                | Final before two weeks      |
|       |                                | before the system goes live |
+-------+--------------------------------+-----------------------------+
| > H.9 | List of Individuals who have   | Within 5 days of contract   |
| > 2.0 | completed Security Awareness   | award -- all contractors    |
|       | Training                       | should complete SAT before  |
|       |                                | accessing any federal       |
|       |                                | systems                     |
+-------+--------------------------------+-----------------------------+
| > H.9 | List of individuals who have   | Within 30 days of award     |
| > 2.1 | significant security           |                             |
|       | responsibilities that have     |                             |
|       | completed the AHRQ             |                             |
|       | Combimed_Security_Training     |                             |
+-------+--------------------------------+-----------------------------+
| > H.9 | Non-Disclosure Agreements (if  | Prior to individual working |
| > 4.1 | required)                      | under contract.             |
+-------+--------------------------------+-----------------------------+

> **\*EDOC --Effective date of contract**

**[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 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 AWARD)**

> The Project Officer(s) is/are 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 follow and are 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 two
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**

\(1\) The Contractor [IS REQUIRED]{.underline} 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]{.underline} - 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 and level of detail 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); and

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

(l) [Current amount billed]{.underline} by individual cost element and
    total dollar amount; and

(m) [Cumulative amount billed]{.underline} by individual cost element
    and total dollar amount.

\(3\) Due to increased complexity of funding (funds coming from two
different sources), AHRQ needs the ability to track expenditures in more
detail.  Therefore, labor hours and other costs must be
reported separately for SOPs and CAHPS.  In addition, within each of
these areas, invoices must include a breakdown of labor hours and all
associated costs by task.  

\(4\) 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, [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) Contract# . However, this presentation/ publication/or
> other product HAS NOT BEEN APPROVED by the agency.
>
> \(c\) *Required Statement Regarding Protected Information*. On all
> written material or other recorded products, or preceding any
> presentation or other oral disclosure, release or use of material
> based on identifiable information obtained in the course of work
> performed under this contract, the Contractor shall make the following
> statement:
>
> IDENTIFIABLE INFORMATION ON WHICH THIS REPORT, PRESENTATION, OR OTHER
> FORM OF DISCLOSURE IS BASED IS PROTECTED BY FEDERAL LAW, SECTION
> 934(c) OF THE PUBLIC HEALTH SERVICE ACT, 42 U.S.C. 299c-3(c). NO
> IDENTIFIABLE INFORMATION ABOUT ANY INDIVIDUALS OR ENTITIES SUPPLYING
> THE INFORMATION OR DESCRIBED IN IT MAY BE KNOWINGLY USED EXCEPT IN
> ACCORDANCE WITH THEIR PRIOR CONSENT. ANY CONFIDENTIAL IDENTIFIABLE
> INFORMATION IN THIS REPORT OR PRESENTATION THAT IS KNOWINGLY DISCLOSED
> IS DISCLOSED SOLELY FOR THE PURPOSE FOR WHICH IT WAS PROVIDED.
>
> \(d\) *Copyright -- Data first produced in the performance of the
> Contract.* Subject to the terms of this Section regarding release and
> use of data, AHRQ, through its Contracting Officer, will grant
> permission under FAR 52.227-17(c)(1)(i) to the Contractor to establish
> claim to copyright subsisting in scientific and technical articles
> based on or containing data first produced in the performance of this
> contract that are submitted for publication in academic, technical or
> professional journals, symposia proceedings or similar works. When
> claim to copyright is made, the Contractor shall affix the applicable
> copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of
> Government sponsorship (including contract number) to the data when
> such data are delivered to the Government, as well as when the data
> are published or deposited for registration as a published work in the
> U.S. Copyright Office. In such circumstances, the Contractor hereby
> agrees to grant to AHRQ, and others acting on its behalf, a paid-up,
> nonexclusive, irrevocable, worldwide license for all such data to
> reproduce, prepare derivative works, distribute copies to the public,
> and perform publicly and display publicly, by or on behalf of AHRQ. A
> description of this license will be incorporated into the copyright
> notices required above.
>
> \(e\) *Subcontracts.* Whenever data, analyses, or other recorded
> products are to be developed by a subcontractor under this Contract,
> the Contractor must include the terms of H.1 in the subcontract,
> without substantive alteration, with a provision that the
> subcontractor may not further assign to another party any of its
> obligations to the Contractor. No clause may be included to diminish
> the Government's stated requirements or rights regarding release or
> use of products or materials based on data derived from work performed
> under this contract.

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

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

**H.3 SUBCONTRACTS**

> Award of any subcontract is subject to the prior written approval of
> the Contracting Officer upon review of the supporting documentation.
> Failure to obtain prior written approval of the Contracting Officer
> may result in disallowance of use of Federal funds to cover services
> under the subcontract. 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.7 and H.9. These requirements are to
> be included without substantive alteration, and no clause may be
> included to diminish these requirements. If approved, a copy of the
> signed subcontract shall be provided to the Contracting Officer.

Number range CHAPTER

**H.4 LATE PAYMENTS TO THE GOVERNMENT**

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

a\. The basis of indebtedness.

b\. The amount due.

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

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

**H.5 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.6 PRO-CHILDREN ACT of 1994**

> The Pro-Children Act of 1994, P.L. 103-227, imposes restrictions on
> smoking where certain federally funded children's' 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.7** **SALARY CAP GUIDE NOTICE**

> Pursuant to the applicable HHS appropriations acts cited in the table
> below, the Contractor shall not use contract funds to pay the direct
> salary of an individual at a rate in excess of the salary level in
> effect on the date the expense is incurred as shown in the table
> below.
>
> For purposes of the salary limitation, the terms ''direct salary,''
> ''salary,'' and ''institutional base salary'' have the same meaning
> and are collectively referred to as ''direct salary'' in this clause.
> An individual's direct salary is the annual compensation that the
> Contractor pays for an individual's appointment whether that
> individual's time is spent on research, teaching, patient care, or
> other activities. Direct salary excludes any income that an individual
> may be permitted to earn outside of duties to the Contractor. Direct
> salary also excludes fringe benefits, overhead, and general and
> administrative expenses (also referred to as indirect costs or
> facilities and administrative \[F&A\] costs). The salary rate
> limitation also applies to individuals performing under subcontracts. 
> However, it does not apply to fees paid to consultants. If this is a
> multiple-year contract, it may be subject to unilateral modification
> by the Contracting Officer to ensure that an individual is not paid at
> a rate that exceeds the salary rate limitation provision established
> in the HHS appropriations act in effect when the expense is incurred
> regardless of the rate initially used to establish contract funding.

+-----------------------------------+-----------------+-----------------+
| > Public Law                      | > Period        | > Salary        |
|                                   | > Covered       | > Limitation    |
|                                   |                 | > Based on      |
|                                   |                 | > Executive     |
|                                   |                 | > Level I       |
+-----------------------------------+-----------------+-----------------+
| > 108--447, Div F, Title II,      | > 10/0          | > \$180,100     |
| > General Provisions, Section 204 | 1/05---12/31/05 |                 |
+-----------------------------------+-----------------+-----------------+
| > 109--149, General Provisions,   | > 0             | > \$183,500     |
| > Section 204                     | 1/01/06---until |                 |
|                                   | > revised       |                 |
+-----------------------------------+-----------------+-----------------+

> Executive Level salaries for the current and prior periods can be
> found at the following Web site:
> *<http://www.opm.gov/oca/05tables/html/ex.asp> . * Click on ''Salaries
> and Wages'' and then scroll to the bottom of the page to select the
> desired period.

**H.8** **PERFORMANCE EVALUATION AND AWARD FEE**

**1. [Performance Evaluation Factors]{.underline}**

The Government will evaluate the following factors of the Contractor's
performance:

  ---------------------------------------------- ----------- ---------- -----------
  **Performance Factor**                         **Related   **Weight   **Weight
                                                 SOW Tasks** (Year 1)** (Year 2 and
                                                                        Beyond)**

  1\. Support the development and maintenance of Task 1      20%        20%
  CAHPS and SOPS products.                                              

  2\. Provide assistance to CAHPS and SOPS       Task 2      20%        20%
  product users.                                                        

  3\. Promote the adoption and use of CAHPS      Task 3      10%        10%
  products and SOPS surveys.                                            

  4\. Develop and maintain new CAHPS and SOPS    Task 4      20%        20%
  databases.                                                            

  5\. Provide technical and conference support   Task 5      10%        10%
  for meetings.                                                         

  6\. Provide support to AHRQ CAHPS and SOPS     Task 6      10%        10%
  staff.                                                                

  7\. Project management.                        Task 7,     10%        10%
                                                 Task 8                 
  ---------------------------------------------- ----------- ---------- -----------

**2. [Performance Requirements Summary]{.underline}**

Attachment 4 summarizes the performance standards and Government
surveillance methods for each of the above performance factors.

3.  **[Award Fee Plan]{.underline}**

> ([Note to Offerors]{.underline}: The Government anticipates a
> Cost-Plus-Award Fee (CPAF) contract to result from this solicitation.
> In this type of contract, the Contractor will receive a small base
> fee. In addition to the base fee, award fee will be tied to the
> evaluation of specific products and services in accordance with
> Exhibit 1- Performance Requirements Summary.
>
> The Agency's decision to pay or not to pay Award Fee in no way alters
> the Contractor's responsibilities to perform any services or produce
> any deliverables required by this contract. The Agency's decision to
> pay or not to pay Award Fee in no way alters the Agency's obligation
> to pay the Contractor for satisfactory deliverables in accordance with
> this contract.

Award Fee is available for services and products identified below.

> **Annual Amounts Available for Award Fee (to be evaluated
> semi-annually):**

+-------------+--------+------------+----------+----------+----------+
| **          | **% of | **Award    | **Award  | **Award  | **Award  |
| Performance | Award  | for        | for      | for**    | for**    |
| Evaluation  | Fee    | Evaluation | Eval     |          |          |
| Factor**    | Pool** | Unac       | uation** | **Eval   | **Ev     |
|             |        | ceptable** |          | uation** | aluation |
|             | **Year |            | **Satisf |          | Outst    |
|             | 1**    | Rating     | actory** | *        | anding** |
|             |        | score of   |          | *Exceeds |          |
|             | **\_   | below 60   | 60-79    | Expect   | 90-100   |
|             | \_\_\_ | reduces    | score    | ations** | score    |
|             | \_\_** | Base Fee   |          |          |          |
|             |        | by 50% for | 40%      | 80-89    | 100%     |
|             | *      | rating     |          | score    |          |
|             | *Years | period.    |          |          |          |
|             | 2-5**  |            |          | 80%      |          |
+-------------+--------+------------+----------+----------+----------+
| **Support   | 20%    |            |          |          |          |
| development |        |            |          |          |          |
| and         | \_\_\_ |            |          |          |          |
| maintenance | \_\_\_ |            |          |          |          |
| of CAHPS    |        |            |          |          |          |
| and SOPS    | 20%    |            |          |          |          |
| products.** |        |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Provide   | 20%    |            |          |          |          |
| assistance  |        |            |          |          |          |
| to CAHPS    | \_\_\_ |            |          |          |          |
| and SOPS    | \_\_\_ |            |          |          |          |
| product     |        |            |          |          |          |
| users.**    | 20%    |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Promote   | 10%    |            |          |          |          |
| the         |        |            |          |          |          |
| adoption    | \_\_\_ |            |          |          |          |
| and use of  | \_\_\_ |            |          |          |          |
| CAHPS       |        |            |          |          |          |
| products    | 10%    |            |          |          |          |
| and SOPS    |        |            |          |          |          |
| surveys.**  |        |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Develop   | 20%    |            |          |          |          |
| and         |        |            |          |          |          |
| maintain    | \_\_\_ |            |          |          |          |
| new CAHPS   | \_\_\_ |            |          |          |          |
| and SOPS    |        |            |          |          |          |
| d           | 20%    |            |          |          |          |
| atabases.** |        |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Provide   | 10%    |            |          |          |          |
| technical   |        |            |          |          |          |
| and         | \_\_\_ |            |          |          |          |
| conference  | \_\_\_ |            |          |          |          |
| support for |        |            |          |          |          |
| meetings.** | 10%    |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Provide   | 10%    |            |          |          |          |
| support to  |        |            |          |          |          |
| AHRQ CAHPS  | \_\_\_ |            |          |          |          |
| and SOPS    | \_\_\_ |            |          |          |          |
| staff.**    |        |            |          |          |          |
|             | 10%    |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+
| **Project   | 10%    |            |          |          |          |
| ma          |        |            |          |          |          |
| nagement.** | \_\_\_ |            |          |          |          |
|             | \_\_\_ |            |          |          |          |
|             |        |            |          |          |          |
|             | 10%    |            |          |          |          |
+-------------+--------+------------+----------+----------+----------+

On a semi-annual basis, the Contractor's products and services will be
evaluated in terms of the above performance factors by an Award Fee
Evaluation Group (AFEG). The AFEG will consist of the Project Officer,
the Contracting Officer or his/her designee, and, as appropriate, other
Government officials selected by the Project Officer (depending on
specific expertise) and approved by the Contracting Officer.

Each member of the Award Fee Evaluation Group will evaluate the
Contractor's performance against the performance standards of quality
and timeliness listed in Exhibit 1.

A numerical rating scale of 0 to 100 will be used. The scale is defined
as follows:

  ------------------------------------ -------------- ------------- -----------
  **Definition of Rating**             **Adjective    **Numerical   **Fee %**
                                       Rating**       Rating**      

  **[Outstanding]{.underline}**-       Outstanding    90 - 100      100%
  Contractor's performance exceeds                                  
  standards by substantial margin; the                              
  performance monitor can cite few                                  
  areas for improvement, all of which                               
  are minor. Required rework is                                     
  minimal.                                                          

  **[Exceeds                           Exceeds        80 -- 89      80%
  Expectations]{.underline}**-         Expectations                 
  Contractor's performance exceeds                                  
  standards, and although there may be                              
  several areas for improvement, these                              
  are more than offset by better                                    
  performance in other areas. Required                              
  rework is limited.                                                

  **[Satisfactory]{.underline}**-      Satisfactory   60 -- 79      40%
  Contractor's performance is                                       
  generally satisfactory, and areas                                 
  for improvement are approximately                                 
  offset by better performance in                                   
  other areas. Required rework is                                   
  moderate.                                                         

  **[Unacceptable]{.underline}**-      Unacceptable   Below 60      Base Fee
  Contractor's performance is less                                  Reduced by
  than standards by a substantial                                   50%
  margin, and the performance monitor                               
  can cite many areas for improvement                               
  which are not offset by better                                    
  performance in other areas. Required                              
  rework is extensive.                                              
  ------------------------------------ -------------- ------------- -----------

Each member of the AFEG will give each performance factor a numerical
rating, and those ratings will be averaged. An average score of less
than 60 (Unacceptable) will result in a reduction in the base fee of 50%
for the performance factor for the rating period. An average score of
60-79 (Satisfactory) will result in award of 40% of the Award Fee for
the performance factor. An average score of 80-89 (Exceeds Expectations)
will result in award of 80% of the Award Fee, and an average of 90-100
(Outstanding) will result in award of 100% of the Award Fee for the
performance factor. **The Award Fee determinations are not subject to
the disputes clause.**

**H.9 SECURITY AND PRIVACY REQUIREMENTS**

1.0 In compliance with OMB Circular A-130, "Management of Federal
Information Resources," the Contractor shall prepare an IT Security Plan
that will include a control process to ensure that appropriate
management, operational and technical safeguards are incorporated into
all AHRQ IT Applications. The Contractor shall use the guidance provided
in the documentation standards of the National Institute of Standards
and Technology; NIST Special Publication 800-18 Rev. 1 "Guide for
Developing Security Plans for Information Technology Systems" when
developing the IT Security Plan.

> In addition, the contractor shall comply with the IT Application(s)
> security requirements needed for the contract as set forth in the
> Statement of Work. The Contractor further agrees to include this
> provision in any subcontract awarded pursuant to the prime contract.
> The draft and final IT Security Plan will be submitted as a
> deliverable to the Agency for Healthcare and Research (AHRQ) Project
> Officer for review and approval.

1.1 The Contractor shall insure that PII (Personally Identifiable
Information, defined by FOIA II) data is never allowed on a system with
public (Internet) access.

1.2 The Contractor shall conduct and maintain a Privacy Impact
Assessment (PIA) as defined by Section 208 of the E-Government Act of
2002 and FAR Clause 52-239-1. Periodic reviews shall be conducted to
determine if a major change to the system has occurred, and if a PIA
update is needed.

1.3 Contractor shall abide by all requirements of the Privacy Act of
1974 and FAR Clause 52-239-1. Pursuant to those requirements, contractor
will publish a System of Record (SOR) notice in the Federal Register
when a new System of Records is to be created and will publish an
updated SOR notice following a "major change" as defined by Office of
Memorandum and Budget Memorandum 03-22 or subsequent replacement
guidance.

2.0 Information Systems Security Training:

AHRQ and HHS policy requires contractors receive security training
commensurate with their responsibilities for performing work under the
terms and conditions of their contractual agreements.

The contractor will be responsible for assuring that each contractor
employee has completed the Security Awareness Training as required by
AHRQ prior to performing any contract work, and on an annual basis
thereafter, during the period of performance of the contract. The
contractor shall maintain a listing of all individuals who have
completed this training and shall submit this listing to the Project
Officer.

2.1 Additional security training requirements commensurate with the
position may be required as defined in NIST Special Publication 800-16,
Information Technology Security Training Requirements
([http://csrc.nist.gov/publications/nistpubs/800-16/800-16.pdf](../(http://csrc.nist.gov/publications/nistpubs/800-16/800-16.pdf)).
The document above provides information about information security
training that may be useful to potential offerors. The contractor shall
maintain a list of all individuals who have significant security
responsibilities that have completed the AHRQ_Combined_Security_Training
and submit the list to the Project Officer.

3.0 Access to HHS electronic mail:

> All Contractor staff that have access to and use of HHS electronic
> mail (e-mail) must identify themselves as contractors on all outgoing
> e-mail messages, including those that are sent in reply or are
> forwarded to another user. To best comply with this requirement, the
> contractor staff shall set up an e-mail signature (\"AutoSignature\")
> or an electronic business card (\"V-card\") on each contractor
> employee\'s computer system and/or Personal Digital Assistant (PDA)
> that will automatically display \"Contractor\" in the signature area
> of all e-mails sent.

4.0 Commitment to Protect Departmental Information Systems and Data

Contractor Agreement: The Contractor shall not release, publish, or
disclose Departmental information to unauthorized personnel, and shall
protect such information in accordance with provisions of the following
laws and any other pertinent laws and regulations governing the
confidentiality of sensitive information:

-18 U.S.C. 641 (Criminal Code: Public Money, Property or Records)

-18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information)

-Public Law 96-511 (Paperwork Reduction Act)

4.1 Contractor-Employee Non-Disclosure Agreements:

Each contractor employee who may have access to sensitive Department
information under this contract shall complete Commitment to Protect
Non-Public Information - Contractor Agreement. A copy of each signed and
witnessed Non-Disclosure agreement shall be submitted to the Project
Officer prior to performing any work under the contract.

[References]{.underline}

> \(1\) HHS Information Security Program Policy:
>
> <http://www.hhs.gov/ohr/manual/pssh.pdf>

\(2\) HHS Personnel Security/Suitability Handbook:

> <http://www.hhs.gov/ohr/manual/pssh.pdf>
>
> \(3\) NIST Special Publication 800-16, Information Technology Security
> Training Requirements:

<http://csrc.nist.gov/publications/nistpubs/800-16/800-16.pdf>

Appendix A-D:
<http://csrc.nist.gov/publications/nistpubs/800-16/AppendixA-D.pdf>

> \(4\) NIST SP 800-18, Guide for Developing Security Plans for
> Information Technology Systems:
> <http://csrc.nist.gov/publications/nistpubs/index.html>
>
> \(5\) NIST SP 800-60, Guide for Mapping Types of Information and
> Information Systems to Security Categories, Volume I:
> <http://csrc.nist.gov/publications/nistpubs/800-60/SP800-60V1-final.pdf>
>
> \(6\) NIST SP 800-60, Guide for Mapping Types of Information and
> Information Systems to Security Categories, Volume II:
> [http://csrc.nist.gov/publications/nistpubs/800-60/SP800-60V2-final.pdf](http://csrc.nist.gov/publications/nistpubs/800-60/SP800-60V1-final.pdf)
>
> \(7\) NIST SP 800-37, Guide for Security Certification and
> Accreditation of Federal Information Systems:
>
> <http://csrc.nist.gov/publications/nistpubs/800-37/SP800-37-final.pdf>

\(8\) Recommended Security Controls for a Federal Information System:

> <http://csrc.nist.gov/publications/nistpubs/800-53/SP800-53.pdf>
>
> \(9\) NIST SP 800-26, Security Self Assessment Guide for Information
> Technology Systems:

<http://csrc.nist.gov/publications/nistpubs/800-26/sp800-26.pdf>

> \(10\) NIST SP 800-64, Security Considerations in the Information
> System Development Life Cycle:
>
> <http://csrc.nist.gov/publications/nistpubs/800-64/NIST-SP800-64.pdf>

\(11\) Federal Information Processing Standards, Standards for Security
Categorization of Federal Information and Information Systems:

<http://csrc.nist.gov/publications/fips/fips199/FIPS-PUB-199-final.pdf>

(12) Federal Information Processing Standards, Minimum Security

> Requirements for a Federal Information System:
>
> <http://csrc.nist.gov/publications/fips/fips200/FIPS-200-final-march.pdf>

(13) AHRQ will provide in electronic format the AHRQ_Combined \_Security

> Training slides.

**Number range CHAPTER** (12/06-DCM)

**(FAC 2005-15)**

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. 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

> (SEPT 2006)

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. (JULY 2006)

52.209-6 Protecting the Government\'s Interest When Subcontracting With
Contractors Debarred, Suspended, or Proposed for Debarment (SEPT 2006)

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)

52.215-18 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)

52.217-5 Evaluation of Options (JUL 1990)

52.217-8 Option to Extend Services (NOV 1999)

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

52.219-9 Small Business Subcontracting Plan (SEP 2006)

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. (SEPT 2006)

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. (SEPT 2006)

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 (APR 1984)

52.224-2 Privacy Act (APR 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)

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

52.232-17 Interest (JUNE 1996)

52.232-20 Limitation of Cost (APR 1984)

52.232-23 Assignment of Claims (JAN 1986)

52.232-25 Prompt Payment (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)

52.242-1 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. Title and Date

352.202-1 Definitions (JAN 2006)

> Alternate h

352.228-7 Insurance - Liability to Third Persons (DEC 2006)

352.232-9 Withholding of Contract Payments (JAN 2006)

352.233-70 Litigation and Claims (JAN 2006)

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

352.270-5 Key Personnel (JAN 2006)

352.270-6 Publication and Publicity (JAN 2006)

352.270-7 Paperwork Reduction Act (JAN 2006)

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

**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\. Past Performance Questionnaire and Contractor Performance Form 5

2\. Proposal Intent Form 1

3\. Breakdown of Proposed Estimated Cost and Labor Hours 2

4\. Performance Requirements Summary 10

5\. AHRQ Application and System Development Requirements 11

6\. HHS Web Standards 22

7\. AHRQ Linking Policy 1 11

8\. Web Accessibility Checklist 9

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

**Number range CHAPTERNumber range CHAPTER (FAC 2005-03)**

**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 2006)

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.1 REPRESENTATIONS AND INSTRUCTIONS HHSAR 315.204-5

\(a\) 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 2006) (FAR 52.204-8)

(b)(1) If the clause at 52.204-7, Central Contractor Registration, is
included in this solicitation, paragraph (c) 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.

\(c\) 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)

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. 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 ranking 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-selection 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 performance-based type contract resulting from this
> solicitation.
>
> It is anticipated that one (1) contract award will be made from this
> solicitation and that the award is estimated to be made effective
> September, 2007.

Number range CHAPTER**L.5 SINGLE OR MULTIPLE AWARDS (OCT 1995)(FAR
52.216-27)**

> The Government may elect to award a single contract or to award
> multiple contracts for the same or similar supplies or services to two
> or more sources under this solicitation.

**L.6 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.7 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 12:00 noon EST **June 14, 2007**. Number range
> CHAPTERAll questions should be e-mailed to Jessica Alderton at
> <Jessica.Alderton@ahrq.hhs.gov>. Number range CHAPTER

Number range CHAPTER**L.8 REFERENCE MATERIALS**

> Offerors are directed to
> [[www.cahps.ahrq.gov]{.underline}](http://www.cahps.ahrq.gov/) for
> detailed information about CAHPS products and its history. Information
> about Patient Safety can be found on the AHRQ webpage at
> [www.ahrq.gov](http://www.ahrq.gov/).

**L.9 GENERAL INSTRUCTIONS**

[Introduction]{.underline}

> The following instructions will establish the acceptable minimum
> requirements for the format and contents of proposals.
>
> a\. [Contract Type and General Provisions]{.underline}: Number range
> CHAPTERIt is contemplated that a cost-reimbursement 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.
>
> c\. [Separation of Technical, Past Performance Information, and
> Business Proposal]{.underline}: The proposal shall be in 4 separate
> parts. 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.10). Please mark as original or
> copy.

II. [PAST PERFORMANCE INFORMATION]{.underline}: See Past Performance
    Information Instructions for format (L.11)

III. [BUSINESS PROPOSAL]{.underline}: See Business Proposal Instructions
     for recommended format (L.13).

IV. [SMALL DISADVANTAGED BUSINESS PARTICIPATION PLAN]{.underline} See
    Small Disadvantaged Business Participation Plan Instructions for
    recommended format (L.12).

> 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.

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 Government Accountability
> Office (GAO) 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.10 TECHNICAL PROPOSAL INSTRUCTIONS**

> The technical proposal shall contain an original and ten (10) copies.
> The technical proposal described below shall be limited to **100
> pages** not including biographic sketches, with no less than a 11
> point font, double-spaced (lists of deliverables, person loading
> charts, and similar materials need not be double-spaced, so long as
> they are legible). Brief biographic sketches or CVs (less than ten
> pages in length) providing the relevant qualifications necessary for
> this effort are only required for key personnel. [The technical
> proposal shall not contain reference to cost]{.underline}; however
> resources information, such as data concerning labor hours and
> categories, labor mix, 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 these instructions. 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. Appendices are to be
> provided electronically in MS Office format on CD, in the same
> quantity as the technical 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. The cover page must also include the
DUNS and TIN as well as a point of contact and contact information. 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
    below (including their subcriteria). The offeror shall further state
    that no deviations or exceptions to the Statement of Work (SOW) are
    taken. The evaluation criteria (and their respective subcriteria)
    are as follows:

> **[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.]{.underline}**

**A. Understanding CAHPS and SOPS**

> Offerors shall submit a narrative that indicates their understanding
> of:
>
> ▪ CAHPS and SOPS products, implementation procedures, and databases,
>
> ▪ Knowledge of the audiences for CAHPS and SOPS products and how they
> use these products,
>
> ▪ The role of technical assistance in dissemination and adoption of
> CAHPS and SOPS products, and
>
> ▪ The environment within which CAHPS and SOPS-like data are currently
> used.

**B**. **Technical Approach**

> For **each** task or activity in the statement of work, the offeror
> shall demonstrate that they have the appropriate technical skill or
> ability to accomplish this work. These skills and abilities include
> but are not limited to: survey development and testing; use of
> quantitative and qualitative data collection techniques; development
> and maintenance of scientific databases; provision of technical
> assistance to product users with varying levels of knowledge about
> CAHPS and SOPS products; website design and maintenance; writing and
> editing of technical material for non-technical audiences; conference
> planning and management; collaborating with stakeholder organizations
> and individuals who may have opposing perspectives on the product or
> procedure in question; preparation of data-based reports, including
> literature reviews; social marketing; response to rapid-turnaround
> requests; preparation of meeting and conference minutes; obtain
> feedback from stakeholders and other users of CAHPS and SOPS products.
>
> **C. Key Personnel/Staff Experience**
>
> The offeror shall specify the project team, including subcontractors
> and consultants.

1.  The offeror shall provide evidence of the availability,
    qualifications, and demonstrated experience of key management
    personnel, including the Project Director, and Project Manager, if
    used. The Project Director should have, at a minimum, a Master's
    degree in a health and human services-related specialty and not less
    than ten (10) years total work experience which includes: 1) at
    least three (3) years in the SOW\'s specialty services field in
    progressively supervisory positions; and 2) demonstrated skills in
    organizing and monitoring complex projects conducted by groups of
    diverse professionals.

> The Project Manager, if used, should have, at a minimum, a Master's
> degree in a health and human services-related specialty and not less
> than eight (8) years total work experience which includes: 1) at least
> two (2) years in the specialty services field; 2) knowledge of public
> health systems issues; and 3) demonstrated skills in organizing and
> monitoring complex projects conducted by groups of diverse
> professionals.

a.  Describe how the education and technical experience of the Project
    Director, the Project Manager and other key technical personnel
    specifically relate to the SOW.

b.  Provide length and currency of the overall education of the Project
    Director, the Project Manager and other key technical personnel.

c.  Describe the experience of the proposed Project Director and the
    Project Manager in managing the SOW and complex projects that
    contain such elements as scheduling multiple off-site projects,
    providing logistics support for off-site projects and small
    meetings, information system development and management, report
    development and production, and quality control. This description
    shall include at a minimum the size of projects managed, start-up
    time required, number of projects managed, problems encountered, and
    the resolution of those problems. Describe those projects currently
    managed. Describe how the management experience of the proposed
    Project Director and the Project Manager equips them to manage a
    staff which reflects the diversity of the SOW.

d.  Describe the ability of the proposed Project Director and the
    Project Manager to address issues of cultural sensitivity as they
    relate to the SOW.

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2.  The offeror shall provide evidence of availability, qualifications,
    and demonstrated experience of key technical personnel. Personnel
    should possess the education, experience, and demonstrated skills to
    conduct the evaluation and update phases of the project. For
    example, special attention should be given to the credentials of the
    senior editor and consultant writers; their demonstrated abilities
    to elicit, collect, process, analyze, and evaluate highly technical
    and medical information in a group setting and quickly transfer that
    on-site to a comprehensive composition. In addition, the Senior
    Editor should have the demonstrated ability to 1) write and edit
    complex reports on health-related topics to government
    specifications; 2) recruit, train and supervise contract writers who
    can work with teams of experts; and 3) supervise the production
    process of both new topics and the revisions/updates of previously
    published topics.

    a.  Describe how the education and technical experience of the
        proposed technical personnel specifically relate to the SOW.

    b.  Provide length and currency of the overall education of the
        proposed technical personnel.

    c.  Describe the management experience of the technical personnel,
        if they are to serve as team leaders. Include a description of
        their experience in independent problem solving and conflict
        resolution, in facilitating groups in the analysis of large
        quantities of information, and in coordinating and editing the
        work of others in the production of extensive, complex reports.
        Describe those projects currently managed.

    d.  Describe the ability of the technical personnel to address
        issues of cultural sensitivity as they relate SOW.

**D.** **Management Plan**

> The offeror shall demonstrate a) their ability to achieve the delivery
> of performance requirements through the proposed use of corporate
> management and other personnel resources and b) how their
> organizational structure and capabilities will meet the project\'s
> milestones in a timely manner. In doing so, and at a minimum, the
> applicant shall:

1.  Demonstrate corporate experience in managing projects of a similar
    size and nature.

2.  Provide a fully supported narrative showing the offeror\'s
    understanding of the requirements in the Statement of Work from a
    managerial perspective. The narrative should at a minimum address
    the following topics:

    a.  labor skill mix determination (why you chose the skill mix for
        this project);

    b.  personnel selection and assignment (why you chose an individual
        person for an individual job);

    c.  the percentage of full time core personnel (if a ratio of less
        than 70 percent full time core staff to 30 percent
        consultants/subcontractors is proposed, the offeror shall
        provide a detailed explanation of how the proposed staffing plan
        ensures that the work is conducted by individuals with a mastery
        of the technical requirements of the Statement of Work.

    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. Clearly show proposed system for quality
        control of work performed including documents to be produced,
        and proposed system for management control and contract
        provision compliance;

    e.  managerial problems the offeror expects to encounter. Describe
        the methods you propose to solve these problems. Demonstrate
        ability and flexibility to rapidly solve the same or similar
        managerial problems encountered previously;

    f.  ability and flexibility to respond rapidly to changes in budget,
        priorities, and schedule.

3.  Indicate clear lines of authority and delineation of staff
    responsibilities.

4.  Describe the number of person hours for each task and for service
    delivery.

5.  In concurrence with paragraphs three and four above, provide an
    organizational chart and a Program Evaluation Review Technique
    (PERT) chart showing all tasks (staffing plan).

6.  Describe coordination with proposed subcontractors, including
    monitoring of their performance.

7.  Provide a signed agreement, e.g., a letter of commitment, between
    the offeror and any personnel other than current direct employees
    that includes dates of employment and specific tasks to be
    performed.

**L.11 PAST PERFORMANCE** **INFORMATION**

> Offerors shall submit the following information (original and 3
> 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
(most relevant or most related) during the past three years and all
contracts and subcontracts currently in process. Reference contracts and
subcontracts completed during the past three years and include recently
completed and ongoing work directly related to the requirements of this
acquisition. 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: Contract work
>
> 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 shall be completed by those organizations listed in (1) above.
> The evaluation forms shall be completed and forwarded directly to:
>
> Jessica Alderton
>
> 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 the date and
time listed 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.12 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 \$550,000 (\$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 in original and 2 copies.

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.13 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:
>
> 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 the attachment. The offeror's own format may be
utilized, but all required information in the attachment shall be
provided.*]{.underline}

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. Subcontract cost detail should be similar to the level of
> detail provided for the prime contractor, with the same cost elements.
> 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.

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 a model subcontracting plan is available at
> <http://www.knownet.hhs.gov/smallbus/sb-subplan-hhs.pdf> . 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 20% for
    Small Businesses, which shall included at least 5.5% (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]{.underline}

> [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]{.underline}: Section K,
\"Representations and Certifications and Other Statements of Offerors\"
shall be completed and signed by an official authorized to bind your
organization. **Section K shall be made a part of the original business
proposal.**

**L.14 SELECTION OF OFFERORS**

a\. The acceptability of the technical portion of each contract proposal
will be evaluated by a 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 limited cost review, management analysis, etc.

c\. Number range CHAPTERPast performance of the technically acceptable
offerors will be evaluated by AHRQ staff. A competitive range will be
determined. The competitive range will consist of those offers which are
highly rated, based upon the technical and past performance evaluation.
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, and contractual terms and conditions. Final Proposal
Revisions may be requested with the reservation of the right to conduct
limited negotiations after submission of Final Proposal Revisions.

> A cost realism analysis to determine the cost of performance of each
> offeror cannot be made for the base contract award. The base contract
> award will be awarded with no dollars, individual task orders will
> reflect the value of the specific work to be performed. Each task
> order will be negotiated on the basis of the work to be performed and
> the costs proposed. The proposed costs will include specific personnel
> and the corresponding rate within the Labor Category Hourly Rate
> Range. The proposed costs for a particular task order may also include
> specific other direct costs, as necessary for performance of the task
> (i.e. travel, consultants, and consumables). These will be reviewed
> and negotiated on an as needed basis.

d\. A final best-value 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.15 PROPOSAL INTENT/ APPROVAL FOR CONTACT
INFORMATION FOR BIDDERS LIST**

> It is requested that if an offeror intends to submit a proposal to
> this solicitation that the attached Proposal Intent Form be completed
> and returned to the address indicated by the date indicated. 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, as part of an amendment to the
> solicitation. 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 the evaluation criteria and
award will be made to that responsible offeror whose proposal is most
advantageous to the Government. Evaluation Criteria 1 through 4 will be
evaluated by a peer review technical committee that will also recommend
technical acceptability or unacceptability of the proposal. Offerors
that submit technically acceptable proposals will then be evaluated for
past performance and 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. While the scientific
technical merit of the proposals will receive paramount consideration in
the selection of the Contractor for this acquisition, the Government may
also consider other factors in source selection.

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]{.underline}**

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
1 through 4 (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 criterion below are referenced in the corresponding
criteria found in Section L of this solicitation.

***OFFERORS PLEASE NOTE:*** Evaluation Criteria 1 through 4, for a total
of 100 points, will be evaluated by a peer review technical committee
that will also recommend technical acceptability or unacceptability of
the proposal. Program staff and contracting personnel will review and
evaluate Criteria 5 and 6 for a total of 25 points. The total possible
points for Evaluation Criteria 1 through 6 is 125 points.

[EVALUATION CRITERIA]{.underline} [WEIGHT]{.underline}

1\. [Understanding CAHPS and SOPS]{.underline} 15

> The offeror will be evaluated on understanding of the current
> environment regarding consumer assessment of health care services; the
> current environment regarding patient safety and medical error;
> provision of technical assistance in these areas; and knowledge of the
> audiences who use CAHPS and SOPS products.

2\. [Technical Approach]{.underline} 30

> The offeror will be evaluated on the extent to which they possess the
> necessary technical skills required to perform all tasks, objectives
> and activities described in this RFP. The offeror shall demonstrate
> the skills and abilities to survey development and testing; use of
> quantitative and qualitative data collection techniques; development
> and maintenance of scientific databases; provision of technical
> assistance to product users with varying levels of knowledge about
> CAHPS and SOPS products; website design and maintenance; writing and
> editing of technical material for non-technical audiences; conference
> planning and management; collaborating with stakeholder organizations
> and individuals who may have opposing perspectives on the product or
> procedure in question; preparation of data-based reports, including
> literature reviews; social marketing; response to rapid-turnaround
> requests; preparation of meeting and conference minutes; obtain
> feedback from stakeholders and other users of CAHPS and SOPS products.

3\. [Staff Experience/Key Personnel]{.underline} 30

> The offeror will be evaluated on their ability to demonstrate
> appropriate and relevant experience of proposed staff to perform the
> work outlined in the RFP. The offeror shall demonstrate how the
> education and technical experience of the Project Director, the
> Project Manager and other key technical personnel specifically relate
> to the SOW. The offeror shall provide evidence of availability,
> qualifications, and demonstrated experience of key technical
> personnel. The offeror shall demonstrate that the personnel possess
> the education, experience, and demonstrated skills to conduct the
> evaluation and update phases of the project.

4\. [Management Plan]{.underline} 25

> The offeror will be evaluated on their ability to describe an
> effective plan to manage this complex, multi-faceted project within
> budget and according to agreed-upon deadlines. The offeror shall
> demonstrate a) their ability to achieve the delivery of performance
> requirements through the proposed use of corporate management and
> other personnel resources and b) how their organizational structure
> and capabilities will meet the project\'s milestones in a timely
> manner.
>
> **TOTAL POINTS BEFORE PAST PERFORMANCE [100]{.underline}**

5\. [Past Performance]{.underline} 20

> Offerors will be evaluated on their past performance (since January 1,
> 2003). Completed questionnaires will provide a basis for determining
> past performance evaluation as well as information obtained from the
> references listed in the proposal, other customers known to the
> Government, consumer protection organizations, and others who may have
> useful and relevant information. Information will also be considered
> regarding any significant subcontractors and key personnel records.
>
> The offerors past performance will be evaluated on the basis of the
> following factors:
>
> **a. Quality**
>
> How well has the offeror conformed to the performance standard in
> providing the services or achieving the stated objective(s) of
> contracts or grants? Quality will be evaluated by the personnel
> provided, the level of effort agreed to in the contract statement of
> work or grant, quality of final products (e.g., findings, tools),
> implementation activities, dissemination and activities that promote
> turning research into action (i.e. promoting uptake of innovation).
>
> **b. Timeliness**
>
> How well has the offeror adhered to timetables and delivery schedules
> in providing the required services or products? Consideration is given
> to the offeror's efforts to recommend and/or take corrective actions
> to keep work on schedule.
>
> **c. Business Relations/ Customer satisfaction**
>
> The offeror will be rated on professional and cooperative behavior
> with the client.

d.  **Cost control**

> The offeror will be rated on the ability to set reasonable budgets
> within contracting or grant guidelines and adhere to them in
> conducting research.
>
> Assessment of the offeror=s past performance will be one means of
> evaluating the credibility of the offeror=s proposal, and relative
> capability to meet performance requirements.
>
> Evaluation of past performance will often be quite subjective based on
> 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 consistently
> demonstrated a commitment to customer satisfaction and timely delivery
> of services and quality products at fair and reasonable prices.
>
> The assessment of the offeror=s past performance will be used as a
> means of evaluating the relative capability of the offeror and the
> other competitors. Thus, an offeror with an exceptional record of past
> performance may receive a more favorable evaluation than another whose
> record is acceptable, even though both may have acceptable technical
> proposals.
>
> By past performance, the Government means the offeror=s record of
> conforming to specifications and to standards of good workmanship; the
> offeror's record of forecasting and controlling costs; the offeror=s
> adherence to contract schedules, including the administrative aspects
> of performance; the offeror=s reputation for reasonable and
> cooperative behavior and commitment to customer satisfaction; and
> generally, the offeror=s business-like concern for the interest of the
> customer.
>
> The Government will consider the number or severity of an offeror=s
> problems, the effectiveness of corrective actions taken, the offeror=s
> overall work record, and the age and relevance of past performance
> information.
>
> 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.
>
> The Government reserves the right to evaluate relevant past
> performance information not specifically provided by the offeror.
>
> 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.
>
> [NOTICE: Past Performance questionnaires are to be provided to the
> Contracts Office NO LATER than the closing date and time for receipt
> of proposals. It is the offeror's responsibility to ensure that these
> documents are forwarded to the Contract Office (FAX
> 301-427-1740)]{.underline}

6\. [Small Disadvantaged Business Participation Plan]{.underline} 5

The evaluation will be abased on information obtained from the plan
provided by the offeror, the realism of the proposal and other relevant
information obtained from the named SDB concerns, and any other
information supplies by the offeror concerning problems encountered in
SDB participation.

Evaluation of the SDB Participation Plan will be a subjective assessment
based on 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 Participating Plan will be used as a
means of evaluating the relative capacity 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**

**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-07-10024, entitled "User Network Project for CAHPS and Patient
Safety." 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
Jessica Alderton, 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 **July 2, 2007, 12 noon EST**. If you have any questions,
please contact Jessica Alderton at via e-mail
<Jessica.Alderton@ahrq.hhs.gov>.

Jessica Alderton

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 (
)FP-EPA

( ) 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 |
|                  |                                               |   |
|                  |                                               | 3 |
|                  |                                               |   |
|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Cost             | Comments                                      | 0 |
|                  |                                               |   |
| Control          |                                               | 1 |
|                  |                                               |   |
|                  |                                               | 2 |
|                  |                                               |   |
|                  |                                               | 3 |
|                  |                                               |   |
|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Timeliness of    | Comments                                      | 0 |
|                  |                                               |   |
| Performance      |                                               | 1 |
|                  |                                               |   |
|                  |                                               | 2 |
|                  |                                               |   |
|                  |                                               | 3 |
|                  |                                               |   |
|                  |                                               | 4 |
|                  |                                               |   |
|                  |                                               | 5 |
+------------------+-----------------------------------------------+---+
| Business         | Comments                                      | 0 |
| Relations        |                                               |   |
|                  |                                               | 1 |
|                  |                                               |   |
|                  |                                               | 2 |
|                  |                                               |   |
|                  |                                               | 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:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**(Please Print)**

**TITLE OF EVALUATOR:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**SIGNATURE OF
EVALUATOR:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**DATE:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**MAILING ADDRESS:** **Include name of organization/ federal agency**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PHONE
#:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**E-MAIL
:**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**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."

> Number range CHAPTER**ATTACHMENT 2**
>
> ***PROPOSAL INTENT RESPONSE SHEET***
>
> **[RFP No. AHRQ-07-10024]{.underline}**
>
> **Please review the attached request for proposal. Furnish the
> information requested below and return this page by June 14, 2007.
> 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
> TEAMING/SUBCONTRACING OPPORTUNITIES. (\*MUST INCLUDE AUTHORIZED
> SIGNATURE)**
>
> **COMPANY/INSTITUTION NAME & ADDRESS:**
>
> **\*AUTHORIZED SIGNATURE:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **TYPED/PRINT NAME AND TITLE:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **DATE: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **\[ \] PLEASE [DO NOT]{.underline} RELEASE THE CONTACT INFORMATION.**
>
> **Please return to: Jessica Alderton**
>
> **Agency for Healthcare Research and Quality**
>
> **Contracts Management**
>
> **540 Gaither Road**
>
> **Rockville, Maryland 20850**

**Attachment 3**

>  

Number range CHAPTER**[BREAKDOWN OF PROPOSED ESTIMATED COST (PLUS FEE)
AND LABOR HOURS]{.underline}**

**[INSTRUCTIONS FOR USE OF THE FORMAT]{.underline}**

**1. Refer to Business Proposal Instructions, Section L of this
solicitation. The Instructions contain the requirements for proper
submission of cost/price data which must be adhered to.**

**2. This sample format has been prepared as a universal guideline for
all solicitations. It may require amending to meet the specific
requirements of this solicitation. For example, this solicitation may
require the submission of cost/price data for three years listed on this
form. (See Section L, Instructions, Conditions and Notices to Offerors,
for the estimated duration of this project.) If this solicitation is
phased, identify each phase in addition to each year. Total each year,
phase, and sub-element.**

**3. This format must be used to submit the breakdown of all proposed
estimated cost elements. List each cost element and sub-element for
direct costs, indirect costs and fee, if applicable. In addition,
provide detailed calculations for all items. For example:**

> **a. For all personnel, list the name, title, rate per hour and number
> of hours proposed. If a pool of personnel is proposed, list the
> composition of the pool and how the cost proposed was calculated. List
> the factor used for prorating Year One and the escalation rate applied
> between years.**
>
> **Offeror\'s proposal should be stated in the same terms as will be
> used to account for and record direct labor under a contract (i.e.
> percentage of effort is used for most faculty and professional
> employees at educational institutions). If percentages of effort are
> used, the basis to which such percentages are applied
> [must]{.underline} also be submitted by the offeror. The attached
> format should be revised to accommodate direct labor proposed as a
> percentage of effort.**
>
> **b. For all materials, supplies, and other direct costs, list all
> unit prices, etc., to detail how the calculations were made.**
>
> **c. For all indirect costs, list the rates applied and the base the
> rate is applied to.**
>
> **d. For all travel, list the specifics for each trip.**
>
> **e. For any subcontract proposed, submit a separate breakdown
> format.**
>
> **f. Justification for the need of some cost elements may be listed as
> an attachment, i.e., special equipment, above average consultant fees,
> etc.**

**4. If the Government has provided \"uniform pricing assumptions\" for
this solicitation, the offeror must comply with and identify each
item.**

**RFP Number:**

**Organization:**

**Date:**

**[BREAKDOWN OF PROPOSED ESTIMATED COST (PLUS FEE) AND LABOR
HOURS]{.underline}**

**Option Option**

**[COST ELEMENT]{.underline} [Year 1 Year 2 Year 3 Year 1 Year 2
Total]{.underline}**

**[DIRECT LABOR:]{.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}**

**(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 & AWARD FEES]{.underline}:**

**(if applicable)**

**% of Total Est. Cost \$ \$ \$ \$ \$ \$**

**[GRAND TOTAL EST COST]{.underline} \$ \$ \$ \$ \$ \$**

**Performance Requirements Summary Attachment 4**

+------------+-------------------------------------------+------------+
| **P        | **Key Performance Standards**             | **Su       |
| erformance |                                           | rveillance |
| Factor**   |                                           | Methods**  |
+============+===========================================+============+
| **1.       | a\. Contractor provides efficient and     | Review of  |
| Support    | effective technical and logistical        | de         |
| the        | support for conference calls of PI/PO     | liverables |
| d          | Team.                                     | by AHRQ    |
| evelopment |                                           | Project    |
| and        | b\. Contractor provides efficient and     | Officer    |
| m          | effective technical and logistical        | (PO) and   |
| aintenance | support for conference calls of           | other      |
| of CAHPS   | Instrument Specific Teams. This includes  | Government |
| and SOPS   | the CAHPS surveys listed on pp. 5-6 of    | staff.     |
| products   | the SOW.                                  |            |
| (          |                                           | Feedback   |
| cont'd).** | c\. Contractor provides efficient and     | from       |
|            | effective technical and logistical        | users.     |
| **1.       | support for cross grantee coordination of |            |
| Support    | QI Team.                                  | Review of  |
| the        |                                           | de         |
| d          | d\. Contractor provides efficient and     | liverables |
| evelopment | effective technical and logistical        | by AHRQ PO |
| and        | support for conference calls of Reports   | and other  |
| m          | Team.                                     | Government |
| aintenance |                                           | staff.     |
| of CAHPS   | e\. Contractor provides efficient and     |            |
| and SOPS   | effective technical and logistical        | Feedback   |
| products   | support for conference calls of           | from       |
| (          | Instrument Team.                          | users.     |
| cont'd).** |                                           |            |
|            | f\. Contractor provides efficient and     |            |
|            | effective technical and logistical        |            |
|            | support for conference calls of Cultural  |            |
|            | Comparability and Competence Team.        |            |
|            |                                           |            |
|            | (Support for the above is described on p. |            |
|            | 4 of the SOW. In addition, conference     |            |
|            | call notes are submitted on a timely      |            |
|            | basis, in accordance with Schedule of     |            |
|            | Deliverables.                             |            |
|            |                                           |            |
|            | g\. Contractor provides efficient and     |            |
|            | effective technical and logistical        |            |
|            | support for annual in-person SOPS         |            |
|            | meeting.                                  |            |
|            |                                           |            |
|            | h\. Contractor provides effective         |            |
|            | maintenance of the CAHPS extranet site,   |            |
|            | as described on p. 4 of the SOW.          |            |
|            |                                           |            |
|            | i\. Report evaluating effectiveness of    |            |
|            | CAHPS extranet site is clear, complete    |            |
|            | and useful; and is submitted on a timely  |            |
|            | basis, in accordance with Schedule of     |            |
|            | Deliverables.                             |            |
|            |                                           |            |
|            | i\. Contractor provides effective         |            |
|            | QI-specific support. This includes:       |            |
|            |                                           |            |
|            | \(1\) Conducting literature reviews on QI |            |
|            | topics that are clear, complete and       |            |
|            | useful. Literature reviews are conducted  |            |
|            | on a timely basis, in accordance with     |            |
|            | Schedule of Deliverables.                 |            |
|            |                                           |            |
|            | \(2\) Contacting QI researchers to obtain |            |
|            | early results, best practices or lessons  |            |
|            | learned before they are published.        |            |
|            |                                           |            |
|            | \(3\) Preparing materials to support QI   |            |
|            | efforts, e.g., qualitative interview      |            |
|            | guides, brief questionnaires to obtain    |            |
|            | information on the focal issue, and       |            |
|            | reports of QI projects.                   |            |
|            |                                           |            |
|            | \(4\) Developing time-lines for QI        |            |
|            | projects and assisting PO in monitoring   |            |
|            | completion of individual tasks. Timelines |            |
|            | are submitted on a timely basis, in       |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | j\. Contractor provides effective         |            |
|            | reporting-specific support. This          |            |
|            | includes:                                 |            |
|            |                                           |            |
|            | \(1\) Contacting researchers to identify  |            |
|            | early research results or preliminary     |            |
|            | data from research studies, best          |            |
|            | practices or lessons learned before they  |            |
|            | are published.                            |            |
|            |                                           |            |
|            | \(2\) Preparing materials to support      |            |
|            | reporting efforts.                        |            |
|            |                                           |            |
|            | \(3\) Developing time-lines for reporting |            |
|            | projects and assisting PO in monitoring   |            |
|            | completion of individual tasks. Timelines |            |
|            | are submitted on a timely basis, in       |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | \(4\) Assisting grantees in reviewing and |            |
|            | summarizing existing research; and in     |            |
|            | reporting quality information to          |            |
|            | consumers, patients, providers and other  |            |
|            | audiences to determine priority topics    |            |
|            | for reporting research.                   |            |
+------------+-------------------------------------------+------------+
| **2.       | a\. Contractor develops plan for          | Review of  |
| Provide    | technical assistance (TA) that is clear,  | de         |
| assistance | complete and useful in describing needs   | liverables |
| to CAHPS   | and specific types of TA to be provided   | by AHRQ PO |
| and SOPS   | for users of CAHPS and SOPS products.     | and other  |
| product    | Plan includes activities, schedules and   | Government |
| users.**   | responsibilities for TA such as: (1)      | staff.     |
|            | clarification and explanation regarding   |            |
| **2.       | all CAHPS and SOPS products; (2)          | Feedback   |
| Provide    | preparation of survey, reporting and QI   | from       |
| assistance | kits; (3) updating of the                 | users.     |
| to CAHPS   | *TalkingQuality* Web site and *Report     |            |
| and SOPS   | Card Compendium*; (4) and securing        | Review of  |
| product    | feedback from users. Plan effectively     | de         |
| users      | reflects TA currently provided by public  | liverables |
| (          | and private organizations and associated  | by AHRQ PO |
| cont'd).** | gaps.                                     | and other  |
|            |                                           | Government |
| **2.       | b\. Plan for technical assistance is      | staff.     |
| Provide    | submitted on a timely basis, in           |            |
| assistance | accordance with Schedule of Deliverables. | Feedback   |
| to CAHPS   |                                           | from       |
| and SOPS   | c\. Contractor provides a fully           | users.     |
| product    | operational toll free help line and       |            |
| users      | e-mail address to receive requests and    | Review of  |
| (          | provide assistance. Contractor provides   | de         |
| cont'd).** | current and complete directory of         | liverables |
|            | available resources for providing more    | by AHRQ PO |
|            | in-depth TA.                              | and other  |
|            |                                           | Government |
|            | d\. TA provided by Contractor related to  | staff.     |
|            | clarification and explanation of CAHPS    |            |
|            | and SOPS products is timely, responsive   | Feedback   |
|            | and useful to requestors. TA effectively  | from       |
|            | encompasses the full range of subjects as | users.     |
|            | described on p. 9 of the SOW.             |            |
|            |                                           |            |
|            | e\. Contractor effectively works with     |            |
|            | AHRQ CAHPS staff and CAPHS grantees to    |            |
|            | plan and develop the next version of      |            |
|            | CAHPS survey, reporting and QI kits.      |            |
|            |                                           |            |
|            | f\. CAHPS survey, reporting and QI kits   |            |
|            | are clear, accurate, complete, and useful |            |
|            | to users. Kits effectively provide and    |            |
|            | assist users in understanding and using   |            |
|            | up-to-date information about survey       |            |
|            | content, formatting, implementation       |            |
|            | procedures, sampling, software for data   |            |
|            | analysis, and instructions for reporting  |            |
|            | and conducting quality improvement        |            |
|            | strategies.                               |            |
|            |                                           |            |
|            | g\. CAHPS survey, reporting and QI kits   |            |
|            | are submitted on a timely basis, in       |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | h\. Contractor effectively works with     |            |
|            | AHRQ SOPS staff and SOPS grantees to plan |            |
|            | and develop the next version of SOPS      |            |
|            | survey, reporting and QI kits.            |            |
|            |                                           |            |
|            | i\. SOPS survey, reporting and QI kits    |            |
|            | are clear, accurate, complete, and useful |            |
|            | to users. Kits effectively provide and    |            |
|            | assist users in understanding             |            |
|            |                                           |            |
|            | up-to-date information about survey       |            |
|            | content, formatting, implementation       |            |
|            | procedures, sampling, software for data   |            |
|            | analysis, and instructions for reporting. |            |
|            |                                           |            |
|            | j\. SOPS survey, reporting and QI kits    |            |
|            | are submitted on a timely basis, in       |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | k\. Contractor effectively updates        |            |
|            | content of *TalkingQuality* Web site each |            |
|            | year, such that Web site provides         |            |
|            | information that is clear, current, easy  |            |
|            | to access, and useful to CAHPS users.     |            |
|            |                                           |            |
|            | l\. Contractor effectively updates        |            |
|            | content of *Report Card Compendium* each  |            |
|            | year, such that Compendium provides       |            |
|            | information that is clear, current, easy  |            |
|            | to access, and useful to CAHPS users.     |            |
|            |                                           |            |
|            | m\. Contractor plans and conducts an      |            |
|            | effective mail survey to obtain feedback  |            |
|            | of users of TA. Effectiveness is measured |            |
|            | by clarity and relevance of survey        |            |
|            | questions, and clarity and usefulness of  |            |
|            | report on survey results on user views of |            |
|            | TA. Contractor effectively incorporates   |            |
|            | additional feedback from Web site users   |            |
|            | in plan and report of TA feedback.        |            |
|            |                                           |            |
|            | n\. Plan for obtaining user feedback and  |            |
|            | report on user feedback are submitted on  |            |
|            | a timely basis, in accordance with        |            |
|            | Schedule of Deliverables.                 |            |
|            |                                           |            |
|            | o\. Monthly report on TA is clear,        |            |
|            | concise and useful in describing the      |            |
|            | types of TA provided, any problems in     |            |
|            | delivering TA, and any proposed changes   |            |
|            | in TA activities. Monthly report on TA is |            |
|            | submitted on a timely basis, in           |            |
|            | accordance with Schedule of Deliverables. |            |
+------------+-------------------------------------------+------------+
| **3.       | a\. a. Contractor develops plan for       | Review of  |
| Promote    | disseminating and promoting CAHPS and     | de         |
| the        | SOPS products that is clear, complete and | liverables |
| adoption   | useful in describing how products will be | by AHRQ PO |
| and use of | disseminated and promoted. Plan includes  | and other  |
| CAHPS      | activities, schedules and                 | Government |
| products   | responsibilities for approaches such as:  | staff.     |
| and SOPS   | (1) developing reporting information for  |            |
| surveys.** | CAHPS kits; (2) identifying audiences for | Feedback   |
|            | these products; and (3) identifying       | from       |
| **3.       | events where target audience members are  | users.     |
| Promote    | likely to be.                             |            |
| the        |                                           | Review of  |
| adoption   | b\. Plan for disseminating and promoting  | de         |
| and use of | CAHPS and SOPS products is completed on a | liverables |
| CAHPS      | timely basis, in accordance with Schedule | by AHRQ PO |
| products   | of Deliverables.                          | and other  |
| and SOPS   |                                           | Government |
| surveys    | c\. c. Contractor effectively maintains   | staff.     |
| (          | and updates CAHPS/SOPS List Serv, such    |            |
| cont'd).** | that member contact information is        | Feedback   |
|            | current and complete, information is      | from       |
|            | readily distributed to members, and List  | users.     |
|            | Serv is operational 24/7.                 |            |
|            |                                           |            |
|            | d\. d. Contractor effectively develops    |            |
|            | and disseminates quarterly *CAHPS         |            |
|            | Connections*, such that publication is    |            |
|            | clear, current and useful; and            |            |
|            | disseminated to appropriate audiences.    |            |
|            |                                           |            |
|            | e\. e. Contractor effectively operates    |            |
|            | and maintains CAHPS Web site such that    |            |
|            | content is well-organized, clear,         |            |
|            | complete, useful and easily accessible by |            |
|            | users and potential users.                |            |
|            |                                           |            |
|            | f\. f. Contractor effectively operates    |            |
|            | and maintains SOPS Web site such that     |            |
|            | content is well-organized, clear,         |            |
|            | complete, useful, and easily accessible   |            |
|            | by users and potential users.             |            |
|            |                                           |            |
|            | g\. g. Contractor conducts on-line        |            |
|            | workshops for users that are efficient    |            |
|            | and effective in conveying selected       |            |
|            | information on CAHPS and SOPS products.   |            |
|            | Workshops demonstrate efficient and       |            |
|            | state-of-the-art techniques for computer  |            |
|            | networking and teleconferencing.          |            |
|            |                                           |            |
|            | h\. Agenda and presentation materials for |            |
|            | on-line workshops are completed on a      |            |
|            | timely basis, in accordance with Schedule |            |
|            | of Deliverables.                          |            |
+------------+-------------------------------------------+------------+
| **4.**     | a\. Strategic plan for CAHPS and SOPS     | Review of  |
| **Develop  | database products and services is clear,  | de         |
| and        | complete and useful in conveying (1)      | liverables |
| maintain   | specific needs and users for the products | by AHRQ PO |
| new CAHPS  | and services; (2) availability of needed  | and other  |
| and SOPS   | products and services in public and       | Government |
| da         | private organizations and gaps; (3)       | staff.     |
| tabases.** | specific types of products and services   |            |
|            | to be developed and provided; and (4)     | Feedback   |
| **4.**     | priorities and time frame for developing  | from       |
| **Develop  | and providing the products and services.  | users.     |
| and        |                                           |            |
| maintain   | b\. Strategic plan for CAHPS and SOPS     | Review of  |
| new CAHPS  | database products and services is         | de         |
| and SOPS   | submitted on a timely basis, in           | liverables |
| databases  | accordance with Schedule of Deliverables. | by AHRQ PO |
| (          |                                           | and other  |
| cont'd).** | c\. Contractor effectively maintains      | Government |
|            | existing databases such that (1)          | staff.     |
| **4.**     | databases are current, accurate, and      |            |
| **Develop  | complete; (2) all data files, software,   | Feedback   |
| and        | reports and other documentation are       | from       |
| maintain   | maintained in a secure, up-to-date, and   | users.     |
| new CAHPS  | efficient manner; and (3) periodic        |            |
| and SOPS   | back-ups are performed. (Databases        | Review of  |
| databases  | include those for CAHPS Health Plan       | de         |
| (          | Survey, CAHPS Hospital Survey, and        | liverables |
| cont'd).** | Hospital Survey on Patient Safety Culture | by AHRQ PO |
|            | (HSOPS).                                  | and other  |
|            |                                           | Government |
|            | d\. Contractor effectively develops new   | staff.     |
|            | databases such that (1) databases         |            |
|            | correspond to existing CAHPS and SOPS     | Feedback   |
|            | databases; and (2) are current, accurate, | from       |
|            | complete, responsive to user needs, and   | users.     |
|            | designed to operate efficiently. (This    |            |
|            | includes databases for the CAHPS Survey   |            |
|            | for Clinicians and Group Practices,       |            |
|            | Medical Office Survey on Patient Safety   |            |
|            | Culture, and Nursing Home Survey on       |            |
|            | Patient Safety Culture.                   |            |
|            |                                           |            |
|            | e\. Contractor effectively recruits       |            |
|            | sponsors to submit data for the CAHPS and |            |
|            | SOPS databases, such that required data   |            |
|            | is submitted in an accurate, complete and |            |
|            | timely manner.                            |            |
|            |                                           |            |
|            | f\. Contractor effectively cleans and     |            |
|            | prepares data for inclusion in the        |            |
|            | databases. This includes effectively      |            |
|            | organizing and preparing data provided by |            |
|            | sponsors using different software         |            |
|            | programs for creating the data sets, and  |            |
|            | using different standards to be           |            |
|            | compatible with CAHPS and SOPS structures |            |
|            | and standards.                            |            |
|            |                                           |            |
|            | g\. Contractor effectively provides       |            |
|            | access to data for qualified users, such  |            |
|            | that: (1) only approved (qualified) users |            |
|            | are granted access; and (2) qualified     |            |
|            | user requests are fulfilled in an         |            |
|            | accurate, complete and timely manner.     |            |
|            |                                           |            |
|            | h\. Contractor effectively provides data  |            |
|            | needed for the National Healthcare        |            |
|            | Quality Report (NHQR) and National        |            |
|            | Healthcare Disparities Report (NHDR),     |            |
|            | such that the required data are provided  |            |
|            | in an accurate, current, complete and     |            |
|            | timely manner, consistent with the        |            |
|            | Schedule of Deliverables.                 |            |
|            |                                           |            |
|            | i\. Contractor provides useful technical  |            |
|            | assistance to NHQR/NHDR staff in          |            |
|            | analyzing CAHPS and SOPS data (e.g.,      |            |
|            | analyses to assess reliability of CAHPS   |            |
|            | and SOPS data, or the extent to which     |            |
|            | data represent different populations and  |            |
|            | payer).                                   |            |
|            |                                           |            |
|            | j\. Contractor effectively provides       |            |
|            | electronic reports for sponsors of CAHPS  |            |
|            | and SOPS who submit data, such that       |            |
|            | reports are provided in an accurate,      |            |
|            | complete, easy to understand, and timely  |            |
|            | manner, consistent with the Schedule of   |            |
|            | Deliverables.                             |            |
|            |                                           |            |
|            | k\. Contractor provides an annual report  |            |
|            | for each CAHPS and SOPS database that     |            |
|            | summarizes the data available. Reports    |            |
|            | are clear, accurate, current complete and |            |
|            | useful to the range of users in conveying |            |
|            | relevant information from each database.  |            |
|            | Reports are submitted on a timely basis,  |            |
|            | in accordance with Schedule of            |            |
|            | Deliverables.                             |            |
|            |                                           |            |
|            | l\. Feasibility report exploring          |            |
|            | potential methodological improvements to  |            |
|            | the CAHPS databases that would support    |            |
|            | improved future reporting of state-based  |            |
|            | data on CAHPS is clear, complete and      |            |
|            | useful.                                   |            |
|            |                                           |            |
|            | k\. Feasibility report on methodological  |            |
|            | improvements to the CAHPS databases is    |            |
|            | submitted on a timely basis, in           |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | l\. Contractor plans and conducts an      |            |
|            | effective survey or other mechanism to    |            |
|            | obtain feedback of users of CAPHS and     |            |
|            | SOPS databases. Effectiveness is measured |            |
|            | by clarity and relevance of feedback      |            |
|            | questions, and clarity and usefulness of  |            |
|            | report on results on user views of        |            |
|            | databases.                                |            |
|            |                                           |            |
|            | m\. Plan for obtaining feedback and       |            |
|            | report on user feedback on databases are  |            |
|            | submitted on a timely basis, in           |            |
|            | accordance with Schedule of Deliverables  |            |
+------------+-------------------------------------------+------------+
| **5.       | a\. Contractor provides efficient and     | Review of  |
| Provide    | effective technical and logistical        | de         |
| technical  | support for CAHPS/SOPS User Network       | liverables |
| and        | meetings.                                 | by AHRQ PO |
| conference |                                           | and other  |
| support    | b\. Contractor provides efficient and     | Government |
| for        | effective technical and logistical        | staff.     |
| m          | support for Steering Committee meetings.  |            |
| eetings.** |                                           | Feedback   |
|            | c\. Contractor provides efficient and     | from       |
| **5.       | effective technical and logistical        | users.     |
| Provide    | support for Grantee Advisory Committee    |            |
| technical  | meetings.                                 | Review of  |
| and        |                                           | de         |
| conference | d\. Contractor provides efficient and     | liverables |
| support    | effective technical and logistical        | by AHRQ PO |
| for        | support for CAHPS/SOPS Advisory Committee | and other  |
| meetings   | meetings.                                 | Government |
| (          |                                           | staff.     |
| cont'd).** | e\. Contractor provides efficient and     |            |
|            | effective technical and logistical        | Feedback   |
|            | support for annual Database Technical     | from       |
|            | Advisory Panel (TAP) meetings.            | users.     |
|            |                                           |            |
|            | f\. Contractor provides agenda,           |            |
|            | background materials and summary reports  |            |
|            | for above meetings on a timely basis, in  |            |
|            | accordance with Schedule of Deliverables. |            |
|            |                                           |            |
|            | (Support for above meetings includes: (1) |            |
|            | preparation of meeting agendas and        |            |
|            | supporting materials; (2) logistical and  |            |
|            | administrative support, including         |            |
|            | reserving meeting and hotel               |            |
|            | accommodations, notifying participants,   |            |
|            | providing registration and scheduling use |            |
|            | of equipment; and (3) technical support   |            |
|            | including, as required, preparing         |            |
|            | background papers, arranging for speakers |            |
|            | and producing summaries of meetings.)     |            |
+------------+-------------------------------------------+------------+
| **6.       | a\. Literature searches conducted by      | Review of  |
| Provide    | Contractor are clear, thorough, and       | de         |
| support to | effective in identifying appropriate      | liverables |
| AHRQ CAHPS | documents related to consumer assessment, | by AHRQ PO |
| and SOPS   | safety culture and reporting.             | and other  |
| staff.**   |                                           | Government |
|            | b\. Literature searches are completed on  | staff.     |
| **6.       | a timely basis, in accordance with        |            |
| Provide    | Schedule of Deliverables.                 | Feedback   |
| support to |                                           | from       |
| AHRQ CAHPS | c\. Contractor maintains content of       | users.     |
| and SOPS   | *TalkingQulaity*.com Web site that is     |            |
| staff      | clear, current, complete and easy to      | Review of  |
| (          | access. Contractor effectively            | de         |
| cont'd).** | coordinates with grantees in obtaining    | liverables |
|            | and selecting relevant input for site.    | by AHRQ PO |
|            |                                           | and other  |
|            | d\. Contractor maintains content of       | Government |
|            | *ReportCardCompendium* on CAHPS Web site  | staff.     |
|            | that is clear, current, complete and easy |            |
|            | to access. Contractor effectively         | Feedback   |
|            | coordinates with project officer and      | from       |
|            | grantees in obtaining and selecting       | users.     |
|            | relevant input for site.                  |            |
|            |                                           |            |
|            | e\. Contractor prepares research papers   |            |
|            | that are clear, thorough, and effective   |            |
|            | en identifying appropriate documents      |            |
|            | related to consumer assessment, safety    |            |
|            | culture and reporting.                    |            |
|            |                                           |            |
|            | f\. Research papers are completed on a    |            |
|            | timely basis, in accordance with Schedule |            |
|            | of Deliverables.                          |            |
|            |                                           |            |
|            | g\. Contractor effectively scans the      |            |
|            | scientific and popular literature and     |            |
|            | identifies and obtains relevant and       |            |
|            | useful articles about CAHPS and SOPS,     |            |
|            | articles listing CAHPS and SOPS data, and |            |
|            | other consumer assessment and reporting   |            |
|            | activities and research.                  |            |
|            |                                           |            |
|            | h\. Contractor provides efficient and     |            |
|            | effective technical and logistical        |            |
|            | support for expert and stakeholder        |            |
|            | meetings on topics important to the       |            |
|            | measurement and reporting of quality and  |            |
|            | safety to consumers, purchasers, policy   |            |
|            | makers and others. This includes meetings |            |
|            | that support obtaining input and feedback |            |
|            | from experts and stakeholders regarding   |            |
|            | the NHQR and other new consumer           |            |
|            | assessment and reporting initiatives.     |            |
|            |                                           |            |
|            | i\. Agenda, background materials and      |            |
|            | summary rep\[orts of expert and           |            |
|            | stakeholder meetings are submitted on a   |            |
|            | timely basis, in accordance with Schedule |            |
|            | of Deliverables.                          |            |
+------------+-------------------------------------------+------------+
| **7.       | a\. Contractor develops first year        | Review of  |
| Project    | management plan that is clear, complete   | de         |
| man        | and useful; and includes: (1) list and    | liverables |
| agement.** | description of project tasks and          | by AHRQ PO |
|            | deliverables; (2) project schedule; (3)   | and other  |
| **7.       | technical approach for each project task; | Government |
| Project    | (4) project organizational structure,     | staff.     |
| man        | including staff roles and                 |            |
| agement.** | responsibilities; and (5) estimated       | Review of  |
|            | resource requirements.                    | de         |
|            |                                           | liverables |
|            | b\. First year management plan is         | by AHRQ PO |
|            | submitted on a timely basis, in           | and other  |
|            | accordance with Schedule of Deliverables. | Government |
|            |                                           | staff.     |
|            | c\. Contractor develops updated           |            |
|            | management plans that are clear, complete |            |
|            | and useful; and reflect lessons learned   |            |
|            | from the previous year. Updated           |            |
|            | management plans are submitted on a       |            |
|            | timely basis, in accordance with Schedule |            |
|            | of Deliverables.                          |            |
|            |                                           |            |
|            | D d. Monthly progress reports are         |            |
|            | accurate, concise, complete and useful,   |            |
|            | and contain the items listed in the SOW.  |            |
|            | Monthly progress reports are submitted on |            |
|            | a timely basis, in accordance with        |            |
|            | Schedule of Deliverables.                 |            |
|            |                                           |            |
|            | e\. e. Contractor plans and holds monthly |            |
|            | management meetings that are effective in |            |
|            | reviewing progress, discussing            |            |
|            | milestones, identifying and exploring     |            |
|            | problems, and formulating short and       |            |
|            | long-range plans.                         |            |
|            |                                           |            |
|            | f\. Contractor notifies PO promptly of    |            |
|            | any problems (technical, schedule,        |            |
|            | staffing, or cost) that could impact      |            |
|            | successful completion of the individual   |            |
|            | tasks or deliverables. Contractor clearly |            |
|            | indicates potential impact of the         |            |
|            | problem(s) on the schedule, cost, or      |            |
|            | content of the required deliverables, and |            |
|            | recommends practical solutions.           |            |
|            |                                           |            |
|            | g\. Contractor is responsive to PO        |            |
|            | written and verbal communications with    |            |
|            | respect to (1) requested changes in       |            |
|            | products; (2) adjustments in technical    |            |
|            | approach based on new or changed          |            |
|            | requirements; and (3) requests for        |            |
|            | meetings or other discussions. Contractor |            |
|            | responds to all phone calls and e-mails   |            |
|            | promptly, i.e., within 1 work day.        |            |
|            |                                           |            |
|            | h\. Contractor staff demonstrate the      |            |
|            | skills and experience required for their  |            |
|            | respective tasks. Contractor staff        |            |
|            | maintain effective working relationships  |            |
|            | with the PO, other Government, and        |            |
|            | grantees and users.                       |            |
|            |                                           |            |
|            | i\. Contractor is fully cooperative with  |            |
|            | the successor contractor and delivers all |            |
|            | database files, software programs,        |            |
|            | program files and correspondence files in |            |
|            | CD-ROM format. .                          |            |
+------------+-------------------------------------------+------------+

**Attachment 5 - AHRQ Application and System Development Requirements**

AHRQ has implemented a Distributed Systems Engineering Lab (DSEL) to
support all internal development efforts and provide the facility for
housing the software and documentation for all AHRQ sponsored systems
and applications, regardless of where the system or application is
hosted.

AHRQ uses a System Development Lifecycle (SDLC) framework which is
consistent with the HHS Enterprise Lifecycle Framework (EPLC). This
framework is the basis for implementation of the DSEL, conduct of
development projects and the Rational Unified Process (RUP)/Capability
Maturity Model (CMM) based processes that support its implementation.
The SDLC framework provides a disciplined approach which employs the
following traditional project phases:

-   Concept

```{=html}
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```
-   Initiation

-   Planning

-   Requirements Analysis

-   Design

-   Development

-   Testing

-   Implementation / Deployment

-   Operations and Maintenance

-   Retirement

The AHRQ SDLC framework is closely aligned with the disciplines defined
in the Rational Unified Process (RUP). The IBM Rational Suite of tools
has been adopted by the Agency to provide a standard IT development
environment for AHRQ sponsored systems and application development
projects. The AHRQ SDLC framework has been enhanced through the use of
tailored processes and artifacts based on the RUP methodology. The
documentation deliverables required for all Information Technology (IT)
projects are based on specific RUP artifacts identified by AHRQ. The
Rational ClearCase libraries housed within the DSEL provide the
repository for housing software and documentation artifacts related to
all AHRQ sponsored systems and applications, regardless of where the
system or application is hosted.

Contractors are not required to follow the RUP development methodology
or use the Rational Suite of tools; however, the Contractor's SDLC must
be capable of producing AHRQ required system deliverables containing the
required content as described further in the following section. It is
required that the Contractor use the lifecycle phases defined in the
AHRQ SDLC framework and obtain PO approval before moving from one phase
to another.

This approval process corresponds to the stage gates in the HHS EPLC
model. The contractor must also conform to AHRQ Configuration Management
(CM) and change control standards which require appropriate controls for
managing software and documentation baselines, changes to software
artifacts using an appropriate IDE or version management tool, document
change requests and obtaining approval through a formal change control
process that requires Project Officer (PO) and possible AHRQ IT approval
prior to implementation.

The following table identifies the documentation deliverables required
for all IT projects and the content required for each deliverable.

**Table 1.1 -- Documentation Deliverables**

+---------------------+--------------------+--------------------------+
| Deliverable         | AHRQ Life Cycle    | Formats                  |
|                     | Phase              |                          |
+=====================+====================+==========================+
| Project Initiation  | Project Initiation | MS Word                  |
| Document            |                    |                          |
+---------------------+--------------------+--------------------------+
| Project Work Plan   | Project Planning   | MS Project               |
+---------------------+--------------------+--------------------------+
| System Requirements | Requirements and   | Rational Requisite Pro,  |
| Document (SRD)      | Analysis           | MS Word                  |
+---------------------+--------------------+--------------------------+
| Requirements        | Requirements and   | Rational Requisite Pro,  |
| Traceability Matrix | Analysis           | MS Word                  |
+---------------------+--------------------+--------------------------+
| System Design       | Software Design    | Rational Software        |
| Document (SDD)      |                    | Modeler, MS Word,        |
|                     |                    |                          |
|                     |                    | Rational Software        |
|                     |                    | Architect                |
+---------------------+--------------------+--------------------------+
| Test Plan           | Testing            | MS Word                  |
+---------------------+--------------------+--------------------------+
| Test Scripts        | Testing            | MS Word, Rational Test   |
|                     |                    | Manager                  |
+---------------------+--------------------+--------------------------+
| User Acceptance     | Implementation     | MS Word                  |
| Testing Report      |                    |                          |
+---------------------+--------------------+--------------------------+
| User Guide          | Deployment         | MS Word                  |
+---------------------+--------------------+--------------------------+
| Operations Manual   | Deployment         | MS Word                  |
+---------------------+--------------------+--------------------------+
| Version Description | Deployment         | MS Word                  |
| Document            |                    |                          |
+---------------------+--------------------+--------------------------+

**System Documentation**

The Contractor will provide to the Agency system documentation of all
proposed hardware, software, security, backup/recovery, and other
information technology infrastructure and components and solutions
needed to support this project. The documentation is to be delivered to
the Project Officer for review and approval for each release. This
documentation will be provided according to the content standards
specified by AHRQ and will be maintained in the Agency's Rational
ClearCase Repository as a unique project library created and maintained
by the AHRQ CM Manager. All documentation will be baselined with each
system release. In addition, the source code for each production release
will be delivered and stored in the same project library as the
documentation artifacts. The contractor will be required to update these
baselined artifacts for each production release of the system. Sample
documents and templates for the required documentation artifacts are
available as guidance. The following documents as mentioned in Table
1.1, "Documentation Deliverables", are required by AHRQ.

**Project Initiation Document**

The Project Initiation Document (PID) is intended to be a statement of
purpose and scope for initiating a given project and a guide to manage
expectations in both process and deliverables throughout the System
Development Lifecycle (SDLC). The PID defines the business case for the
project by defining the purpose, the milestones, resources, objectives,
costs, risks including mitigation strategies, and the artifacts and IT
technologies (architecture) utilized and produced for, and during, the
project. The PID serves as the formal funding commitment document
approved by the COTR and Stakeholders. Additionally, the PID must be
approved by AHRQ IT management, and in some cases, the AHRQ Information
Technology Review Board (ITRB) for technical viability, adherence to
Agency Enterprise Architecture (EA); technical standards and formal
Project Management requirements as derived from Departmental standards
and accepted Project Management Institute (PMI) Project Management Body
of Knowledge (PMBOK) standards. In the case of external development
contracts, the PID can be satisfied by the formal proposal submitted by
the vendor and accepted by AHRQ.

**Project Work Plan**

The System Project Plan or Project Work Plan (PWP) provides a method to
assign and track the project resources, hours and specific deliverables.
This plan provides the detailed Work Breakdown Structure (WBS) and
resource loading that can be used to identify project costs and is
intended for the project manager to track the schedule and cost of a
project, including development of Earned Value Management (EVM)
measures. The PWP is delineated by the phases of the project which
include Project Initiation, Generation of the PWP Schedule, Requirements
Gathering, System Design, System Development, System Testing including
User Acceptance, System Deployment and System Support and production of
project deliverables which require COTR or Stakeholder acceptance and
signoff to continue project tasks identified in the PWP.

**System Requirements Document**

The System Requirements Document (SRD) contains the system requirements,
use cases and supplementary specifications that provide the basis for
design and development of the system. The following information is
provided for each requirement identified in the document:

-   Requirement ID, Name and Title

-   Requirement Description

-   Software Release Version

-   Use Case Model

-   Use Case Specifications

-   Supplementary Specifications

A text-based Functional Requirements Document may be provided instead of
a Use Case Model, Use Case Specifications, and Supplementary
Specifications.

## Requirements Traceability Matrix

The Requirements Traceability Matrix (RTM) associates requirements with
the work products that satisfy them. This matrix is created at the
beginning of a project's lifecycle to trace the requirements from
identification through testing. The project elements are traced as they
relate to other project elements, especially those related to
requirements. 

The purpose of establishing traceability is to help understand the
sources of requirements, manage the scope of the project, manage changes
to requirements; assess the project impact of a change in a requirement;
and verify that all requirements of the system are fulfilled by the
implementation.

The following values are required for the traceability matrix:

-   Requirement ID and Title;

-   The version of the system in which the requirement will be
    implemented;

-   The Use Case to which the requirement can be traced;

-   The version of the design document in which the requirement is
    implemented;

-   The ID of the test script in which the requirement is tested;

-   The version number of the source code in which the requirement is
    implemented.

The figure below shows a sample of the data traced through a project's
life cycle.

![](media/image1.png){width="6.495138888888889in"
height="2.6118055555555557in"}

**System Design Document**

The System Design Document (SDD) details the design and implementation
of all custom software features of the system. The design descriptions
must include use cases that detail the interaction which occurs between
a user and the system.

The document describes the general nature of the system, and describes
the architecturally significant parts of the design model, such as its
decomposition into subsystems and packages. For each significant
package, a section of the document should detail its decomposition into
classes and class utilities. Architecturally significant classes should
be introduced and a description of their responsibilities should
accompany the introduction. Any significant relationships, operations,
and attributes should be detailed in this document.

The document should be organized by use case, so that it provides
traceability back to the initial requirements. The document must also
contain a description of the database model and data elements used to
support the application. This data can be referenced to an appropriately
maintained Entity Relationship Diagram (ERD) and data definitions which
conform to CM standards and are appropriately maintained in the Rational
CM Libraries.

**Test Plan**

The purpose of the Test Plan is to define the approach for testing a
particular application or system. The Test Plan is a high level
description of the testing process which will be performed. The Test
Plan outlines the types of testing to be performed, the requirements to
be tested, the test environment, testing tools, pass/fail criteria and a
risk assessment. At a minimum the document should contain the following:

A.  **Test Description**

    -   A general overview of the plan for testing the entire system.

    -   Test objectives for all testing levels (e.g. module, unit).

    -   Scope and guiding principles for the testing effort.

    -   A policy for resolving conflicts that arise during the testing
        process.

B.  **Acceptance Criteria**

    -   The criteria agreed upon with the customer for acceptance of the
        software.

C.  **Approach**

    -   How each major group of software features will be adequately
        tested.

    -   Major testing activities, techniques, and testing tools.

    -   Test Environment -- Hardware, Network, Software and Test
        Database

D.  **Tasks**

    -   The individual tasks that must be performed.

    -   The individual or organization responsible for each task.

E.  **Schedule, Resources & Milestones**

**Test Scripts**

The Test Scripts define testing scenarios completed for an application.
Each scenario details the steps to be performed, expected results and
pass/fail criteria. At a minimum the document should contain the
following:

-   Test Script Identifier

-   Test Description

-   Test Objective

-   Test Environment/Setup including any required data such as Login
    credentials, etc.

-   Mapping to specific requirements and design elements contained in
    the SRD and SDD

-   Step sequences and actions

-   Expected Results

-   Pass/Fail Criteria

-   Actual Results

-   Comments

**User Acceptance Test Report**

The User Acceptance Testing (UAT) Report should include a summary of the
testing environment (hardware, software, tools, participant list, etc.)
and procedures used to demonstrate and obtain stakeholder approval of
the application or system prior to production deployment. The UAT Report
should contain a mapping to the SRD and SDD items included in the
release as well as an exception list or identified change requests that
were generated as the result of testing.

**User Guide**

The User Guide is completed prior to production. The User Guide is a
"How To" manual which navigates the user in detail through the use of
the application. This document usually contains system screen shots and
provides step by step instructions for completing tasks and activities.
It is written on a business level with the needs of the user in mind. At
a minimum the document should contain the following content.

-   Introduction

-   Summary of the application

-   Glossary (Definitions/Acronyms)

-   Procedures (Step-by Step instructions on how to use the system)

-   Troubleshooting tips

**Operations Manual**

The Operations Manual provides guidance and defines procedures related
to the operational implementation of the system. At a minimum, the
document should contain the following:

-   System Overview

-   Statement of acceptable use of the system and information

-   Hardware and software descriptions

-   Interfaces with other Systems and Databases

-   Access and authentication requirements

-   System Configuration and Administration Procedures

-   Security procedures including virus protection

-   Incident Reporting and Handling

-   System Startup and Recovery Procedures

-   Change Management Procedures

**Version Description Document**

The Version Description Document (VDD) identifies and describes the
general release information, and inventory of software released (Bill of
Materials), for a specific application, including prototype iterations.
The document should include the following sections listed below:

-   Introduction - Describes the objective of the document, defines the
    release identification and provides contact information.

-   General Release Information - Provide information about the specific
    release, including any interfaces and dependencies

-   Installation Instructions - Describes the steps required to install
    the software.

-   Version Description - Provides an inventory of List Objects and
    Module Types such as: class files, SQL Scripts, HTML files, DTD and
    XML files.

-   Recovery Instructions - Describe the steps required to reconstruct
    the release from the product baselines, established in the
    configuration management library.

**Web Product and Web Site Development Guidelines**

>  

The following list highlights basic issues that need to be addressed
when developing Web tools or sites under contract 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 Department of Health and
Human Services requirements for information resources.

**[Guidelines for Web-Based Products]{.underline}**

 

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.gpoaccess.gov/stylemanual/browse.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 Rehabilitation 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 proprietary 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?

**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 designed to facilitate. A set of Research-Based Web Design and
Usability Guidelines that should be consulted are available at:
<http://www.usability.gov/guidelines/index.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).

 

**[Guidelines for Web Sites]{.underline}**

 

Web sites being supported through contracts are considered Federal
information resources and as such are required to be in compliance with
laws, policies, and directives that affect such resources.

This includes content management and information categorization,
including standard metadata, under the E-Gov Act requirements and Office
of Management and Budget issuances to Federal agencies on IT resources.

For recommendations and guidance on requirements and best practices, go
to:
<http://www.usa.gov/webcontent/reqs_bestpractices/best_practices.shtml>

**Clearance**

Web resources require clearance 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, and OCKT will coordinate
departmental clearance.

**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
USA.gov, the GSA portal to government-funded resources. The USA.gov link
is then required on the home page of the site. Coordinate with OCKT on
domain name requests.

**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>

**Accessibility**

Under the Rehabilitation Act, Federal agencies have an obligation to
provide equal access for the disabled to their information and services.
Requirements are specified in section 504 for individual accommodation
and more recently in section 508 for electronic and information
technology, which includes Web sites and multimedia products. 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 unless they are fully
accessible PDF formats. 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. Specific requirements are available at:
[http://www.section508.gov](http://www.section508.gov/)

**Privacy**

A privacy policy notice must be prominently displayed, and the Web site
host has to follow it. A machine-readable format (P3P) of the privacy
policy notice must also be uploaded to the site. A Privacy Impact
Assessment is conducted to determine what kind of personal information
is contained within a system, what is done with that information, and
how that information is protected. 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.

**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. Each Web site must provide relevant Frequently Asked Questions
that are included in the customer relationship management system used to
handle AHRQ Web site inquiries.

**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. For guidance
on requirements, go to:

<http://www.archives.gov/records-mgmt/policy/managing-web-records-index.html>

**Information Collection Budget**

If a Web site is used to collect information from users, such as for
surveys, evaluations, or beta testing feedback, 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.

**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.

**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
that the link is not displayed in any way that would imply an
endorsement by the Agency of a specific commercial product or service.

**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 requires that
any Web resource funded by the Agency provide a link to the AHRQ Freedom
of Information Act page on the main AHRQ Web site.

**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. For best practices in initial development or
redesign of Web resources, go to:
[http://www.usability.gov](http://www.usability.gov/)

**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 when referenced in print or promotional materials. 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. All AHRQ domain sites must
    include a standard banner and footer that are branded for Web
    resources. Technical specifications and templates for developers to
    consult when designing Web resources are provided by the AHRQ Web
    Manager.

Attachment 6

![](media/image2.png){width="1.1305555555555555in"
height="1.1305555555555555in"}

**Use Dark Text on Plain, High-Contrast Backgrounds**

**Standard:**

HHS must use black (preferable) or other dark text on a white or
off-white background when presenting text information---including
headers, captions, and prose text---on Web pages.

**Rationale:**

Research studies consistently show that dark text on a plain background
elicits reliably faster scanning and reading performance than on a
medium-textured background. When compared to scanning or reading light
text on a dark background, people read black text on a white background
up to thirty-two percent faster. In general, the greater the contrast
between the text and background, the easier the information is to scan
or read.

![](media/image3.png){width="3.745833333333333in" height="2.15625in"}

![](media/image4.png){width="3.698611111111111in"
height="1.7291666666666667in"}

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Boyntoin and Bush, 1956; Bruce and Green, 1990; Cole and Jenkins, 1984;
Evans, 1998; Goldsmith, 1987; Gould, et al., 1987a; Gould, et al.,
1987b; Jenkins and Cole, 1982; Kosslyn, 1994; Muter and Maurutto, 1991;
Muter, 1996; Scharff, Ahumada and Hill, 1999; Snyder, et al., 1990;
Spencer, Reynolds and Coe, 1977a; Spencer, Reynolds and Coe, 1977b;
Treisman, 1990; Williams, 2000.

**Use Dark Text on Plain, High-Contrast Backgrounds (Continued)**

**Exemptions:**

Background shades of color may be used in text boxes, panels, tabs, and
other elements of a Web page. There must be high contrast, however,
between the text (foreground) and the background. You must select color
combinations that can be discriminated by users with color
deficiencies/color blindness. You may be exempt from this requirement in
sites targeted to children, youth, and other groups with demonstrated
specific needs and requirements. In using colored backgrounds, though,
readability must be maintained, especially for individuals with low
vision, via contrast between text and background colors.

You may wish to use these resources:

-   [Colour Contrast
    Check](http://www.snook.ca/technical/colour_contrast/colour.html)
    (Jonathan Snook, Snook.ca)

> This tool allows you to specify foreground and background colors to
> determine if they provide enough contrast.

-   [Contrast Checker](http://www.q42.nl/demos/contrastcheck/) (Q42)

The contrast checker tool enables you to compare the contrast in a web
page.

-   [Making Text Legible: Designing for People with Partial
    Sight](http://www.lighthouse.org/print_leg.htm) (Lighthouse
    International)

Basic guidelines for making effective legibility choices that work for
nearly everyone.

**Requirements (content & style):** N/A

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Font Size and Typeface**

**Standard:**

HHS must use sans serif (such as Verdana or Arial) on Web pages. The
selected font must be used consistently throughout the site. In general,
usability tests have shown that users perceive sans serif fonts to be
more contemporary.

HHS must use Arial or Verdana font and the listed font size (or
equivalent) for standard text and links on all Web pages. Use the
following scale as a guide to determine size:

  --------------------------------- -------------------------------------
  **If the Font Type Is...**        **Then You Must Use...**

  Arial                             11 Point Font Size

  Verdana                           10 Point Font Size
  --------------------------------- -------------------------------------

If you have specialized audiences, use the appropriate font size to
accommodate them. For example, older adults may require a 12 point font
in Verdana to read effectively. Additionally, use "scalable fonts" or
fonts that will allow the user to increase and decrease text size using
the browser functions (e.g., View \> Text Size \> Larger).

**Rationale:**

Research has shown that fonts smaller than 11 points (Arial) elicit
slower reading performance from users.

**Exemption(s):**

A font size of one or two points smaller than the approved points above
may be used in the following situations (but in no case smaller than an
8-point font):

-   In data tables.

-   In PDF documents because of their nature and because they are
    expandable when opened.

-   In a navigation bar that presents secondary information such as
    bread crumb navigation or standard information/links that appear in
    the "footer" of a page.

-   For notices or disclaimers. For example: Documents in PDF format
    require the [Adobe Acrobat
    Reader®](http://www.adobe.com/products/acrobat/readstep2.html).

-   To present information and/or links in the footer of a Web page. For
    example: This is an official U.S. Government Web site managed by the
    [U.S. Department of Health & Human Services]{.underline}.

**Font Size and Typeface (Continued)**

-   To present secondary information that describes a prime link or
    piece of content. For example:

> [Confirmed Human Cases by
> Country](http://www.who.int/csr/disease/avian_influenza/country/cases_table_2006_08_23/en/index.html)\
> \[Note: Numbers are confirmed by World Health Organization and may not
> reflect news or country reports.\]

-   When you provide a "page text sizer" control that allows users to
    increase or decrease a font size. Examples of a page text sizer
    include: **[A]{.underline} [A]{.underline} [A]{.underline}** and
    **Text Size:
    [[SM]{.underline}](http://www.compliance.gov/index.html#%23)
    [[MD]{.underline}](http://www.compliance.gov/index.html#%23)
    [[LG]{.underline}](http://www.compliance.gov/index.html#%23)
    [[XL]{.underline}](http://www.compliance.gov/index.html#%23)**

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Bailey, 2001; Bernard and Mills, 2000; Bernard, Liao and Mills, 2001a;
Bernard, Liao and Mills, 2001b; Bernard, et al., 2002; Ellis and
Kurniawan, 2000; Galitz, 2002; Ivory and Hearst, 2002; Tinker, 1963;
Tullis, 2001; Tullis, Boynton and Hersh, 1995.

**Requirements (content & style):** N/A

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Designing and Employing Check Boxes**

**Standard:**

HHS must use a check box control to allow users to select one or more
items from a list of possible choices. In addition, a control that
allows users to clear checked box selections must also be provided.

Also, users should be able to select an option by clicking on either the
box itself or its label.

**Rationale:**

Users should be able to select each check box independently of all other
check boxes. One study showed that for making multiple selections from a
list of non-mutually exclusive items, check boxes elicit the fastest
performance and are preferred over all other widgets.

By providing users with a larger click zone area that extends to the
label and the check box, they are faster at making the selection. This
is especially true for older adults.

![](media/image5.png){width="4.942361111111111in"
height="3.7319444444444443in"}

**Exemptions:** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Bailey, 1996; Fowler, 1998; Galitz, 2002; Johnsgard, et al., 1995;
Marcus, Smilonich and Thompson, 1995.

**Requirements (content & style):** N/A

**Related Standards:**

-   [Use Radio Buttons for Exclusive Selections]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Designate Visited and Unvisited Links**

**Standard:**

To designate unvisited links, HHS must use the default blue text link
color (#0000FF, RGB (0,0, 255)); to designate visited links, HHS must
use the default purple link color (#800080, RGB (128,0,128)). For links
that point to the same target, all links should change color to the
default purple once the target site has been visited.

**Rationale:**

Link colors help users understand which parts of a Web site they have
visited. Providing this feedback, according to several studies, helps
improve users' speed in finding information. In addition, this color
convention is considered a common experience for users on the Web. By
following long understood conventions, we reduce users' confusion and
improve their overall success rates.

![](media/image6.png){width="2.8777777777777778in"
height="0.4354166666666667in"}

**Exemptions:**

Primary site navigation links that represent the major categories and
topics of a site are exempt. This primary navigation is typically
presented on the homepage and may be persistent across a Web site.
Examples of primary navigation items include tabs and left, right, and
middle panels (navigation bars). Graphic examples are provided below:

![](media/image7.png){width="3.1333333333333333in"
height="1.6423611111111112in"}

![](media/image8.png){width="4.252777777777778in" height="2.06875in"}

**Designate Visited and Unvisited Links (Continued)**

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Evans, 1998; Nielsen and Tahir, 2002; Nielsen, 1996a; Nielsen, 1996b;
Nielsen, 1996c; Nielsen, 2003; Spool, et al., 2001; Tullis, 2001.

**Requirements (content & style):** N/A

**Related Standards:**

-   [Use Text for Links]{.underline}

-   [Presenting Links to Materials in Multiple Languages]{.underline}

**Related Guidelines:**

-   [Provide Consistent Clickability Cues]{.underline} (Source: HHS
    Research-Based Web Design and Usability Guidelines)

**Use Text for Links**

**Standard:**

HHS must not use images alone as links. Links must be text. If an image
is clickable, a text description must be used in addition to the image
(along with the required alt tag). In that case, both the image and text
must be clickable. View the "Requirements" section below for format.

When providing a list of links, HHS should provide context descriptions
with each unless the context description indicates, in one sentence or
phrase, what the user will find at the linked page. View the
"Requirements" section below for format.

**Rationale:**

Text links are more easily recognized as clickable, usually download
faster than images, are preferred by users, and change colors after
being selected. In addition, it is easier to convey a link's destination
in text, rather than using an image. Another benefit to using text links
is that users with text-only and deactivated graphical browsers can see
the navigation options. In one study, users showed considerable
confusion regarding whether or not certain images were clickable; this
was true even for images that contained words. Users could not tell if
the images were clickable without placing their cursor over them.

Adding brief context descriptions to a set of link titles can help users
better understand the distinction between their options. Context
descriptions should be brief and add value to the link title.

**Exemptions:**

-   Context descriptions are not required on the Home pages of HHS Web
    sites because they function as menus or quick links.

-   Small thumbnail images that link to larger images (of the thumbnail)
    are exempt from this standard.

-   An agency logo does not need text, but it still needs a text link if
    there is no text option.

-   Graphics that are primarily text (e.g., tabs) are exempt.

-   With tabbed navigation, the navigation bars are exempt.

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Detweiler and Omanson, 1996; Farkas and Farkas, 2000; Koyani and Nall,
1999; Mobrand and Spyridakis, 2002; Nielsen, 2000; Spool, et al., 1997;
Zimmerman, et al., 2002.

**Requirements (content & style):**

When providing an image as a link, text must be provided in or alongside
the link:

Style examples:

![](media/image9.png){width="1.4479166666666667in" height="0.40625in"}
![](media/image10.png){width="0.9986111111111111in"
height="0.6666666666666666in"} ![](media/image11.png){width="2.03125in"
height="0.4583333333333333in"} ![](media/image12.png){width="1.03125in"
height="0.40625in"}

**Use Text for Links (Continued)**

Style examples for presenting context descriptions:

![](media/image13.png){width="5.384722222222222in" height="1.21875in"}

**Related Standards:**

-   [Designate Visited and Unvisited Links]{.underline}

-   [Presenting Links to Materials in Multiple Languages]{.underline}

-   [Image Maps (to be developed)]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Distinguish Required Data Entry Fields**

**Standard:**

HHS must clearly and consistently distinguish required data entry fields
from optional data entry fields. HHS must use ONE of the following
approaches to distinguish required data entry fields:

-   Provide an asterisk in front of the label for required fields. In
    addition, HHS must provide text stating: "A field with an asterisk
    (\*) before it is a required field." This statement must precede the
    beginning of the data entry form.

-   Provide the word "(Required)" in front of the label for required
    fields. In addition, HHS must provide text stating: "All required
    fields have the word (Required) in front of a label." This statement
    must precede the beginning of the data entry form.

-   Separate fields into required and optional when practical. These
    groupings must be clearly labeled "Required" and "Optional" and
    include the statement: "Fields are organized into required and
    optional groupings."

**Rationale:**

Users should be able to easily determine which data entry fields are
required and which are optional. Many sites are currently using an
asterisk in front of the label for required fields. Some sites cluster
required and optional fields to assist the user.

To comply with Section 508, it is not sufficient to use color or bold to
emphasize required fields. Colorblind users or those using screen
readers will not get the information.

![](media/image14.png){width="3.8222222222222224in"
height="2.3333333333333335in"}

**Distinguish Required Data Entry Fields (Continued)**

**Exemptions: N/A**

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Bailey, 1996; Fowler, 1998; Morrell, et al., 2002; Tullis and Pons,
1997.

**Requirements (content & style):** N/A

**Related Standards:**

-   [Designing and Employing Check Boxes]{.underline}

-   [Use Radio Buttons for Exclusive Selections]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Use Radio Buttons for Exclusive Selections**

**Standards:**

HHS must provide radio buttons when users need to choose one, and only
one, response from a list of mutually exclusive options. HHS must always
use at least two radio buttons in connection with each other. A single
radio button must not be used to present a lone item.

If users can choose not to activate any of the radio button choices, HHS
must provide a selection labeled "None." Designers and developers should
assign one of the radio button choices as the default, when appropriate.

Since radio buttons require only one choice, make sure that the options
are both comprehensive and clearly distinct.

In addition, users should be able to select an option by clicking on
either the button itself or its label. By providing users with a larger
click zone area that includes both the label and the button, users will
be faster at making the selection. This is especially true for older
adults.

**Rationale:**

Radio buttons are a series of on-screen buttons that allow only one
selection to be made from a group of options. By following the standards
above, radio buttons can be used for optimal user performance.

![](media/image15.png){width="1.7555555555555555in"
height="1.1055555555555556in"}

![](media/image16.png){width="1.35in" height="1.49375in"}

**Exemptions:**

-   If a set of mutually-exclusive options are greater than five or
    more, a drop down box or list box may be used to save space.

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Bailey, 1983; Bailey, 1996; Fowler, 1998; Galitz, 2002; Johnsgaard et
al., 1995; Marcus, Smilonich and Thompson, 1995; Tullis and Kodimer,
1992.

**Use Radio Buttons for Exclusive Selections (Continued)**

**Requirements (content & style):** N/A

**Related Standards:**

-   [Designing and Employing Check Boxes]{.underline}

-   [Using Drop-Downs (to be developed)]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Design for Dominant Screen Resolutions**

**Standard:**

HHS must design for monitors with the screen resolution set at 1024x768
pixels, but use a liquid layout that works well for any resolution, from
800x600 to 1280x1024.

**Rationale:**

As of December 2006, fifty-four percent of users have their screen
resolution set at 1024x768. By designing for screens set at 1024x768,
designers will accommodate this most common resolution, while balancing
tradeoffs for those using 800x600 and 1280x1024. Designers and coders
should test Web pages in the most common screen displays to ensure good
visibility, legibility, and aesthetics. Please note: As resolutions are
increasing, some users are viewing Web sites in smaller browser windows.

![](media/image17.png){width="4.927777777777778in"
height="2.2708333333333335in"}

Source: thecounter.com, 2006

*This information will be reviewed quarterly.*

**Exemption(s):** HHS STAFFDIVS should obtain approval through the HHS
Web Communications Division. HHS OPDIVS should get approval through
their Web Manager/Representative. \[Note: A formal process for approving
or denying exemptions will be created with HHS OPDIV Web
Representatives.\] You may get an exemption from this standard if:

-   Your web site logs or other data collection efforts indicate that
    the majority of your users have set resolutions other than 1024x768.

-   Pages, other than menu pages, may be exempt if there is a clear and
    present need for more tightly controlled dimensions to work with
    column widths, text boxes, images, or navigation widgets.

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

www.thecounter.com, 2006; Evans, 1998; Jupitermedia Corporation, 2003.
Nielsen, 2006.

**Requirements (content & style):** N/A

**Related Standards:** N/A

\[NOTE: Establish a notification system in the Web Content Management
System that reminds WCD staff to update this standard, if needed, on a
quarterly basis.\]

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Design Using Most Common Browsers and Operating Systems**

**Standard:**

HHS should design, develop, and test for the most common browser
(Internet Explorer release 6.x, as of December 2006) and Operating
Systems (OS) (Windows XP, as of December 2006); however HHS must design
websites that display without significant degradation for users using
other browsers, such as Firefox, Safari, Netscape, Opera, and older
versions of Internet Explorer (releases lower than 6.x) and other
operating systems such as Windows 2000, Windows 98, and OS X.

**Rationale:**

The goal is that users should be able to view Web content without having
to use a particular browser. To ensure that Web browsers are displaying
content without significant differences, designers and coders should
view the Web pages in different Web browsers on different Operating
Systems.

The preferred way to accomplish this is to design with browser and OS
neutral code (HTML 4.x, XHTML 1.x, etc). This means avoiding IE-specific
and XP-specific code and active X controls.

![](media/image18.png){width="4.863888888888889in"
height="2.8847222222222224in"}

Source: thecounter.com, 2006

*This information will be reviewed quarterly.*

**Design Using Most Common Browsers and Operating Systems (Continued)**

![](media/image19.png){width="4.875694444444444in"
height="2.8756944444444446in"}

Source: thecounter.com, 2006

*This information will be reviewed quarterly.*

**Exception(s):**

You may get an exemption from this standard:

-   If your Web logs or other data collection efforts indicate that the
    majority of your users are accessing information in a
    browser/version other than MSIE 6.x and operating system other than
    Windows XP.

-   If you currently employ Web applications that don't display or work
    well using the most common browsers and/or operating systems. These
    applications may be "grandfathered" in. \[Note: more details on how
    this will be handled will be developed with the HHS OPDIV and
    STAFFDIV Web Representatives.\] However, you must provide a
    prominent notice describing what browsers and/or operating systems
    work best with the application, as well as information on how to
    obtain said browsers.

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Evans, 1998; Jupitermedia Corporation, 2003; Morrell, et al., 2002;
Nielsen, 1996, thecounter.com, 2006.

**Requirements (content & style):** N/A

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

\[NOTE: Establish a notification system in the WCMS that reminds WCD
staff to update this standard, if needed, on a quarterly basis.\]

**Presenting Links to Materials in Multiple Languages**

**Standard:**

When foreign language content is available, HHS must present links to
this material on its menu pages (e.g., the homepage) and content pages.
Furthermore, links to foreign language materials must be presented in
their language (i.e., [En Español]{.underline}, not [In
Spanish]{.underline}). However, if you need to accommodate both
non-English and English speakers (e.g., those who need to find
information for a non-English speaking patient or family member), then
provide the non-English version in parenthesis. For example:
[Français]{.underline} (French). View the "Requirements" section below
for format.

**Rationale:**

Usability testing has found that users searching for information in
multiple languages prefer to find all versions grouped together on a Web
site. On document or content pages, users also expect to find what
versions are available for themselves, colleagues, or patients and the
public.

**Exception(s):** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

**Requirements (content & style):**

Comment: Link text (title of document) should be in the language as the
content of the document.

Another option is to have a clickable option En Español; when the person
clicks on it, the web site is made available in Spanish.

![](media/image20.png){width="1.6145833333333333in"
height="0.8333333333333334in"} 
![](media/image21.png){width="1.21875in" height="0.84375in"}

![](media/image22.png){width="3.8222222222222224in"
height="0.9895833333333334in"}

Example: [Healthy Heart]{.underline}

[Also available en Español,]{.underline} [Français]{.underline}, [Tiếng
Việt]{.underline}

**Presenting Links to Materials in Multiple Languages (Continued)**

On menu pages---such as the homepage and second-tier pages---present
both English and foreign language links together. Examples include:

> **Overviews**

-   [Nutrition for Seniors]{.underline}

> [Also available En Español,]{.underline} [Français]{.underline},
> [Tiếng Việt]{.underline}

**OR**

-   [Indiana Pandemic Influenza Plan (PDF -
    532 KB)](http://www.in.gov/isdh/pdfs/PandemicInfluenzaPlan.pdf) ([PDF
    en Español](http://www.usda.gov/documents/AI_Brochure_SPN.pdf) [--
    234 KB]{.underline})

On content/document pages, provide all available language versions under
the document title or in a consistent location on a Web page. For
example:

![](media/image23.png){width="4.613888888888889in"
height="1.3798611111111112in"}

  

**OR**

> ![](media/image24.png){width="2.888888888888889in"
> height="0.8416666666666667in"}

**OR**

![](media/image25.png){width="5.133333333333334in"
height="1.5034722222222223in"}

**Presenting Links to Materials in Multiple Languages (Continued)**

**Related Standards:**

-   [Designate Visited and Unvisited Links]{.underline}

-   [Use Text for Links]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Use Appropriate List Style**

**Standard:**

HHS must use bulleted lists to present items of equal status or value,
and numbered lists if a particular order to the items is warranted.

**Rationale:**

Numbered lists imply rank, sequence, or order. Bulleted lists generally
present items in a random order. Numbered lists are especially important
when giving instructions.

![](media/image26.png){width="4.957638888888889in" height="1.15625in"}

![](media/image27.png){width="2.001388888888889in" height="1.15625in"}

![](media/image28.png){width="4.625694444444444in"
height="1.542361111111111in"}

**Exemptions:** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Coney and Steehouder, 2000; Detweiler and Omanson, 1996; Lorch and Chen,
1986; Narveson, 2001; Spyridakis, 2000.

**Requirements (content & style):** N/A

**Related Standards:**

-   [Designing and Employing Check Boxes]{.underline}

-   [Use Radio Buttons for Exclusive Selections]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Use Mixed Case with Prose Content**

**Standard:**

HHS must use mixed upper- and lower-case letters when displaying
continuous prose text. This standard will apply to headlines, headers,
and links, as well as the body of content.

If a phrase is intended to attract the user's attention, display the
phrase in bold or italics. Only use these methods to emphasize one or
two words, or a short phrase, because they slow reading performance when
used for extended prose. They also cease being eye-catching.

**Rationale:**

TEXT PRESENTED IN ALL CAPS IS DIFFICULT TO READ. Reading text is easier
when capitalization is used conventionally to start sentences and to
indicate proper nouns and acronyms.

**Acceptable:** Use mixed case with prose

**Acceptable:** Use Mixed Case with Prose

**Unacceptable:** USE MIXED CASE WITH PROSE

**Exemptions:** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Breland and Breland, 1944; Engel and Granda, 1975; Mills and Weldon,
1987; Moskel, Erno and Shneiderman, 1984; Poulton and Brown, 1968; Smith
and Mosier, 1986; Spyridakis, 2000; Tinker and Paterson, 1928; Tinker,
1955; Tinker, 1963; Vartabedian, 1971; Wright, 1977.

**Requirements (content & style):** N/A

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Appropriate Use of Images on Web Pages**

**Standard:**

HHS should use images only when they communicate supplemental
information or otherwise enhance understanding. Images must serve a
specific informational purpose, i.e., provide support to the content,
rather than simply serve as decoration.

**Rationale:**

A Web site's graphics should add value and increase the clarity of the
information on the site. Adding unnecessary graphics pushes important
content down a page---thus improving the chance it will be missed---and
reduces the space available to present other important information. In
addition, users tend to be frustrated if they wait several seconds for a
graphic to download and then find that the image does not add any value.
Users also tend to have negative reactions to sites that display photos
of agency staff or stock photography that offer no informational value
to the content they are viewing.

![](media/image29.png){width="2.6666666666666665in"
height="2.9993055555555554in"}

**Exemptions:**

The use of traditional agency graphics, logos, headers, and mastheads on
a Web site is exempt. Additionally, you are exempt from this standard
if:

-   You can justify how an image fits within the mission of your Web
    site. For example, if your site is geared toward a specialized
    audience, such as children who may require visual content to learn,
    then strategic use of graphics is allowed.

-   The purpose of your page is to provide press release photos or event
    photos.

-   Logical images or icons are strategically used to call attention to
    a specific part of a page. Again, caution must be used as usability
    test findings indicate that users ignore images and icons that look
    like commercial ads.

**Appropriate Use of Images on Web Pages (Continued)**

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Badre, 2002; Evans, 1998; Nielsen, 1997e; Nielsen, 1999b; Nielsen, 2000;
Nielsen, 2003; Spool, et al., 1997; Wen and Beaton, 1996; Williams,
2000.

**Requirements (content & style):** N/A

**Related Standards:**

-   [Use Text for Links]{.underline}

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Present RSS and Podcast Links in a Consistent Format**

**Standard:**

When presenting RSS and Podcast features on a Web site, HHS must follow
the standard format and terminology provided below. HHS must use the
word RSS or Podcast to identify the technology, not XML or other
terminology or icon. In addition, HHS must provide a "Help" link
describing RSS and Podcasts. View requirements section below for format.

**Rationale:**

RSS and Podcast are increasingly being used on HHS Web sites to
communicate information. To help users understand and use these
features, the terminology and layout used to present them should be
consistent.

**Exemptions:** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\] N/A

**Requirements (content & style):**

![](media/image30.wmf){width="0.375in"
height="0.14583333333333334in"} [News Releases]{.underline}  [Help with
RSS]{.underline}

![](media/image30.wmf){width="0.375in"
height="0.14583333333333334in"} [Site Updates]{.underline} [Help with
RSS]{.underline}

![](media/image31.png){width="0.5625in"
height="0.14583333333333334in"} [Topic \[e.g.,
HealthBeat\]]{.underline}  [Help with Podcast]{.underline}

Note: HHS provides an image library at
<http://intranet.hhs.gov/web/#stand>. This library will continue to
expand with new images.

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

**Provide File Type and Size with Downloadable Files**

**Standard:**

HHS must provide file format type and size information with all non-HTML
file-types such as Adobe Acrobat (PDF), MS Word (DOC), and Adobe Flash
(SWF) files.

When linking to a *single* file format that is not in HTML or another
browser-friendly format, place the file format notice at the link level
and use this format, [Subject/name of file (file format -- file size OR
number of pages or minutes).]{.underline}

When linking to *multiple* file formats that are not in HTML or another
browser-friendly format, place the file format notices at the link level
and use this format, [Subject/name of the file (file format#1 -- file
size OR number of pages or minutes]{.underline}) ([file format#2 -- file
size OR number of pages or minutes]{.underline}). View the
"Requirements" section below for format.

In addition, HHS must provide help instructions on how and where to
access necessary plug-ins needed to view non-HTML files. These
instructions must be available from a prominent location---such as a
linked notice placed at the top of a Web page or in the footer
location---and must be used on all relevant Web pages. View the
"Requirements" section below for format.

**Rationale:**

OMB guidance for public facing Web sites and HHS usability test findings
indicate that users want to know the file type. Users with low bandwidth
want to get a sense of the time required to view a resource. In
addition, you should provide instructions for downloading viewers and/or
players on all Web pages providing non-HTML files.

**Exemptions:** N/A

**Sources:** \[Note: this field is a placeholder. It will provide
detailed references and will be hidden from view in the online
version.\]

Badre, 2002; Evans, 1998; Nielsen, 1997e; Nielsen, 1999b; Nielsen, 2000;
Nielsen, 2003; Spool, et al., 1997; Wen and Beaton, 1996; Williams,
2000.

**Provide File Type and Size with Downloadable Files (Continued)**

**Requirements (content & style):**

Style for presenting single and multiple file formats:

-   Single File Format Example

> [What Is a Heart Attack and What Are the Long-Term Effects? (PDF --
> 230 KB]{.underline}) (National Heart, Lung, and Blood Institute)
>
> [What Is a Heart Attack and What Are the Long-Term Effects? (PDF -- 5
> pages]{.underline}) (National Heart, Lung, and Blood Institute)
>
> [What Are the Long-Term Effects of a Heart Attack? (Flash -- 1:30
> hr.]{.underline}) (National Heart, Lung, and Blood Institute)
>
> [What Is a Heart Attack? (Flash -- 30 sec.]{.underline}) (National
> Heart, Lung, and Blood Institute)

-   Multiple File Format Example

[Heart Attack]{.underline} ([PDF-- 106 KB)]{.underline}
([Flash](../../../../../../../../C:%5CDocuments%20and%20Settings%5Csanjay.koyani%5CDesktop%5CHH%5Cflashversion.flash)
[-- 242 KB]{.underline}) (National Library of Medicine)

[Heart Attack]{.underline} ([PDF-- 2 pages)]{.underline}
([Flash](../../../../../../../../C:%5CDocuments%20and%20Settings%5Csanjay.koyani%5CDesktop%5CHH%5Cflashversion.flash)
[-- 1:25 min.]{.underline}) (National Library of Medicine)

*(Note: The first item links to an HTML page.)*

[Heart Attack (PDF -- 106KB)]{.underline}
([Flash](../../../../../../../../C:%5CDocuments%20and%20Settings%5Csanjay.koyani%5CDesktop%5CHH%5Cflashversion.flash)
[-- 242 KB]{.underline}) (National Library of Medicine)

[Heart Attack (PDF -- 2 pages)]{.underline}
([Flash](../../../../../../../../C:%5CDocuments%20and%20Settings%5Csanjay.koyani%5CDesktop%5CHH%5Cflashversion.flash)
[-- 1:25 min.]{.underline}) (National Library of Medicine)

*(Note: The first item links to a PDF document.)*

Content and style for instructing users about how to access non-HTML
file formats:

-   If your page links only to PDFs, use this notice (or something
    similar):

> **Note:** Documents in PDF format require the [Adobe Acrobat
> Reader®](http://www.adobe.com/products/acrobat/readstep2.html). If you
> experience problems with PDF documents, please [download the latest
> version of the
> Reader®](http://www.adobe.com/products/acrobat/readstep2.html).

-   If your Web page links to multiple non-HTML files, use this notice
    (or something similar):

> **Note:** If you need help accessing information in different file
> formats such as PDF, MS Word, MP3, see [Instructions for Downloading
> Viewers and
> Players](../../../../../../../../C:%5CDocuments%20and%20Settings%5Csanjay.koyani%5CDesktop%5CHH%5Cinstructions.html).
>
> \[Note: See recommended format for the "Instructions for Downloading
> Viewers and Players" page at <http://intranet.hhs.gov/web/>.\]

**Related Standards:** N/A

**Related Guidelines:** \[Note: Related Web Guidelines from HHS'
*Research-Based Web Design & Usability Guidelines* and other relevant
sources will be added in this section.\]

Attachment 7 - **AHRQ Linking Policy**

## Introduction

Hyperlinks allow users to move from concept to concept in a nonlinear
fashion. This is a technology used to structure and navigate the World
Wide Web.

Most often referred to simply as links, this simple Web function permits
associative references to other sections within Web documents, other
documents and files on a Web site, and other Web sites and Web-based
resources.

Links can be **internal**---that is, established to materials contained
on a single Web server and resident to that Web site. Links can be
**external**---that is, point to materials that are resident on other
Web servers or applications that are maintained by outside entities.

## Requirements

### Internal Links

Internal links do not create any liability issues because the materials
are on the same server. However, these links serve as one method of
navigation within a site and they should facilitate use of a Web site,
not confuse or disorient users so that they become \"lost in
cyberspace.\"

As part of creating a navigation architecture that allows the user to
maintain orientation, be consistent in the use of hypertext links in
lists and the level of the target for these links to subcategories of
information.

Hypertext links placed within content should direct users to more
detailed information, but clearly indicate where the target of the link
is located with a brief description of what that link contains. For this
reason, it is better to have links to other materials at the end of
sections rather than buried in the middle of paragraphs.

### External Links

External links to other Web sites constitute an \"implied endorsement\"
and create a business advantage for the linked sites. Therefore, the
Office of Management and Budget (OMB) requires Federal Agencies to do a
risk assessment of external links from their sites.

For AHRQ-funded resources, potential links to external sources need to
be assessed against Department of Health and Human Services (HHS) and
AHRQ linking policies and criteria.

If a site can make a case for deviating from these policies, then the
specific review and selection criteria must be justified and posted on
the Web site for full disclosure.

Before establishing links to external sites, check on the linking
policies of those sites. Even if the sites do not require permission to
establish a link, you should notify Web sites of your intention to
establish a link as a courtesy because your links will drive traffic to
the other sites and create demand on their servers.

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. Each AHRQ-funded Web
site should have a page that discusses the \"Linking In\" policy and
provides a 25-word descriptor for the site with key words that other
sites can use when establishing the link.

### AHRQ Policies and Criteria 

Criteria for selection of external Web links are explained in
accompanying AHRQ documents on linking policy, criteria, and evaluation.
It is best to take a conservative approach to external linking as the
Agency cannot appear to recommend sites which are incompatible with its
scope and mission. Principle requirements include:

-   Links should be limited to other Federal agencies (particularly
    other HHS agencies), non-profit organizations which partner with
    AHRQ for specific projects, and other selected non-commercial Web
    resources, such as State and local government resources or
    educational institutions.

-   Links to other Web-based resources should only be established if
    they are specifically referenced in AHRQ Web documents and directly
    relate to the Agency mission and outputs. Even these need to be
    evaluated against several quality and risk-assessment criteria.

-   Linked sites should not conflict with any Federal policies or
    regulations.

-   Links to commercial sites which market products or services are
    generally not appropriate nor are links to sites which charge for
    information. However, this does not exclude notices of the
    availability of publications by public agencies or non-profit
    organizations that charge for the publications or notices of
    conferences and meetings which charge a registration fee, providing
    these are directly related to the Agency mission and initiatives.

The Office of Communications and Knowledge Transfer (OCKT) reviews links
for any AHRQ Web-based resources maintained internally and housed on
AHRQ servers for compliance with the Agency policy and selection
criteria. For contractor-maintained servers, it is the responsibility of
the contractor to assess links and post only those links which meet
selection and evaluation criteria.

External links must be clearly delineated as such and a brief
description should be provided about the content of each linked
resource. The link URL can be transparent to the user, but keep in mind
that providing the specific URL for the linked resource has greater
utility for the user when the Web pages are printed and subsequently
referenced. Be consistent in the conventions that you use to designate
external links. See external link disclaimer below:

![](media/image32.png){width="6.850694444444445in"
height="2.047222222222222in"}

Once links are established, they need to be re-assessed on a periodic
basis to ensure that the links are still valid and that the linked
resources continue to meet selection criteria.

These principles may not cover all possibilities and circumstances.
Specific cases that present new issues must be evaluated on their merits
in keeping with the goals and mission of AHRQ.

### Additional Portal Links

The General Services Administration (GSA) requires that all federally
funded sites in the government domain provide a link to the GSA portal,
FirstGov, from the home page of the funded site. These site are, in
turn, indexed through the FirstGov portal.

AHRQ also has reciprocal links established with two health portals
funded under HHS auspices: healthfinder® and MEDLINEplus®, both of which
provide information on diseases, conditions, and wellness issues, and
other consumer health information and decision tools.

There may be other E-Government initiatives for portals where incoming
or outgoing links will need to be established depending on the purpose
and content of the Web-based resource.

## Tools and Resources

### AHRQ Web Site External Linking Criteria

AHRQ Web Site External Linking Criteria summarizes selection and review
criteria for external links from the AHRQ Web site.

**Selection Criteria**

Active links to sites external to AHRQ Web resources can only be made
to:

-   DHHS and other Government agency Web sites.

-   Non-profit organization Web resources that reflect the outputs of
    specific projects or conferences of AHRQ with official partners
    (specific URL, not Home Page).

-   Non-commercial resources that are specifically referenced in
    AHRQ-generated Web documents (specific URL, not Home Page).

**Review Criteria**

-   External links should only be established to sites or Web-based
    resources that are directly related to AHRQ\'s mission and outputs.

-   External links must not present conflicts with official Agency, HHS,
    or other Federal policies or regulations.

-   Links to external resources cannot imply endorsement of a specific
    commercial product or service (Title 44 USC).

-   Linked resources must be in compliance with the Americans With
    Disabilities Act and other accessibility guidelines as directed by
    the Department of Justice.

-   Linked resources should not contain inappropriate or questionable
    materials that jeopardize the Agency through associated liability,
    potential embarrassment, or political ramifications.

-   Content is accurate, scientifically sound, balanced, and current
    (pages show updates).

-   Sources of all content are specifically identified and references
    are provided for health and scientific claims.

-   The sponsoring organization(s), aims, and sources of support are
    clearly identified.

-   Biases or conflicts of interest from advocacy positions, marketing,
    or sources of financial support are explicitly acknowledged.

-   Privacy and confidentiality matters are clearly addressed, and
    registration is not required.

-   Contact information and feedback exist for both content and
    technical issues.

-   The design, reading level, and navigation tools are appropriate for
    the intended audience and do not present barriers to users.

### External Link Evaluation Checklist

The External Link Evaluation Checklist is an evaluation document that is
used to assess potential external links. Copies of these assessments
should be kept on file for the life of a project to show that you
performed due diligence in selecting and evaluating external links and
to address any challenges to the linking policy of your Web site by
outside entities.

For examples of \"Linking In\" policy pages that could serve as models,
check the following:

-   AHRQ Web site. Go to: http://www.ahrq.gov/news/weblink.htm

-   TalkingQuality Web site. Go to:
    http://www.talkingquality.gov/general/weblink.htm

-   healthfinder® portal. Go to:
    <http://www.healthfinder.gov/aboutus/linking.asp>

> For examples of \"Selection Criteria\" policy pages on Web portals,
> check the following:

-   healthfinder® portal. Go to:
    [http://www.healthfinder.gov/aboutus/selection.asp](http://www.healthfinder.gov/aboutus/selection.asp )

-   National Women\'s Health Information Center. Go to:
    http://www.4woman.gov/about/select-s.htm

-   National Guideline Clearinghouse. Go to:
    <http://www.guideline.gov/about/inclusion.aspx>

**External Link Evaluation Checklist: Selection Categories**

Is the Web resource that of a ***government or nonprofit*** sponsoring
organization in any of the categories below covered under the External
Linking Policy? \_\_\_\_\_Yes \_\_\_\_\_No

Please select as appropriate:\
   \_\_\_ HHS agency Web site or resource.\
   \_\_\_ Other U.S. Government agency Web site or resource.\
   \_\_\_ Nonprofit partner of AHRQ.\
   \_\_\_ Non-commercial Web resource specifically cited.\
   \_\_\_ State or local government agency with information useful
beyond its borders.\
   \_\_\_ University or other educational institution.\
   \_\_\_ Public, medical, or special library.\
   \_\_\_ National voluntary, nonprofit, or professional organization.

***If yes, skip to Nominating Criteria. If no, proceed to next selection
category.***

Is the Web resource that of an ***other than non-profit*** sponsoring
organization in any of the categories below covered under the External
Linking Policy, which warrants consideration assuming evaluation
criteria are met? \_\_\_\_Yes \_\_\_\_No

Please select as appropriate:\
   \_\_\_ Foundation with a corporate sponsor.\
   \_\_\_ For-profit organization involved in a public-private
partnership, CRADA, other grant or contract with AHRQ.\
   \_\_\_ Patient support or advocacy group.\
   \_\_\_ Commercial organization offering free Web resources as a
public service.

***If yes, skip to Nominating Criteria. If no, proceed to next selection
category.***

Is the Web resource that of a sponsoring organization that falls into
any of the ***automatic exclusion*** categories listed below?
\_\_\_\_Yes \_\_\_\_No

Please select as appropriate:\
   \_\_\_ Partisan political orientation.\
   \_\_\_ Marketing or advertising site of a company, product, or
service.\
   \_\_\_ Commercial search engine site.\
   \_\_\_ Bias, agenda, or purpose contrary to the public good.\
   \_\_\_ Undetermined sponsorship or affiliation.

***If yes, stop here. This resource cannot be considered for an external
link.***

**External Link Evaluation Checklist: Nominating Criteria**

Enter the name of the sponsoring organization:

     

Provide a brief description of the nature of the organization, its
stated purpose, and sources of support:

           

Enter the URL (and title) of the Web site or specific Web resource being
considered:

       

Describe the nature of the information and services offered by the
organization at this URL:

               

Describe its relevancy to an AHRQ Web resource, project, information
collection, or constituency group:

               

Does the site or information resource provide a contact for Web site
management and electronic policies? Please list name, title, and contact
information (e-mail, phone, fax, and/or mailing address).

               

**External Link Evaluation Checklist: Evaluation Criteria**

Is the organization and its sources of information and funding clearly
identified on the Web site or information resource? \_\_\_\_\_Yes
\_\_\_\_\_No \_\_\_\_\_Undecided

Does the Web site clearly distinguish between information and services
offered free and products and services marketed at a commercial rate?
\_\_\_\_\_Yes \_\_\_\_\_No \_\_\_\_\_Undecided

Would the presentation or content of the Web site lead a reasonable user
to infer endorsement of products or services by AHRQ? \_\_\_\_\_Yes
\_\_\_\_\_No \_\_\_\_\_Undecided

Can you determine any originator qualifications or quality assurance
mechanisms for the site? \_\_\_\_\_Yes \_\_\_\_\_No \_\_\_\_\_Undecided

Can you determine the following based on the material presented in the
Web resource?

-   Authority (author/publisher/credentials)? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Accuracy (verifiable source/reviewed)? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Objectivity (balanced/biases)? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Currency (release date/update)? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

Is there potential for political sensitivity or embarrassment to the
Agency as listed below?

-   Political point of view? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Political commentary or satire? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Advertising or fund-raising? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Controversial information? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Unsubstantiated claims? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Profanity or sexual content? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

Are there any potential legal complications as listed below?

-   Copyright protection? \_\_\_\_\_Yes \_\_\_\_\_No \_\_\_\_\_Undecided

-   Licensing agreements? \_\_\_\_\_Yes \_\_\_\_\_No \_\_\_\_\_Undecided

-   Registration for access? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Tracking/user profiles? \_\_\_\_\_Yes \_\_\_\_\_No
    \_\_\_\_\_Undecided

-   Privacy concerns? \_\_\_\_\_Yes \_\_\_\_\_No \_\_\_\_\_Undecided

Is the material presented technologically accessible to the majority of
users (compatible with older Web browsers and text browsers used with
assistive devices to accommodate disabled users)? \_\_\_\_\_Yes
\_\_\_\_\_No \_\_\_\_\_Undecided

Are additional links, LISTSERV, or chat options ***directly
accessible*** from the proposed Web resource URL being linked to the
AHRQ site? If so, Please briefly describe below:

           

Would any of these accessible links present problems if evaluated in the
same context as the direct link? \_\_\_\_\_Yes \_\_\_\_\_No
\_\_\_\_\_Undecided

If yes, please explain below:

               

**External Link Evaluation Checklist: General Comments**

                               

**Recommendation:** \_\_\_\_\_Include link \_\_\_\_\_Exclude link
\_\_\_\_\_Further evaluate

**Reviewer:** Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## 

## References and Authorities

### AHRQ Web Site External Linking Policy

The AHRQ Web Site External Linking Policy summarizes the issues,
principles, and selection criteria that apply to the AHRQ Web site.
Under its current policy, AHRQ links only to:

-   Other HHS agencies.

-   Other Federal agencies.

-   Non-profit organizations that are official partners on specific
    projects or conferences.

-   Non-commercial Web resources that are specifically referenced in
    AHRQ-generated Web documents.

**Issues**

The following issues affect the external linking policy:

-   Under basic guidance from OMB, Federal agencies are expected to
    conduct a risk assessment before providing external links from their
    Web sites.

-   Links to other sites are viewed as both an implied endorsement and a
    conduit to traffic, providing a business advantage for selected
    sites.

-   Given the ephemeral nature of the Web, content can frequently change
    on linked resources.

-   Web sites with external links must be regularly monitored for dead
    links or changed links.

-   Resources are required to determine potential links, review and
    evaluate them, establish agreements between sites, and maintain and
    update links.

**Principles**

The following principles apply to the external linking policy:

-   Selection criteria as established are to be followed for
    recommending links.

-   Review criteria as established are to be followed for evaluating
    links.

-   Disclosure language that addresses the policy, selection, and review
    criteria must be posted on any Web site that has external links.

-   OCKT reviews recommendations and makes final determinations on
    appropriate links.

-   OCKT negotiates linking arrangements, addresses requests from
    external sources, and responds to challenges on linking decisions.

-   OCKT provides oversight and periodic re-evaluation of linked
    resources (at least on a quarterly basis).

**Selection Criteria**

A number of general guidelines for evaluating the quality of health Web
sites have been published, and AHRQ has been involved in several
public-private collaborations that have addressed this issue.

Existing criteria that are broadly accepted include:

-   Content is accurate, scientifically sound, balanced, and current
    (pages show updates).

-   Sources of all content are specifically identified and references
    are provided for health and scientific claims.

-   The sponsoring organization(s), aims, and sources of support are
    clearly identified.

-   Biases or conflicts of interest from advocacy positions, marketing,
    or sources of financial support are explicitly acknowledged.

-   Privacy and confidentiality matters are clearly addressed.

-   Contact information and feedback exist for both content and
    technical issues.

-   The design, reading level, and navigation tools are appropriate for
    the intended audience and do not present barriers to users.

Additional criteria that affect AHRQ as a Federal Web site and agency of
HHS:

-   External links should only be established to sites or Web-based
    resources that are related to AHRQ\'s mission.

-   External links must not present conflicts with official Agency, HHS,
    or other Federal policies or regulations.

-   Links to external resources cannot imply endorsement of a specific
    commercial product or service (Title 44 USC).

-   Linked resources must be in compliance with the Americans With
    Disabilities Act and other accessibility guidelines as directed by
    the Department of Justice.

-   Linked resources should not contain inappropriate or questionable
    materials that jeopardize the Agency through associated liability,
    potential embarrassment, or political ramifications.

### Criteria for HHS External Web Site Selection 

Criteria for HHS External Web Site Selection provides guidelines for
policy development and practical application of best practices for
linking HHS-sponsored Web sites to external Web sites and resources. A
number of general guidelines to evaluate the quality and reliability of
health information Web sites have been published. The following
guidelines combine criteria from several external sources
(http://intranet.hhs.gov/#external#external) and existing guidelines
(http://intranet.hhs.gov/#existing#existing) with considerations
relevant to HHS agencies whose missions include a public information
component determine which information should be included in their HHS
Web sites. These criteria can also be used to narrow the field of
candidate sites for links to avoid information overload for users and
reduce link maintenance.

Agencies should build upon these guidelines with examples specific to
their own sites to develop operating procedures. Those procedures should
recognize that no Web site is likely to meet all criteria. However,
criteria provide appropriate guidance for staff to use in assessing the
communication needs and the relative risks and benefits of linkages for
their specific Web sites.

A.  On-line health information providers or sources should meet the
    following core criteria to be included in or linked to from an HHS
    Web site.

    1.  Content is accurate, scientifically sound, balanced, and
        current.

    2.  Sources of all content are specifically identified.

    3.  References are provided for health and scientific claims.

    4.  Site indicates that content is updated regularly (pages show
        dates).

    5.  Qualifications of persons or organizations providing any medical
        or health advice are clearly presented; trained professionals or
        an advisory board oversees such activities.

    6.  Information provided is designed to support, not replace, the
        patient/provider relationship and appropriate disclaimers are
        present.

    7.  A privacy policy statement is prominently displayed. Minimum
        elements of a privacy policy are discussed below.

    8.  Sponsoring organization(s), aims, and sources of support are
        clearly identified.

    9.  Biases or conflicts of interest resulting from strong advocacy
        positions, marketing or advertising, or sources of support are
        explicitly acknowledged.

    10. Marketing information and advertising are presented in a manner
        that would allow an average user to clearly distinguish between
        commercial content and other information presented.

    11. Contact information and a feedback mechanism for both content
        and technical issues are available.

    12. Design, reading level, search tools, site navigation, and
        interactive components are appropriate for the intended audience
        and do not present barriers to users.

B.  Privacy protections for personal information. A Web site\'s privacy
    policy should:

    1.  Notify users of which information is collected about them while
        they are on the site.

    2.  Explain how the information will be used, shared and protected.

    3.  Include a requirement to ask users for explicit permission to
        collect, track, aggregate, or share personally identifiable
        information.

C.  Beyond core selection criteria, HHS-specific considerations include
    the following. HHS Web sites should link to or recommend only those
    information sources that:

    1.  Are directly relevant to HHS programs, activities, communication
        goals, or target populations.

    2.  Comply with the Americans With Disability Act, and World Wide
        Web Consortium and other accessibility guidelines, as directed
        by the Department of Justice.

    3.  Provide balanced treatment of topics addressed on the Web site.

D.  HHS sites should be clear on the relationship between the HHS site
    and any linked sites. There are currently multiple means to indicate
    to users that they are accessing content on a non-HHS site,
    including disclaimers, exit notices and pop-up boxes. Technology is
    constantly changing, however, and mandating a specific technical
    solution does not always provide the highest standard of user
    protection. The technical solution to clarify the relationship
    between HHS and non-HHS content, therefore, will be left to
    individual HHS agencies and Web sites.

E.  In the case of on-line discussion forums, HHS Web sites should link
    to or recommend only those forums that use qualified people to
    moderate or regularly review the discussion for inaccurate content.

F.  HHS Web sites should not link to or recommend information sources
    that:

    1.  Conflict with official agency, HHS, or other Federal policies or
        regulations.

    2.  Include invalid or unsupported health claims or invalid or
        unsupported science.

    3.  Violate Federal or State laws and regulations governing the
        practice of medicine or the dispensing of pharmaceuticals across
        State lines or national borders.

    4.  Imply endorsement of products or services by the Department.

    5.  Allow targeted advertising by topic (for example, search on
        diabetes and get a specific drug ad).

    6.  Imply endorsement of advocacy efforts targeting Federal laws,
        regulations, or policies.

    7.  Do not disclose the nature of the partnerships and affiliations
        of contributors to the Web site and related projects.

    8.  Provide secondary linkages that lead to inappropriate content.

    9.  Require registration (anonymous use should be possible) or
        charge fees for basic information.

**External Guidelines Used As Sources for Core Criteria**

1.  Health on the Net Code of Conduct. Go to:
    http://www.hon.ch/HONcode/Conduct.html

2.  healthfinder® Selection Guidelines. Go to:
    <http://www.healthfinder.gov/aboutus/selection.asp>

3.  Evaluating Health-Related Web Sites, Emory University. Go to:
    http://www.sph.emory.edu/WELLNESS/instrument.html

4.  IHC Application Checklist, Science Panel on Interactive
    Communication and Health (SciPICH). Go to:
    http://www.health.gov/scipich/IHC/checklist.htm

5.  Criteria for Assessing the Quality of Health Information on the
    Internet, Mitretek. Go to:
    http://hitiweb.mitretek.org/docs/criteria.html

6.  eHealth Code of Ethics, Internet Healthcare Coalition. Go to:
    [[http://www.ihealthcoalition.org/ethics/ehealthcode0524.html]{.underline}](http://www.ihealthcoalition.org/ethics/ehealthcode0524.html)

**Existing Guidelines Used As Sources for HHS-Specific Considerations**

1.  Office of Management and Budget, Policies for Federal Government
    Public Web Sites. Go to:
    [[http://www.usa.gov/webcontent/reqs_bestpractices/omb_policies/linking.shtml]{.underline}](http://www.usa.gov/webcontent/reqs_bestpractices/omb_policies/linking.shtml)

2.  U.S. General Services Administration, USA.gov. Go to:
    [[http://www.usa.gov/About/Linking_Policy.shtml]{.underline}](http://www.usa.gov/About/Linking_Policy.shtml)

**Attachment 8 - Web Accessibility Checklist**

This checklist can be used to review each Web page on public Web sites,
Extranets, or Intranets for compliance with Section 508 of the
Rehabilitation Act. A review can be conducted in anywhere from 5 to 20
minutes, depending on the complexity of the page, and the review process
will go faster for successive pages. It is designed to help you do a
section-by-section analysis and validate the standards for Web-based
resources required by the Access Board:
<http://www.access-board.gov/sec508/standards.htm>

**General:**

1\. Web Site:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_  URL address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\
\
2. Best description or purpose of page:\
   \[ \] Web home page\
   \[ \] Information page\
   \[ \] Online form    \[ \] Search page    \[ \] Search results page\
   \[ \] FAQ page\
   \[ \] Policy page\
   \[ \] Employment listings\
   \[ \] Graphics page (i.e. maps, photographs, etc.)\
   \[ \] Web-based application\
   \[ \] Interface page for multi-media\
   \[ \] Other (describe):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\
\
3. Is this an Internet, Intranet, or Extranet page?\
    \[ \] Internet (Public access)\
    \[ \] Intranet (Internal access, behind firewall)\
    \[ \] Extranet (Deployed over Internet but with restricted access to
limited user group)\
\
4. On a monthly basis, what are your visitor sessions?\
   Number of monthly visits \_\_\_\_\_\_\_\_\
   \[ \] Do not track usage

**Section 1: PDF Files\
**A PDF file must be properly tagged for accessibility and rendered
correctly by an assistive technology (AT) device. If a PDF file cannot
not be properly tagged or rendered, by an AT device, then an alternative
format must be provided. The alternative format for internet Web pages
is HTML, TXT, or RTF.\
\
**Issues:** PDF is a graphical format and assistive technology devices
cannot correctly interpret the information unless properly tagged for
accessibility. Alternative formats must provide meaningful information
that is equivalent to the original document.\
\
**How to Test:** Use a screen-reader to determine if the information is
correctly interpreted. Validate the content in the alternative format to
insure it is equivalent to the original content and updated if any
changes are made to the original file.

5\. Have you provided an alternative format for PDF files such as HTML,
TXT, or RTF formats?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not include PDF files

6\. Have you provided a link to the appropriate plug-in (PDF Help)?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not include PDF files

**Section 2: Forms**\
Forms that are to be completed on-line must allow assistive technologies
to take direction and cues from the form\'s information, field element
completion, and submission of the form.

**Issues:** Forms must provide adequate information and purpose for a
user to fill out the form. Form fields must be accessible and navigable
through the form. If a form has a \'timed out\' feature, the user must
be notified of this constraint up front and a provision must be made to
allow the user to request additional time to complete the form.\
\
**How to Test:** Check that there is adequate information provided for a
user to complete the form. Check for proper tab order. The tabbing order
is to be through the form first, then natural order tabbing. Check for
proper form markup so that forms can interpret the form fields
correctly.

7\. Do all form fields have a \<LABEL\> tag?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this pages does not use form fields\
\
8. Do all form fields have a tabindex attribute?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this pages does not use form fields\
\
9. Do your forms fields allow a person using assistive technology to
access information, field elements, and functionality for completion and
submission of the form including all directions and cues?\
    a. \_\_\_ Yes\
    b. \_\_\_ Yes, but\... not tested for usability with assistive
technology\
    c. \_\_\_ Yes, but\... not sure it complies with all the
accessibility requirements despite testing\
    d. \_\_\_ No\
    e. \_\_\_ N/A, this page does not use form fields\
\
10. If your form fields are inaccessible to people with disabilities is
there an alternative accessible form or a link to an accessible form?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use form fields

**Section 3: Tables**\
Tables are to be constructed so that all users can interpret the
original intent of the author. Row and column headers must be identified
for data tables. Associate data cells with their headers for all tables
that have two or more logical levels of row or column headers.\
\
**Issues:** Tables need to be properly marked-up using HTML 4.x or
higher coding standards. Tabular tables need to be summarized to convey
information and an overview of the table\'s content. Current assistive
technology devices do not adequately read HTML 4.x code, but future
versions will be designed to interpret table tags and attributes.

**How to Test:** Check for \'summary\' attribute in the Table tag. The
\'summary\' tag is only visible to the assistive technology device and
not the visual user. Check for the Caption tag; this is optional but
does provide a title to the table. Check for the headers and id
attributes. If the headers and id attributes are not used, then check
for the \'scope\' attribute and the \'row\' and \'col\' elements. For a
complex table, use the \'axis\' attribute. The \'axis\' attribute can
only be used with \'id\' and \'headers\' attributes. It will not work
with the \'scope' attribute.

11\. If you use tables for design layout, have you checked to see if the
tables read in a linear method?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, I do not use tables for design layout\
\
12. Do your tabular tables use the \'summary\' attribute and/or tag?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, I do not use tabular tables\
\
13. Does each table cell provide identification of row and column
headers?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use tables

**Section 4: Frames**\
Frameset should not require the user to depend on visual cues to
navigate the site. Frames must be titled for frame identification and
navigation.\
\
**Issues:** Frames need meaningful descriptive text for navigation.
Include the Name attribute because assistive technology devices may or
may not read the Title attribute. Some assistive technology devices
default to the Src attribute if the Name attribute is missing.\
\
**How to Test:** Check for \'title\' attribute and tag with descriptive
text for each frame. The Name attribute requires meaningful text for
navigation, but not as descriptive as the Title attribute.

15\. Does each frame use the \"title\" attribute to properly describe
the frame?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not contain frames

**Section 5: Scripts, Plug-ins, Applets**\
Pages utilizing scripting languages to display content or to create
interface elements must provide meaningful text that can be read by
assistive technology. If meaningful text cannot be rendered, then the
page must provide an equivalent alternative. A link to a plug-in or
applet that complies with §1194.21 (Software Applications and Operating
Systems) must be present when a component of a Web page requires an
applet, plug-in, or other application to be present.\
\
**Issues:** Assistive technology devices may not support scripts,
applets, or plug-ins causing the assistive technology device to not
convey meaningful information to the user. Plug-ins or applications may
not be accessible to assistive technology devices. If a script, applet,
plug-in, or application cannot be compliant, then provide a text-only
page that is updated when the original content is updated.\
\
**How to Test:** Use an assistive technology device to check scripts for
equivalent content. Check to see if \<applets\> or \<OBJECT\> have an
\'alt\' attribute to provide equivalent information. Provide a direct
link to the most current plug-in for download. Use an assistive
technology device to check an application for equivalent content.

16\. If the page uses scripts, is the script accessible to the screen
reader or is there equivalent text provided?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use scripts\
\
17. Do your applets, such as a JAVA applet, contain the same information
and functionality in an accessible format?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A. this page does not use applets\
\
18. If you use a plug-in, such as Flash, Windows Media, Real Audio,
etc., have you provided a link to download the plug-in?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use plug-ins\
\
19. If you require a plug-in, does the plug-in comply with Section 508,
1194.21 (Software Applications and Operating Systems)?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use plug-ins\
\
20. If you have an application or tool, is it accessible or is an
alternative provided that contains the same information and
functionality in an accessible format?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not use applications

**Section 6: Non-Text Elements**\
Non-text elements that provide information require a descriptive text
equivalent for meaningful content or to facilitate navigation, e.g.,
images, graphs, charts, animation, etc.\
\
**Issues:** Assistive Technology devices cannot provide meaningful
information about non-text elements without equivalent descriptive text.
If more information is required to convey meaningful content, then use
the \'longdesc\' attribute of D-Link. The \'longdesc\' attribute is not
supported by I.E. 6.x, Netscape 6.x, AOL 7.0 or less, but use it to
prevent future remediation of the Web page.\
\
**How to Test:** Review the source code for \'alt\' attribute for
images. Verify link provided by the \'londesc\' attribute and D-Link.
Check images (including animation) by placing the mouse over the image.
Check for equivalent and meaningful descriptive for the image.

21\. Do all non-text elements have text equivalent descriptions using
the \"alt\" attribute or an alternative method for equivalent
description?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, there are no non-text elements on this page

**Section 7: Image Maps**\
Client-side image maps are to be used in place of server-side image
maps, except when the regions cannot be defined with an available
geometric shape. Server-side image maps must provide redundant text
links for the image map hot spots.

**Issues:** Assistive technology devices cannot read server-side image
maps because they are external to the HTML document. Client-side image
maps must provide equivalent text of the images including text links for
all hot spots.\
\
**How to Test:** Check code the \'alt\' attribute in the \<IMG\> and
\<AREA\> tags. Check for \'usemap\' (client-side) as opposed to
\'ismap\' (server-side) attributes. Verify that all links work. If image
cannot be compliant, then check to make sure that there is a text-only
equivalent.

22\. Does your page have duplicate text links for all links within the
server-side image?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A. this page does not have server-side images\
\
23. Do you have a timetable to replace your server-side images with
client-side images?\
    a. \_\_\_ Yes, will change to client-side images by:
\_\_\_\_\_\_\_\_\_\_\_\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not have server-side images\
\
24. Do your client-side images use the \"alt\" attribute to provide text
equivalent description and/or an alternative method to provide text
equivalent description?\
    a. \_\_\_ Yes\
    b. \_\_\_ Yes/No, some non-text elements have text equivalents, but
not all\
    c. \_\_\_ No\
    d. \_\_\_ N/A, this page does not have client-side images

**Section 8: Multi-media**\
For all training and informational video and multimedia productions,
regardless of format, provide synchronized video captioning and/or audio
description for video and audio output.

-   Speech or other audio information necessary for the comprehension of
    the content shall be open or closed captioned.

-   Visual information necessary for the comprehension of the content
    shall be audio described.

**Issues:** Visually impaired users cannot interpret the video content
without some equivalent option. Audible-impaired users cannot interpret
audio content without some equivalent content. If a Web page uses a
player or plug-in to render multimedia, then a link must be provided for
that player or plug-in per section §1194.21 (Software Applications and
Operating Systems), players and plug-ins must be accessible.\
\
**How to Test:** Check for video captioning and audio description. Check
for link to player or plug-in. Check with vendor for player or plug-in
conformance to Section 508 requirements.

25\. Is text captioning provided for audible output and audible output
provided for visual information?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, there is no multimedia content on this page\
\
26. If you have multimedia content, is the audible and video output
synchronized to the dynamic content?\
    a. \_\_\_ Yes\
    b. \_\_\_ Yes/No, audible output is synchronized to important video
information\
    c. \_\_\_ Yes/No, text captioning is synchronized to audible output\
    d. \_\_\_ No\
    e. \_\_\_ N/A, there is no multimedia content on this page

**Section 9: Color**\
Web pages should not depend on color for information or navigation of a
Web page.\
\
**Issues:** Users with low vision or who are colorblind may not be able
to correctly read text of certain font sizes or color (i.e., normal red
text), distinguish among navigation or control buttons on Web pages that
use color (e.g., select the green button), or read text or features on
Web pages if the background and foreground colors are too close in
contrast.\
\
**How to Test:** Check the Web page using a monochrome monitor or by
printing the page with the setting to gray scale.\
Check the page using a high contrast setting such as white on black.

27\. Are you able to navigate or understand the page without the use of
color?\
    a. \_\_\_ Yes\
    b. \_\_\_ No

**Section 10: Navigation and Design**\
Provide a method that will allow users of assistive technology devices
the option to skip repetitive links. Design pages that do not cause
screen flicker or blink a frequency between 2 HZ (2 times per second)
and 55 Hz (55 times per second). If a Web page cannot be compliant, then
provide a text-only page that is equivalent and updated when the
non-compliant page is updated. Use descriptive text for links and "Go
to" or "Select" instead of \"Click here\" or "More..." with lengthy URL
or mailto addresses.\
\
**Issues:** Repetitive links can be confusing and irritating to users
with assistive technology devices when going from page to page. Screen
flicker on Web pages, within certain frequencies, can cause fatigue and
seizure. A text-only page alternative is costly to maintain and should
be considered only if you cannot make a page compliant. Multiple \"Click
here\" or \"More\...\" links do not convey enough information to users
of screen or Braille readers to distinguish between the links and they
do not have a mouse to click. Lengthy URL and mailto addresses can be
confusing because readers interpret the information in the context of
whole words. A text link provides more information to the visual and
adaptive technology user.\
\
**How to Test:** Check for a pixel, transparent, gif, or text link to
allow users of assistive technology devices to move to the main content
of the page. Look for screen flicker and blinking animated gifs. Ensure
that the text-only page is accessible and that it has information
equivalent to the original document. Check for \"Click here\" and
"More..." links.

28\. Do your pages provide a method for assistive technology to skip
repetitive links including navigational links?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not need navigational or repetitive
links\
\
29. Have you replaced \"Click here\" and "More..." links with "Go to,"
"Select," or "Visit" descriptive headings or URLs?\
    a. \_\_\_ Yes\
    b. \_\_\_ No

30\. If your page requires a fixed time for response before the page
\'times out\', is the user alerted that he or she will be timed out and
given sufficient time to indicate that more time is needed?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A. this page does not have a \'time out\' feature

31\. Does the "include content," such as applets, plug-ins, or
animation, cause the screen to flicker with a frequency greater than 2
Hz or less than 55 Hz?\
    a. \_\_\_ Yes\
    b. \_\_\_ No

32\. If this page cannot be made accessible, do you have a \'text only\'
version that is updated the same time the inaccessible page is updated?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page is accessible

**Section 11: Style Sheets**\
Content on a Web page must use layout that allows the page to be
readable without a style sheet.\
\
**Issues:** A Web page using a style sheet is not properly rendered when
the style sheet is not used or not supported by a browser. Content on
pages may appear to be layered on top of each other.\
**How to Test:** Turn off style sheets in the browser. Put the style
sheet on a separate page to test for proper reading. Check for absolute
positioning instead of relative positioning. Ensure that accommodations
are made for various browsers.

33\. If the page has style sheets, is it viewable by a user\'s browser
that does not support style sheets?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not have style sheets\
\
34. Does the style sheet interfere with style sheets set by the user\'s
browser?\
    a. \_\_\_ Yes\
    b. \_\_\_ No\
    c. \_\_\_ N/A, this page does not have style sheets

**Tips for Testing**\
Automated validation methods are generally rapid and convenient but
cannot identify all accessibility issues. Human review can help ensure
clarity of language and ease of navigation.\
\
Use the following method for validating your Web pages:\
\
1. Review your code using HTML 4.01 coding practices. HTML 4.01 code can
be checked and validated at the W3C HTML Validation site
(http://validator.w3.org/). This site does not check your code or Web
page for accessibility.

2\. Use an assistive technology device to determine whether information
can be interpreted correctly on the Web page.   

**Screen Readers:**\
      ![](media/image33.png){width="7.152777777777777e-2in"
height="7.152777777777777e-2in"} IBM Home Reader 3.0
(http://www.ibm.com)\
      ![](media/image33.png){width="7.152777777777777e-2in"
height="7.152777777777777e-2in"} JAWS for Windows
(http://www.freedomscientific.com/)\
      ![](media/image33.png){width="7.152777777777777e-2in"
height="7.152777777777777e-2in"} Window-Eyes (http://www.GWmicro.com/)

3\. Use W3C\'s CSS Validation Service
(http://jigsaw.w3.org/css-validator/) for validating your style sheets.
This validates code only, not accessibility.\
4. Test the Web pages with the keyboard only; rather than an
event-driven device (mouse, etc).\
5. Test the Web pages with sounds, graphics, and style sheets turned
off.