Appendix E: Sampling of Critical Language from Requests for Proposal (RFP’s)

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PART I - THE SCHEDULE
Request for Proposal

SECTION A - SOLICITATION FORM
No. AHRQ-04-0005
Date Issued: March 15, 2004
Date Due: May 17, 2004
Time Due: 1:00 p.m. local time

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 DATA CONFIDENTIALITY AND SECURITY

(a) This contract entails accessing, processing, and storing data on individuals and organizations that is covered by one or more of the following:

• AHRQ's system of records number 09-35-0002 published in the Federal Register (Vol. 63, No. 40, March 2, 1998, pp:10231),
• the FEDERAL AGREEMENT FOR RELEASE OF DATA WITH INDIVIDUALIDENTIFIERS contained as Appendix F-2 of the HCFA Data Release Policy Guide,
• Appendix III of OMB Circular A-130, or
• Section 903(c) of the Public Health Service Act (42 U.S.C. 299a-1(c)), or he Privacy Act of 1974 (5 U.S.C. 552a).

(b) The contractor agrees to provide security, processing, storage, and disposal systems and safeguards sufficient to meet the requirements of the above laws, agreement, and system of records. Additionally, the systems and safeguards shall comply with the HDC Mainframe Users Guide, the NIH Computer Center Users Guide, and the Department of Health and Human Services Automated Information Systems Security Program Handbook, Release 2.0.

(c) The Contractor and his professional staff will take steps to ensure that the intent of this section is enforced at all times through appropriate qualifications standards for all personnel working on this project and through adequate training and quality assurance procedures.

H.2 RESTRICTIONS ON PUBLICATION AND DISSEMINATION OF MATERIAL DERIVED FROM WORK PERFORMED UNDER THIS CONTRACT

Section 903(c) of the Public Health Service Act (PHS Act), 42 U.S.C. 299a-1, 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 Such information may not be published or released in other form if the person who supplied the information or who is described in it is identifiable unless such person has consented...to its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."

To ensure compliance with these requirements and to fulfill the mandate of 923(b)(1) of the PHS Act, 42 U.S.C. 299c-2(b)(1), to assure that statistics developed with AHRQ support are of high quality, comprehensive, timely, and adequately analyzed, except as otherwise provided in this contract, the Agency for Healthcare Research and Quality (AHRQ) must, prior to dissemination by the contractor, review all reports, presentations, or other disclosures that contain information, statistics, analytical material, or any other material, which is based on or derived from work performed under this contract. Accordingly:

(a) Except as provided in H.1(c), (e), and H.2(d), the contractor will not publish, have published, or otherwise disseminate any material resulting or derived from the work performed for AHRQ-funded research, except in accordance with the terms or conditions required by the Project Officer or until AHRQ has published the results of the research.

(b) AHRQ will, within three months of the receipt of any proposed publication, presentation, or any other disclosure of materials derived from information collected or produced for a particular task order, use best effort to review the proposed report, presentation, or other text to assure that (1) identifiable information is being used for the purpose for which it was supplied; (2) the privacy of individuals supplying the information or described in it is not violated; and (3) the quality of statistical work meets the statutory standards cited above.

(c) Except as provided in H.1 (e), in the event no written conditions or approval are received from the Project Officer by the end of the three month period following submission of a request (that is accompanied by the proposed text) to publish a report or to make a presentation or other disclosure of material derived from work performed for AHRQ-funded research, the contractor may publish, present, or otherwise disclose this material subject to the restrictions of Section 903(c). However, the contractor must print prominently on the report or any portion of it which is released, or state prior to any oral or other disclosure of material derived from work performed under this contract, the following disclaimer:

"THIS REPORT (or other appropriate description of publication) HAS NOT BEEN APPROVED BY THE AGENCY FOR HEALTHCARE RESEARCH AND QUALITY”

(d) Whether or not written approval of the Project Officer is received, the contractor must:

• print the following statement prominently on written reports or other forms of recorded data derived from work performed under this contract which is to be released; or
• preceding any presentation or other oral disclosure of such material make the following statement:

"IDENTIFIABLE INFORMATION ON WHICH THIS REPORT, PRESENTATION, OR OTHER FORM OF DISCLOSURE IS BASED, IS CONFIDENTIAL AND PROTECTED BY FEDERAL LAW, SECTION 903(c) OF THE PUBLIC HEALTH SERVICE ACT, 42 U.S.C. 299a-1(c). ANY IDENTIFIABLE INFORMATION THAT IS KNOWINGLY DISCLOSED IS DISCLOSED SOLELY FOR THE PURPOSE FOR WHICH IT HAS BEEN SUPPLIED. NO IDENTIFIABLE INFORMATION ABOUT ANY INDIVIDUAL SUPPLYING THE INFORMATION OR DESCRIBED IN IT WILL BE KNOWINGLY DISCLOSED EXCEPT WITH THE PRIOR CONSENT OF THAT INDIVIDUAL."

(e) In cases where the Contracting Officer has given wtitten notice that the Government intends to retain all rights in any particular data produced under this contract, the contractor shall have no right without prior written permission of the Contracting Officer to publish any of those data or analyses based on those data, depending on the scope of the Contracting Officer’s notice.

(f) Whenever data or analyses are to be developed by a subcontractor under this contract, the contractor must include the terms of H.1 (a), (b), (c), (d) and (e) in the subcontract, without substantive alteration, and with a prohibition on the subcontractor engaging in further assignment of its obligations to the contractor. No clause may be included to diminish the Government’s restriction on publication and dissemination of work or material derived from work performed under this contract.

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Health Resources and Services Administration Office of Administration & Financial Management
Room 13A-19, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857-5600

May 11, 2006

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1. RIGHTS TO DATA

The contractor shall be prohibited from publishing or disseminating data or information associated with the records. All records will be maintained in a secured area and during non work hours locked with no access except for authorized personnel.

H.2. CLEARANCE/PRODUCTION OF INFORMATION PRODUCTS/SERVICES

a. DHHS/Office of the Assistant Secretary for Public Affairs requires clearance for any external publication, audiovisual, exhibit, or public affairs service produced for or by Health Resources and Services Administration (HRSA) through this contract as a deliverable (an external publication is one of which 50 copies or more are to distributed outside HHS). This clearance, which takes approximately four (4) weeks, is obtained by the Project Officer through HRSA’s Office of Communications.

b. It is the policy of HHS and HRSA that HHS must be prominently and dominantly identified as the primary publisher/producer, to include use of the HHS logo, on all communication materials, including those produced by Contractors (This requirement may be satisfied by displaying the HHS logo on the back cover of a publication). The HRSA logo must be displayed in a position of prominence second only to HHS as the identifier on all communication materials produced on behalf of HRSA, whether by Agency staff, Contractors, or other entities. Communication materials are any and all documents and presentations intended for audiences outside the Agency, including but not limited to:

• Fact sheets, newsletters, brochures, flyers
• Press releases, advisories, other media materials, Internet publications
• Exhibits, posters
• Summaries, monographs, proceedings
• Slides, overhead transparencies, posters
• Audio and videotapes, films

Internal Publications (not more than 50 copies are to be distributed outside HHS) are exempt from this requirement. Where appropriate, the words Division of …, Office…, Bureau…, etc. shall be included below the HRSA logo. Only the Agency Administrator may grant an exception to the policy.
Title 44 of the U.S. Code requires that the printing of any publication developed under this contract shall be done by the Government Printing Office. Printing shall be coordinated through the Project Officer.

OMB clearance must be obtained if you intend to survey or interview more than nine (9) people outside of HRSA and/or the Department, including grantees.

SECTION I - CONTRACT CLAUSES

I.1. HHSAR 352.224-70 CONFIDENTIALITY OF INFORMATION (APR 1984)

(a) Confidential information, as used in this clause, includes (1) information or data of a personal nature about an individual, or (2) proprietary information or data submitted by or pertaining to an institution or organization.

(b) In addition to the types of confidential information described in (a)(1) and (2) above, information which might require special consideration with regard to the timing of its disclosure may derive from studies or research, during which public disclosure of preliminary invalidated findings could create erroneous conclusions which might threaten public health or safety if acted upon.

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

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

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

(e) Confidential information, as defined in (a)(1) and (2) above, that is information or data of a personal nature about an individual, proprietary information or data submitted by or pertaining to an institution or organization, shall not be disclosed without the prior written consent of the individual, institution or organization.

(f) Written advance notice of at least 45 days will be provided to the Contracting Officer of the Contractor’s intent to release findings of studies or research, which have the possibility of adverse effects on the public or the Federal agency, as described in (b) above. If the Contracting Officer does not pose any objections in writing within the 45-day period, the Contractor may proceed with disclosure. Disagreements not resolved by the Contractor and the Contracting Officer will be settled pursuant to the “Disputes” clause.

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

(h) Contracting Officer determinations will reflect the results of internal coordination with appropriate program and legal officials.

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

DEPARTMENT OF HEALTH & HUMAN SERVICES

Substance Abuse and Mental Health Services Administration
Division of Contracts Management, OPS
Choke Cherry Road, Room 7-1051
Rockville, MD 20857

Date Issued: May 12, 2006
Date Due: June 12, 2006
Questions Due: May 24, 2006
Intent Notice Due: May 24, 2006
Time Due: 3:00 pm, Local Time

The Substance Abuse and Mental Health Services Administration (SAMHSA), Division of Contracts Management (DCM), invites you to submit a proposal in accordance with the requirements of Request for Proposals (RFP) No. 280-06-0150 for the project entitled “National Resource Center on Homelessness (NRCH)”. The North American Industry Classification System (NAICS) code for this acquisition is 541990.

H.3. PRIVACY ACT

This procurement action requires the Contractor to do one or more of the following: design, develop, or operate a system of records on individuals to accomplish an agency function in accordance with the Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 USC 552a) and applicable agency regulations. Violation of the Act may involve the imposition of criminal penalties. The Contractor shall ensure that each Contractor employee knows the prescribed Rules of Conduct and each Contractor employee knows that he/she can be subject to criminal penalties for violation of the Privacy Act.

The Privacy Act System of Records applicable to this project is 09-30-0049. This document is incorporated into this contract as Attachment 11 in Section J.

The Privacy Act is applicable to the records kept by the Contractor on paying honorarium and/or per diem to Consultants. The Contractor shall destroy these records in accordance with the provisions of the Privacy Act after contract closeout has occurred and the accounting record retention requirements of the Internal Revenue Service and the General Accounting Office have been met.

H.12. OWNERSHIP OF MATERIALS AND DISPOSITION OF DATA

All information and materials including data developed under this contract are the property of the government and shall be delivered as part of the deliverables under the contract. No information developed under this contract shall be released by the contractor without the written permission of the government.

Where automated databases are developed, maintained or regularly updated by the contractor, the Government maintains ownership of all software, manuals, data, data processing, user documentation and any other materials developed by the contractor to manage it. Any software developed to manage or enhance these data must be fully documented and the documentation provided to the Government. Any required transfer of the data will be effected in such a way that the database will be immediately available without interruption.
H.19. OMB CLEARANCE

The Contractor shall not collect or record any information calling for answers to identical questions from more than nine (9) persons or organizations. This approval must be obtained before expenditure of funds or public contacts for the actual acquisition of the information. This applies to questionnaires, electronic transmission requirements, etc., regardless of whether the information collection occurs by mail, person or telephone interview or group interviews (e.g., focus groups). It does not matter whether the response is voluntary or mandatory. Information collection may begin only after the Contracting Officer notifies the Contractor in writing that OMB clearance has been obtained.

Department of Health & Human Services
Centers for Medicare & Medicaid Services
7500 Security Boulevard, Mail Stop C2-21-15
Baltimore, Maryland 21244-1850
heather.robertson@cms.hhs.gov

Acquisition and Grants Group
Division of Beneficiary Support Contracts

Date: May 9, 2006

To: All Potential Offerors

Subject: Medicare Consumer Assessments of Healthcare Providers Survey (CAHPS) Solicitation No. RFP-CMS-2006-0009

H.2 352.224-7 Confidentiality of Information (APR 1984)

a. Confidential information, as used in this clause, mean (1) information or data of a personal nature about an individual, or (2) proprietary information or data submitted by or pertaining to an institution or organization.

b. In addition to the types of confidential information described in a. (1) and (2) above, information which might require special consideration with regard to the timing of its disclosure may derive from studies or research, during which public disclosure of preliminary invalidated findings could create erroneous conclusions which might threaten public health or safety if acted upon.

c. The Contracting Officer and the Contractor may, by mutual consent, identify elsewhere in this contract specific information and/or categories of information which the Government will furnish to the Contractor or that the Contractor is expected to generate which is confidential. Similarly, the Contracting Officer and the Contractor may, by mutual consent, identify such confidential information from time to time during the performance of the contract. Failure to agree will be settled pursuant to the "Disputes" clause.

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

e. Confidential information, as defined in a. (1) and (2) above, that is information or data of a personal nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization, shall not be disclosed without the prior written consent of the individual, institution, or organization.

f. Written advance notice of at least 45 days will be provided to the Contracting Officer of the Contractor's intent to release findings of studies or research, which have the possibility of adverse effects on the public or the Federal agency, as described in b. above. If the Contracting Officer does not pose any objections in writing within the 45-day period, the Contractor may proceed with disclosure. Disagreements not resolved by the Contractor and the Contracting Officer will be settled pursuant to the "Disputes" clause.

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

h. Contracting Officer determinations will reflect the results of internal coordination with appropriate program and legal officials.

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

H.10 Restrictions on the use of Information

The access to and use of data/information under this contract shall be in accordance with FAR clause 52.224-2, Privacy Act.

Any Contractor personnel, consultant, or subcontractor employee having access to Privacy Act covered data/information shall be required to execute a “Statement of Understanding.”

FAR clause 52.224-2, Privacy Act:

PRIVACY ACT (APR 1984)

(a) The Contractor agrees to--

(1) Comply with the Privacy Act of 1974 (the Act) and the agency rules and regulations issued under the Act in the design, development, or operation of any system of records on individuals to accomplish an agency function when the contract specifically identifies--

(i) The systems of records; and

(ii) The design, development, or operation work that the contractor is to perform;

(2) Include the Privacy Act notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation, when the work statement in the proposed subcontract requires the design, development, or operation of a system of records on individuals that is subject to the Act; and

(3) Include this clause, including this subparagraph (3), in all subcontracts awarded under this contract which requires the design, development, or operation of such a system of records.

(b) In the event of violations of the Act, a civil action may be brought against the agency involved when the violation concerns the design, development, or operation of a system of records on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency when the violation concerns the operation of a system of records on individuals to accomplish an agency function. For purposes of the Act, when the contract is for the operation of a system of records on individuals to accomplish an agency function, the Contractor and any employee of the Contractor is considered to be an employee of the agency.

(c)(1) "Operation of a system of records," as used in this clause, means performance of any of the activities associated with maintaining the system of records, including the collection, use, and dissemination of records.

(2) "Record," as used in this clause, means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, education, financial transactions, medical history, and criminal or employment history and that contains the person's name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a fingerprint or voiceprint or a photograph.

(3) "System of records on individuals," as used in this clause means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.