FBO_2017_NDI_STATES.docx

Statement of Work

TITLE: Information to Establish, Maintain, and Operate the National Death Index (NDI)

I. BACKGROUND

In February 1977, a working group was established to develop plans and procedures for implementation of a National Death Index. Such an index would provide legitimate scientific researchers with the means to determine whether individuals in their research study had died. The working group, consisting of representatives of States' vital statistic systems, data users, and NCHS staff, was charged with developing specific recommendations regarding data sets to be used for indexing and searching; data to be provided to users; operating procedures; user eligibility; criteria for matches; and an operating protocol.

The need for a National Death Index has been recognized for many years. This need has expanded rapidly in over the years because of the development of a number of national programs requiring follow-up of individual subjects until death, such as studies of degenerative diseases, environmental studies, research on occupational health, and the impact of certain life styles on health. The work group determined that the need for establishing a National Death Index is of high priority in meeting research needs at practical costs in dollars, time, and resources, and recommended an overall concept for a National Death Index and an operational protocol for developing and operating a National Death Index system.

II. PURPOSE

The purpose of this contract is to continue collection of information and data for the National Death Index and to assure the qualitative reliability and timely availability of those data for the upcoming performance period.

III. SCOPE OF WORK

The Contractor shall furnish the necessary personnel, materials, services, and facilities, to establish, maintain, and operate an information system to extract selected death record information for the principal months of registration of 1 January 2017 through 31 December 2017. The Contractor shall include the information submitted specifically for the National Death Index (items in Section IV.1. below) with the demographic death record when submitted for the Vital Statistics Cooperative Program (VSCP). The NDI, demographic, and cause of death information will be extracted by the National Center for Health Statistics (NCHS) for its use in maintaining the National Death Index (NDI) file. The National Death Index file will be used to determine the fact of death, date of death and cause (s) of death for specific individuals included in medical and health research projects and studies.

IV. TASKS TO BE PERFORMED

During the performance of the contract and utilizing the specifications provided by NCHS, the contractor shall provide an estimated total of _______(different for each state) records on the data file, and the Contractor specifically shall:

1. Collect and maintain the following specific items of information and operate a data system which will provide to NCHS data files containing these items on a periodic basis. Items listed in bold text are collected solely for the National Death Index; data items will be stripped from the VSCP data file and for inclusion in the NDI database.

a. Place of Death - State, County

b. State File Number

c. Name of Decedent - Last Name, First Name, Middle Initial

d. Name - Alias or Cross Reference Indicator

e. Sex

f. Date of Death - Month, Day, Year

g. Race

h. Age at Death - Unit, Number of Units

i. Date of Birth - Month, Day, Year

j. State of Birth

k. Social Security Number

l. State of Residence

m. Father's Surname

n. Marital Status

o. Multiple and underlying cause of death

Data files are to be delivered in the specified NCHS format and detail in coordination with related demographic data using the CDC Secure Access Management System (SAMS) or the State and Territorial Exchange of Vital Events (STEVE).

2. Provide to NCHS a data record for each death registered in the state vital statistics office for the principal months of January 2017 - December 2017 including delays and any corrections that are requested for records previously submitted. Prior data year records that are registered after the state's annual statistical cutoff are to be submitted on an electronic form (image or separate data file) or, with prior approval, on paper copy.

3. Provide a replacement file for any shipment not meeting accuracy or completeness requirements (if any).

4. Query each death record in accordance with the State's query program and guidelines that will be provided by NCHS during contract performance to improve the completeness and accuracy of statistical data. Guidelines can be found at http://www.cdc.gov/nchs/data/dvs/Instruction_Manual_revise20_2013.pdf.

5. Develop and carry out quality control procedures designed to identify and control error in creating data files. Operating procedures must ensure an end product with no more than 1.0 percent coding and transcript error.

6. Prepare a data file (NDI data shall be submitted with VSCP data) to record all items specified above for each death registered during the period covered by the contract.

7. Provide NCHS with detailed data file format and coding procedures for selected items of information. These documents shall be consistent with NCHS item and code structures that will be furnished to the Contractor by NCHS prior to data file preparation by the States.

8. The Contractor shall prepare and submit a replacement data file, at no additional cost to the Federal Government, when files fail to meet prescribed specifications and characteristics on accuracy, format, or record completeness. Corrected records shall be provided for as long as the State updates computer records for its own use.

V. GOVERNMENT FURNISHED MATERIALS

No government materials will be furnished.

VI. PERIOD OF PERFORMANCE

The performance period will be from April 16, 2017 through April 15, 2018 for data months of January 2017 - December 2017.

VII. DELIVERABLES

The Contractor shall submit to the Data Acquisition and Evaluation Branch, Division of Vital Statistics, NCHS, P.O. Box 12214, Research Triangle Park, North Carolina 27709, the following items:

Procedures for coding selected items and data file format and layout for calendar year 2017.

Include NDI data items with the VSCP data file. File shall contain records for events occurring in each principal month of registration including belated records, alias records, and each principal correction received in the State office for any data year from 1979 forward.

Principal Months: January 2017 - December 2017.

VIII. CONTRACTING OFFICER’S REPRESENTATIVE

is hereby designated as the Contracting Officer’s Representative (COR) for this contract. The COR is responsible for guiding the technical aspects of the project.

The COR shall not make any commitment or authorize any changes which affect the contract price, terms, or conditions. Any such changes shall be referred to the Contracting Officer for action.

IX. PAYMENT TERMS (note if and how partial payments are authorized)

As consideration for full performance of the work stated under section IV. TASKS TO BE PERFORMED, the Government shall pay the Contractor the firm fixed price of _________. Partial payments are authorized.

The number of records identified in IV. are estimates only and are not purchased hereby and is based on the previous closed data year. In no event will the Government be obligated to pay for records received when such payment would require funds in excess of the total funds available as set forth on the face page of this purchase order. Payment shall not be made for duplicate records received to either replace records in error; payments are based on the previous closed data year counting only unique death certificate numbers received. This amount is payable upon receipt and acceptance, by the Government, of those items specified in IV.

Copies of invoices must be submitted to NCHS, Office of Acquisition Services (OAS), and Financial Management Office (FMO) using CDC form number SF 1034 (Public Voucher for Purchases and Services Other Than Personal). The form can be located at www.gsa.gov; select Forms Library then Standard Forms (SF) tab and scroll down the list. The following information is required for the invoice to be accepted: contract number, tax identification number, DUNS number, invoice/voucher number, contract line item number (CLIN) for each line item, data months, and date invoice was prepared. Invoices can be submitted via mail, email, or fax using the information provided below.

In order to ensure prompt payment, we suggest that you submit a copy of each invoice directly to the NCHS COR and Contracting Officer or Contract Administrator concurrently with submission to the Financial Management Office (FMO). It saves time, postage, and speeds up the payment processing by emailing the invoices to the 3 listed email addresses below:

1. Financial Management Office (FMO) Email: FMOAPINV@CDC.GOV Fax: 404-638-5324

Again, invoices must be concurrently submitted to NCHS, OAS, and FMO.

X. MINIMUM VENDOR QUALIFICATIONS

The States have demonstrated their ability and willingness to meet NCHS specifications and requirements for this type of procurement through past performance in which all States, District of Columbia, New York City, Puerto Rico, and the Virgin Islands are participants.

XI. Special Contract Requirements

Cybersecurity Enhancement Act of 2015 Transmissions across the internet into Federal information systems are monitored for cybersecurity purposes in accordance with the Cybersecurity Enhancement Act of 2015 (6 U.S.C. §§ 151 and 151 note).

1. Rights to Data The data obtained under this contract will be abstracted from vital records filed under the laws and regulations of the individual States. No restrictions may be placed upon the Contractor's right to publish or disseminate information acquired under this contract.

2. Confidentiality of Contractor Provided Data Pursuant to the Public Health Service Act (42 USC 242m.), Section 308(d), and regulations of the Secretary, the Government assures the Contractor that: (1) the information obtained under this contract will be used only for statistical research and reporting purposes by the National Center for Health Statistics and other purposes agreed to in writing by the contractor, and (2) information obtained under this contract shall not be published or released in other form if the particular establishment or person supplying the information or identified in it is identifiable unless consented to in writing by the Contractor.

It is understood that the Contractor hereby provides NCHS permission to link the VSCP and NDI files for its own projects without further State approval, provided that no identifiable data are released or used for other than statistical tabulations.

All such projects shall meet the following criteria:

a. Data used in the NDI file search shall have been collected by NCHS under NCHS’s own legislative authority, and shall be subject to NCHS’ assurances of confidentiality. Applications for the NDI search shall be filed by NCHS, and all criteria for the use of NDI shall apply.

b. No identifying data (e.g., names, addresses, social security numbers, death certificate numbers) shall be released outside of NCHS except as approved by the NDI Advisors. No follow back shall be conducted on the basis of the NDI search or any death record information without the consent of the State NDI Advisors. NDI Advisors can require the researcher to go through full NCHS/State review because of the researcher’s desire to follow-back to the next of kin based on information found in the NDI search. This full review will have to be done prior to the NDI search being undertaken.

c. No other agency, organization, or individual shall have exclusive rights to any of the data produced on the basis of the NDI search or the linkage of the VSCP and NDI files. Such data shall be in the public domain and shall be released by NCHS in the form of public-use data tapes, published and unpublished tabulations, reports, articles, and papers. All such tapes, tabulations, reports, articles, and papers shared outside NCHS shall meet NCHS standards on confidentiality.

d. All statistical data released by NCHS shall be subject to NCHS’s usual standards with regard to privacy and confidentiality as outlined in the NCHS Staff Manual on Confidentiality.

The Contractor also provides NCHS permission to link the birth and death VSCP files using Contractor supplied linkage information.

In all other situations, NCHS must seek State permission before linking files containing data obtained under the VSCP contracts. Payment for these uses is negotiable.

3. Vital Statistics Data Release Policy for Public and Non-Public Micro-data Files

This policy provides detailed information on the content and dissemination of micro-data files on births, deaths, fetal deaths, linked birth/infant death and matched multiple births from the Division of Vital Statistics (DVS). DVS policies outlined here are consistent with CDC and NCHS policies to make data available as widely as possible while protecting respondent confidentiality and assuring data quality.

DVS Policy on public use micro-data files (PUMF)

Beginning with the 2005 data year, public use micro-data files will contain individual-level vital event data at the national level only with no geographic identifiers (no State, county, or city identifiers) or exact dates. DVS public use files will generally include all other items and detail from the vital record with the exception of geography and exact date and will be available for births, deaths, fetal deaths and linked birth/infant deaths.

a. Beginning with the 2005 data year, the public use micro-data files will contain individual-level vital event data at the national level only with no geographic identifiers (no State, count, or city identifies) or exact dates. DVS public use files will generally include all other items and detail from the vital records with the exception of geography and exact date and will be available for births, deaths, fetal deaths and linked birth/infant deaths.

b. For data years prior to 2005, the public use micro-data files for births and deaths only will contain geographic identities of counties, cities and metropolitan areas with a population of 100,000 or greater. For fetal deaths and linked birth/infant death events, micro-data files prior to 2005 contain geographic identifiers only for counties, cities and metropolitan areas with 250,000 or greater population. Exact day of births and deaths are excluded from micro-data files for births, deaths, fetal deaths and linked birth/infant deaths prior to 2005.

c. Matched multiple births files from all data years exclude geographic identifiers and exact date of births and deaths.

d. Public use data releases are made in addition to the publication of DVS final annual reports on births, deaths, fetal deaths and multiple deaths. Final report publication and data release dates vary from year to year following receipt and processing of complete data from the states and other registration areas.

e. Public use micro-data files are available and can be downloaded by using the standard procedures to request vital statistics public use files found on the DVS website (http://www.cdc.gov/nchs/data_access/ftp_data.htm)

DVS Policy on release of non-public use micro-data files (NPUMF) to Federal agencies

a. Customized micro-data files containing geographic detail and exact dates are made available for births, deaths, fetal deaths and linked birth/infant deaths under the following circumstances:

1.The federal agency provides a project proposal for review and approval.

2. The requested data items do not contravene laws, regulations, or other legal requirements of jurisdictions that prohibit release of the data items in micro-data format.

3. The federal agency provides a signed Data User Agreement in which the data user agrees to all conditions of use for the data.

4. Federal agency contractors may use a data file only for the purpose stated in the contract scope of work.

5. The federal agency returns the micro-data files to NCHS within one year unless renewal is requested and approved.

b. Project proposals shall be submitted by letter, email or fax to the Director of Vital Statistics. The proposal shall include a complete description of the proposed use of the data, including the exact data items being requested, why the non-public use data items are needed, who will be utilizing the data, and project time frames. The Director will acknowledge receipt of the request.

During the review process, the individual making the request may be contacted by the Director or his delegate for clarification or to obtain additional information. If a request is denied, the Director will provide written notification to the individual making the request.

c. If the project proposal from the federal agency is denied, alternative access may be available through the NCHS Research Data Center (RDC) which has specific procedures to follow for controlled access to micro-data files. Use of the RDC entails costs to the data requestor. Specific RDC policies and procedures are detailed at the following website:

http://www.cdc.gov/rdc/index.htm

DVS Policy on release of non-public use micro-data files (NPUMF) to nonfederal Researchers

a. Customized micro-data files containing geographic detail, but not exact dates, are made available for births, deaths, fetal deaths and linked birth/infant deaths under the following circumstances:

1. The non-federal researcher provides a project proposal for review and approval.

2. The requested data items do not contravene laws, regulations, or other legal requirements of jurisdictions that prohibit release of the data items in micro-data format.

3. The non-federal researcher provides a signed Data User Agreement in which the data user agrees to all conditions of use for the data.

4. The non-federal researcher returns the micro-data files to NCHS within one year unless renewal is requested and approved.

b. Project proposals should be submitted by letter, email or fax to the Director of Vital Statistics. The proposal should include a complete description of the proposed use of the data, including the exact data items being requested, why the non-public use data items are needed, who will be utilizing the data, and project time frames. The Director will acknowledge receipt of the request.

During the review process, the individual making the request may be contacted by the Director or his delegate for clarification or to obtain additional information. If a request is denied, the Director will provide written notification to the individual making the request.

c. If the project proposal from the non-federal researcher is denied, alternative access may be available through the NCHS Research Data Center (RDC) which has specific procedures to follow for controlled access to micro-data files. Use of the RDC entails costs to the data requestor. Specific RDC policies and procedures are detailed at the following website:

(www.cdc.gov/nchs/data/GuidelinesRDC11-8-05.pdf)

d. Non-federal researchers requesting micro-data with exact dates are required to use the NCHS Research Data Center following the policies and procedures outlined above and at the RDC website.

4. Privacy Act Applicability (Mar 1998)

Notification is hereby given that the Contractor and its employees are subject to criminal penalties for violation of the Privacy Act to the same extent as employees of the Government. The Contractor shall assure that each of its employees knows the prescribed rules of conduct and that each is aware that he or she can be subjected to criminal penalty for violation of the Act. A copy of 45 CFT Part 5b, Privacy Act Regulations, will be provided by the Government under separate cover