ATTACHMENT_D.6_SAMPLE_TASK_ORDER_FIVE.docx

Statistical Analysis of Form 5500 Data

1. BACKGROUND

The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) administers and enforces the reporting, disclosure, and fiduciary requirements of Title I of the Employee Retirement Income Security Act of 1974 (ERISA). EBSA’s oversight ensures the security of the private-sector, employer-sponsored retirement, health and other workplace related benefits of American workers and their families.

One of the tools used by EBSA to provide such oversight is the Form 5500, which is a disclosure document for plan participants and beneficiaries, and a source of information and data for use by other Federal agencies, Congress, and the private sector in assessing employee benefit, tax, and economic trends and policies. The Form 5500 is part of ERISA's overall reporting and disclosure framework, which is intended to assure that employee benefit plans are operated and managed in accordance with certain prescribed standards and that participants and beneficiaries, as well as regulators, are provided or have access to sufficient information to protect the rights and benefits of participants and beneficiaries under employee benefit plans.

The Office of Policy and Research (OPR) carries out EBSA’s policy responsibilities and activities on behalf of the Assistant Secretary and Deputy Assistant Secretary for Policy. OPR’s products include policy analysis, economic research, and monitoring employee benefits policy related developments and activities. This statistical analysis project will support OPR’s work and EBSA’s goals by improving organizational knowledge of the quality and nature of Form 5500 filings.

2. PURPOSE

EBSA is seeking professional services to assist with statistical analysis of Form 5500 data using SAS. The Contractor shall propose a topic for this data analysis project that will be feasible to complete given time and resource constraints.

The statistical analysis project should help to inform EBSA of data quality issues with Form 5500 and/or to provide new insight on a subcategory of Form 5500 filers. This project project will not require OMB PRA clearance.

3. POSSIBLE RESEARCH QUESTIONS AND OBJECTIVES

Possible data analysis projects include, but are not limited to:

· Assessment of pension or welfare plan data quality of the Form 5500

· In-depth analysis of a subset of pension or welfare plan 5500 filers

· Study of longitudinal Form 5500 filing trends

The Contractor must be capable of creating a stratified random sample of Form 5500 filing or filers. This random sample might be used to assess compliance with the applicable EBSA requirements. EBSA will assess compliance, but the contractor is expected to support EBSA in generating the language of letters sent to filers or sponsors, including generating questions that can help to identify compliance and filing accuracy (e.g., asking a filer to verify the plans is self-insured, even though a Schedule H was not filed). The contractor also shall analyze and summarize the responses that EBSA receives from these activities and generate a compliance estimate. The sampling and filing inquiry aspect of this project will require collaboration with EBSA’s Office of the Chief Accountant (OCA) as well as OPR.

The statistically-based applied research study shall be developed and presented exactly as the Contractor would a proposed task order under an awarded contract.

4. RESEARCH TASKS

Task 1: Project Development Meeting and Summary Memorandum

Within three weeks of the performance period start date, EBSA requests an in-person project development meeting with the Contractor, the COR, and other relevant staff to clarify the project priorities, objectives, scope of work, deliverables, requirements, schedule, and any questions the Contractor may have regarding the project. The project development meeting will allow for a detailed dialogue regarding the key project milestones. The Contractor shall be prepared to present the statistical analysis project topic, as well as discuss any issues pertinent to work plan development.

Within a week following the project development meeting the Contractor shall submit a memorandum summarizing any conclusions or decisions that resulted from the meeting.

Deliverables:

1.2 Meeting: Project Development Meeting, due Week 3

1.3 Memorandum: Summary of Project Development Meeting, due Week 4

Task 2: Project Work Plan

Within three weeks of the project development meeting, the Contractor shall submit a Draft Work Plan to the COR for the project detailing the selected topic for analysis. The plan will include, at a minimum: elaboration of the planned statistical analysis topic, a specified analysis plan, a short summary of the project deliverables/products, and a detailed presentation of the timeline including specific steps to be taken to perform the proposed tasks. The Work Plan Draft will be based on the tasks presented in this Statement of Work as well as other research questions agreed upon and decisions made at the project development meeting. Deadlines and deliverables detailed in this statement of work can be modified if agreed upon by the contractor and EBSA/OPR.

The Work Plan shall list all of the research questions that the project will address and shall map each research question to the deliverable(s) that will address that research question.

Within one week of receiving comments from the COR, the Contractor shall submit the Final Work Plan to the COR for final approval.

Deliverables:

Task 3: Sampling and Data Collection

The Contractor shall compile, cleanse, and format the Form 5500 data needed for the sampling portion of project. The Contractor must use SAS coding for data manipulations, and share the final codes with EBSA. Upon using the compiled Form 5500 filings to establish a population of filers/filings, the Contractor shall draw a sample and submit a sampling plan memo, which shall include:

· the definition of the target population, the unit of observation, the stratum (if applicable), and the sample sizes for the sampling design;

· power calculations for major components of the analysis as outlined in the Work Plan.

The Contractor must also be prepared to issue replacements and track filer responses. Any contact with filers or sponsors, including inquiries and follow-ups, will be done by EBSA.

Deliverables:

Task 4: Response Tracking and Analysis of Form 5500 Data

In collaboration with OCA, the Contractor shall track responses from Form 5500 filers as they come in. The collection of responses shall take no more than 6 months. The Contractor shall then analyze the responses received from sampled Form 5500 filers to answer the research questions posed in the Work Plan.

Deliverables:

Task 5: Monthly Progress Reports and Ongoing Communication

Each month the Contractor shall prepare a Progress Report, memorandum to be conveyed to the COR via e-mail, documenting the progress of the contract. Each report shall include language summarizing (1) specific work done to accomplish tasks during the previous month, (2) specific milestones and deliverables due in the past month (specifying whether they were met and, if not, the revised completion date), (3) problems encountered during the previous month, (4) work anticipated in the coming month, (5) a list of deliverables invoiced in the previous month, and (6) any budgetary or substantive issues requiring the COR’s action.

In addition to these written monthly reports, the contractor is expected to communicate informally, by phone and e-mail, with the COR as needed and in accordance with agreements made at the Initial Meeting for the project.

Deliverables:

5.1 Memo: Monthly Progress Reports, due on the 15th of each month during the performance period

5. PAYMENT TYPE AND PERIOD OF PERFORMANCE

EBSA proposes a 12 month, non-severable, firm fixed price contract with progress payments. The period of performance will begin on the date of award.

6. CONTRACTOR-FURNISHED PERSONNEL

Except for those items or services specifically stated as government furnished, the Contractor must furnish all supplies, equipment and personnel needed to perform this contract according to all its terms.

Required Personnel The Contractor must provide the necessary personnel to accomplish each task listed in the statement of work. Required time commitments and qualifications for one key personnel position is identified below.

Project Director (PD)- The PD must have a minimum of five (5) years experience in performing social science research and a minimum of five (5) years experience serving as a project director or in an equivalent position in project management and a minimum of a master’s degree.

OPR anticipates that the successful completion of this project will require the services of people who will provide, individually or in combination, the following expertise and specialties. It is possible for one member of the Contractor’s staff to cover multiple key personnel roles.

Subject matter expertise in survey statistics and sampling methodology, Experience in statistical analysis, preparing statistical reports, and generating documentation of underlying statistics, Experience in summarizing and analyzing Form 5500 data collected by the Department of Labor as well as the EBSA Form 5500 Research Files, Experience in analyzing data relevant to employer provided benefit plans, Experience with SAS data sets and the SAS programming language.

7. GOVERNMENT-FURNISHED MATERIALS and SERVICES

The resources available to the Contractor include:

Government Provided Information:

Relevant Form 5500 data

Government Staff available to work with contractor:

8. Products, Tasks, Services and the Standards for Success

The contractor must provide all personnel, equipment, tools, materials, supervision, and other items and services necessary to perform this statistical analysis project, as defined in this statement of work. The contractor must provide the deliverables and perform the services listed below to the standards that are included below:

Monthly Progress Reports

a. Must include:

(1) specific work done to accomplish tasks during the previous month,

(2) specific milestones and deliverables due in the past month (specifying whether they were met and, if not, the revised completion date),

(3) problems encountered during the previous month,

(4) work anticipated in the coming month,

(5) a list of deliverables invoiced in the previous month, and

(6) any budgetary or substantive issues requiring the COR’s action

b. The monthly reports shall be submitted in MS Word.

c. The first such report will be due on November 15, 2013 and subsequent reports will be due on the 15th of each month for the duration of the performance period.

· Detailed description of planned statistical analysis topic

· Timeline linking tasks and deliverables to specific dates

· Detailed list of information or assistance needed from DOL

b. Must be provided within 6 weeks of the performance period start date in MS Word.

c. Must set forth a realistic timetable of tasks leading to implementation of the analysis project.

d. Must be agreed to by the COR.

Memoranda/Reports:

- Sampling Plan Memo

- Response Status Memo

- Filer Response Analysis

a. Must include detailed information defined in the task descriptions in Section D.

b. Must be written in proper “business English” without grammatical or typographical errors.

c. Must be submitted to COR electronically in MS Word and according to schedule above.

d. Must accurately describe the statistical significance of estimates.

e. Must accurately describe the applicable regulatory conditions, if relevant.

f. Statements and conclusions must be supported by evidence well-founded and unbiased.

b. Must demonstrate at any given time the response rate of the sampled filers

c. Must be maintained in a format mutually agreed upon by COR and Contractor

b. Must be submitted in a format mutually agreed upon by OCA, COR, and Contractor.

c. Must have been created with the appropriate statistical methods.

This task supports the submission of a Work Plan and schedule

b. Analysis must be free of errors.

c. Report uses appropriate statistical techniques to identify confidence intervals and/or conduct hypothesis testing for the main estimates.

b. Led by the Contractor’s project director, and other key staff as appropriate

Briefings:

- Initial Population Characteristics

- Draft Analysis of Responses

- Final Analysis of Responses

a. Occur according to the schedule of deliverables.

b. Led by the Contractor’s project director, and other key staff as appropriate.

c. Materials and hand-outs are submitted to the COR for approval three business days prior to briefing.

d. At in-person briefings, hard copies of the briefing slides and other materials are provided by the Contractor at the briefing.

Schedule of Deliverables

9. DOL DATA RIGHTS AND RESTRICTIONS ON CONTRACTOR’S USE OF DATA

Except for particular Task Orders issued under the contract, which may specify different DOL license requirements, the FAR 52.227-17 Rights in Data – Special Works will govern DOL’s rights of use in deliverables, including data sets, under this contract. Essentially, the Contractor grants to DOL, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license to copy, distribute, prepare derivative works, and perform and display publicly, by or on behalf of the Government, all deliverables, including those first-produced and those not first-produced by the contractor under the contract, except as otherwise agreed upon between the Contractor and Contracting Officer, or as otherwise provided for by this FAR clause.

This Sample Task Orders will fall into the category of Type C studies. The following specific restrictions will apply to the Contractor’s use of certain deliverables and related data/information:

· For Type C studies, such as programmatic studies and/or research supporting policy work, the Contractor agrees not to disclose, distribute, or publish such deliverables, including work products developed in connection therewith, in any format, whether orally or in writing, nor authorize others to do so, without the prior written permission of the Contracting Officer or until the time that DOL releases, distributes, or publishes such deliverables publicly.

During the period of performance, the Contractor agrees to notify the Contracting Officer of publications it creates for public access (e.g. articles in academic journals, news release, website articles) that are based on the work it performs under this contract.

Some information and data provided by DOL to the Contractor for its performance of the contract may contain confidential information that, due to requirements of the Privacy Act of 1974 and/or other federal laws, will be prohibited from being disclosed or used by the Contractor outside the terms of the contract. DOL shall clearly mark such information and/or data prior to providing it to the Contractor and may require that Contractor execute a Nondisclosure Agreement in connection with such information.

The FAR 52.227-16 Additional Data Requirements shall govern situations in which DOL may require the delivery of additional data produced or used in performance of this contract. Essentially, the Contracting Officer may, at any time during contract performance or within a period of 3 years after acceptance of all items to be delivered under this contract, order any data first produced or specifically used in the performance of this contract. DOL’s rights in such data shall be governed by the Rights in Data – Special Works, as discussed in the first paragraph, above.