A09_-_Performance_Work_Statement_-_HHI_2014_Survey.DOCX

OFFICE OF MUSEUM SERVICES

Data Files and Documentation for the Heritage Health Information (HHI) Survey: 2014

Performance Work Statement

Institute of Museum and Library Services

Description of Services

Scope of Work

The Contractor shall provide data analysis and reporting services of research conducted under the Heritage Health Information (HHI) Survey of 2014.

Background

The Institute of Museum and Library Services (IMLS) is the primary source of federal support for the nation's 123,000 libraries and 35,000 museums. The Institute's mission is to inspire libraries and museums to advance innovation, lifelong learning, and cultural and civic engagement. We provide leadership through research, policy development, and grant making. To learn more about the Institute, please visit www.imls.gov.

As part of a cooperative agreement with Heritage Preservation, the Heritage Health Information (HHI) Survey was conducted in 2014. Shortly after the completion of data collection, Heritage Preservation dissolved its operations, effective June 30, 2015. Completion of the HHI project requires data post-processing and analysis tasks as outlined below to allow the public availability of datasets and to create a foundation for both detailed and summary reports on the survey to be made available to the public.

Task 1: Data Post-Processing and Analysis

The Contractor shall prepare data files that meet the quality standards of the federal government in specified formats. Documents shall be in common formats (specified as SAS, SPSS, and CSV, and with assigned labels and format values. Quality standards are available here:

https://www.whitehouse.gov/omb/fedreg_final_information_quality_guidelines/

The Contractor shall prepare documentation to accompany the data files which provides all the information necessary to understand the data files, to include study methodology and information about the data files. The Contractor shall write all documentation in plain and unambiguous language and containing a full description of the methodology used to conduct the survey. The Contractor shall model the construction of the data files (i.e., restricted- and public-use) and documentation after those of similar federal surveys using complex sample designs. A good example would be the NCES School Survey on Crime and Safety (SSOCS). It is a stratified sample of institutions. The information on the survey (with files and documentation) is here: https://nces.ed.gov/surveys/ssocs/

The Contractor shall perform the following data post-processing and analysis support:

1.3.1 Identify, document, and resolve data-related issues in the data files, such as missing or anomalous data.

1.3.3 Conduct statistical analyses and procedures required to create the final data files, including checking, editing, imputation, and nonresponse analysis.

1.3.4 Provide post-processing of data files that meet or exceed industry and federal government standards, to include the preparation of composite variables, calculation of sample weights, assignment of flag variables, and imputation of missing data.

1.3.5 Append data files with sample weights calculated to adjust estimates to correct for the complex sampling frame. The Contractor shall calculate a minimum of one weight for the 2014 survey.

1.3.19 Provide post-collection enhancements to the file, to include geocoded information (e.g., latitude, longitude). Whenever possible, the Contractor shall provide enhancements to the file that use existing Federal agency practice or standard codes, such as Federal Information Processing Standards (FIPS) codes for states and counties. FIPS codes are available here:

https://www.whitehouse.gov/sites/default/files/omb/bulletins/2013/b-13-01.pdf http://www.census.gov/population/metro/data/metrodef.html http://quickfacts.census.gov/qfd/meta/long_fips.htm

The Contractor shall include, at a minimum: latitude, longitude, Congressional district, FIPS State codes, FIPS County codes, metropolitan and micropolitan statistical area (MSA) status.

1.3.20 Impute missing values on the file using current and scientifically valid methods approved for use in federal statistical surveys, including multiple imputation and hot-decking (see OMB Standards and Guidelines https://www.whitehouse.gov/sites/default/files/omb/inforeg/statpolicy/standards_stat_surveys.pdf). The Contractor shall provide flags on the data files to indicate imputed values.

1.3.x Create flag variables to indicate respondent status for sections within the questionnaire. For example, for respondents who responded to Sections A-J (n = 1,384), there would be a flag to indicate this response.

1.3.x Provide the Agency with Internal Use Datafiles in multiple formats, to include SAS, SPSS, and CSV. The data files shall include variable labels and formats appropriate for the file type. The Contractor shall provide files that include all variables from the data collection and the post-processing within a single file.

1.3.5 Provide the Agency with Restricted Use Datafiles (RUD) in multiple formats, to include SAS, SPSS, and CSV. The data files shall include variable labels and formats appropriate for the file type. The Contractor shall provide files that include all variables from the data collection and post-processing within a single file. The RUD shall include data from respondents to the survey, but not to include data from ancillary collections (e.g., the non-response bias follow-up study).

1.3.6 Provide the Agency with Public Use Datafiles (PUD) in multiple formats, to include SAS, SPSS, and CSV. In the construction of the PUD, the Contractor shall suppress variable fields as specified by the Agency. The data files shall include variable labels and formats appropriate for the file type. The Contractor shall provide files that include all variables from the data collection and post-processing within a single file. The PUD shall include data from respondents to the survey, but not to include data from ancillary collections (e.g., the non-response bias follow-up study).

1.3.7 Provide the Agency with a tool or method that will allow data users to assign formats and labels to the data files in a variety of data formats. The Contractor shall deliver such a tool or method for each file format (e.g., SAS). For example, SAS code with value labels and format assignment statements would meet this requirement for the SAS data format. This code could be executed in a specific environment (e.g., SAS editor) to assign formats and value labels.

1.3.8 Provide the Agency with documentation for the datafiles, to include, at a minimum, a description of the study methodology (including study design, sampling, data collection, and post-processing, non-response bias analysis), information on the calculation of weights, guidance on using the data, questionnaires, item response rates, file layouts, and codebook.

1.3.22 Prepare all data products (data files and documentation) in accordance with federal standards and guidelines, as outlined in the following documents:

· OMB Standards and Guidelines for Statistical Surveys (with emphasis on Section 7), found online at http://www.whitehouse.gov/sites/default/files/omb/assets/omb/inforeg/statpolicy/standards_stat_surveys.pdf;

· Checklist on Disclosure Potential of Proposed Data Releases, found at: http://www.fcsm.gov/committees/cdac/cdac.html; and

· Statistical Policy Working Paper 22 (Second Version, 2005) Report on Statistical Disclosure Limitation Methodology, found online at: http://www.fcsm.gov/working-papers/SPWP22_rev.pdf.

This methodology requires that the Contractor test and certify datasets as “clean,” meaning that it followed and met all of the procedures and requirements outlined by OMB and the IMLS Statistical Standards, and that it performed data suppression or conversion on data that posed a risk of disclosure. The Contractor shall apply techniques, such as data suppression rules, in order to maintain the confidentiality of any sensitive information or information that might pose a disclosure risk, including information pertaining to individuals or organizations.

1.3.x Match the records on the 2014 data file to the same institution’s records on the 2004 data file. The Contractor shall create a unique ID to append to both files with the purpose of linking the two data files (2004 and 2014) for cross-collection comparisons.

1.3.x Calculate a minimum of one weight for the panel data for the 2004 and 2014 cohort. The Contractor shall include these weights in the 2014 data file.

Schedule

The Contractor shall:

1.4.1 Deliver restricted user data files (RUD) to the Agency for review no later than 45 days after the start of the contract.

1.4.2 Deliver public user data files (PUD) to the Agency for review no later than 10 days after the approval of the RUD.

1.4.2 Deliver a tool or method of assigning formats to the RUD at the same time as the RUD.

1.4.3 Deliver a tool or method of assigning formats to the PUD at the same time as the PUD.

1.4.4 Deliver a draft of the data file documentation report to the Agency for review no later than 30 days after the start of the contract.

General Constraints

1.5.1 Security and Confidentiality Training: All Contractor project team members and subcontractors who work directly with the data and thereby need access to confidential information under this contract shall be required to show that they have either completed a human subjects training course in the past five years or take the free, online course offered by the National Institutes of Health, Protecting Human Subject’s Participants, at: http://phrp.nihtraining.com/users/login.php . Verification of training or course completion shall be delivered to the IMLS COR prior to individual personnel working on any project-related data task. Certification shall be kept up-to-date, with no more than five (5) years elapsing since the most recent human subjects training. All Contractor project team members and subcontractors who work directly with the data shall have a signed IMLS Confidentiality and Nondisclosure form on file. All Contractor project team members and subcontractors, regardless of whether or not they work with the data, shall have a signed IMLS Conflict of Interest form on file. See Addendum C, Section ________.

1.5.2 Privacy and Confidentiality: The Contractor shall not release any personally identifiable information (PII: e.g., name, telephone number, responses) or data collected from the respondents, either as provided by IMLS or as collected by the Contractor, to any individual or entity other than IMLS. In addition, data collected are subject to confidentiality laws. Although the data are not classified, they are confidential information and the Contractor shall protect them from any unauthorized disclosure so that an individual’s privacy as well as business proprietary information is protected. The Contractor shall comply with all IMLS policies regarding privacy and confidentiality. Refer to Addendum C, Section _______.

1.5.4 Section 508: The Contractor shall meet all requirements set forth in Section 508 Standards Accessibility Requirements. See Addendum B, Section ____.

1.5.5 Acceptance: After receipt of deliverables, the COR will have the right to reject or require correction of any deficiencies found in deliverables within the timeframe specified in the Task Order. In the event of rejection of a deliverable, the COR will notify the Contractor in writing as to the specific reason why the deliverable is being rejected. Deficiencies (major or minor) include:

· Major Revisions include content additions and deletions, substantial reorganization of report contents including moving material into appendices and attachments, adding explanatory charts and figures, replacing several paragraphs that the Contractor poorly worded or may be misread, and similar corrections. The Contractor must correct Major Revisions within a specified number of working days of notice by the Government, as defined in the Task Order.

· The agency considers Minor Revisions as essentially editorial and may request these changes orally. They include such items as typographic errors, formatting (e.g. failure to use an appropriate table of contents, lack of page numbers and dates, graphics too small to be readable), poor writing style and similar. The Contractor must correct Minor Revisions within five working days of notice by the Government.

For deliverables, the Contractor shall anticipate an initial review time of two weeks. The Contractor shall anticipate a minimum of two rounds of two weeks of review for each deliverable (one round for the initial review, and a second to confirm the Contractor’s major or minor revisions), or four weeks total. However, the Contractor shall anticipate an initial review of the data documentation will take three weeks, with a subsequent review of two weeks, or five weeks total.

1.5.6 Deliverable Data Rights: All work papers and deliverables produced by the Contractor in performance of this contract are the property of agency. Moreover, the Contractor must consider all reports and other documents produced as sensitive but unclassified (SBU) special works (see FAR 52.227-17, Rights in Data–Special Works) and must appropriately protect those reports and documents, unless otherwise designated by the COR.

The Contractor must not release to anyone outside the Contractor’s organization any unclassified information, regardless of medium (e.g., film, tape, document) pertaining to any part of this contract or any program related to this contract, unless:

(a) The Contracting Officer has given prior written approval. The Contractor agrees to include a similar requirement in each subcontract under this Contract. Subcontracts shall submit requests for authorization to release through the prime Contractor to the Contracting Officer; or

(b) The information is otherwise in the public domain before the date of release.

The Contractor must submit all deliverables in an accessible format (see Addendum B, Section ____).

HHI 2014 Data Analysis and Reporting

Attachment ____

IMLS CONFIDENTIALITY AND NON-DISCLOSURE TERMS

Heritage Health Information (HHI) Survey: 2014 (IMLS Contract No. IMLS-______________)

In accordance with the Privacy Act of 1974 and other applicable privacy and confidentiality laws, as amended, the Contractor and its employees, subcontractors, agents, representatives, and consultants (“Contractor Party” or “Contractor Parties”) must take all necessary steps to protect individual privacy and proprietary information.

All Contractor Parties who have access to, receive, or develop information, data, and/or materials, related to the Heritage Health Information Survey of 2014 (“Study”) under the above contract between IMLS and the Contractor shall be bound by these Confidentiality and Non-Disclosure Terms (the “Terms”). “Confidential Information” does not include any information that is now public or that independently becomes public, or any information that is known to the undersigned Contractor Party prior to signing these Terms.

Confidentiality:

a. All Contractor Parties who would have access to Confidential Information must sign and comply with these Terms. The Contractor shall forward to IMLS a copy of these Terms after signature by each Contractor Party and before Confidential Information is provided to such Contractor Party.

b. Each facility and/or site where Confidential Information may be processed or maintained by any Contractor Party shall be locked and secured at all times (“Authorized Site”).

c. All Confidential Information stored or created in electronic or hard-copy format by any Contractor Party shall be maintained in secure and protected files in an Authorized Site.

d. All electronic files containing any Confidential Information on network or multi-user systems shall be under strict control of a Contractor database manager with access restricted to Authorized Contractor Staff.

e. All electronic files containing any Confidential Information on single-user computers shall be password protected with access restricted to Authorized Contractor Staff and all such machines shall be locked and maintained in an Authorized Site when not attended by Authorized Contractor Staff.

f. External electronically-stored data files (e.g., tapes on diskettes) containing any Confidential Information shall be maintained in a locked storage device in an Authorized Site when not attended by Authorized Contractor Staff.

g. Data or copies of data containing any Confidential Information shall not leave IMLS or any Authorized Site for any reason without prior permission from the IMLS Contracting Officer’s Representative.

h. Contractor Parties shall not copy, reproduce, or otherwise reduce to writing any part of the Confidential Information except as necessary to accomplish the Study objectives.

i. Within thirty (30) days after completion of a Contractor Party’s Study-related activities, the Contractor Party shall return to IMLS all Confidential Information, whether in hard-copy or electronic format, and all copies thereof, that the Contractor Party received from IMLS in the course of the Study.

j. To the extent consistent with these Terms and applicable law, the safeguarding of all Confidential Information by the Contractor and Contractor Parties shall adhere to the Contractor’s standard data safeguarding practices.

3. Contractor Parties shall take all necessary steps to ensure that the letter and intent of all applicable law, guidelines, and these Terms are enforced at all times through appropriate qualifications standards for all personnel working on the Study and through adequate training and periodic follow-up procedures.

I hereby agree to comply with these Terms and to adhere to all safeguards that have been, or will be, developed to maintain such confidentiality. I fully understand the confidential nature of the Confidential Information, that I am prohibited from disclosing any Confidential Information to anyone other than IMLS staff and Authorized Contractor Staff, and that my access to, receipt of, and development of, Confidential Information is for the sole purpose of accomplishing the Study’s objectives. I understand that all materials or media that contain Confidential Information, and all copies thereof, shall remain the exclusive property of IMLS and I agree that I will not disclose any Confidential Information in violation of these Terms and/or applicable law.

These Terms shall survive the termination of the Study. If any provision is held to be too broad to be enforced, it shall be construed to create an obligation to the fullest extent allowable. These Terms shall not be assigned. These Terms constitute my understanding of the confidentiality and non-use of the Confidential Information and shall be binding upon my heirs and successors.

IF CONTRACTOR EMPLOYEE:

Printed Name Title

IF OTHER CONTRACTOR PARTY:

Printed Name Title and Company Name (if applicable)

Attachment ____

CONFLICT OF INTEREST TERMS

Heritage Health Information (HHI) Survey: 2014 (IMLS Contract No. IMLS-______________)

No Conflict of Interest: I affirm that I have no commercial, family, or social relationship that would: (i) cause me to be less than objective in participating in activities related to the Heritage Health Information Survey of 2014 (“Study”) under the above contract between IMLS and the Contractor, or (ii) cause a reasonable person to conclude that my participation would present an actual or apparent conflict of interest.

I hereby agree to comply with these Conflict of Interest Terms (the “Terms”). These Terms shall survive the termination of the Study. If any provision is held to be too broad to be enforced, it shall be construed to create an obligation to the fullest extent allowable. These Terms shall not be assigned and shall be binding upon my heirs and successors.

IF CONTRACTOR EMPLOYEE:

Printed Name Title

IF OTHER CONTRACTOR PARTY:

Printed Name Title and Company Name (if applicable)