PWS - Task Order 05.pdf

Version Date: January 7, 2022

Contract Name: Completion of the NTPS 2020-2021, PFS and TFS 2022-2023 datafiles and documentation

Contract Type: Firm Fixed Price

Performance Work Statement

I. Background & Purpose

The purpose of this procurement is to support the National Teacher and Principal Survey (NTPS) program conducted by the Cross-sectional Surveys Branch (CSB) within the Sample Surveys

Division of the (NCES) as well as coordination with related follow-up surveys, specifically the

Principal Follow-up Survey (PFS) and the Teacher Follow-up Survey (TFS).

This Performance Work Statement (PWS) is to provide final support following the release of the

NTPS 2021 datafiles and documentation, and to provide final datafiles and documentation for the

TFS and PFS collections which are currently underway.

The work in this procurement involves assisting NCES with review of materials produced by the third-party contractors who conduct the study data collections. This review is critical to the production of high-quality materials that adhere to standards and best practices for survey research, data dissemination and reporting. Assistance with review is needed to provide technical expertise that Government staff may not have, and additional support due to the volume of work involved in major data collections. Reviews shall be submitted to NCES staff, not the third-party contractors. Contractor staff shall not direct the third-party contractors. The contractor will also support coordination between the CSB studies as well as with other NCES studies. Examples of this coordination include proposing research or sharing findings that would benefit response rates on multiple studies or alerting a Contracting Officer’s Representative (COR) when wording on an item that is shared between studies might be changed on one of those studies.

II. Legislative Authority

The Education Sciences Reform Act of 2002 (ESRA – 20 U.S. Code § 9543), and the yearly appropriations Congress makes supporting ESRA provides funding to National Center of

Education Statistics (NCES) within the Institute for Education Sciences (IES) to collect, report, analyze, and disseminate statistical data related to education in the United States, including data on the condition and progress of education, at the preschool, elementary, secondary, postsecondary, and adult levels throughout the country.

III. Period of Performance

The period of performance for this task order is one base period from June 1, 2022 through

September 30, 2023.

IV. Monthly Reports

Along with the invoice, the contractor shall submit monthly reports on or before the 10th of each month. The monthly reports are to be submitted via electronic transmission. The monthly report shall be submitted to the COR, with a copy to the Contract Specialist.

The report shall include the following:

a) The progress on each task and activity relative to the schedule and a discussion of discrepancies;

b) Accomplishments associated with each task and activity for the month;

c) Problems that have been resolved or need resolution;

d) A discussion of the work to be performed during the next monthly reporting period;

e) Brief description of the work performed by each subcontractor during the month;

f) Expected future technical and budgetary problems and proposed solutions to these;

g) Each monthly report will include a section titled, “Security Clearance” that identifies the following: (a) each staff person or subcontractor who has been added to the contract during the month who will require a Security Clearance; (b) the level of

Clearance required and the date the Security application was submitted to NCES; (c) the name of each staff person or contractor who left the contract during the month and the date of separation. If the person held a Security Clearance, identify the level of

Clearance, and position they held while employed under the contract. If there are any outstanding Clearance issues for which the contractor is awaiting a response from the government, identify those. If there are no Security Clearance submissions or related changes during the month, clearly state this; and

h) Where small business subcontractors are used, the amount of costs incurred shall be indicated in the report.

V. Place of Performance

The contractor shall perform most of the work identified at contractor provided off-site facilities.

Some work may require staff to obtain Special Sworn Status from the U.S. Census Bureau and perform work on site at the Census Bureau’s facilities in Suitland, Maryland. Other tasks and meetings may take place at the Department of Education (Department) in Washington, DC.

VI. Scope of Work

Tasks are organized by survey. Task 1 provides project management support, Task 2 covers work to related to the 2020-2021 NTPS, and Task 3 covers work to complete the 2021-2022 TFS and PFS.

Task 1 – Management Tasks

Subtask 1.a: Post Award Meeting

Within 5 business days of the effective date of the contract, the contractor will submit a draft kickoff meeting agenda to the COR. The COR shall provide comments within 2 business days.

The contractor will meet in-person (if allowed) with the COR and other NCES project staff identified by the COR within 10 business days of the effective date of the contract to discuss upcoming tasks and the scheduling of activities. At the discretion of the COR and/or upon guidance from the Department, the contractor will hold a virtual (i.e., videoconferencing) kickoff meeting instead of an in-person kickoff meeting with the same requisite participants.

The purpose of this meeting shall be to review the goals and objectives of the contract and the timeline for deliverables. The COR shall identify the exact time and place for the meeting and shall assume responsibility for inviting relevant NCES staff. The contractor will submit to the

COR a meeting summary within 5 business days of the Post Award meeting. The summary shall include, at a minimum, the meeting notes, a schedule of deliverables with calendar dates, a Gantt chart based on the Performance Work Statement, and any other items discussed and agreed upon during the meeting. The COR shall review and comment on the meeting summary materials within 2 business days after receipt. The contractor will incorporate any revisions resulting from the COR review and provide a final summary to the COR within 15 business days of the kickoff meeting.

Subtask 1.b: Meetings with NCES Staff

Because of the volume, disparate nature, and complexity of the work, the contractor will meet with NCES project staff through a conference call or virtual meetings on a bi-weekly basis. The contractor will use these meetings to share information about the progress of ongoing work. The meetings shall also be used to inform the contractor about upcoming work NCES anticipates regarding the tasks detailed below. At a minimum key project staff should participate in the meetings. The contractor will provide an agenda for each bi-weekly meeting one day prior to the meeting and a written summary within 5 business days after each meeting. The contractor will submit a summary memo including meeting minutes following each meeting. The contractor will also attend a virtual weekly meeting with NCES and U.S. Census Bureau, and other ad hoc meetings with relevant government stakeholders as directed by COR.

Task 2: State Level Tables and Special Request Tables

Under this task, the contractor will replicate each of the NTPS First Look Tables by state (public files) and eleven level private school affiliation (private files) for release on the NCES website.

The contractor will also develop ten additional web tables from the NTPS 2020-21 datafiles. All

First Look Tables are similar in complexity. The additional ten web tables will be specified by

NCES at a later time and will be similar to tables on the NTPS web site here:

https://nces.ed.gov/surveys/ntps/tables_list.asp.

Task 3 – Support for Completion of the 2021-22 PFS and TFS

Task 3 supports all activities to collect data, finalize data files, and disseminate findings from the

2022-23 Principal Follow-up Survey (PFS) and Teacher Follow-up Survey (TFS) which are follow-up surveys to the 2020-21 NTPS. This task includes review of materials used for data collection, review of preliminary data files, perturbation and review of final data files, First Look reports and other products to report survey findings, and finalization of restricted-use data files and documentation.

Task 3.a: Quality Assurance Review of PFS/TFS Study Specifications

The Census Bureau has primary responsibility for planning and creating the following PFS/TFS specifications:

• weighting plan and specifications;

• and

• plans concerning the content of the data files.

The contractor shall provide QA reviews of all plans and specifications which will be provided to the contractor as they are ready for review on a flow basis, not all at once. Reviews will then be submitted to NCES on a flow basis, as defined above, no later than 10 business days after receipt of materials. The contractor shall be prepared to provide an initial review and a compliance review—to determine if the requested issues were addressed without introducing new issues. These reviews shall be thorough and ensure that the plans and specifications meet the goals of the study and are complete and free from errors. The reviews may involve developing and running analysis to identify issues or make recommendations for improvement.

Task 3.b: Review PFS and TFS preliminary data files

The Census Bureau will have primary responsibility for developing the unweighted imputed and edited (I/E) file for each of the PFS and TFS data files (public and private PFS status, public and private TFS status, public and private current teacher, public and private former teachers). The

Census Bureau will also have primary responsibility for developing the weighted documentation

(DOC) file for each of the PFS and TFS data files. The contractor shall review each of the I/E and DOC files and conduct a series of quality control checks. There will be multiple iterations of review as correcting some items may create additional inconsistencies that then have to be addressed.

The contractor shall review iterative drafts as they are delivered by the data collector. The

Government expects initial versions of data files (files that have been imputed and edited, also known as IE files, but not yet weighted) files to be delivered in the early fall of 2022. The contractor shall assume two rounds of review for each IE file and each DOC file. The reviews of the preliminary files will focus on major issues such as variable output, sampling, missing data, and range violations for categorical items.

The contractor shall check the data files for completeness and expected counts of caseids on the data file. The contractor shall create a brief memo with questions and comments for the data collector about the first full data file delivery. Successive reviews of the data files will occur each time a revised file is delivered by the data collector to address comments. Each review should describe the completeness and accuracy of the data file, including but not limited to the variable names, the number of variables on the file, the values for each variable, and the variable labels.

The contractor shall also perform the sampling checks on the teacher data files that are specified in the sampling plan. These include eligibility determination and domain eligibility distribution.

The contractor shall assume four reviews of the complete files by the end of the period of performance. Reviews of the complete files will include evaluations of skip pattern errors for web and paper respondents and comparisons of base-weighted percentage distributions to those of the most recent public and private PFS and TFS collections.

Task 3.c: Disclosure avoidance and production of restricted Use Files

The contractor shall develop a disclosure avoidance plan for the TFS and PFS files that meets industry and NCES standards. The plan will be submitted to NCES’ DRB for review. Once approved by the board, the contractor will implement the plan on the final, approved documentation files and provide final, perturbed data files.

The contractor shall take all inputs for the PFS/TFS restricted-use data products and prepare the release DVD Master Copy for distribution to restricted-use licensees. The release DVD shall have the following materials: restricted-use data files in ASCII and SAS formats; syntax files for

SPSS and Stata for the restricted-use data files; data dictionaries for Stata users; the User’s

Manual for each data file; Access databases; Excel versions of crosswalks and codebooks, and readme text file. The release DVD with supporting materials shall be revised as often as necessary to achieve sign-off at these levels of review:

1. Program Review

2. Branch Review

3. Division Review

4. Senior Technical Advisor

5. Chief Statistician Review

All restricted-use products shall comply with NCES Statistical Standards and IES publication standards in effect during the period of performance. The readme text file shall specify the minimum computer requirements necessary for using the restricted-use data files and other data release products, as well as the contents of the entire DVD and file sizes. The restricted-use data shall be provided in the following formats:

• ascii

• SAS

• SPSS

• Stata

• R

• CSV

Additionally, the delivery must contain:

• Data Inventory Group (DIG) database files

• Codebook(s)

ASCII and SAS. The syntax files (or “file build” code) for each of the restricted-use data files shall be produced to allow the conversion of ASCII format versions into SPSS or Stata. The

SAS version will have format libraries attached. Data dictionaries (.do files) shall be provided for

Stata users.

The contractor shall create a schedule for delivery of all data files and review stages for government review upon contract award. The schedule shall assume that the data files will be released by NCES one year following the TFS/PFS data collections (for example, data from the

2021-2022 TFS/PFS would likely be released by in the summer of 2023).

After release of data files, the contractor shall request the restricted-use files from the IES Data

Security Office. The purpose of this request will be to learn about the response time from the IES

Data Security Office and the materials that are provided to researchers. The contractor will then provide a review to the Project Officer answering the following questions:

1. Was the transmission of files timely and free of confusion?

2. Were the files that were provided complete and accurate?

Task 3.d: Develop data file user’s manuals

NCES provides extensive documentation of the studies that we conduct. Under this task the contractor shall draft data file user’s manuals (DFUM) for the PFS and TFS. The DFUM manuals will provide an overview of the data collection and information that a data user needs to utilize the files. Samples can be found on the NCES website.

At a minimum, the contents of the DFUM shall include:

• Introduction

• Sampling Chapter

• Data Collection Chapter

• Editing/Data Processing Chapter

• Response Rate Chapter

• Imputation Chapter

• Weighting and Variance Estimation Chapter

• Data Considerations and Anomalies

• Guide to the Data File and Codebook Chapter

• Nonresponse Bias Analysis Chapter

• Appendices

• Restricted-Use Record Layout in Position Order Appendix

• Comparison of Estimates to past cycles and outside sources (such as ACs, Census, CPS)

• Nonresponse Interview Adjustment Cells

• Summary of Weighting and Sample Variance and Estimation Variables

• SAS Code for all Derived Variables

• Coding taxonomies as applicable

The contractor shall provide information in the DFUM about any changes from previous versions of the survey.

The contractor shall also draft a NewsFlash announcing the release of the data files and DFUM.

The NewsFlash must be submitted with the Program Review-level DFUM and will accompany the DFUM as it goes through review.

Once in Review Tracking System (RTS), the contractor shall respond to review comments and create revised drafts of the DFUM and NewsFlash in response to each review phase. The contractor shall respond to:

1. Program Review

2. Branch Review

3. Division Review

4. Senior Technical Advisor (Division)

5. Technical Review

6. Chief Statistician Review

After approval of the final DFUM, the contractor shall have the document formatted for 508 compliance for publication on the NCES website. The contractor shall also do a final check of the document for formatting errors and typos before delivering to the government.

The contractor shall create a schedule for delivery of all draft chapters and review stages for government review upon contract award. Separate sets of documentation will be prepared for the

PFS, and TFS.

Task 3.e: Review of survey documentation

Under this task the contractor will review the Survey Documentation for the PFS/TFS collections. The survey documentation is similar to the DFUM but provides much greater detail on each topic. Samples can be found on the NCES website.

At a minimum, the contents will include:

• Introduction

• Sampling Chapter

• Data Collection Chapter

• Editing/Data Processing Chapter

• Response Rate Chapter

• Imputation Chapter

• Weighting and Variance Estimation Chapter

• Data Considerations and Anomalies

• Guide to the Data File and Codebook Chapter

• Nonresponse Bias Analysis Chapter

• Appendices

• Restricted-Use Record Layout in Position Order Appendix

• Comparison of Estimates to past cycles and outside sources (such as ACs, Census, CPS)

• Nonresponse Interview Adjustment Cells

• Summary of Weighting and Sample Variance and Estimation Variables

• SAS Code for all Derived Variables

• Coding taxonomies as applicable

The contractor will review the document for accuracy, consistency, editorial issues and 508 compliances. Chapters may be received on a flow basis.

Task 3.f: Production of PFS and TFS First Look reports

First Look reports are designed to give the public a sense of the data contained within an NCES dataset and answer some of the most common questions from the data. The reports contain a brief overview of the survey and tables highlighting key estimates. These reports need to be produced in time for release within twelve months of the end of data collection. Data from the

PFS are presented in one (1) First Look report, and data from the TFS are presented in one First

Look report. The contractor must allow adequate time for review and comment through the IES level and notification to the Secretary (generally 3-4 months of review time). Therefore, the contractor shall prepare table shells during data collection and drafts based on preliminary data files so that the reports can be finalized immediately with the final data files.

The contractor will take each draft report through all stages of the NCES and IES publication review process (see list below), making all revisions necessary to achieve signoff at each review level within 8 business days of receiving comments; the COR will be involved during this process to provide clarification and further feedback. Each “First Look” report shall conform to the IES and NCES publication standards on all aspects of NCES reports: text, tables, formatting, data presentation, required topics for the Technical Notes, and Section 508-compliance. The contractor will provide to the COR the reports and materials (e.g., completed NewsFlash form, cover page, title page, front matter, back matter, native files for text, tables, and figures) that have been signed off through the NCES review process and by IES/SRO for delivery to the

Secretary of the Department within 1 business day of receipt of signoff by IES/SRO. Following

NCES publication QA review process of reports and materials, the contractor will provide comments and revised reports, as needed, within 2 business days of receipt of the review. The contractor will make revisions through the end of the QA review. This work will be based on templates provided by NCES.

First Look reports require the following levels of NCES and IES review:

1. Program Review

2. Branch Review

3. Division Review

4. Senior Technical Advisor Review

5. Chief Statistician Review

6. NCES Commissioner Review

7. IES Review

Task 3.g: Production of PFS and TFS supplementary tables

Under this task, the contractor will replicate each of the PFS and TFS First Look Tables by state

(public files) for release on the NCES website and develop ten additional web tables from the

PFS and TFS datafiles. The additional web tables will be specified by NCES at a later time and will be similar to tables on the NTPS web site. This task is similar in content to Task 2: State

Level Tables and Special Request Tables, above, for the NTPS.

VII. Schedule of Deliverables

Deliverable

Number

Activity Deliverable Estimated Due Dates and

Payment Schedule

1.a Post Award

Meeting

1. Agenda

2. Meeting

3. Meeting minutes

• Agenda 5 days before meeting (33%)

• Meeting within 10 business days of award

(33%)

• Meeting minutes 5 business days following meeting (34%)

1.b Meetings with

NCES Staff

1. Meeting agenda

(due one day before each meeting) and summary for biweekly meetings, compiled into quarterly summary memos

2. Meeting summary for ad hoc meetings, compiled into summary memos

The contractor shall submit an agenda 1 day before each meeting. Each bi-weekly meeting summary shall be sent to NCES no later than 5 business days after each meeting.

• Memo 1: August 31, 2022 (14%)

• Memo 2: November 30, 2022 (15%)

• Memo 3: February 28, 2023 (14%)

• Memo 4: May 31, 2023

(14%)

• Memo 5: August 31, Sign off from

NCES COR

2 State Level

Tables and

Special

Request

Tables

1. State and affiliation tables

2. Additional tables

• State and affiliation tables within 10 days of

Commissioner Approval of corresponding First

Look report (66%)

• Additional tables with 8 days of NCES request

(34%)

3.a Quality

Assurance

Review of

PFS/TFS

Study

Specifications

Review of PFS and TFS technical specifications on a rolling basis with details listed in summary memos.

Reviews on a rolling basis within 10 days of receipt, or by the date listed below

(whichever can occur earliest based on the completion of the delivery of the technical specifications):

• Memo 1: July 31, 2022

(50%)

• Memo 2: November 30, 2022 (50%)

Sign off from

NCES COR

3.b Review PFS and TFS preliminary data files

1. Complete review of

PFS files

2. Complete review of

TFS files

• PFS: February 14, 2023

(10%)

• TFS: February 14, 2023

(90%)

Sign off from

NCES COR

3.c Disclosure avoidance plans and production of

Restricted Use

Files for TFS and PFS

1. TFS and PFS disclosure

Avoidance Plans

2. Release products for

DVD release and memo of data file receipt

• Disclosure Avoidance

Plans: October 31, 2022

(10%)

• Release products and summary memo (as approved by the Chief

Statistician): September

15, 2023 (90

Sign off from

NCES COR

3.d Develop TFS and PFS data file User’s

Manual

1. PFS UM

2. TFS UM

• PFS UM: August 31, 2023 (25%)

• TFS UM: August 31, 2023 (75%)

Sign off from

NCES COR

3.e Review of survey documentation

Review of PFS and TFS survey documentation chapters on a rolling basis with details listed in summary memos.

• Reviews on a rolling basis within 10 days of receipt

• Memo 1: June 15, 2023

(50%)

• Memo 2: September 15, 2023 (50%)

Sign off from

NCES COR

3.f Finalize TFS and PFS First

Look Tables and Reports

1. Chief statistician signoff of both reports (TFS and

PFS)

• Chief Statistician signoff of both reports: March

15, 2023 (50%)

2. QA compliance of both reports (TFS and PFS)

• QA compliance of both reports: April 30, 2023

(50%)

3.g Production of

PFS and TFS supplementary tables

1. State tables

2. Additional tables

• State tables within 10 days of Commissioner

Approval of corresponding First

Look report (50%)

• Additional tables with 8 days of NCES request

(50%)

VIII. Other Requirements

Role of Contractor:

Contractor staff assigned to or working on this task shall not release analyses from data provided by NCES without express written consent of NCES. All materials produced by the contractor under this task shall become the property of NCES unless an express written waiver is provided by NCES to the contrary.

Publications using unreleased or prerelease data:

The following guidelines pertain to outside publishing, which is research that is prepared and published and/or presented by authors who have access to NCES data because of work under contract or Inter-Agency Agreement (IAA) with NCES but who are doing work outside of the contract or IAA deliverables. NCES does not pay for outside publishing.

1) Get approval from the survey COR for analysis.

a. This is most often in the form of an abstract of the concept. The abstract must be clear about the research questions that are being answered and the data that are being used.

2) Provide draft of article or presentation file to COR and allow 2 weeks for review before initial submission to journal or another publisher. Allow about one week for review.

a. This can be concurrent with the NCES Data Review Board review, run by

Shelley.Burns@ed.gov (See item 3 below.)

b. Components in the draft:

i. As the design and collection of NCES studies on which the research is based are often collaborations between many people, acknowledgement of mailto:Shelley.Burns@ed.gov all contributors is strongly suggested. Additionally, the authors must clear that the publication is not an official NCES release. Below is an example of the type of acknowledgement expected:

“This article is intended to promote ideas. The views expressed are part of ongoing research and do not necessarily reflect the position of the U.S.

Department of Education. The authors would like to thank Project Officer

XXX of the National Center for Education Statistics without whose support and insights this research would not have been possible. The authors would like to thank XXXX, XXXX XXX of the Census Bureau for their support in developing and conducting the survey.”

ii. If the data used are not part of a public use or restricted use datafile, a statement about unique access to these data is required. Authors need to be clear about the nature of the access. For example, state in the article that access to these data is solely the result of other work for NCES under contract or IAA and that the data are not available to the public, not even through a restricted-use data license.

3) Paper goes through NCES Disclosure Review Board (DRB) (not contractor’s DRB because it is restricted use and needs to be treated as any other licensee would) – either copy COR on email or send DRB approval to COR. Email Shelley.Burns@ed.gov for her review. Allow about 1-2 weeks for DRB review, which can be concurrent with COR review.

4) Substantive changes as a result of any reviewers’ comments (journal editors, DRB reviewers, peers, copy editors, etc.) that require additional analysis or change to text are provided to COR – Always send to COR during the DRB review at each stage and let

COR know of the changes that were made either through a track changes document or bulleted list.

5) Authors must provide COR with a final version before publication. This so the COR has a final record and can be ready for any questions that NCES may field because of the publication.

6) If data that are not part of an NCES datafile are used (e.g., variables not on the restricted use or public use file), the authors must provide archival copy of the dataset used and analysis programs to NCES.

A note about the reviews conducted by the COR when using data other than those available on public use datasets: The COR will review to make sure that NCES, the Department, the survey program, and the specific research that generated the data are all being portrayed in alignment with expectations, that statements about the project are consistent with NCES understanding; and to ensure that the publication accurately reflects the decisions by the agency, and to catch any factual inaccuracies. The COR may have substantive comments for the authors to consider, but mailto:Shelley.Burns@ed.gov these are only suggestions. There should be expectation that the COR is not fully fact checking the publication. The review will not involve a complete edit review and fact checking review.

Publications using NCES data products

If the contractor is preparing a report, publication or conference/meeting presentation using publicly available NCES data outside of the contract, they should still provide the COR advance notice of the work and properly acknowledge NCES’ role.

IX. Definitions and Clarifications

(1) Although the term “draft” is used frequently in this PWS, it is important that the contractor understand what NCES means and does not mean by “draft.” A draft is a complete product of high quality that the contractor (and the Government) can publish with confidence as to its accuracy and usefulness. A draft is not simply what is available on the due date—regardless of completeness or quality. A draft should be free from factual errors and typographic ones and conform to NCES statistical standards. NCES anticipates that only minor changes to drafts will be needed for them to become final deliverables.

(2) Ownership of files and products - NCES owns the files and programs to create deliverables including data files, reports, analysis tables, etc. Files need to be in a format and system that

NCES has access to and approves.

(3) References to days in the discussion of deliverables shall be read as business days.

(4) Media clearances will be required for reports developed under this task.

(5) The contractor will be expected to obtain and maintain restricted use licenses for all the

NCES datasets described in this PWS.

(6) As noted throughout the PWS, many tasks in this contract require supporting NCES in the review and preparation of data files from key studies, that will be conducted by other contractors or federal agencies, including the US Census Bureau. Due to the nature of large-scale data collections and IES review requirements, schedules sometimes change due to circumstances beyond the control of the NCES project team. Regular meetings with the

Project Officer (PO) and data collection team are part of this PWS. The contractor should use those meetings to stay up to date on potential schedule changes and ensure that they are prepared to adjust to changing schedules while completing their work on time. The

Government expects the contractor to take responsibility for the timely completion of all work in the contract.

U.S. DEPARTMENT OF EDUCATION

“INFORMATION MANAGEMENT CONTRACT REQUIREMENTS”

The purpose of this document is to impart requirements for managing and ensuring accessibility to

Federal records (on any medium such as paper, systems, applications, etc.) that is made or received in connection with the transaction of Department business as part of a contract. The following requirements are divided into two sections, which are mandatory: (1) Records and CUI, (2) Accessibility requirements related to Section 508 of the Rehabilitation Act.

RECORDS AND CONTROLLED UNCLASSIFIED INFORMATION (CUI)

• "Federal record" as defined in 44 U.S.C. § 3301, includes all information, made or received by a Federal agency in connection with the transaction of public business. ED owns rights to all records produced as part of this contract. Any Contractor rights must be identified as required by FAR 52.227-11 through FAR 52.227-20.

• Federal records must be managed according to the applicable records management laws and regulations, to include the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33), 36

CFR Chapter XII Subchapter B, and the Privacy Act of 1974 (5 U.S.C. 552a).

• Federal records which are CUI must additionally be managed in accordance with any applicable laws, regulations and government-wide policies (LRGWP) to include EO

13556, 32 CFR Part 2002, ED Directive OCIO 3-113, and NIST-800-171 Revision 2 (or current version).

• Applicability: This clause applies to all Contractors and sub-contractors (hereafter referred to as “Contractors”) and must be incorporated into all subcontracts.

• Training Requirements: All Contractors are required to take the annual Information

Management Requirements training. If the contract includes CUI the CUI Identification and Marking Training is required. Additional Category or POC specific trainings may be assigned. Contractor will maintain completion certificates and provide upon request.

• Electronic Information System Requirements: Any electronic information system should address at minimum the following regulations in 36 CFR 1236.10. Agencies must incorporate controls into the system or integrate them into a recordkeeping system that is external to the information system itself (see 36 CFR 1236.20 for recordkeeping system functionalities). Information systems that process, store, or transmit CUI must fulfill the requirements outlined in 32 CFR 2002.14(g).

• Marking Requirements: The Contractor will mark CUI as outlined in Department training.

• Handling and Safeguarding Requirements: The Contractor will ensure that CUI is managed appropriately. The requirements include safeguarding, controlled environments, shipping and mailing or transporting protections, and reproduction protections (see 32

CFR 2002.14(a-e)).

• Contract Completion Requirements: Removal or destruction of records must be in accordance with assigned ED records schedule and must include written concurrence from the CO/COR. If records are removed or destroyed the Contractor must report the incident to ED immediately. Destruction or removal of records without the above requirements is subject to fines and penalties imposed by 18 U.S.C. 2701.

• Compliance with Information Protection Requirements: ED reserves the right to verify compliance with information security requirements established by this contract. The

Contractor will fully comply with all ED-initiated inspections as permissible by law.

https://www.archives.gov/about/laws/disposal-of-records.html#def https://www.archives.gov/about/laws/nara.html https://www.archives.gov/about/laws/records-management.html https://www.archives.gov/about/laws/fed-agencies.html https://www.archives.gov/about/laws/disposal-of-records.html https://www.ecfr.gov/cgi-bin/text-idx?SID=28eaaab268f0dd47e9fb9b4f87e9445a&tpl=/ecfrbrowse/Title36/36CXIIsubchapB.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=28eaaab268f0dd47e9fb9b4f87e9445a&tpl=/ecfrbrowse/Title36/36CXIIsubchapB.tpl https://www.justice.gov/oip/freedom-information-act-5-usc-552 https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information https://www.ecfr.gov/cgi-bin/text-idx?SID=1ff509abab3d3f6b6bde09e078ef3a1a&mc=true&node=pt32.6.2002&rgn=div5 https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-171r2.pdf https://www.ecfr.gov/cgi-bin/text-idx?SID=92e0af0609c96e8970d0a0949b0b2d4c&mc=true&node=se36.3.1236_110&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=411edf985a6990e2cffda135ab0c2d65&mc=true&node=se36.3.1236_120&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=ef74e93a089b2d1b745122c8b63a4d84&mc=true&node=se32.6.2002_114&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=ef74e93a089b2d1b745122c8b63a4d84&mc=true&node=se32.6.2002_114&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=ef74e93a089b2d1b745122c8b63a4d84&mc=true&node=se32.6.2002_114&rgn=div8

• Information Security Incidents (ISI) Requirements: Contractors must immediately report any and all suspected security incidents, breaches, and events involving ED information to ED’s Computer Incident Response Center (EDCIRC) email: edcirc@ed.gov, and ED’s

Security Operations Center (EDSOC) email: edsoc@ed.gov; voice: 202-243-6550, regardless of whether the ISI is suspected, known, or determined to involve IT systems operated in support of this contract. In the event of an ISI, ED must be provided immediate access to all IT systems used in support of this contract for inspection and analysis.

IT ACCESSIBILITY REQUIREMENTS (SECTION 508 OF THE REHABILITATION ACT)

• Section 508 of the Rehabilitation Act, as amended by P.L. 105-220, requires that when

Federal agencies develop, procure, maintain, or use information and communication technology (ICT), it shall be accessible to people with disabilities. Products, platforms and services delivered as part of this work statement that are or contain ICT, must conform to the Revised 508 Standards, at 36 C.F.R. § 1194.1 & Apps. A, C & D.

• Applicable Functional Performance Criteria: When using an alternative design or technology that achieves substantially equivalent or greater accessibility and usability by individuals with disabilities than would be provided by conformance to one or more of the requirements in Chapters 4-6 of the Revised 508 Standards, or when Chapters 4-6 do not address one or more functions of ICT. – All requirements apply

• Applicable requirements for software features and components: All WCAG Level AA

Success Criteria, 502 Interoperability with Assistive Technology, 503 Application –

Applies if client server software (installed on a computer) is a part of the procurement.

• Applicable requirements to Webpage and Web Applications: All WCAG Level AA

Success Criteria – Applies if websites or a web-based application (browser based) is part of the procurement.

• Applicable requirements for hardware features and components: Applies if hardware is part of the procurement. (e.g. copiers, fax machines, phones, scanner etc.)

• Applicable support services and documentation: All requirements apply.

• Instructions to Offerors: Provide an Accessibility Conformance Report (ACR) for each commercially available ICT item offered through this contract. Create the ACR using the

Voluntary Product Accessibility Template. Complete each ACR in accordance with the instructions provided in the VPAT template. Each ACR must address the applicable

Section 508 requirements referenced in the Work Statement. Each ACR shall state exactly how the ICT meets the applicable standards in the remarks/explanation’s column, or through additional narrative.

• Acceptance Criteria: Prior to acceptance, the government reserves the right to perform testing on required ICT items to validate the offeror’s Section 508 conformance claims. If the government determines that Section 508 conformance claims provided by the offeror represent a higher level of conformance than what is actually provided to the agency, the government shall, at its option, require the offeror to remediate the item to align with the offeror’s original Section 508 conformance claims prior to acceptance.

mailto:edcirc@ed.gov mailto:edsoc@ed.gov https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#302-functional-performance-criteria https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#501-general https://www.w3.org/TR/WCAG20/ https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#E206-hardware https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#602-support-documentation https://www.itic.org/policy/accessibility/vpat