DRAFTPWSforSurvey_Operations10Feb2016.pdf

DRAFT Performance Work Statement for

SURVEY OPERATIONAL AND ANALYTIC SUPPORT

U.S. ARMY RESEARCH INSTITUTE FOR THE

BEHAVIORAL AND SOCIAL SCIENCES

PART 1

GENERAL INFORMATION

1.1 DESCRIPTION OF SERVICES/INTRODUCTION: The Contractor shall provide all personnel, materials, facilities, and other supplies and non-personal services necessary to conduct survey research services as defined in this Performance Work Statement (PWS) for the U.S. Army Research Institute for the Behavioral and Social Sciences (ARI), except as specified in Part 3 as Government furnished property and services. The contractor will be responsible for conducting attitude and opinion surveys and survey analytic and methodological support for ARI’s Scientific and Technology Program. The Contractor shall perform to the standards in this contract.

1.2 BACKGROUND: Managing the Army’s manpower requirements during this evolving global strategic environment requires that the Army’s senior leaders have accurate and up-to-date information on Soldiers’ attitudes and opinions on an array of personnel issues. The accuracy and timeliness of the attitude and opinion information provided to decision makers are of paramount importance in affecting the quality of decisions and personnel policies. As new policies are developed to enhance the Army's ability to staff the force, the Army needs survey research and analysis to gather and analyze data on the implementation and expected or actual effectiveness of those policies.

1.3 OBJECTIVES: The objectives of this contract are for the Contractor(s) to conduct the following in support of ARI’s Scientific and Technology Program attitude and opinion surveys: (1) survey development and administration (2) survey analytic and methodological support and (3) postal mailings support.

1.4 SCOPE: The scope of this requirement is for the Contractor to provide ARI with the necessary capabilities to conduct and analyze attitude and opinion surveys in support of ARI’s Scientific and Technology Program.

1.5 GENERAL INFORMATION

1.5.1 QUALITY CONTROL: The Contractor shall develop and maintain an effective Quality Control (QC) program to ensure services are performed in accordance with this PWS. The Contractor shall develop and implement procedures to identify, prevent and ensure non-recurrence of defective services. The Contractor’s QC program is the means by which the Contractor assures that their work complies with the requirement of the contract. The Contractor shall obtain Contracting Officer (KO) approval in writing for any proposed change to the QC plan submitted with its proposal and incorporated into this contract in Section J.

1.5.2 QUALITY ASSURANCE: The Government shall evaluate the Contractor’s performance under this contract in accordance with the Performance Requirements Summary (PRS), Attachment 1. This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.5.3 RECOGNIZED HOLIDAYS: Contractors are not required to work on the following Federal holidays:

New Year’s Day Labor Day Martin Luther King Jr’s Birthday Columbus Day President’s Day Veteran’s Day Memorial Day Thanksgiving Day Independence Day Christmas Day

1.5.4 HOURS OF OPERATION: Contractor personnel are expected to provide support during normal operating hours (0800-1630) Monday thru Friday, except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. The Contractor must at all times maintain an adequate work force for the uninterrupted performance of all tasks defined within this PWS when the Government facility is not closed for the above reasons. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the work force are essential.

1.5.5 PLACE OF PERFORMANCE: Performance under this contract will primarily be at the Contractor's facility. However, depending on the Task Order (TO), performance may be at the Government site, ARI, 6000 6th St., Fort Belvoir, V.A. 22060.

1.5.6 TRAVEL: Exclusive of a kick off meeting which could be done either in person or telephonically, travel is not anticipated for TOs under this Contract. Travel costs shall be considered reasonable and allowable only to the extent that they do not exceed on a daily basis, the maximum per diem rates in effect at the time of the travel. FAR Part 31 shall provide the basis for the determination as to what is reasonable and allowable. Maximum use is to be made of the lowest available customary standard coach or equivalent airfare accommodations available during normal business hours. All necessary travel meeting the above criteria shall be approved in advance by the Contracting Officer’s Representative (COR). Exceptions to these guidelines shall be approved in advance by the KO.

1.5.7 SECURITY REQUIREMENTS

1.5.7.1 SECURITY CLEARANCE: No security clearance is required.

1.5.7.2 ANTITERRORISM/OPERATIONS SECURITY (OPSEC)

CONSIDERATIONS: The scope of work for individual TOs executed under this contract may require access to Army installations, facilities and controlled access areas;

access to a Government information system or network; and/or the gathering and/or storage of data covered by OPSEC. The PWS for each individual TO will contain language specific to the requirements for the scope of work. For example, the Contractor may be required to complete Antiterrorism/OPSEC Level 1 Training, and/or prepare an OPSEC plan for securing critical information.

1.5.7.2.1. AT LEVEL 1 TRAINING (GENERAL). All contractor employees, to include subcontractor employees, requiring access Army installations, facilities and controlled access areas shall complete AT Level I awareness training within 30 calendar days after contract start date or effective date of incorporation of this requirement into the contract, whichever is applicable. The contractor shall submit certificates of completion for each affected contractor employee and subcontractor employee, to the COR or to the contracting officer, if a COR is not assigned, within 30 calendar days after completion of training by all employees and subcontractor personnel. AT level I awareness training is available at the following website: http://jko.jten.mil

1.5.7.2.2. ACCESS AND GENERAL PROTECTION/SECURITY POLICY

AND PROCEDURES. Contractor and all associated sub-contractors employees shall provide all information required for background checks to meet installation access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services or Security Office. Contractor workforce must comply with all personal identity verification requirements (FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel) as directed by DOD, HQDA and/or local policy. In addition to the changes otherwise authorized by the changes clause of this contract, should the Force Protection Condition (FPCON) at any individual facility or installation change, the Government may require changes in contractor security matters or processes.

1.5.7.2.3. FOR CONTRACTORS REQUIRING COMMON ACCESS CARD

(CAC). Before CAC issuance, the contractor employee requires, at a minimum, a favorably adjudicated National Agency Check with Inquiries (NACI) or an equivalent or higher investigation in accordance with Army Directive 2014-05. The contractor employee will be issued a CAC only if duties involve one of the following: (1) Both physical access to a DoD facility and access, via logon, to DoD networks on-site or remotely; (2) Remote access, via logon, to a DoD network using DoD-approved remote access procedures; or (3) Physical access to multiple DoD facilities or multiple non-DoD federally controlled facilities on behalf of the DoD on a recurring basis for a period of 6 months or more. At the discretion of the sponsoring activity, an initial CAC may be issued based on a favorable review of the FBI fingerprint check and a successfully scheduled NACI at the Office of Personnel Management.

1.5.7.2.4. FOR CONTRACTORS THAT DO NOT REQUIRE CAC, BUT

REQUIRE ACCESS TO A DOD FACILITY OR INSTALLATION. Contractor and all associated sub-contractors employees shall comply with adjudication standards and procedures using the National Crime Information Center Interstate Identification Index (NCIC-III) and Terrorist Screening Database (TSDB) (Army Directive 2014-05/AR 190- 13), applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative), or, at OCONUS locations, in accordance with status of forces agreements and other theater regulations.

1.5.7.2.5. ARMY TRAINING CERTIFICATION TRACKING SYSTEM

(ATCTS) registration for contractor employees who require access to government information systems. All contractor employees with access to a government info system must be registered in the ATCTS (Army Training Certification Tracking System) at commencement of services, and must successfully complete the DOD Information Assurance Awareness prior to access to the IS and then annually thereafter.

1.5.7.2.6. FOR CONTRACTS THAT REQUIRE OPSEC TRAINING. Per

AR 530-1 Operations Security, the contractor employees must complete Level I OPSEC Awareness training. New employees must be trained within 30 calendar days of their reporting for duty and annually thereafter.

1.5.7.2.7. FOR INFORMATION ASSURANCE (IA)/INFORMATION

TECHNOLOGY (IT) TRAINING. All contractor employees and associated sub-contractor employees must complete the DoD IA awareness training before issuance of network access and annually thereafter. All contractor employees working IA/IT functions must comply with DoD and Army training requirements in DoDD 8570.01, DoD 8570.01-M and AR 25-2 within six months of appointment to IA/IT functions.

1.5.7.3 PHYSICAL SECURITY: The performance of this requirement will require that the Contractor has access to sensitive information. The Contractor shall be responsible for safeguarding all information and Government property provided for contractor use.

At the close of each work period, Government facilities, equipment, and materials shall be secured. Controlled Unclassified Information (CUI) is explained in Army Regulation (AR) 380-5, Chapter 5. Examples of CUI include For Official Use Only (FOUO) information that affects individuals’ privacy and survey results which could be viewed as sensitive to Army operations. Failure to safeguard any sensitive/privileged information which may involve the Contractor or the Contractor’s personnel or to which they may have access may subject the Contractor and/or the Contractor’s employees to criminal liability under Title 18, section 793 and 7908 of the United States Code. Provisions of the Privacy Act apply to all records and reports maintained by the Contractor and must adhere to the installation security requirements.

1.5.8 SPECIAL QUALIFICATIONS: Contractor personnel performing tasks which are listed in Part 5 of this PWS are required to have subject matter expertise and hands-on experience in certain areas. Individual TOs will specify what areas of expertise and hands-on experience are necessary for the performance of individual TOs. Examples will include, but are not limited to the following:

a. Microsoft Office Software: Word, Excel, PowerPoint, and Access;

b. Software tools to extract and manipulate data fields from Army or DoD personnel databases (i.e., SPSS, SAS);

c. Military rank structure and other military personnel structures and policies as they relate to the ability to identify anomalies.

1.5.9 POST AWARD CONFERENCE/PERIODIC PROGRESS MEETINGS: The

Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation (FAR) Subpart 42.5. The KO, COR, and other Government personnel, as appropriate, may meet periodically with the Contractor to review the Contractor's performance. At these meetings the COR or KO will apprise the Contractor of how the Government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues.

1.5.10 PROGRAM MANAGER: The Contractor shall provide a Program Manager (PM) who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the Contractor when the PM is absent shall be designated in writing to the KO. The PM or alternate shall have full authority to act for the Contractor on all contract matters relating to daily operation of this contract.

1.5.11 IDENTIFICATION OF CONTRACTOR EMPLOYEES: All Contractor personnel attending meetings and working in other situations where their Contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. They must also ensure that all documents or reports produced by Contractors are suitably marked as Contractor products or that Contractor participation is appropriately disclosed.

1.5.12 USE OF HUMAN SUBJECTS: If the scope of individual TOs executed under this contract requires the use of human subjects, the contractor shall be required to comply with the Code of Federal Regulation (CFR) Title 45 Public Welfare Part 46 Protection of Human Subjects (45 CFR 46).

1.5.12.1 Collections of information from only Army personnel must be reviewed by ARI prior to administration and licensed in accordance with (IAW) Department of Defense Instruction (DODI) 8910.01 (Information Collection and Reporting). Collections of information from personnel both in the Army and in other DoD Services, or from members of the public, must be reviewed prior to administration by the Defense Manpower Data Center (DMDC) IAW DODI 1100.13 (DoD Surveys) and licensed IAW DoDI 8910.01.

1.5.12.2 The Contractor will be required to comply with 48 CFR 252.235-7004.

(a) Definitions. As used in 48 CFR 252.235-7004-

(1) “Assurance of compliance” means a written assurance that an institution will comply with requirements of 32 CFR Part 219, as well as the terms of the assurance, which the Human Research Protection Official determines to be appropriate for the research supported by the DoD component (32 CFR 219.103).

(2) “Human Research Protection Official (HRPO)” means the individual designated by the head of the applicable DoD component and identified in the component’s Human Research Protection Management Plan as the official who is responsible for the oversight and execution of the requirements of this clause, although some DoD components may use a different title for this position.

(3) “Human subject” means a living individual about whom an investigator (whether professional or student) conducting research obtains data through intervention or interaction with the individual, or identifiable private information (32 CFR 219.102(f)).

For example, this could include the use of human organs, tissue, and body fluids from individually identifiable living human subjects as well as graphic, written, or recorded information derived from individually identifiable living human subjects.

(4) “Institution” means any public or private entity or agency (32 CFR 219.102(b)).

(5) “Institutional Review Board (IRB)” means a board established for the purposes expressed in 32 CFR Part 219 (32 CFR 219.102(g)).

(6) “IRB approval” means the determination of the IRB that the research has been reviewed and may be conducted at an institution within the constraints set forth by the IRB and by other institutional and Federal requirements (32 CFR 219.102(h)).

(7) “Research” means a systematic investigation, including research, development, testing, and evaluation, designed to develop or contribute to generalizable knowledge.

Activities that meet this definition constitute research for purposes of 32 CFR Part 219, whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities (32 CFR 219.102(d)).

(b) The Contractor shall oversee the execution of the research to ensure compliance with this clause. The Contractor shall comply fully with 32 CFR Part 219 and DoD Directive 3216.02, applicable DoD component policies, 10 U.S.C. 980, and, when applicable, Food and Drug Administration policies and regulations.

(c) The Contractor shall not commence performance of research involving human subjects that is covered under 32 CFR Part 219 or that meets exemption criteria under 32 CFR 219.101(b), or expend funding on such effort, until and unless the conditions of either the following paragraph (c)(1) or (c)(2) have been met:

(1) The Contractor furnishes to the HRPO, with a copy to the KO, an assurance of compliance and IRB approval and receives notification from the KO that the HRPO has approved the assurance as appropriate for the research under the PWS and also that the HRPO has reviewed the protocol and accepted the IRB approval for compliance with the DoD component policies. The Contractor may furnish evidence of an existing assurance of compliance for acceptance by the HRPO, if an appropriate assurance has been approved in connection with previous research. The Contractor shall notify the KO immediately of any suspensions or terminations of the assurance.

(2) The Contractor furnishes to the HRPO, with a copy to the KO, a determination that the human research proposed meets exemption criteria in 32 CFR 219.101(b) and receives written notification from the KO that the exemption is determined acceptable.

The determination shall include citation of the exemption category under 32 CFR 219.101(b) and a rationale statement. In the event of a disagreement regarding the Contractor’s furnished exemption determination, the HRPO retains final judgment on what research activities or classes of research are covered or are exempt under the contract.

(d) DoD staff, consultants, and advisory groups may independently review and inspect the Contractor’s research and research procedures involving human subjects and, based on such findings, DoD may prohibit research that presents unacceptable hazards or otherwise fails to comply with DoD procedures.

(e) Failure of the Contractor to comply with the requirements of this clause will result in the issuance of a stop-work order under FAR clause 52.242-15 to immediately suspend, in whole or in part, work and further payment under this contract, or will result in other issuance of suspension of work and further payment for as long as determined necessary at the discretion of the KO.

(f) The Contractor shall include the substance of this clause, including this paragraph (f), in all subcontracts that may include research involving human subjects in accordance with 32 CFR Part 219, DoD Directive 3216.02, and 10 U.S.C. 980, including research that meets exemption criteria under 32 CFR 219.101(b). This clause does not apply to subcontracts that involve only the use of cadaver materials.

This clause indicates that prior to conducting research, the research protocol must undergo a review by the HRPO, which the contractor will submit through the COR. No research involving human subjects will be conducted until the research protocol has been approved by the ARI IRB and the HRPO and both approvals have been provided to the

KO.

The Contractor also will be required to comply with the applicable provisions of ARI Procedures Memo, “Use of Human Subjects in Research.” If the Contractor has its own human subjects committee, it must be used. In this case, the Contractor may give evidence of compliance by submitting a completed Form HHS-596. The Contractor must submit the complete results of its in-house human use committee findings to the ARI COR immediately upon their receipt and before actual research involving use of human subjects begins. If the Contractor does not have its own such committee, it must completely process a protocol, through the COR, to the ARI Committee on the Use of Human Subjects, before any data is collected.

1.5.13 PRIVACY ACT: The scope of work for individual TOs executed under this contract will require the gathering and/or storage of data covered by the Privacy Act (PL 93-579, 31 Aug 74). In the performance of such TOs, the Contractor shall comply with the requirements for systems security stated in the Privacy Act Statement used in the data or information collection. The Contractor shall adhere to the Army Privacy Program in accordance with the Privacy Act of 1974 (Public Law 93-579) as codified in 5 U.S.C.

§552a and Department of Defense (DoD) Regulation 5400.11-R.

IAW DoDI 5400.16 a Privacy Impact Assessment (PIA) is required for all systems that contain PII on Federal personnel, DoD contractors and, in some cases, Foreign Nationals.

The PIA is required to ensure that personally identifiable information (PII) in electronic form is collected, stored, protected, used, shared, and managed in a manner that protects privacy.

1.5.14 INFORMATION ASSURANCE COMPLIANCE: Contractor and all

contractor personnel with access to or responsibility for nonpublic government data under this contract shall comply with DoD Directive 8500.1 Information Assurance (IA), DoD Instruction 8500.2 Information Assurance (IA) Implementation, DoD Directive 5400.11 H98210-15-R-0036 DoD Privacy Program, DoD 6025.18-R DoD Health Information Privacy Regulation, DoD 5200.2-R Personnel Security Program, Homeland Security Presidential Directive (HSPD) 12, Army Regulation 25-1 (Army Knowledge Management and Information Technology) and AR 25-2 (Information Assurance).

Contractor shall establish appropriate administrative, technical, and physical safeguards to protect any and all nonpublic government data to ensure the confidentiality, integrity, and availability of government data.

1.5.14.1 RISK MANAGEMENT FRAMEWORK COMPLIANCE:

Contractor systems and information networks that receive, transmit, store, or process nonpublic government data must be accredited according to DoDI 8510.01 "Risk Management Framework for DoD Information Technology” (RMF) (formerly DoD Information Assurance Certification and Accreditation Process ((DIACAP)) and comply with annual Federal Information Security Management Act (FISMA) security control testing. The contractor will be responsible for the cost of RMF processes and FISMA testing required for any contractor owned and operated network, facility and/or application processing DoD information. The contractor must perform offsite work with PII only on systems and platform information technology systems (PIT) that meet RMF for DoD Information Technology (IT) requirements. Systems previously certified under DIACAP must be current but cannot exceed an authority to operate (ATO) date later than October 2016. Such information systems and PIT systems will be updated on an on-going basis to continue to meet applicable RMF requirements. Systems must have and maintain an ATO or if acceptable to the Government, if under DIACAP an Interim Authority to Operate (IATO) not to exceed the October 2016 time frame.

Contractor PIT systems unable to provide proof of an existing ATO shall provide a System Security Plan and the supporting documentation for Steps 1,2, 3, 4 of the RMF DoDI 8510.01 pages 28-34 to obtain an IATO or ATO within 6 months of contract award.

Contractor PIT systems must also meet the minimum required security controls for unclassified controlled technical information requiring safeguarding in accordance with the System Security Plan and the RMF documents. See table one for minimum security control. (A description of the security controls is in the NIST SP 800-53, ``Security and Privacy Controls for Federal Information Systems and Organizations'' (http://csrc.nist.gov/publications/PubsSPs.html).)

Table 1--Minimum Security Controls for Safeguarding

Access Control

AC-2

AC-3(4)

AC-4

AC-6

AC-7

AC-11(1)

AC-17(2)

AC-18(1)

AC-19

AC-20(1)

AC-20(2)

AC-22

Audit & Accountability

AU-2

AU-3

AU-6(1)

AU-7

AU-8

AU-9

Identification and Authentication

IA-2

IA-4

IA-5(1)

Media Protection

MP-4

MP-6

System & Comm Protection

SC-2

SC-4

SC-7

SC-8(1)

SC-13

SC-15

SC-28

Configuration Management

CM-2

CM-6

CM-7

CM-8

Incident Response

IR-2

IR-4

IR-5

IR-6

Physical and Environmental Protection

PE-2

PE-3

PE-5

Awareness & Training

AT-2

Contingency Planning

CP-9

Maintenance

MA-4(6)

MA-5

MA-6

Program Management

PM-10

System & Information Integrity

SI-2

SI-3

SI-4

Risk Assessment

RA-5

Legend:

AC: Access Control AT: Awareness and Training MP:

AU: Auditing and Accountability

CM: Configuration Management CP: Contingency Planning IA: Identification and Authentication IR: Incident Response MA: Maintenance MP: Media Protection PE: Physical & Environmental Protection PM: Program Management RA: Risk Assessment SC: System & Communications Protection SI: System & Information Integrity

1.5.15 PROPERTY RIGHTS: All Software, scripts, plans, procedures and documents produced under this contract become the property of the U.S. Government and may not be altered, modified or shared with other public and private activities without prior approval from the Government.

1.5.16 CONTRACTOR MANPOWER REPORTING REQUIREMENT: The Office

of the Assistant Secretary of the Army (Manpower & Reserve Affairs) operates and maintains a secure Army data collection site where the contractor will report ALL contractor manpower (including subcontractor manpower) required for performance of this contract. The Contractor is required to completely fill in all the information in the format using the following web address: https://contractormanpower.army.pentagon.mil.

The required information includes:

(1) Contracting Office, KO, COR;

(2) Contract number, including task and delivery order number;

(3) Beginning and ending dates covered by reporting period;

(4) Contractor name, address, phone number, e-mail address, identity of contractor employee entering data;

(5) Actual direct labor hours (including sub-contractors);

(6) Actual direct labor dollars paid this reporting period (including sub-contractors);

(7) Total payments (including sub-contractors);

(8) Predominant Federal Service Code (FSC) reflecting services provided by contractor (and separate predominant FSC for each sub-contractor if different);

(9) Estimated data collection cost;

(10) Organizational title associated with the Unit Identification Code (UIC) for the

Army Requiring Activity (the Army Requiring Activity is responsible for providing the contractor with its UIC for the purposes of reporting this information);

(11) Locations where the contractor and sub-contractors perform the work (specified by zip code in the United States and nearest city, country, when in an overseas location, using standardized nomenclature provided on website);

(12) Presence of deployment or contingency contract language; and

(13) Number of contractor and sub-contractor employees deployed in theater this reporting period (by country).

As part of its submission, the Contractor will provide the estimated total cost (if any) incurred to comply with this reporting requirement. Reporting period will be the Period of Performance (POP) not to exceed 12 months ending September 30 of each Government fiscal year and must be reported by 31 October of each calendar year.

Contractors may use a direct XML data transfer to the database server or fill in the fields on the website. The XML direct transfer is a format for transferring files from a contractor’s systems to the secure web site without the need for separate data entries for each required data element at the web site. The specific formats for the XML direct transfer may be downloaded from the web site listed above.

1.6.1 KEY PERSONNEL: In the performance of this contract, key personnel will be identified.

1.6.1.1 PROGRAM MANAGER: The contractor shall provide a Program Manager (PM) who shall be responsible for the performance of the work. The name of this person and an alternate who shall act for the contractor when the PM is absent shall be designated in writing to the KO. The PM or alternate shall have full authority to act for the contractor on all contract matters relating to daily operation of this contract.

Qualifications: The position requires a minimum of a Ph.D. in a contract or TO relevant scientific/technical field plus ten years of work experience in that related scientific/technical field. Alternatively, a person with a master’s degree in a contract or delivery order relevant scientific/technical field plus fifteen years of work experience in that related scientific/technical field will be acceptable. Finally, a person with a bachelor’s degree in a contract or delivery order relevant scientific/technical field plus twenty years of work experience in that related scientific/technical field could also serve in this position. The person must have demonstrated experience in managing large-scale applied research efforts, preferably in a military training environment. This specialized experience should include: complete analytical project development from inception to conclusion, demonstrated ability to provide guidance and direction in tasks similar to the sample tasks or areas of the PWS tasks, proven expertise in the management and control of funds and resources and demonstrated capability in managing multiple task contracts of this type and complexity within the past year. The person’s work experience should include a history of increasing responsibilities in one or more contract relevant scientific/technical fields. Example degree fields are Psychology, Sociology, Human Factors, Operations Research, Engineering, Mathematics, and Education.

1.6.1.2 Task Leader/Principal Investigator (Data Collection operations): Possessing a minimum of a bachelor degree in a behavioral science field, plus ten years of related work experience, or a master’s in a behavioral science field, plus five years of related work experience.

1.6.1.3 Senior Technical Contributor (Behavioral): Possessing a minimum of a master’s degree in a behavioral science field, plus ten years of related work experience, or a PhD in a behavioral science field, plus five years of related work experience.

1.6.1.4 Senior Technical Contributor (Analytic): Possessing a minimum of a master’s degree in an operations research, mathematics, statistics, economics, engineering or computer science field, plus ten years of related work experience, or a PhD in an operations research, mathematics, statistics, economics, engineering or computer science field, plus five years of related work experience.

1.6.1.5 Senior Technical Contributor (Data Collection Operations): Possessing a minimum of a bachelor degree in a behavioral science field, plus ten years of related work experience, or a master’s in a behavioral science field, plus five years of related work experience.

1.6.1.6 Mid-range Technical Contributor (Data Collection Operations): Possessing a minimum of an associate’s degree in a behavioral science field, plus seven years of related work experience, or a bachelor’s in a behavioral science field, plus three years of related work experience.

Any changes in these positions must be approved in writing by the KO.

PART 2

DEFINITIONS & ACRONYMS

AR – Army Regulation ARI – U.S. Army Research Institute for the Behavioral and Social Sciences ATO – Authority to Operate CFR – Code of Federal Regulations COR – Contracting Officer’s Representative - A representative from the requiring activity assigned by the Contracting Officer to perform surveillance and to act as liaison to the contractor.

CUI – Controlled Unclassified Information DIACAP – DoD Information Assurance Certification and Accreditation Process DMDC – Defense Manpower Data Center DoD – Department of Defense - The federal department responsible for safeguarding national security of the United States; created in 1947 (since 1789 as the War Department).

DODD – Department of Defense Direction DODI – Department of Defense Instruction FAR – Federal Acquisition Regulation FOUO – For Official Use Only FSC – Federal Service Code HQDA – Headquarters, Department of the Army HRPO – Human Research Protection Official IAW – In Accordance With IRB – Institutional Review Board KO – Contracting Officer – The Government representative with the authority to enter into, administer, and terminate contracts and task orders/modifications on behalf of the Government and to make related determinations and findings.

OPSEC – Operations Security POP – Period of Performance PII – Personally Identifiable Information PM – Program Manager PRS – Performance Requirements Summary - Attachment to the PWS, which identifies the key performance indicators of the contract that will be evaluated by the Government to assure contract performance standards are met by the Contractor.

PWS – Performance Work Statement -The work the Government expects the Contractor to perform.

QC – Quality Control - Those actions taken by a Contractor to control the performance of services so that they meet the requirements of the PWS.

RMF – Risk Management Framework SSMP – Sample Survey of Military Personnel TO – Task Order UIC – Unit Identification Code

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3.1 GENERAL: The Government will provide, the facilities, equipment, materials, and/or services listed below when the contractor performs on the Government site.

3.2 EQUIPMENT: The Government will provide any expendable supplies, computer hardware and computer software necessary for the contractor’s use in performance of the duties outlined in this PWS when the contractor performs on the Government site.

3.3 SERVICES: N/A

3.3.1 UTILITIES: All utilities in the facility will be available for the contractor’s use in performance of duties outlined in this PWS. The Contractor shall instruct employees in utilities conservation practices. The Contractor shall be responsible for operating under conditions that preclude the waste of utilities.

3.4 FACILITIES: When the place of performance is on the Government site, the Government will furnish the necessary workspace for the Contractor staff to provide the support outlined in this PWS to include desk space, telephones, computers and other items necessary to maintain an office environment.

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4.1 GENERAL: Except for those items specifically stated to be Government furnished in Part 3, the Contractor shall furnish everything required to perform the work in accordance with the PWS.

4.2 FACILITY CLEARANCE: N/A

PART 5

SPECIFIC TASKS

5.1 ATTITUDE AND OPINION SURVEYS: TOs issued by the Government to the Contractor in support of ARI’s Scientific and Technology Program are intended to give ARI the ability to conduct multiple surveys, sometimes concurrently. These surveys provide personnel attitude and opinion information to be used by the Army’s senior leadership in their decision-making on manpower, personnel, and leader development issues.

5.2 GENERAL TASKS: Individual TOs will require the performance of unique tasks specific to that task order. In general, the Government anticipates that task orders will be written for the following three sets of complex tasks: (1) survey development and administration and (2) survey analytic and methodological support.

5.2.1 Kickoff meeting. Contractor shall, with the assistance of the COR, conduct a kickoff meeting within 10 working days of each TO award to clarify any technical or administrative issues and resolutions such as access to offices, computers, and databases.

Documentation of the kickoff meeting should be incorporated in the first monthly report.

5.2.2 Monthly report. Contractor shall prepare a monthly report and prepare/present additional updates to the COR, as required, for each task ordered awarded. The monthly report will contain the following information, broken out by major task (i.e., survey development and administration; survey analysis and methodological support): key activities engaged in during the month, deliverables provided, obstacles encountered (if any), obstacles anticipated (if any), the number of hours expended by personnel in each labor category during the month and cumulative to date, and the amount invoiced for the month and cumulative to date. Individual TOs may specify additional information be included in the monthly report. (CDRL A, Authority DI-MGMT-80368A, Monthly Status Report)

5.3 SURVEY DEVELOPMENT AND ADMINISTRATION TASKS. The

Government anticipates that a minimum of 1 large-scale survey and as many as 5 smaller surveys may be required in any particular year. Although questionnaire length varies from survey to survey, ARI questionnaires typically contain about 200 decision points or less.

5.3.1 Database development and maintenance. Develop, update, and maintain various databases (e.g., population, sampling, and response/analytic databases) in accordance with the specifications outlined in individual TOs. In general, population frames may contain up to 500,000 cases and sampling frames for large-scale surveys may contain up to 120,000 cases.

5.3.1.1 Update sampling frames/databases. During data collection, sampling frames will be updated with the latest information on contact information, refusals, and ineligibles and other key data elements, as needed.

5.3.1.2 Develop quantitative databases. Develop quantitative databases which contain administrative file variables, disposition and eligibility variables, paradata, and survey response variables and other Contractor-developed variables, as required by the Government. (CDRL B, Authority DI-MGMT-81453A, Database Development)

5.3.1.2.1 Develop all scan, editing, and conversion programs to ensure accurate data capture and fully test all data capture programs before survey fielding begins. The Contractor shall perform quality control measures (e.g., ensuring that skip patterns are correct, spell check is performed, no programming loops are present, backward and forward coding is accurate) and that all errors are corrected. The Government expects that several rounds of revision may be required, but that most of these revisions will involve minor fixes/improvements.

5.3.1.2.2 Develop and implement survey disposition, paradata and other

Government-requested variables as directed by the COR. The disposition, paradata, and other survey variables to be developed include but are not limited to the following:

eligibility, disposition, date and time of initial survey access, date/time survey completed and submitted, and collapsed/recoded variables.

5.3.1.2.3 All Contractor-developed variables shall have variable and value labels.

5.3.1.2.4 Databases will usually be SPSS or SAS datasets, as required by the Government, although specific TOs may require other formats.

5.3.2 Confirm postal addresses. Submit sample database files to national change of address databases to obtain the latest postal addresses.

5.3.3 Produce and distribute paper survey questionnaires and mailing materials.

Produce and distribute printed (paper) survey questionnaires, business return envelopes, postcards, and sample communications.

5.3.3.1 Produce paper survey questionnaires and sample communications.

5.3.3.1.1 Prepare a paper version of the survey from a Government-provided questionnaire. The Contractor shall design the paper version so that all data (excluding written comments) can be electronically captured/scanned. The Contractor will ensure that the electronic data capture/scanning technology can read either penciled or inked response marks (i.e., questionnaire can be completed using either pencil or pen).

5.3.3.1.2 Prepare paper/printed sample communications. Prepare and print sample communications (e.g., pre-notification, survey invitation, and reminder messages). Individual TOs may require that certain sample communications (such as, for example, the pre-notification letter) be printed on Government letterhead and/or contain the signature of a Government official. Individual TOs may require that some communications be personalized (i.e., address line containing the sample member’s rank and name).

5.3.3.2 Distribute via the US Postal Service (USPS) printed questionnaires and sample communications. Prepare and distribute via postal mail paper the following printed materials: pre-notification letter, survey questionnaire with cover letter invitation, and reminder postcard. A typical paper survey data collection will have a minimum of 3 USPS mailings: 1 pre-notification letter, 1 survey invitation letter (containing the survey invitation letter, survey questionnaire, and a business reply envelope), and 1 reminder postcard. Additionally, depending upon response, there may be a second mailing of the printed survey questionnaire (with cover letter and business reply envelope) to hard to reach subpopulations or to all non-respondents.

5.3.3.3 The sample size for large-scale data collections via paper questionnaires usually ranges from 40,000-80,000.

5.3.4 Prepare and distribute on-line survey questionnaires and materials.

5.3.4.1 Prepare on-line survey questionnaires. Develop an on-line survey from a Government-provided survey questionnaire. Ensure that all data capture programming (e.g., branching, skip patterns, error messages variable ranges, question type (mark all that apply vs. mark one)) is comprehensive and accurate.

5.3.4 2 Prepare sample communications. Using Government-provided text, prepare communications to be e-mailed to the sample frame.

5.3.4.3 Distribute on-line sample communications and survey questionnaires.

Using a secure, approved site/platform/server, e-mail sample communications (e.g., pre-notification, survey invitation, and reminder messages) and either a link or other instructions to access an on-line survey questionnaire. A typical on-line survey may have as few as 3 sample member communications (1 pre-notification message, 1 survey invitation, and 1 reminder) and as many as 5 (1 pre-notification message, 1 survey invitation, and up to 3 reminder messages).

5.3.4.4 The sample size for large-scale, on-line data collections could range from 20,000-100,000.

5.3.5 Monitor data collection. Monitor data collection operations by tracking sample nonresponse, response (partials and completes), eligibility, and disposition and provide regular updates to the COR. The Contractor shall provide the following information for key subgroups specified by the Government, for each weekday during survey distribution and cumulatively (i.e., since the opening of the fielding period): number of days in the field, number of completed surveys, number of partial surveys, number of sample members removed from the sample (because of ineligibility, sample member’s request, or for other reasons), total surveys (completes plus partials), and response rate. (CDRL C, Authority DI-MISC-80711A, Reports Monitoring Data Collection)

5.3.5.1 If any of the sample communications are postal mailings, the Contractor shall track the number of postal non-deliverables.

5.3.6 Telephonic and on-line support. The Contractor will establish a call line and/or website for sample members’ questions about the survey and respond to sample members’ telephonic or e-mailed questions/concerns about the survey within 72 hours.

Although there are a variety of reasons why sample members initiate a communication about a particular survey, oftentimes sample members’ questions/concerns involve:

requests to be removed from the sample, concerns about the legitimacy of the survey, difficulty accessing the on-line survey, and requests for password resets. All contacts with sample members (including the date, time, and content of both the member’s question and the Contractor’s response) will be logged and the documentation provided to the Government. (CDRL D, Telephonic and Online Support Reports, Authority DI-

MISC-80711A)

5.3.7 Prepare verbatim qualitative databases. Write-in text from open-ended questions, “Please specify” comment boxes, and from comment boxes located at the conclusion of a survey section or the survey itself will be captured and downloaded to a Microsoft Excel, Access, or text file/database (file/database type will be directed by the Government). Each comment should be accompanied by the respondent’s unique identification number, the survey question number which the comment addresses, and up to three demographic variables, as required by the Government. (CDRL B, Authority DI- MGMT-81453A, Data Accession List)

5.3.8 Database and methodological documentation. Provide methodological and database documentation, including but not limited to documentation about fielding methods, coding, and editing/scanning. (CDRL E, Authority DI-MISC-80711A, Database Development and Survey Methodology Report)

5.4 SURVEY ANALYTIC AND METHODOLOGICAL SUPPORT TASKS. The

Contractor shall provide statistical and analytic services on surveys in support of ARI’s Scientific and Technology Program. The primary survey supported will be the SSMP, although limited support may be provided to other surveys. The SSMP has a complex sample design and a sample size exceeding 100,000. Developing complex samples and associated weights oftentimes requires training and experience in advanced, specialized statistical techniques. Since the Office of Management and Budget requires non-response analyses when survey response rates are below 80% or when response to any survey item included in a report is below 70%, ARI must have non-response analyses which identify systematic differences between respondents and non-respondents.

5.4.1 Survey Methodology Briefing. Contractor shall expect to prepare, and present to COR and sponsors, at least 1 oral presentation/briefing on survey methods pertaining to Army and or DoD personnel research. The specific topic may include weighting, complex sample designs, non-response or sampling bias, sources and types of error, item or questionnaire development, sample communications, recent advances in methodological and analytic techniques, and qualitative data management and analysis.

(CDRL F, Authority DI-MISC-80711A, Survey Methodology Briefing)

5.4.2 Database development and management. Contractor shall lead/assist in the development and maintenance of various population, sample, and respondent databases in accordance with outlined specifications for Army personnel surveys. Contractor shall:

5.4.2.1 Develop data extracts from Army or DOD personnel databases (CDRL B, Authority DI-MGMT-81453A, Database Development)

5.4.2.2 Develop population and sampling frames by merging data elements from multiple personnel databases produced/managed by ARI, the Army Human Resources Command, or the Defense Manpower Data Center (DMDC) (CDRL B, Authority DI- MGMT-81453A, Database Development)

5.4.2.3 Develop respondent analytic databases or extracts (CDRL B, Authority DI- MGMT-81453A, Database Development)

5.4.2.4 Document definitions guiding the development of population and sampling frames and document all procedures used to develop analytic databases, consistent with ARI guidelines (CDRL E, Authority DI-MISC-80711A, Database Development and Survey Methodology Report)

5.4.3. Sampling Design and Implementation. Contractor shall assist in the identification/design/implementation of sampling plans. Contractor shall:

5.4.3.1 Population definition. Assist in the identification of target populations.

5.4.3.2 Sampling design. Obtain from the Government the target subgroups on which inferential analyses will be conducted and design sampling plans that take into account the historic and projected response rates for all relevant target subgroups and which ensure sufficient response from relevant analytic target subgroups. Sampling plans should include methodology to address non-response via use of imputed and/or administrative record data. (CDRL G Authority DI-QCIC-81115, Sampling Design Plans)

5.4.3.3 Sampling implementation. Implement sampling plans by drawing samples from large-scale Army and DOD personnel databases, modifying sampling frames, as required, deleting cases from sampling frames as appropriate (e.g., deployed personnel, incarcerated personnel), and refreshing samples immediately prior to and during survey administration, as required.

5.4.3.4 Sampling documentation. The Contractor shall document the final sampling methodology. (CDRL H, Authority DI-MISC-80711A, Reports Documenting Sampling and/or Weighting)

5.4.4 Weight Development and Implementation. Contractor shall design, implement, and document final weights which correct for non-proportional sampling and design and perform post-stratification adjustments which correct for non-response, or make other adjustments, as required. (CDRL I, Authority DI-MISC-80711A, Development and Implementation of Weights) and (CDRL H, Authority DI-MISC-80711A, Reports Documenting Sampling and/or Weighting)

5.4.5 Statistical/Analytic Support of Data Collections. Contractor shall provide statistical/analytic which supports data collection activities. Contractor shall:

5.4.5.1 Disposition variable development. Assist in the development and implementation of survey disposition variables, adding or deleting disposition variables to the survey database, as required.

5.4.5.2 Calculate survey outcome rates. Calculate survey returns and response, contact, eligibility, and location rates for total sample and for target subgroups and provide recommendations on approaches to improve survey outcomes (e.g., response and contact rates). (CDRL J, Authority DI-MISC-80711A, Report of Methodological Studies)

5.4.5.3 Data collection experimentation. Advise and assist in the planning and implementation of data collection experiments which examine the factors associated with response rates (e.g., survey length…