91003118R0024_0003.pdf

NSN 7540-01-152-8070 STANDARD FORM 30. (Rev. 10-83) Previous Edition unusable Prescribed by GSA FAR (48 CFR) 53.243

Page of Pages AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. Contract ID Code

2. AMENDMENT MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (if applicable)

6. ISSUED BY CODE 7. ADMINISTERED BY (If other than item 6) CODE

(x) 9A. AMENDMENT OF SOLICITATION NO.

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NO.

8. NAME AND ADDRESS OF CONTRACTOR (NO., Street, Country, State and ZIP Code)

CODE FACILITY CODE

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of offers is extended, is not extended.

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning ______ copies of amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OR OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

Check One

A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE

CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return _______ copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible)

Except as provided herein, all terms and conditions of the document referenced in item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print)

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

15B. CONTRACTOR/OFFEROR 16B. UNITED STATES OF AMERICA

(Signature of person authorized to sign)

15C. DATE SIGNED

(Signature of Contracting Officer)

16C. DATE SIGNED

Attachment Page

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The purpose of this amendment is to update the following:

1. Section C to revise section C.3.3 – Operating Elements and Related Requirements

2. Section H to add clause FSA 04-2 – Records Management Requirements (Nov 2018)

3. Section J to add new Attachment 14 – Universal Electronic Records Management Requirements

Additions to sections C and J are in bold and underlined. All other terms and conditions remain unchanged.

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SECTION C, DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.3.3 Operating Elements and Related Requirements (see attachment 12: Life of Loan Servicing Intended State: Continuous, frequent, and tailored customer engagement):

a. Contact center support: Solution(s) will be equipped to provide world-class customer and partner experience in responding and resolving inbound customer inquiries across multiple channels (e.g., phone, email, chat, social media, SMS/text).

– Solution(s) shall execute contact center operations while within the system boundaries of the agent desktop solution provided by the contact center technical backbone and any other solutions prescribed by FSA.

– Solution(s) shall provide personnel (“trainers”) to be trained by the Command Center. These trainers will then coordinate onboarding and refresher training for respective solution’s other personnel.

– Solution(s) shall regularly contribute to the development and maintenance of contact scripts, training materials, and training curriculum as coordinated by the Command Center, and provide proactive feedback relating to insights generated from customer contacts.

– Solution(s) shall continuously update customer and partner data, when direct engagement occurs (e.g., phone calls) or through routine outreach asking customers and partners to update their data (i.e., contact information, communication preferences, change in circumstances).

– Solution(s) shall provide tailored customer assistance throughout the life of the loan to ensure that no borrower ever becomes a defaulted borrower, to the maximum extent practicable. This may be accomplished by activities that include, but are not limited to: making targeted outbound calls to assist customers with resolving loan management/payment issues, frequent outbound calls, early engagement for delinquent borrowers, skip tracing, etc.

b. Student aid back-office processing: Solution(s) will efficiently execute servicing and other back-office activities across the full student aid lifecycle, as assigned, especially those cannot be automated within other relevant solutions.

– Solution(s) shall provide processing capabilities as required by the Legacy Portfolio Platform Transitional Core

Processing and Future State Core Platform solutions. This will include, but is not limited to, review, validation, and processing associated with enrollment, applications, and requests for various borrower programs and loan status adjustments such as:

□ All repayment plan processing (e.g., income-driven repayment), including application and eligibility review, income checks and payment calculations, and annual recertification activities;

□ Processing associated with military service members, including requests for deferment and forbearance, SCRA benefits, and hostile pay benefits;

□ School and customer enrollment processing, including manual entry of hard-copy applications;

□ Deferment and forbearance application processing;

□ Loan consolidation origination applications and request processing;

□ Specialty programs (e.g., TEACH grants, TPD, PSLF) processing;

□ Specialty claims processing (e.g., discharge and forgiveness, based on bankruptcy, school closure, borrower defense, among others); and

□ Resolution of credit bureau disputes filed by customers or initiated by the credit bureaus; and,

□ Rehabilitation, Administrative Wage Garnishment (AWG), Treasury Offset Program (TOP), and other related processing.

– Solution(s) shall perform financial-related functions, including, but not limited to:

□ Financial reconciliation and variance research;

□ As needed support of audits (e.g., annual audit reports such as the Service Organization Controls Type II Statements on Standards for Attestation Engagements (SSAE18));

□ Research and resolution of treasury issues; and

□ Effective internal financial controls.

– Solution(s) shall conduct error and dispute resolution investigation and processing, including:

□ Direct and indirect credit bureau disputes filed by customers or initiated by the credit bureaus;

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□ Account maintenance, including manual correction of errors identified through data integrity scans and in response to FSA change requests; and

□ Payment processing, including researching lost or misapplied payments and payment reapplication at the request of customers or FSA.

SECTION H, SPECIAL CONTRACT REQUIREMENTS

FSA 04-2 Records Management Requirements (Nov 2018)

This clause applies to all contractors and subcontractors whose employees create, receive, access, or use Federal records, as defined in Title 36 Chapter XII Subchapter B - RECORDS MANAGEMENT (Parts 1220 - 1240), regardless of the medium in which the record exists.

1.1 Definitions

"Federal record" as defined in 44 U.S.C. § 3301, includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.

The term Federal record:

1. Includes Federal Student Aid, Department of Education records.

2. Does not include personal materials.

3. Applies to records created, received, or maintained by Contractors pursuant to their Federal Student Aid contract.

4. May include deliverables and documentation associated with deliverables.

1.2 Requirements

1. Contractor shall comply with all applicable records management laws and regulations, as well as National Archives and Records Administration (NARA) records policies, including but not limited to the Federal Records Act (44 U.S.C.

chapters. 21, 29, 31, 33), NARA regulations at 36 CFR Chapter XII Subchapter B, and those policies associated with the safeguarding of records covered by the Privacy Act of 1974 (5 U.S.C. 552a). These policies include the preservation of all records, regardless of form or characteristics, mode of transmission, or state of completion.

2. In accordance with 36 CFR 1222.32, all data created for Government use and delivered to, or falling under the legal control of, the Government are Federal records subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act (FOIA) (5 U.S.C. 552), as amended, and the Privacy Act of 1974 (5 U.S.C. 552a), as amended and must be managed and scheduled for disposition only as permitted by statute or regulation.

3. In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for Government use or created in the course of performing the contract and/or delivered to, or under the legal control of the Government and must be managed in accordance with Federal law. Electronic records and associated metadata must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.

4. Federal Student Aid and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Records may not be removed from the legal custody of Federal Student Aid or destroyed except for in accordance with the provisions of the agency records schedules and with the written concurrence of the Head of the Contracting Activity. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. In the event of any unlawful or accidental removal, defacing, alteration, or destruction of records, Contractor must report to Federal Student Aid. The agency must report promptly to NARA in accordance with 36 CFR 1230.

5. The Contractor shall immediately notify the appropriate Contracting Officer upon discovery of any inadvertent or unauthorized disclosures of information, data, documentary materials, records or equipment. Disclosure of non-public information is limited to authorized personnel with a need-to-know as described in the contract. The Contractor shall ensure that the appropriate personnel, administrative, technical, and physical safeguards are established to ensure the security and confidentiality of this information, data, documentary material, records and/or equipment is properly protected. The Contractor shall not remove material from Government facilities or systems, or facilities or systems operated or maintained on the Government's behalf, without the express written permission of

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the Head of the Contracting Activity. When information, data, documentary material, records and/or equipment is no longer required, it shall be returned to Federal Student Aid control or the Contractor must hold it until otherwise directed. Items returned to the Government shall be hand-carried, mailed, emailed, or securely electronically transmitted to the Contracting Officer or address prescribed in the contract. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

6. The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure to the subcontractor of information, documentary material and/or records generated under, or relating to, the performance of this contract. The Contractor (and any sub-contractor) is required to abide by Government and Federal Student Aid guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

7. The Contractor shall only use Government IT equipment for purposes specifically tied to or authorized by the contract and in accordance with Federal Student Aid policy.

8. The Contractor shall not create or maintain any records containing any non-public Federal Student Aid information that are not specifically tied to or authorized by the contract.

9. The Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of 1974 or that which is generally protected from public disclosure by an exemption to the Freedom of Information Act.

10. The Federal Student Aid possesses the rights to all data and records produced and delivered as part of this contract in accordance with the contract’s data rights clauses and related agreements incorporated into the contract.

11. Contracts for system design and development on behalf of FSA, contracts to maintain systems on behalf of FSA or vendors using propriety systems to store federal records created on behalf of FSA must meet the requirements of 36 CFR Part 1236, Subpart B and Subpart C (1236.10§ 1236.12, 1236.14, 1236.22, 1236.24, 1236.26, and 1236.28 for the storage of federal records in electronic format). (Detailed requirements are attached if this contract requires system design and development.) The creation and use of electronic records in Vendor managed systems must be according to Federal regulations and FSA processes to ensure that recordkeeping functionality is developed for information systems managing electronic records including an approved federal record schedule and adherence to the schedule. New systems must determine retention periods at initiation, validate these during use changes, and implement authorized disposition instructions for system data and documentation. Contractors must adhere to the approved record schedule, with confirmed approval from FSA to destroy records per the schedule in a NARA compliant manner. Until a schedule is approved, all records must be retained indefinitely.

12. All Contractor employees assigned to this contract who create, work with or otherwise handle records are required to take Federal Student Aid, Department of Education provided records management training. The Contractor is responsible for confirming training has been completed by applicable individuals as follows;

a. All contractor personnel with Education email accounts or access to Education IT networks or networks with Education data must complete records management training within 60 days of employment and must complete annual refresher training.

b. All contractor personnel that create, receive, access, or use Federal records on behalf of the agency, regardless of whether those individuals have Education email accounts or IT network access.

c. Annual training must be completed within 60 days of receiving the training materials.

d. Attestation that all applicable staff have completed training may be sent by email to the COR with a cc: to the contracting officer, from an official authorized to communicate on behalf of the legal entity

1.3 Flow down of requirements to subcontractors

1. The Contractor shall incorporate the substance of this clause, its terms, and requirements including this paragraph, in all subcontracts for which permission is granted under paragraph 1.2.6 above.

2. The Contractor is responsible for compliance by the Subcontractor.

(End of Clause)

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SECTION J – LIST OF ATTACHMENTS

Attachment Title

01 As-is Updated

02 Security Technical Requirements

03 Finance Technical Requirements (and Financial Requirements Attachments)

04 Additional Current State Technical Constraints (and Additional Current State Technical Constraints Attachments)

05 Customer Tasks

06 Partner Tasks

07 Top Customer Pain Points

08 Past Work Experience Cover Memo

09 Information Resources Program Elements (IRPE) Supplement

10 Pricing Template (to be provided via solicitation amendment at a later date)

11 FSA 39-5 Monthly Vendor Reporting Deliverable Template (August 2018)

12 Life of Loan Servicing Intended State: Continuous, frequent, and tailored customer engagement

13 Responses to Questions

14 FSA 04-2 Universal Electronic Records Management Requirements