EDFSA13R0001_0001_Amended_Solicitation_FINAL.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

Continuation Page

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Continued from Block 14...

2. To publish answers to the questions submitted for Phase I.

3. To incorporate updates to the solicitation based off of questions received.

4. To provide an attachment of the current OCTS Virtual Server specifications.

Attachment Page

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SECTION B: SUPPLIES OR SERVICES AND PRICES

1. Case Management Support - Rough Order of Magnitude (ROM) Evaluation of Cost

Table 1: Case Tiers

Tier 1 – General Assistance

Base Ordering Period

Optional Ordering Period 1

Optional Ordering Period 2

Optional Ordering Period 3

Optional Ordering Period 4

1 -2,500 2,501-5,000 5,001-10,000 10,001-15,000 15,001-25,000 25,001-35,000 35,001-50,000 50,001-60,000 60,001-70,000 70,001-80,000 80,001-100,000

Tier 2 - Research Base Ordering

Period Optional Ordering Period 1

Optional Ordering Period 2

Optional Ordering Period 3

Optional Ordering Period 4

501- 1000 1001 -5,000 5,001-10,000 10,001-25,000 25,001 – 50,000

*Insert estimated per case price for base period through optional period 4. Factor in all associated estimated costs. See Section L Cost Estimation Assumptions. Wage determinations are required for this acquisition. Please see FAR 52.222-43 for more information regarding the Service Contract Act. WDs can be found online at http://www.wdol.gov/Index.aspx.

Your proposal should include the labor categories proposed to perform the work applicable to the Service Contract Act (Each offeror shall provide the relevant labor categories that would be applicable.).

2. Ombudsman Case Tracking System (OCTS), Operation/Maintenance and Web Development - Rough Order of Magnitude (ROM) Evaluation of Cost

Table 2: Ombudsman Case Tracking System

Base Ordering Period

Optional Ordering Period 1

Optional Ordering Period 2

Optional Ordering Period 3

Optional Ordering Period 4

Estimated Annual Cost

* Insert estimated cost for the base period through optional period 4. See Section L Cost Estimation Assumptions.

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3. Software as a Service Price per Volume - Rough Order of Magnitude (ROM) Evaluation of Cost

Table 3: Subscription Based Pricing per Tier

Tier

Unite Price per Tier by Anticipated Ordering Period (OP) Base Ordering Period

Optional Ordering Period 1

Optional Ordering Period 2

Optional Ordering Period 3

Optional Ordering Period 4

1 -25,000 25,001- 50,000 50,001 -150,000 150,001-500,000 500,001-1,000,000 1,000,0001-2,500,000 2,500,0001-5,000,000 5,000,0001-7,500,000 7,500,0001-8,500,000 8,500,001-10,000,000

Estimated Transition Cost

*Insert estimated Transition Cost and Subscription Based Pricing estimate for the base period through optional period 4.

See Section L Cost Estimation Assumptions. Note, if you propose a specific transition timeframe from O&M to SaaS, please price only those periods for which you would provide this service. The Government will determine when/if the current OCTS is transitioned to the proposed SaaS solution. Your proposal should detail the fee structures (e.g. per seat or per functionality rates, flat or varied rates, etc.) and access parameters (unlimited access application features or unlimited access to some features or certain application versions, etc.).

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SECTION C: DESCRIPTION/SPECIFICATIONS (SOW)

The U.S. Department of Education (Department), Office of Federal Student Aid (FSA), is conducting Phase I of a two-phase solicitation in accordance with the procedures in the Department of Education Acquisition Regulation (EDAR) Subpart 3415.302-70.

The objective of this acquisition is to obtaining contractor support for Title IV Aid Delivery. This solicitation is for the following functions:

• To provide call intake, case work, and customer response/survey services for new and existing contacts.

• To provide operation/maintenance (O&M) and web development service to support the Ombudsman Group on its existing Ombudsman Case Tracking System (OCTS) application, as well as the Coalition of Federal Ombudsman website. The current case tracking system (OCTS) is a Commercial Off-The-Shelf (COTS) Oracle/ Siebel Service application (underpinning the OCTS) and enabled through the FSA Virtual Data Center hosting application server and system structure; and

• To enable consideration of a vendor proposed substitute Software as a Service (SaaS) Customer Relationship Management (CRM) solution. The Department will determine when and if the system(s) is transitioned.

This procurement will be set-a-side for small businesses under FAR Part 19 and acquired using procedures provided under FAR Part 12. FSA is committed to assuring that maximum practicable opportunity is provided to small, HUBZone small, disadvantage small, women-owned small, veteran-owned small and service-disabled veteran owned small business concerns to participate in performance of this contact consistent with its efficient performance.

Only offerors selected in Phase I of this two-phase solicitation process will be provided a copy of the solicitation amendment for Phase II, and only those offerors selected in Phase I will be permitted to submit an offer in Phase II. Selection in Phase I of this solicitation does not constitute, nor guarantee, a contract award.

1.2 Type of Contract

An Indefinite Delivery/Indefinite Quantity (IDIQ) award under NAICS Code 541519 (Other Computer Related Services business size standard 25.5M) is anticipated. Task orders will be awarded against the IDIQ as firm fixed price or time and material tasks in support of the services required.

The Government will consider a multiple-award IDIQ, if it is determined to be in the best interest of the Government, and that no single small business would be able to adequately perform the required support functions.

The award will have a Base Ordering Period of one (1) year and four (4) one-year Option Periods.

1.3 Federal Student Aid Background/Overview

The 1998 Reauthorization of the Higher Education Act (HEA) established Federal Student Aid (FSA) a performance-based organization to manage and administer student financial assistance programs at the U.S.

Department of Education (ED). These programs include grants, loans, and work-study to help students pay for

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education beyond high school, commonly known as the Title IV programs. During fiscal year 2009 FSA provided approximately $113 billion of financial aid to almost 13 million college students. Title IV of the HEA authorizes the following programs:

• The Federal Pell Grant

• The William D. Ford Federal Direct Loan (Direct Loan)

• The Federal Family Education Loan (FFEL)

• The Federal Supplemental Educational Opportunity Grant (FSEOG)

• Federal Work-Study (FWS)

• Federal Perkins Loan

1.3.1 FSA Ombudsman Group Background/Overview

The FSA Ombudsman Group (herein known as the Ombudsman Group) was established by a provision within the HEA to serve as a neutral, independent party to help resolve federal student aid disputes when other channels of support have been unsuccessful. It also conducts unbiased fact-finding about public complaints and recommends solutions to improve FSA programs.

1.4 Case Management

The Ombudsman Group manages and executes the FSA Ombudsman functions. It follows the key activities for processing cases as follows:

• Receives and logs new inquiries (“intake”);

• Responds directly, if possible (“general assistance” cases);

• Conducts research on more complex cases (“research cases”); and

• Resolves research cases and responds accordingly to inquirers.

Below is an illustration of the Ombudsman functions.

Figure 1: FSA Ombudsman Functions Overview

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The Ombudsman Group is also responsible for the following:

• Gauging customer satisfaction with Ombudsman service;

• Reporting annually on the effectiveness its Ombudsman function; and

• Preparing and producing other regular (weekly, monthly, quarterly, etc.) reports describing the volume and nature of contacts to the Ombudsman Group

Figure 2: Below is an illustration of the annual call volume handled by contracted Intake Specialists from 2002 to 2012.

Figure 3: Number of research cases closed by contractor support1

1.5 Current System - Ombudsman Case Tracking System (OCTS)

To meet the intent of the law, which includes compiling and analyzing aid recipient data, in addition to reporting on the effectiveness of assistance activities to aid recipients, the Ombudsman Group utilizes the Ombudsman Case Tracking System. The OCTS provides the automated means for the Ombudsman Group to assist federal student aid borrowers in resolving their federal student aid issues.

1This figure shows the historical annual number of research cases closed per year by contracted Ombudsman Specialists. This is not intended to predict future work levels. FSA is estimating 25,000 General Assistance cases and 12,000 Research cases per year.

10,000 20,000 30,000 40,000 50,000 60,000

Annual Intake Call Volume

5,000

10,000

15,000

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

Annual Research Cases Completed by Contractor

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The below table is an illustration of the OCTS case volumes.

Table 1: OCTS Volumes of Cases

Case Type Volumes

Research Cases 69,755

General Assistance Cases 195,181

The OCTS is a virtualized, automated, constituent relationship management (CRM) application with a Linux based support system. The virtualized Siebel Service application (version 8.0.0.13), which underpins the OCTS application is hosted in “production, test and development” versions in a single “Linux” super-server configuration that is secured and serviced in the FSA Virtual Data Center (currently supported by the Dell Corporation).

1.6 Ombudsman (Student) Website

FSA maintains a publicly accessible online presence via the Federal Student Aid StudentAid.gov website that provides free “self-help” content that focuses on providing pertinent information that can assist aid recipients in resolving their federal student aid issues without the direct assistance of the Ombudsman Group.

In addition, the Contact the Ombudsman section of the website also provides the necessary information for aid recipients to contact the Ombudsman Group when self-help methods have not satisfactorily resolved their disputes. Contact information for postal mail, phone, and fax are provided and an online assistance option (the Ombudsman Assistance Request Form) is accessible via the website. The Ombudsman Assistance Request Form is submitted into the OCTS via an indirect email contact method and is currently the only Ombudsman contact option that has any exchange with OCTS.

1.7 Coalition of Federal Ombudsmen

The Coalition of Federal Ombudsmen website is a general use website specifically designed and deployed to provide information uniquely targeted to those who serve Federal Government agencies as Ombudsmen; those institutions considering, developing and hosting these programs, and those who benefit from these programs.

FSA hosts the site for the other Ombudsman organizations.

1.8 Current Need

1.8.1 Intake Support

FSA has a need for contractor support to provide call intake, case work, and customer response/survey services for new and existing contacts to the Ombudsman Group. FSA requires intake services for English and Spanish-speaking inquirers.

Intake inquiries currently are received and managed from the following interaction channels:

• Phone

• Interactive Voice Response Unit (IVRU)

• Voice Mail

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• Email / Web Form

• Postal / Physical Mail

• Fax

• Controlled Mail (e.g. Congressional inquiries)

1.8.2. Case Types

The new case or existing case response types will either be:

• Tier 1 - General Assistance: Typically resolved in one call contact to the Ombudsman Group by the Intake Operator who provides specific information, or re-directs the inquirer to appropriate sources with the capacity to respond effectively, and

• Tier 2 – Research: Complex cases that require more extensive review and multiple contacts with other parties to obtain resolution. The interactions could include: (1) multiple telephone contacts with all parties to the issue(s) to be resolved; (2) the entry of multiple activities into the Ombudsman Case Tracking System for the case being worked; (3) potential inclusion of multiple contacts associated to the case due to their direct involvement with the issue or as a contact with detailed knowledge surrounding the aid issues of the borrower; (4) prolonged time to get answers to questions concerning the case; (5) the need to acquire and include numerous documents into the OCTS associated with the case; (6) difficulty in getting all parties to cooperate fully while trying to resolve the case: (7) the need to document (in writing) the resolution outcome to be submitted to the FSA Ombudsman Group contact for the case; and (8) details that will serve as the basis of the correspondence response to the customer at the completion of case assistance, etc.

1.8.3 Additional Interaction Channels

In addition to the existing interaction channels described above, FSA has a need to establish additional interaction channels that provide more self-help opportunities and that are cost-effective and helpful in resolving cases more expeditiously. FSA requires interaction channel services for English and Spanish-speaking inquirers. FSA is open to industry proposals on possible interaction channels, including the following:

• Web Chat

• Video Chat

• Email Blasts

• Phone Texts

• Public Teleconference

• Social Media

• Enhanced FAQ Management System

1.8.3.1 Interface Requirements for Interaction ChannelsInteraction channels requiring supporting technical solutions shall be provided and maintained by the contractor and requires FSA approval. FSA may require select interaction channels to be accessed from the StudentAid.gov website , or other website as specified by FSA. (See Section L Bullet k for further detail)

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1.8.4 Ombudsman Case Tracking System Operations and Maintenance

FSA has a need for contactor support to maintain its OCTS. The maintenance contractor shall ensure availability of the system to authorized users to initiate cases, record customer contact activity, attach electronic documents, support enhancements (patches), and manage customer case portfolios.

In addition, the maintenance contractor shall ensure that OCTS is updated and maintained to interface appropriately with any current or new interaction channels.

1.8.5 Web Development

FSA has a need for contractor support to provide content updates and operations and maintenance support for the Coalition of Federal Ombudsmen.

1.8.6 Software as a Service (SaaS) Case Management Solution

FSA has a need to understand the feasibility of transitioning the current OCTS to scalable SaaS solution. The proposed solution shall be subscription based, provide a secured data environment and be able to be administered by both the vendor and FSA.

At a minimum, the proposed solution must include the following functionality/capabilities:

• Case Workflow Management

• Software shall have CTI/IVR capability either internally or via third party

• Contextual Search – ability to search and retrieve information from anywhere in the application

• Ability to handle email, fax, chat inquiries, phone texts and phone calls

• Ability to capture customer emails and convert into service requests (cases)

• Incorporate automated spell check and pre-population of designated demographic fields

• Remote Access

• Management Dashboards

• Customer Dashboards

• Tailored Self-Service Reporting Access

• Data Warehousing

• Intelligent Reporting

• Business Intelligence

• Knowledge Management

• Data analytics

1.8.6.1 Additional SaaS Requirements

The proposed solution should provide a scalable platform, able to satisfy future FSA expansion needs. FSA may expand the use of any proposed SaaS solution to accommodate additional customer service functions to include its Federal Student Aid Contact Center (FSACC). In 2011, FSACC handled about 10 million inquiries as shown in Figure 4, nearly double from 2005. As shown in Figure 4 and Figure 5, call volume varies significantly in a seasonal pattern based on predictable drivers of call volume. Historically, general inquiry phone calls have lasted approximately 3-4 minutes, on average.

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Figure 4. Annual Volume of FSACC Inquiries Completed (source: FSA).

Figure 5 2010 Monthly Volume of FSACC (Source: FSA).

FSACC also completed 16,845 Non-Controlled mailings in 2010. Figure 6 illustrates the significance of volume fluctuations during peak and non-peak periods throughout the year.

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Figure 6. Completed Controlled Mail, Non-Controlled Mail, and Emails in 2010 (Source: FSA).

1.9 General Constraints

a. The successful offerors will be expected to perform in a multi-vendor environment. In the event that the services described in this solicitation are performed by more than one vendor, FSA expects the contractor(s) to resolve issues on their own, to the maximum practicable extent.

b. A Disaster Recovery/Continuity of Service Plan will be required in Phase II for all mission critical services (as determined by FSA) provided under this effort.

1.10 Constraints (Case Management)

a. Unless otherwise directed by the government, the Contractor shall provide, design, implement, operate and maintain, its own Computer Telephony Interface and/or network-based automated voice response services.

b. Contractor supporting call intake and case work will be required to maintain access to the FSA designated Ombudsman Case Tracking System (currently supported by Siebel; FSA reserves the right to transition to a different system solution).

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1.11 Constraints (SaaS)

a. The proposed SaaS solution shall have a Federal Risk and Authorization Management Program

(FedRAMP) Authorization to Operate (ATO) within 1 year of issuance of the task order for any SaaS solution.

b. Data from the existing system will be migrated into the SaaS solution and all data stored in the SaaS software for the application shall be owned by the Government and be freely extractable using industry standard formats.

c. Updates to the SaaS solution shall be periodical and at no additional cost to FSA.

d. Proposed SaaS solutions must be readily accessible to all users (both Section 508 (ADA) and ordinary users), and any required installations or downloads to government furnished equipment (e.g. desktops) would be permissible only after receiving software approval and successfully passing FSA testing requirements.

SECTION D: PACKAGING AND MARKING

The contract number shall be placed on or adjacent to all exterior mailing or shipping labels of deliverable items called for by the contract.

SECTION E: INSPECTION AND ACCEPTANCE

See FAR 52.212-4 Contract Terms and Conditions -- Commercial Items (FFP) (FEB 2012) See FAR 52.212-4 Contract Terms and Conditions -- Commercial Items (T&M) (FEB 2012) Alternate I

SECTION F: DELIVERIES OR PERFORMANCE

Contract deliverables and the place of performance will be identified at the task order level.

SECTION G: CONTRACT ADMINISTRATION

EDAR 3452.201-70 Contracting Officer’s Representative (COR) (MAR 2011)

(a) The Contracting Officer’s Representative (COR) is responsible for the technical aspects of the project, technical liaison with the contractor, and any other responsibilities that are specified in the contract. These responsibilities include inspecting all deliverables, including reports, and recommending acceptance or rejection to the Contracting Officer.

(b) The COR is not authorized to make any commitments or otherwise obligate the Government or authorize any changes that affect the contract price, terms, or conditions. Any contractor requests for changes shall be submitted in writing directly to the Contracting Officer or through the COR. No such changes shall be made without the written authorization of the Contracting Officer.

(c) The COR’s name and contact information:

TBD

Contracting Officer Representation (COR) U.S. Department of Education Office of Federal Student Aid 830 1st Street, NE, Room TBD

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Washington, DC 20202

(202) 377-TBD

(d) The COR may be changed by the Government at any time, but notification of the change, including the name and address of the successor COR, will be provided to the contractor by the Contracting Officer in writing.

(End of Clause)

EDAR452.243-70 Key Personnel (MAR 2011)

(a) The personnel designated as key personnel in this contract are considered to be essential to the work being performed hereunder. Prior to diverting any of the specified individuals to other programs, or otherwise substituting any other personnel for specified personnel, the contractor shall notify the contracting officer reasonably in advance and shall submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the contract effort. No diversion or substitution shall be made by the contractor without written consent of the contracting officer; provided, that the contracting officer may ratify a diversion or substitution in writing and that ratification shall constitute the consent of the contracting officer required by this clause. The contract shall be modified to reflect the addition or deletion of key personnel.

(b) The following personnel have been identified as Key Personnel in the performance of this contract:

Labor category Name [Insert category.] [Insert name.]

(End of Clause)

FSA 32-1 Invoice Clause (MAR 2012) The Contractor must submit an invoice via mail, fax, or e-mail for this contract in order to be paid for products and/or services rendered. For Prompt Payment Act purposes, Invoices received after 3 p.m. will be processed on the next business day.

Federal Student Aid's "Designated Billing Office" (DBO) is:

US Department of Education Union Center Plaza Federal Student Aid Administration 830 First Street, NE – Suite 54B1 Washington, D.C. 20201-0001 E-mail: InvoiceAdmin @ed.gov Fax: (202) 275-3477

A contractor shall also simultaneously submit copies of the invoice to the Contracting Officer (CO) and one to the Contracting Officer's Representative (COR). The CO and COR should receive copies via the same means as the invoice sent to the DBO.

When submitting an invoice via mail, the Contractor shall submit the original invoice and two copies of the invoice.

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At a minimum the following items must be addressed in order for the invoice to be considered “proper” for payment:

(1) Name and Address of the Contractor.

(2) Invoice Number and Invoice Date.

(3) The Contract number, contract line item, and if applicable, the order number.

(4) Description, quantity, unit of measure, unit price, and extended price of the delivered item or service, as defined in the contract or order.

(5) Terms of any offered prompt payment discount.

(6) Name, title, and phone number of persons to be notified in event of a defective invoice.

(7) The period of time covered by the invoice.

(8) Totals, supported by subtotals, and subtotals should be supported by detail (i.e. documentation for categories of labor, hours performed, unit prices) and deliverables provided.

(9) If required by this contract or order, receipts must be provided to support documentation of “other direct costs” (ODCs) or materials.

(10) SPECIAL INSTRUCTIONS FOR FINANCE PAYMENTS:

Invoices for finance payments shall specifically and prominently identify the payment request as follows:

REQUEST FOR FINANCING PAYMENT

Finance payments are not subject to the Prompt Payment Act. Failure to identify the invoice as a request for financing may result in delay of payment. Invoices that are identified as Requests for Finance Payments shall only include the finance payments listed in the contract. Requests for finance payments shall not be combined with other types of invoice payments.

(End of Clause)

SECTION H: SPECIAL CONTRACT REQUIREMENTS

1. Capacity Planning and Management The Contractor shall collaboratively and actively participate in Information Resources capacity reviews and provide information to support usage of current capacity and forecasting for infrastructure resources for current and new systems to meet the Department’s requirements.

The Contractor shall proactively, for all new and existing Information Resources which they create and/or support, produce written capacity planning reports and recommendations at monthly, in agreement with the Department of Education. The reports and recommendations shall holistically evaluate requirements and trends for Information Resources in order to produce a forecast and recommendations with specific sizes, quantities, types and timing.

The Contractor shall, for all Information Resources which they support, holistically monitor and manage capacity on a monthly basis to ensure that Information Resources are being operated within minimum and maximum thresholds, as agreed to by the Department of Education. This requirement will be determined on the task order level.

The Contractor shall produce written capacity management reports at periodic intervals, as agreed to by the Department, which summarize actions taken since the last report as well as prescriptive recommendations which minimize the cost and maximize efficiency. This requirement will be determined on the task order level.

The Contractor shall collaboratively and actively participate in capacity reviews and provide information to support usage of current capacity and forecasting for infrastructure resources for current and new systems to

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meet Federal Student Aid’s business needs. Refer to the Technology Office Infrastructure Operations Group Concept of Operations for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

2. Governance and Review Boards The Contractor shall respond to requests for information or data calls related to their contract in conjunction with the Department’s governance review board/process requirements, such as: Federal Student Aid Investment Review Board, Engineering Review Board, and Enterprise Change Control Board and program specific change management boards and others as required. For estimating purposes, the contractor shall assume that volume related statistics as it pertains to the quantity of calls received and processed in the capacity of a call contact center shall be provided as requested. Should the contractor receive an award to replace the current ombudsman case tracking system at some future date they shall respond to requests from appropriate FSA technical or business operations such as to satisfy request of adequate proof of support for expansion planning of underpinning or supporting database structures and the supporting infrastructure enabling their access and use under the reporting regimes as directed by the supported organization.

3. Audits & Reviews Language The Contractor shall provide information and assistance to support periodic project and system-specific auditing activities that Federal Student Aid conducts such as IV&V, QA, and LMM compliance and audits. The contractor shall maintain traceability of configuration items, including baselines and builds, to support all the functions of the Lifecycle Management Methodology.

4. Vendor Collaboration The Contractor may be expected to perform in a multi-vendor environment

5. External Studies or Investigations Notwithstanding other terms of this contract, the Contractor shall accommodate the Department in providing information related to contract performance for inquiries from other Federal entities, including but not limited to: Congress; Comptroller General; Office of Management and Budget; and, Office of the Inspector General.

Such requests may also take the form of a Departmental program or Technology Office inspection, validation, or audit. The contractor shall furnish the requested information within the time constraints of the request.

6. Lifecycle Management Methodology The Contractor shall comply with the Federal Student Aid SDLC (aka LMM), which defines the control level activities and a minimum set of documentation requirements to successfully oversee the development and implementation of a solution. Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference Library for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

7. Tailoring of FSA Standards Any expectations or assumptions requiring exemptions, modifications or tailoring of Federal Student Aid standards must be included in the proposal and explicitly accepted by Federal Student Aid at the time of award.

8. LMM Compliance Traceability The Contractor shall follow the Federal Student Aid Lifecycle Management Methodology for all Management and Technical Stage Gates. The contractor shall deliver specific project Information Resources deliverables in a

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format prescribed by the FSA LMM templates. Project deliverables and work products over and above the LMM, may be delivered in accordance with a contractor’s proposed methodologies, unless otherwise identified in the contract. Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference Library for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

9. Data Migration Planning The Contractor shall provide a Data Migration Plan for solutions that involve the movement, creation, modification or decommissioning of operations data supporting any Federal Student Aid information system.

Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference Library for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

10. Data Management Documentation The Contractor shall provide detailed file layouts for all production data files, loads, and extracts comprising or supporting any Federal Student Aid information system per the guidance provided in the Federal Student Aid Data Standardization Policies and Procedures. Additionally, the Contractor shall include detailed source target mapping, logical and physical data models, and detailed data dictionaries for all production database structures per the guidance provided in Federal Student Aid Data Model Standards and Guidelines, Registration Policies and Procedures, and Federal Student Aid Enterprise Data Dictionary Standards.

11. Test Standards The Contractor shall comply with standards for test management within the Lifecycle Management Methodology. Refer to the Enterprise Test Management Standards for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

12. Performance Testing The Contractor shall support independent performance testing of solutions by providing data, scenarios, volumes, support of performance testing activities, and capacity estimates, including trending of performance data. In the absence of independent performance testing, the contractor shall conduct performance testing of their responsible areas. The contractor shall resolve issues identified during performance testing activities. The contractor shall provide a document summarizing the changes associated with architecture and design of the system to support capacity planning and optimization of the performance profile of the solution.

13. Partner Testing The Contractor shall conduct and support intersystem testing between its area of responsibility and other entities that do business with Federal Student Aid. The Contractor shall provide resources, interface control documents, test data, and test cases/scenarios in support of intersystem testing. Federal Student Aid has a weekly maintenance window to facilitate scheduled testing.

14. Defect Documentation The Contractor shall document defects found during testing in accordance with FSA's Enterprise Test Management Standards and propose a plan to correct. The Contractor shall resolve issues identified during the inter-system testing.

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15. Requirements Management The Contractor shall comply with standards for requirements management within the Lifecycle Management Methodology. Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference Library for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

16. Independent Verification and Validation This contract is subject to Independent Verification and Validation (IV&V) and the Contractor shall support Federal Student Aid IV&V activities. The Contractor shall furnish Federal Student Aid information that may include, but is not limited to, project management, technical, quality control, and quality assurance work products that are explicit deliverables under the contract. Refer to the Federal Student Aid Independent Verification and Validation Handbook for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

17. Systems Development, Operations and Maintenance The Contractor shall adhere to the approved program lifecycle management process for systems development, maintenance and operations of all systems. In accordance with the FSA Lifecycle management Methodology (LMM), which shall be used unless a specific alternative process is completely documented in writing and is then approved by FSA.

18. Infrastructure For software application(s) that are hosted in the VDC, coordination is required when adding/changing/modifying that application as defined in the Technology Office’s Infrastructure Operations Group Concept of Operations. The Contractor is required to coordinate all changes to approaches and processes used to implement changes to Federal Student Aid IT operations and services hosted at the Virtual Data Center.

If the continuity of the government's programs is disrupted as a consequence of the Contractor's failure to adequately coordinate these changes with the Virtual Data Center, the Contractor may be subject to a disincentive of $1,000 per incident where there is lack of coordination, and $50/hour or portion thereof for an outage or disruption of services.

19. Configuration Management The Contractor shall develop a configuration management plan, for all systems in development and production, in accordance with the standards defined within the Lifecycle Management Methodology. Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference Library for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

For acquisitions not using the complete FSA LMM, the contractor shall comply with standards for configuration management traceability within the Lifecycle Management Methodology. Refer to the Lifecycle Management Methodology section of the Federal Student Aid Technology Office Reference document found in the FSA Technology Library resource.

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20. Patch Management and Technology Upgrades The Contractor shall support the implementation of patches and technology upgrades through the testing of all changes to the Federal Student Aid’s infrastructure as defined in the Federal Student Aid Enterprise Test Management Standards. Refer to the Technology Office Infrastructure Operations Group Concept of Operations for additional information.

21. Network Management The contractor shall request all data telecommunications requirements and changes through the Federal Student Aid Enterprise Change Management process. All communication changes, new or existing, shall conform to Federal Student Aid Security standards and shall undergo security reviews. Additionally, all applications and infrastructure residing in or connecting to the Virtual Data Center shall be IPV6 compatible and compliant.

Refer to the Technology Office Infrastructure Operations Group Concept of Operations for additional information.

22. Security Management The Contractor shall comply with all security policies and standards defined in the Information Resources Risk Management section of this document and system-specific boundary security controls. The Contractor shall follow the Federal Student Aid access guidelines that limit the Contractor’s access to production environments to read only and provide access to Virtual Data Center based on Contractor’s functions and need to manage resources. Refer to the Technology Office Infrastructure Operations Group Concept of Operations for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

23. Security Incident Management The Contractor shall collaboratively and actively participate in Information Resources capacity reviews and provide information to support usage of current capacity and forecasting for infrastructure resources for current and new systems to meet the Department’s requirements.

24. Incident and Problem Management The Contractor shall use the Virtual Data Center Services and VDC Help Desk to report all incidents and assist immediately in timely resolution, escalation and notification of any incidents that impact application degradation or outages until service is restored. Additionally, the Contractor shall collaboratively participate in identifying the root cause of incidents, developing solutions to resolve the issues and implementing and testing any corrective actions. Refer to the Technology Office Infrastructure Operations Group Concept of Operations for additional information.

http://studentaid.ed.gov/about/contracting-info/it-standards

25. Contractor Assurance of Product Cryptographic Protection Acceptance Criteria The Contractor shall present evidence (e.g., NIST certificate for the specific product and module) that the products it utilizes provide cryptographic protections using modules that comply with FIPS PUB 140-2 standards.

26. Security Incident Management The Contractor shall follow FSA security incident reporting procedures as defined in the security award documentation to be provided at contract award.

http://studentaid.ed.gov/about/contracting-info/it-standards

27. Information Resources Access Management The Contractor shall comply with the controls for access management contained in the current versions and revisions of: National Institute of Standards and Technology (NIST), SP-800-53, Recommended Security Controls for Federal Information Systems and Organizations; and NIST-SP-800-53A, Guide for Assessing the Security Controls in Federal Information Systems and Organizations, Building Effective Security Assessment Plans.

28. Information Resources Systems Authorization to Operate The Contractor shall certify that the delivered solution complies with the security authorization processes as outlined in National Institute of Standards and Technology Special Publication NIST-SP-800-37 entitled Guide for Applying the Risk Management Framework to Federal Information Systems: A Security Life Cycle Approach, and supporting OCIO policies, standards, and procedures. In accordance with the identified risk rating, the solution shall satisfy the appropriate security controls as defined in Federal Information Processing Standards FIPS 200 and National Institute of Standards and Technology NIST-SP 800-53 entitled Recommended Security Controls for Federal Information Systems and Organizations.

http://studentaid.ed.gov/about/contracting-info/it-standards

29. Contractor Release of Source Code to Government If for whatever reason, the Contractor is required to develop source code, the information shall be a deliverable presented to the government for purposes of security validation in accordance with the agreed upon deliverable schedule.

30. Information Resources Retirement When an Information Resource reaches the end of its life cycle, and access to the resource by all users has been terminated, data resident on the resources shall be protected and transferred to the Government in a usable form within 30 days after resource usage terminates prior to final payment, or 120 days after resource retirement and return to supporting vendor, whichever comes first so it is available for future use, and other assets shall be disposed of in accordance with NIST publication 800-88.

31. Software Licensing and Management FSA will purchase all required software licenses. The SaaS subscription-based model will not require software licenses.

32. FSA 37-2 Disaster Recovery and Continuity of Services Requirement

(a) Definition. As used in this clause—

(1) Mission Critical Contractor System or Other Services are defined as a system or other services residing at the Data Center that have a material impact on the accomplishment of the Federal Student Aid mission.

(b) The services under this contract are vital to the mission of the Department of Education (ED). The Contractor shall be responsible for the availability of all systems operated at their facilities or incorporated with the FSA Virtual Data Center pursuant to this contract, or other services performed by the Contractor for ED. This clause applies to all or any part of the contract that includes services that directly support the agency's mission.

PAGE 21 OF 70 ED-FSA-13-R-0001/0001

(c) The Contractor shall provide, implement, and maintain a Continuation of Mission Critical Services Plan (hereby known as the Continuity of Operations/Disaster Recovery Plan). The Plan shall be maintained in addition to the Systems Security Plan, and the Configuration Management Plan for continuing performance of services no matter the circumstances. The Plan shall describe the processes and procedures that will be followed to ensure continued availability of services under this contract. Any alternate site used as part of Disaster Recovery shall be fully operational within 72 hours of a declared disaster. The Contractor shall identify in the Plan the provisions made for the acquisition of mission critical personnel and resources, if necessary, for continuity of operations for up to 30 days or until normal operations can be resumed.

(d) The offeror shall provide with its offer a written preliminary plan describing how it will continue to perform the contractor services listed in Attachment (Fill-in) ___, Mission Critical Contractor Services, dated (Fill-in) ________.

(e) Within 30 days after contract award, the Contractor shall submit its plans for approval, which shall be consistent with and further detail the approach contained in the offeror's proposal. The plans, as approved by the Contracting Officer, shall be incorporated into the contract as a compliance document. The Plan must, at a minimum, address:

1. Name of company’s officer overall responsible for the maintenance, management, exercising and execution of the Plan;

2. Plans and procedures;

3. Identification of mission critical functions;

4. The time lapse associated with the initiation of the acquisition of mission critical personnel and resources and their actual availability on site;

5. Delegations of authority, planned order of succession, and cross-training to ensure personnel are available to provide services and make decisions;

6. Proposed alternate operating facilities, interoperable, connectivity and emergency communications approach;

7. Critical records or data storage procedures;

8. Protection of human capital;

9. Testing approach for critical applications/systems restoration, annual tests a year;

10. Training plan;

11. Delegation of control and direction;

12. Reconstitution and resuming normal operations plans; and

13. Schedule for periodic review and revisions of Plan.

(f) The Contractor shall maintain and update its Plan as necessary and adhere to its requirements throughout the contract term. The Contractor shall not materially alter the plans without the Contracting Officer's written consent.

(g) As directed by the Contracting Officer, the Contractor shall participate and collaborate with ED and its contractors in training events, exercises, and drills associated with Government efforts to test the effectiveness of continuity of operations procedures and practices with internal and external entities. Results of the exercises shall be delivered to the Contracting Officer or other designated representative within 14 days after the exercise.

(h) In the event the Contractor anticipates not being able to perform any of the mission critical contractor services identified in the paragraph above, the Contractor shall notify the Contracting Officer or other designated representative immediately and use its best efforts to cooperate with the Government in the Government's efforts to maintain the continuity of operations. In no way does (h) relieve the contractor of financial responsibility in meeting the contract terms and conditions.

(i) The Government reserves the right to use Federal employees of other agencies or support from other parties or to enter into new contracts for mission critical contractor services. Any new contracting efforts would be conducted in accordance with OFPP letter, “Emergency Acquisitions'' May 2011 and FAR Part 18, respectively, or any other subsequent emergency guidance issued.

(j) The Contractor shall include the substance of this clause, including this paragraph (j), in subcontracts for the mission critical services.

PAGE 22 OF 70 ED-FSA-13-R-0001/0001

PART II - CONTRACT CLAUSES

SECTION I: CONTRACT CLAUSES

52.252-2 Clauses Incorporated by Reference (FEB 1998) This contract incorporates one or more clauses, shown in the table below, by reference, with the same force and effect as if they were given in full text. The full text of a clause may be accessed electronically at this/these address (es) https://www.acquisition.gov/far/ (End of clause) FAR Clause Title Date 52.203-3 Gratuities (APR 1984)

52.203.14 Display of Hotline Poster(s) (DEC 2007)

52.204-4 Printed or Copied Double-Sided on Postconsumer

Fiber Content Paper (MAY 2011) 52.204-9 Personal Identity Verification of Contractor Personnel (JAN 2011) 52.209-9 Updates of Publicly Available Information Regarding

Responsibility Matters (FEB 2012) 52.217-2 Cancellation Under Multi-Year Contracts (OCT 1997) 52.224-1 Privacy Act Notification (APR1984) 52.224-2 Privacy Act (APR 1984) 52.227-14 Rights in Data—General (DEC 2007) 52.227-17 Rights in Data—Special Works (DEC 2007) 52.227-19 Commercial Computer Software License (DEC 2007)

52.232.17 Interest (OCT 2010)

52.232-18 Availability of Funds (APR 1984) 52.237-2 Protection of Government Buildings, Equipment, And Vegetation (APR 1984) 52.237-3 Continuity of Services (JAN 1991) 52.242-13 Bankruptcy (JUL 1995)

52.242-15 Stop-Work Order (AUG 1989) 52.243-1 Changes-Fixed Price Alternate I (APR 1984) 52.245-1 Government Property (APR 2012) 52.245-9 Use and Charges (APR 2012) 52.246-16 Responsibility for Supplies (APR 1984) 52.247-34 F.O.B. Destination (JAN 1991) 52.212-1 Instructions to Offerors -- Commercial Items (FEB 2012) 52.