Instructions _Provisions _ _Evaluation_Rev_5.30.13.pdf

US Department of Education, Office of Student Aid

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A. Provisions

A.1 Incorporated by Reference

52.204-3 Taxpayer Identification (OCT 1998) – IBR 52.204-6 Data Universal Numbering System (DUNS) Number (DEC 2012) 52.206-7 Central Contractor Registration (DEC 2012) 52,207-1 Notice of Standard Competition (MAY 2006) 52.212-1 Instructions to Offerors – Commercial Items -- Alternative I (FEB 2012) 52.216-27Single or Multiple Awards (OCT 1995)

A.2 Full Text

A.2 (i) 52.209-5 Certification Regarding Responsibility Matters (APR 2010)

(a) (1) The Offeror certifies, to the best of its knowledge and belief, that-

(i) The Offeror and/or any of its Principals-

(A) Are ______ are not ______ presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency;

(B) Have ______ have not ______, within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) contract or subcontract; violation of Federal or State antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating Federal criminal tax laws, or receiving stolen property (if Offeror checks “have”, the Offeror shall also see 52.209-7, if included in this solicitation); and

(C) Are ______ are not ______ presently indicted for, or otherwise criminally or civilly charged by a Governmental entity with, commission of any of the offenses enumerated in subdivision (a)(1)(i)(B) of this provision; and

(D) Have ______ have not ______, within a three-year period preceding this offer, been notified of any delinquent Federal taxes in an amount that exceeds $3,000 for which the liability remains unsatisfied.

(1) Federal taxes are considered delinquent if both of the following criteria apply:

(i) The tax liability is finally determined. The liability is finally determined if it has been assessed. A liability is not finally determined if there is a pending administrative or judicial challenge. In the case of a judicial challenge to the liability, the liability is not finally determined until all judicial appeal rights have been exhausted.

(ii) The taxpayer is delinquent in making payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.

(2) Examples.

(i) The taxpayer has received a statutory notice of deficiency, under I.R.C. § 6212, which entitles the taxpayer to seek Tax Court review of a proposed tax deficiency. This is not a delinquent tax because it is not a final tax liability.

Should the taxpayer seek Tax Court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.

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(ii) The IRS has filed a notice of Federal tax lien with respect to an assessed tax liability, and the taxpayer has been issued a notice under I.R.C. § 6320 entitling the taxpayer to request a hearing with the IRS Office of Appeals contesting the lien filing, and to further appeal to the Tax Court if the IRS determines to sustain the lien filing. In the course of the hearing, the taxpayer is entitled to contest the underlying tax liability because the taxpayer has had no prior opportunity to contest the liability. This is not a delinquent tax because it is not a final tax liability. Should the taxpayer seek tax court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.

(iii) The taxpayer has entered into an installment agreement pursuant to I.R.C. § 6159. The taxpayer is making timely payments and is in full compliance with the agreement terms. The taxpayer is not delinquent because the taxpayer is not currently required to make full payment.

(iv) The taxpayer has filed for bankruptcy protection. The taxpayer is not delinquent because enforced collection action is stayed under 11 U.S.C. 362 (the Bankruptcy Code).

(ii) The Offeror has ______ has not ______, within a three-year period preceding this offer, had one or more contracts terminated for default by any Federal Agency.

(2) “Principal,” for the purposes of this certification, means an officer; director; owner; partner; or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division or business segment; and similar positions).

This certification concerns a matter within the jurisdiction of an agency of the United States and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under section 1001, title 18, United States Code.

(b) The Offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Offeror's responsibility. Failure of the Offeror to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Offeror non-responsible.

(d) Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealing. (e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Government, the Contracting Officer may terminate the contract resulting from this solicitation for default.

(End of provision)

A.2 (ii) 52.209-7 Information Regarding Responsibility Matters (FEB 2012)

(a) Definitions. As used in this provision —

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Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative Proceedings, Civilian Board of Contract Appeals Proceedings, and Armed Services Board of Contract Appeals Proceedings). This includes administrative proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include agency actions such as contract audits, site visits, corrective plans, or inspection of deliverables.

Federal contracts and grants with total value greater than $10,000,000 means —

(1) The total value of all current, active contracts and grants, including all priced options; and

(2) The total value of all current, active orders including all priced options under indefinite-delivery, indefinite-quantity, 8(a), or requirements contracts (including task and delivery and multiple-award Schedules).

Principal means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager;

head of a division or business segment; and similar positions).

(b) The Offeror ______ has ______ does not have current active Federal contracts and grants with total value greater than $10,000,000.

(c) If the Offeror checked “has” in paragraph (b) of this provision, the Offeror represents, by submission of this offer, that the information it has entered in the Federal Awardee Performance and Integrity Information System (FAPIIS) is current, accurate, and complete as of the date of submission of this offer with regard to the following information:

(1) Whether the Offeror, and/or any of its principals, has or has not, within the last five years, in connection with the award to or performance by the Offeror of a Federal contract or grant, been the subject of a proceeding, at the Federal or State level that resulted in any of the following dispositions:

(i) In a criminal proceeding, a conviction.

(ii) In a civil proceeding, a finding of fault and liability that results in the payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more.

(iii) In an administrative proceeding, a finding of fault and liability that results in —

(A) The payment of a monetary fine or penalty of $5,000 or more; or

(B) The payment of a reimbursement, restitution, or damages in excess of $100,000.

(iv) In a criminal, civil, or administrative proceeding, a disposition of the matter by consent or compromise with an acknowledgment of fault by the Contractor if the proceeding could have led to any of the outcomes specified in paragraphs (c)(1)(i), (c)(1)(ii), or (c)(1)(iii) of this provision.

(2) If the Offeror has been involved in the last five years in any of the occurrences listed in (c)(1) of this provision, whether the Offeror has provided the requested information with regard to each occurrence.

(d) The Offeror shall post the information in paragraphs (c)(1)(i) through (c)(1)(iv) of this provision in FAPIIS as required through maintaining an active registration in the Central Contractor Registration database via https://www.acquisition.gov (see 52.204-7).

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A.2 (iii) 52.212-2 Evaluation—Commercial Items (JAN 1999)

(a) The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factors shall be used to evaluate offers:

Refer to Section B below

(b) Options. The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. The Government may determine that an offer is unacceptable if the option prices are significantly unbalanced. Evaluation of options shall not obligate the Government to exercise the option(s).

(c) A written notice of award or acceptance of an offer mailed or otherwise furnished to the successful offeror within the time for acceptance specified in the offer, shall result in a binding contract without further action by either party. Before the offer’s specified expiration time, the Government may accept an offer (or part of an offer), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.

A.2 (iv) 52.216-1 Type of Contract (APR 1984) The Government contemplates multiple Indefinite Delivery Indefinite Quantity (IDIQ) contract(s) and Time and Material task order resulting from this solicitation.

A.2 (v) 52.233-2 Service of Protest (SEP 2006)

(a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from:

Mailing Address:

US Department of Education, Office of Federal Student Aid Union Center Plaza, 830 First Street, NE Washington, DC 20202.

(b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO.

(End of provision)

B. Evaluation Factors for Award

B.1. Indefinite Delivery/Indefinite Quantity

Factor 1: Past Performance/Client Experience o The Government will evaluate the Offeror’s four (4) current or recent client references for relevance and customer satisfaction. Also, the Government will assess if the reference provided reflects the Offeror’s experience as a prime contractor or as sub-contractor.

Factor 2: Management Capability o Contract Quality Control Plan – the Government will evaluate the completeness of its corporate methodology, process, and procedure for assuring overall quality in service http://acquisition.gov/far/current/html/Subpart%2033_1.html#wp1088681

RFP #ED-FSA-13-R-0007 Revised 5/30/2013 Page | 5 | performed and deliverables produced during contract performance. The Government will assess the effectiveness and efficient of the Offeror’s plan in assisting surveillance and improving overall performance.

o Resource Management Plan – the Government will evaluate the Offeror’s approach for recruitment, retention, and training of necessary personnel qualified and experience to perform required services.

Factor 3: Contract Price Form - The Government will evaluate the proposed hourly rates of the stated job titles for base and option ordering periods for realism and reasonableness.

Government will assess the brief descriptions provided for each labor category by level of experience (senior and junior).

Factor 4: Socio-Economic Small Business Status - The Government will evaluate the Offeror’s self-certification status as a Service Disabled Veteran-owned and/or Historically Underutilized Business Zone (HUBZone) business certification from Small Business Administration (SBA) status at time of solicitation and at time of award. The Government will evaluate offers from non-SVOSB and/or Hubzone small business concerns that adhere to this solicitation.

All factors and sub-factors are equal in importance. All non-priced factors 1-3, when combined, are more important than price.

Based on best value analysis, the Government intends to identify those most highly rated offers, considering price and technical factors 1-3. An SDVOSB or HUBZone preference will be applied as factor 4 in the event such businesses are included amongst the most highly rated.

B.2. Task Order One

Factor 1: Proposed Staffing o The Government will evaluate the qualifications and experience of the Offeror’s key personnel as indicated in the resumes copies and Offeror’s description as required in the solicitation.

Factor 2: Engagement Approach o The Government will evaluate the Offeror’s approach for sufficient detail to perform the solicitation requirement including proposed schedule, and tools/techniques to employ.

Factor 3: Pricing o The Government will evaluate the Offeror’s pricing proposal for realism and reasonableness based on the Task Order PWS requirements.

These factors and sub-factors are in descending order of importance. When combined, factors 1 and 2 are more important than factor 3.

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C. Instructions

C.1. General

The proposal shall consist of a written proposal. The written proposal shall be prepared and submitted in form and content in accordance with the instructions herein. Offerors must respond to all stated solicitation requirements with no additions or deletions.

All required information must be completed. Non-conformance with any of the solicitation requirements may render the offer unacceptable, and the Offeror may be ineligible for award consideration. An Offeror’s proposal is presumed to represent his best effort to respond to the solicitation. Offerors are reminded that offers containing exceptions to the solicitation may render the offer unacceptable, and the Offeror may be ineligible for award. The Government reserves the right to award without discussions and based on initial proposals.

Offerors must provide comprehensive information on all pertinent aspects of the effort being offered to enable the Government to evaluate the Offeror’s understanding of, and capability to meet, all the stated requirements covered in the IDIQ Contract Summary and Task Order 1 Performance Work Statement (PWS).

The Offeror shall also provide sufficient detail to substantiate the validity of all stated claims.

Further, the Offeror shall indicate that it shall comply with each requirement of the solicitation and shall explain how each compliance objective will be achieved. Clarity, completeness and conciseness are essential, and the overall breadth and depth of the proposal will be evaluated in the context of being representative of the Offeror’s capabilities. Responses must adequately address specific solicitation requirements and adhere to the terms and conditions of the solicitation.

The Government also reserves the right to change any of the terms and conditions of this solicitation by amendment at any time prior to contract award, and to allow

After receipt of proposals, the Contracting Officer will review each to ensure that it is compliant with the published Request for Proposals (RFP). Information not requested in the RFP and pages submitted beyond the stated page limits shall not be reviewed. A material failure to comply with the terms and conditions of the solicitation may result in the Offeror being removed from the award consideration process.

C.2. Proposal Content

The completion of an offer and its submission to the Government shall indicate the Offeror’s unconditional agreement to the terms and conditions in this solicitation. In evaluating an Offeror’s capability, the Government shall consider how well the Offeror complies with the instructions in the solicitation.

Volume I - IDIQ

(1) Cover Letter:

The proposal shall include a cover letter signed by an individual authorized to commit the company to the proposal. The cover letter shall identify all enclosures being transmitted as part of the proposal. The letter shall include all information required by FAR 52.215-1. In addition, the cover letter must include:

Acknowledgement that it transmits an offer in response to the solicitation;

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Taxpayer Identification Number (TIN);

DUNS number;

Address(es) of the location(s) at which the Offeror intends to perform the proposed effort;

Small Business Administration (SBA) HubZone Certification/Re-Certification Letter or Offeror’s Self-Certification Statement on its letterhead as SDVOB (if applicable);

Statement that the Offeror is registered in CCR (System for Award Management

(SAM));

Names and telephone numbers of persons authorized to conduct negotiations, as well as the name of the official authorized to bind the Offeror’s organization; and Statement that by submitting the offer the Offeror agrees that there are no known

Organizational Conflicts of Interest that would prevent either the Prime Contractor or any Subcontractor from performing under the contract.

Standard Form 1449: The Offeror shall complete blocks 17a and 30a through c.

Standard Form 30: The Offeror shall complete blocks 15a through 15c.

(2) Past Performance

The Offeror shall identify four (4) client references of the most relevant contracts, either on-going or completed, not more than five (5) years from the RFP-stated deadline for proposal submissions, which demonstrate performance relevant to the solicitation requirements.

Experience with commercial financial lending institutions or public entities engaged in lending activities is desired.

The Offeror shall complete Section 1 of the Client Reference Form (Attachment A) providing detailed description of the work performed for each client. The Offeror shall send the form to each client and request that Section 2, Customer Satisfaction Questionnaire be completed and emailed to the Contractor Officer and Contracting Specialist by the deadline stated on the form.

Any form received after the deadline may not be evaluated.

When evaluating the Offeror's past performance, the Contracting Officer is not restricted to information obtained from the references but may also use information obtained from other sources.

If the Contracting Officer obtains a "poor" or "unsatisfactory" rating from a reference or negative past performance information from any other source, on which the Offeror has not had a previous opportunity to comment, the Offeror will be afforded the opportunity to comment on the negative information.

If the Offeror, which includes its predecessor companies, key personnel, and subcontractors that will perform major or critical aspects of the requirement, is a new entity and has not performed work within the past five (5) years that is the same or similar to the requirements described in this solicitation, The Offeror will not be evaluated favorably or unfavorably on the factor of past contract performance.

(3) Management Capability The Offeror shall address its management capability including its internal management control plan or program, including your approach to managing quality, timeliness, and completeness. The Offeror shall detail its methodology, process, and procedure for assuring

RFP #ED-FSA-13-R-0007 Revised 5/30/2013 Page | 8 | overall quality in service performed and deliverables produced including its onboarding of resources, knowledge transfer of client’s culture and organization, resolution of quality issues through management escalation process, and methods for ensuring continuous performance improvements.

The Offeror shall address its approach for recruitment, retention, and training of necessary personnel qualified and experience to perform required services. Offeror shall describe the extent of the firm’s capability to recruit, train and provide adequate staff resources, as well as the ability to maintain a stable workforce, The Offeror shall provide an organization chart showing the functions/titles for each management position (prime and subs) including reporting/communications chain, locations of performance, and estimated number of FTEs for the key management processes.

(4) Contract Price Form

The Offeror shall complete the Rate Table Template (IDIQ Agreement, Section B.3) adhering to the Contract Line Item Number (CLIN) Structure (IDIQ Agreement, Section B.1). The Offeror shall provide hourly rates for all job titles stated therein for base and option ordering periods including the rationale used to determine hourly rates.

(5) Socio-Economic Small Business Status (if applicable) The Offeror shall provide a copy of its HubZone certification or re-certification letter from the SBA and/or SDVOB self-certification statement on the Offeror’s letterhead asserting status at time of solicitation and at time of award.

Volume II – Task Order One

(1) Proposed Staffing The Offeror shall describe the extent to which personnel to be assigned to this contract, including managers in the areas of servicing, collections, foreclosures/repossessions, bankruptcies, escrow, investor reporting, insurance and claims processing, etc., are qualified to assume the duties of the contract.

The Offeror shall provide a narrative description identifying their roles and responsibilities, and demonstrating that they have the skills, education, training and experience to perform the identified functions.

Also the Offeror shall include resumes of all designated key personnel.

(2) Engagement Approach The Offeror shall produce a detailed plan including baseline project schedule articulate the protocol by which the Offeror will engage each servicer in order to perform required reviews, gather key artifacts/documents, and tools/techniques that will be employed to conduct necessary analysis.

(3) Pricing The Offeror shall submit a pricing proposal outlining the labor categories, hourly rate, and level of effort (number of hours) including brief description of the roles and responsibilities

RFP #ED-FSA-13-R-0007 Revised 5/30/2013 Page | 9 | for each key personnel resource for base and all option periods. Discount is strongly encouraged.

C.3. Proposal Format

In order to maximize efficiency and minimize the time for proposal evaluation, it is required that all Offerors submit their proposals in accordance with the format and content specified. Offerors must respond to all requirements of the solicitation. Offerors shall not alter the solicitation (other than completing the appropriate “fill-in” blocks and certifications).

Offerors that do not comply with the detailed instructions for the format and content of the proposal may be considered unacceptable and may render the Offeror ineligible for award consideration.

It is the sole responsibility of the Offeror to ensure that the electronic media submitted is virus free and can be opened and read by the Government.

The proposal shall comply with the following format requirements:

8.5 x 11 inch paper, Single-spaced typed lines 1-inch margins 12-point Times New Roman font for text, tables, chart, etc.

MS Word 2007 2010 or Adobe Acrobat (for text documents) MS Excel 2007 2010 (for spreadsheets) MS Project 20072010 (for schedules)

The proposal shall be limited to the following submissions and pages:

Proposal Element Page Limit

Volume I – IDIQ Cover letter - 1 4 page SF 1449 and SF 30 - No limit Past Performance/Client Experience – 16 pages (4 pages per each client reference form) Management Capability – 15 pages Contract Price Form, Rate Table – 3 8 pages SDVOB Self-Certification and/or SBA HubZone Small Business Certification Letter Statement

– No Limit

Volume II – Task Order One Proposed Staffing – 5 pages (excluding copies of key personnel resumes) Engagement Approach – 10 pages Pricing – 2 3 pages

C.3. Proposal Format