PWS facilitation services.docx

ATTACHMENT A – Performance Work Statement March 2025

U.S. Department of Education Office of Postsecondary Education

Facilitation Services for Negotiated Rulemaking

I. Background

The Office of Policy, Planning, and Innovation (PPI) located in the Office of Postsecondary Education (OPE) in the U.S. Department of Education (Department) is responsible for Title IV student aid policy development, including the development of regulations, which, in most cases, must be developed through a negotiated rulemaking process as provided for by section 492 of the Higher Education Act of 1965, as amended (the HEA).

To carry out this responsibility, PPI must make arrangements to provide the resources for a successful negotiated rulemaking process. Specifically, PPI must secure the services of trained facilitators/mediators to provide facilitation services for Title IV student aid policy development.

II. Objective

The purpose of this contract is to secure the services of trained facilitators/mediators to provide facilitation services for Title IV student aid policy development, including the development of regulations, which, in most cases, must be developed through a negotiated rulemaking process as provided for by section 492 of the Higher Education Act of 1965, as amended (the HEA). The Department will provide the following support of the project relative to the Negotiated Rulemaking Committee's work: a lead point of contact, administrative support, logistical support, Federal Register Notices, updates to negotiated rulemaking website and any appropriate approvals. The contractor will provide facilitation, convening, and training services related to agency negotiated rulemaking efforts.

· Convening Services: The vendor will provide an experienced negotiated rulemaking facilitator, if requested by the U.S. Department of Education for issues related to Title IV student aid policy development.

· Process Consultation and Design: As necessary for the project, the vendor will work with the Department’s designated lead to develop the appropriate processes for negotiation, problem-solving, and consensus-building.

· Facilitation Services: The vendor will provide a highly experienced negotiated rulemaking facilitator as the lead, assisted by experienced co-facilitator for Title IV student aid policy development.

III. Tasks

Task 1- Management

The vendor must manage this contract in an efficient manner that fosters communications with the COR and Department of Education Staff.

· Post Award Kick-Off Meeting

Within seven calendar days after contract award, the vendor’s project director and other key project staff, as identified in the proposal, shall meet with the Contracting Officer (CO), the Contract Specialist (CS), the Contracting Officer’s Representative (COR), and other appropriate Department staff to review the overall contract tasks, to identify potential problems and possible solutions, and to discuss areas of concern related to the proposed project staffing plan and other management requirements. This is called the “post award meeting”. The primary purpose of this meeting is to refine the management, staffing, and scheduling plans. These refinements are not to alter the specifications of the contract, but to provide management information for use by both the vendor and the government in monitoring the work to be performed. This meeting is also to help the vendor to make use of the experience that Department staff has gained over the years.

· Monthly Reports

The vendor must submit monthly reports on the progress made in accomplishing each of the project tasks, problems encountered, solutions to the problems, and plans for the next month. The monthly report shall be due on the 15th day of each month. The monthly report and supporting documentation shall cover the previous month’s activities, for both the vendor and subvendor(s) (if applicable). The vendor shall submit the monthly report via the Invoice Processing Platform (IPP).

The invoice (submitted through IPP) and documentation of expenses shall be submitted simultaneously with the monthly report.

Task 1 quality assurance acceptable performance standards:

Task 2: Facilitation

The contractor shall identify and engage professional facilitators to provide technical support to both federal and non-federal negotiators as they analyze and develop postsecondary education policy. To assure the success of the negotiated rulemaking process, it is preferable for the facilitators to have substantial prior experience in conducting negotiations of Title IV programs under the HEA. In the absence of experience with facilitators with Title IV specific expertise, the contractor shall identify facilitators who have prior experience in conducting negotiations for similar types of Government rulemakings or negotiations. Facilitators must conduct themselves as impartial participants during this entire process. The facilitators will be given a specific set of issues as guidelines for development of program regulations by the Department.

Two facilitators are required per meeting and will perform the following functions (performance period):

· Meet with ED officials either virtually (i.e., Microsoft Teams, Skype, Zoom) or in the Office of Postsecondary Education, U.S. Department of Education located at 400 Maryland Ave, N.W., 5th Floor Washington, DC 20202, prior to the first negotiated rulemaking session to discuss issues related to the regulatory negotiations. This may include multiple meetings.

· Attend up to four (4) Public Hearings either virtually, or in person.

· Review background documents including minutes or recordings of public hearings concerning the issues to be negotiated that are planned prior to the negotiated rulemaking sessions.

· Facilitators conduct one on one interview(s), by telephone or virtually, with members of the negotiating committee to gain an understanding of their key issues, interests, and concerns relative to the issues subject to negotiations and to answer their questions concerning the negotiated rulemaking process.

· Attend ED's pre-negotiation orientation meeting to explain the negotiated rulemaking process and facilitate discussions to develop protocols for the subsequent negotiations. This meeting will be held virtually.

· The facilitators shall assist the COR, and other OPE staff in development of a draft agenda for distribution to committee members prior to each meeting. Upon receipt and appropriate incorporation of comments, the facilitators shall distribute the final agenda to ED officials and committee members.

· The facilitators will be the main point of contact for all documents and communication during all phases of the negotiation process (pre, during, post). All information, (electronic or paper) will first be sent to the facilitators for distribution to the appropriate people.

· Review draft regulatory and other relevant materials prior to each negotiation session and otherwise prepare for each negotiating session.

Per contract year:

· Facilitate up to 900 hours of negotiated rulemaking session.

· Facilitate up to 300 hours of subcommittee sessions (if requested).

· Facilitate up to 60 hours of other meetings if required (outside the regularly scheduled negotiated rulemaking or subcommittee sessions).

· 1350 hours of preparation (for both main committee and subcommittee meetings) is allotted.

Negotiated rulemaking sessions may be held virtually (using ED technology) or, in Washington, D.C., or a hybrid mixture of in person and virtual (details to be determined). All pre-meetings/preparation meetings will be held virtually. Each negotiating session will be supported by two facilitators over a two-to-three consecutive month period and will include the following items:

· Identifying a specific set of issues as guidelines for the development of program regulations.

· Facilitate conference calls held between negotiating sessions and attend meetings with ED officials and work with individuals and groups between meetings, as necessary.

· Pursue all opportunities to develop consensus among the participants both during and between negotiation sessions.

· Prepare high-level written meeting process summaries of each negotiation session.

Negotiated Rulemaking Session 1

Preparation for Main Negotiation Meeting

Up to 350 hours for preparation

Subcommittee Meetings

Up to 100 hours

Preparation for Subcommittee Meetings

Up to 100 hours for subcommittee preparation

Other meetings, as needed

Up to 20 hours

*This is an example of a negotiated rulemaking schedule. The number of days and hours will be finalized closer to the time of the actual meetings (therefore, the wording, “up to”).

Negotiated Rulemaking Session 2

Preparation for Main Negotiation Meeting

Up to 350 hours for preparation

Subcommittee Meetings

Up to 100 hours

Preparation for Subcommittee Meetings

Up to 100 hours for subcommittee preparation

Other meetings, as needed

Up to 20 hours

Negotiated Rulemaking Session 3

Preparation for Main Negotiation Meeting

Up to 350 hours for preparation

Subcommittee Meetings

Up to 100 hours

Preparation for Subcommittee Meetings

Up to 100 hours for subcommittee preparation

Other meetings, as needed

Up to 20 hours

OPTIONAL TASKS

Travel shall be authorized for Facilitators to travel to Washington DC, only when it is necessary to accomplish the purposes of ED’s mission in the most effective and economical manner. All travel must be arranged in accordance with Federal Travel Regulations.

The contractor shall:

· Purchase round trip air fare for the facilitators, if required. Up to six (6) round trip airfares maybe be purchased each performance period, if required.

· Secure hotel accommodations for the facilitators, if required. Up to 48 days of hotel accommodation (including M&IE – meals and incidentals) may be purchased each performance period, if required. Comment by Schroeder, Margo: Not sure how you got this number. I feel like it is too low, but I could be wrong.

· Up to 10 additional days of facilitation for Negotiated Rulemaking may be added, if required.

IV. Government Furnished Information/Property (GFI/GFP)

a. Meeting Space. The Department may provide meeting space, to be determined, for all Negotiated Rulemaking meetings and related activities on an as-needed basis.

b. One room of Department-provided workspace. During the negotiated rulemaking sessions the vendor will have access to a workspace. Historically, this is an established area where the COR, ED staff and meetings participants know they can go to locate a vendor to request assistance.

V. Schedule of Deliverables

All deliverables shall be submitted electronically to the COR in a format compatible with Microsoft Office applications (i.e. MSWord, Excel spreadsheet), and by the days/dates specified in the schedule shown below. The due dates reflect the base and all optional periods unless otherwise specified.

I. Inspection and Acceptance Procedures

The contractor shall consult with the COR regarding any questions on major decisions regarding the development of deliverables.

Each deliverable shall include two revisions based on feedback from PPI.

For each of the deliverables as indicated, the COR will provide feedback on them or provide written notice within 14 days from receipt.

Summary of Abbreviations

COR- Contracting Officer Representative CO- Contracting Officer HEOA- Higher Education Opportunity Act IPP – Invoice Processing Platform OPE- Office of Postsecondary Education PPI – Planning, Policy, and Innovation The Department- U.S. Department of Education

II. Security Information and Privacy Requirements

Records Management 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. chs. 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. The Department of Education (ED) 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 [Agency] 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 ED. The agency must report promptly to NARA in accordance with 36 CFR 1230.

5. The Contractor shall immediately notify the appropriate CO 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 vehicle]. 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 the Head of the Contracting Activity. When information, data, documentary material, records and/or equipment is no longer required, it shall be returned to ED 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 CO or address prescribed in the [contract vehicle]. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

6. The Contractor is required to obtain the CO's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under, or relating to, contracts. The Contractor (and any sub-contractor) is required to abide by Government and ED 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 ED policy.

8. The Contractor shall not create or maintain any records containing any non-public ED 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 ED owns the rights to all data and records produced as part of this contract. All deliverables under the contract are the property of the U.S. Government for ED shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest. Any Contractor rights in the data or deliverables must be identified as required by FAR 52.227-11 through FAR 52.227-20.

11. Training. All Contractor employees assigned to this contract who create, work with, or otherwise handle records are required to take ED-provided records management training. The Contractor is responsible for confirming training has been completed according to agency policies, including initial training and any annual or refresher training.

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 under this [contract vehicle], and require written subcontractor acknowledgment of same.

2. Violation by a subcontractor of any provision set forth in this clause will be attributed to the Contractor.

IT PROJECT MANAGEMENT

Implement IT project management practices, techniques, methodologies, and standards to facilitate the efficient and effective lifecycle management of IT projects, leveraging the Department’s Enterprise Program Management Review Framework

INFORMATION MANAGEMENT REQUIREMENTS

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

RECORDS AND CONTROLLED UNCLASSIFIED INFORMATION (CUI)

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

· Federal records must be managed according to the applicable records management laws and regulations, to include the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33), 36 CFR Chapter XII Subchapter B, and the Privacy Act of 1974 (5 U.S.C. 552a).

· Federal records which are CUI must additionally be managed in accordance with any applicable laws, regulations and government-wide policies (LRGWP) to include EO 13556, 32 CFR Part 2002, ED Directive OCIO 3-113, and NIST-800-171 Revision 2 (or current version).

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

· Training Requirements: All Contractors are required to take the annual Information Management Requirements training. If the contract includes CUI the CUI Identification and Marking Training is required. Additional Category or POC specific trainings may be assigned. Contractor will maintain completion certificates and provide upon request.

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

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

· Handling and Safeguarding Requirements: The Contractor will ensure that CUI is managed appropriately. The requirements include safeguarding, controlled environments, shipping and mailing or transporting protections, and reproduction protections (see 32 CFR 2002.14(a-e)).

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

· Compliance with Information Protection Requirements: ED reserves the right to verify compliance with information security requirements established by this contract. The Contractor will fully comply with all ED-initiated inspections as permissible by law.

· Information Security Incidents (ISI) Requirements: Contractors must immediately report any and all suspected security incidents, breaches, and events involving ED information to ED’s Computer Incident Response Center (EDCIRC) email: edcirc@ed.gov, and ED’s Security Operations Center (EDSOC) email: edsoc@ed.gov; voice: 202-243-6550, regardless of whether the ISI is suspected, known, or determined to involve IT systems operated in support of this contract. In the event of an ISI, ED must be provided immediate access to all IT systems used in support of this contract for inspection and analysis.

IT ACCESSIBILITY REQUIREMENTS (SECTION 508 OF THE REHABILITATION ACT)

· Section 508 of the Rehabilitation Act, as amended by P.L. 105-220, requires that when Federal agencies develop, procure, maintain, or use information and communication technology (ICT), it shall be accessible to people with disabilities. Products, platforms and services delivered as part of this work statement that are or contain ICT, must conform to the Revised 508 Standards, at 36 C.F.R. § 1194.1 & Apps. A, C & D.

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

· Applicable requirements for software features and components: All WCAG Level AA Success Criteria, 502 Interoperability with Assistive Technology, 503 Application – Applies if client server software (installed on a computer) is a part of the procurement.

· Applicable requirements to Webpage and Web Applications: All WCAG Level AA Success Criteria – Applies if websites or a web-based application (browser based) is part of the procurement.

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

· Applicable support services and documentation: All requirements apply.