TIVOD_Phase I_Solicitation 051424.pdf

U.S. Department of Education Office of Federal Student Aid

TITLE IV FINANCIAL AID ORIGINATION AND DISBURSEMENT

(TIVOD) SYSTEMS AND CUSTOMER SERVICE TRANSITION SERVICES

PHASE I

Solicitation No. 91003124R0005

U.S. Department of Education Office of Federal Student Aid

TITLE IV FINANCIAL AID ORIGINATION AND DISBURSEMENT

(TIVOD) SYSTEMS AND CUSTOMER SERVICE TRANSITION SERVICES

PHASE I

Solicitation No. 91003124R0005

1. INTRODUCTION

The U.S. Department of Education, Office of Federal Student Aid (hereinafter referred to as “FSA”), plays a central and essential role in America's postsecondary education community.

FSA's core mission is to ensure that all eligible individuals benefit from federal financial assistance (grants, loans, and work-study programs) for education beyond high school. FSA is the largest provider of student financial aid in the nation. FSA helps make college education possible by providing more than $500 billion in federal grants, loans, and work-study funds each year to more than 34 million students paying for postsecondary education.

FSA is responsible for managing the student financial assistance programs authorized under Title IV of the Higher Education Act of 1965.

2. STATEMENT OF NEED

FSA is conducting Phase I of a two-phase source selection process to acquire a continuation of the services and critical business functions currently provided under the Title IV Origination and Disbursement (TIVOD) contract. The current TIVOD contract encompasses various systems and capabilities used to meet the requirements of FSA, and its customers. The various systems and capabilities comprising the current TIVOD system (TIVOD System) include the Common Origination and Disbursement (COD) system and services, the National Student Loan Data System (NSLDS) and services, the Enterprise Data Warehouse and Analytics (EDWA), the Enterprise Data Management and Analytics Platform Services (EDMAPS), and the Federal Tax Information Datamart (FTI DM) and services. For Phase I, Offerors must refer to Attachments J- 1 through J-11 for the TIVOD solution (TIVOD Solution) requirements of the contract awarded pursuant to this solicitation.

Due to the mission critical nature of this acquisition, risk mitigation is essential. The TIVOD Solution is expected to be implemented with a cost-effective approach by January 31, 2025.

The current TIVOD System which supports the origination, disbursement, and reporting of Title IV federal student aid programs, expires on January 31, 2025. If the new TIVOD Solution is not implemented by January 31, 2025, the current TIVOD system and the TIVOD Solution may be operated concurrently until all systems can be fully transitioned to the new TIVOD

Solution. Origination and disbursement services are mission critical services for FSA, and cannot be interrupted. The period where TIVOD system and the TIVOD Solution may be operated concurrently will begin after the solicitation resultant contract is awarded and is part of the base period of performance.

FSA anticipates awarding a single contract with a COD period of performance of one (1), one-year base period and five (5) one-year option periods, and a period of performance of one (1) one-year base period and three (3) one-year option periods for NSLDS, EDMAPS Infrastructure, pMDM, FTI DM, EDWA, Enterprise Document Repository, and a period of performance of one (1) one-year base period and three (3) one-year option periods for Customer Service - Partner.

The two-phase solicitation source selection process will be conducted in accordance with the Department of Education Department Acquisition Regulation (EDAR) Part 3415.302-70. This acquisition is unrestricted.

PART I – The Schedule

3. SECTION A – SOLICITATION/CONTRACT FORM

Not applicable for Phase I

4. SECTION B – SERVICES AND PRICES

Offeror(s) must review Section L and Section M for Services and Rough Order of Magnitude (ROM) Instructions.

5. SECTION C – PERFORMANCE WORK STATEMENT (PWS)

Offeror(s) must review Attachment J-1: PWS.

6. SECTION D – PACKAGING AND MARKING

Not applicable for Phase I.

7. SECTION E – INSPECTION AND ACCEPTANCE

Offeror(s) shall review PWS Section 3.0 Contractor Quality Assurance for specific requirements regarding inspection and acceptance and FAR 52.246-4 Inspection of Services-Fixed-Price (AUG 1996).

8. SECTION F – DELIVERIES OR PERFORMANCE

9. SECTION G – CONTACT ADMINISTRATION DATA

10. SECTION H – SPECIAL CONTRACTING REQUIREMENTS

1. PART II: CONTRACT CLAUSES

Section I – Contract Clauses

NOTE: Below are the anticipated solicitation provisions and contract clauses. The final version of Section I will be provided in Phase II.

I.1 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)

52.202-1 Definitions (JUN 2020) 52.203-3 Gratuities (APR 1984) 52.203-5 Covenant Against Contingent Fees (MAY 2014) 52.203-6 Restrictions on Subcontractor Sales to the Government (JUN 2020) 52.203-7 Anti-Kickback Procedures (JUN 2020) 52.203-8 Cancellation, Recission, Recovery of Funds for Illegal (MAY 2014) or Improper Activity 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (MAY 2014) 52.203-12 Limitation on Payments to Influence Certain Federal (JUN 2020) Transactions 52.203-13 Contractor Code of Business Ethics (NOV 2021)

52.203.14 Display of Hotline Poster(s) (NOV 2021)

52.203-17 Contractor Employee Whistleblower Rights (JUN 2020) 52.203-19 Prohibition on Requiring Certain Internal Confidentiality (JAN 2017) Agreements or Statements 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) 52.204-10 Reporting Executive Compensation and First-Tier (JUN 2020) Subcontracting Awards 52.204-13 System for Award Management Maintenance (OCT 2018) 52.204-14 Service Contract Reporting Requirements (OCT 2016) 52.204-18 Commercial and Government Entity Code (AUG 2020) Maintenance 52.204-19 Incorporation by Reference of Representations and (DEC 2014) Certifications 52.204-21 Basic Safeguarding of Covered Contractor Information (NOV 2021) https://www.acquisition.gov/far/

Systems 52.204-23 Prohibition on Contracting for Hardware, Software, and (Dec 2023) Services Developed or Provided by Kaspersky Lab and Other Covered Entities 52.204-25 Prohibition on Contracting for Certain (NOV 2021) Telecommunications and Video Surveillance Services or Equipment 52.204-27 Prohibition on a ByteDance Covered Application (JUN 2023) 52.209-6 Protecting the Government’s Interest When (NOV 2021) Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment 52.209-9 Updates of Publicly Available Information Regarding (OCT 2018) Responsibility Matters 52.209-10 Prohibition on Contracting with Inverted Domestic (NOV 2015) Corporations 52.210-1 Market Research (NOV 2021) 52.215-2 Audit and Records–Negotiation (JUN 2020) 52.215-8 Order of Precedence-Uniform Contract Format (OCT 1997) 52.215-11 Price Reduction for Defective Certified Cost or Pricing (JUN 2020) Data-Modifications 52.215-13 Subcontractor Certified Cost or Pricing Data-Modifications (JUN2020) 52.215-21 Requirements for Certified Cost or Pricing Data and Data (NOV 2021) Other Than Certified Cost or Pricing Data-Modifications 52.219-8 Utilization of Small Business Concerns (OCT 2022) 52.219-9 Small Business Subcontracting Plan (SEP 2023)

--Alternate II (NOV 2016) 52.219-16 Liquidated Damages – Subcontracting Plan (SEP 2021) 52.219-28 Post-Award Small Business Program Rerepresentation (FEB 2024) 52.222-3 Convict Labor (JUN 2003) 52.222-21 Prohibition of Segregated Facilities (APR 2015) 52.222-25 Affirmative Action Compliance (APR 1984) 52.222-26 Equal Opportunity (SEP 2016) 52.222-35 Equal Opportunity for Veterans (JUN 2020) 52.222-36 Equal Opportunity for Workers with Disabilities (JUN 2020) 52.222-37 Employment Reports on Veterans (JUN 2020) 52.222-40 Notification of Employee Rights Under the National Labor (DEC 2010) Relations Act 52.222-41 Service Contract Labor Standards (AUG 2018) 52.222-43 Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (Multiple Year and Option (AUG 2018) Contracts) 52.222-50 Combating Trafficking in Persons (NOV 2021) 52.222-54 Employment Eligibility Verification (MAY 2022) 52.222-55 Minimum Wages for Contractor Workers Under Executive (JAN 2022) Order 14026

52.222-62 Paid Sick Leave Under Executive Order 13706 (JAN 2022) 52.223-6 Drug-Free Workplace (MAY 2001) 52.223-18 Encouraging Contractor Policies to Ban Text Messaging (JUN 2020) While Driving 52.224-1 Privacy Act Notification (APR 1984) 52.224-2 Privacy Act (APR 1984) 52,224-3 Privacy Training (JAN 2017) 52.225-13 Restrictions on Certain Foreign Purchases (FEB 2021) 52.227-1 Authorization and Consent (JUN 2020) 52.227-2 Notice and Assistance Regarding Patent and Copyright (JUN 2020) Infringement 52.227-14 Rights in Data—General (MAY 2014) --Alternate II (DEC 2007) --Alternate III (DEC 2007) 52 227-16 Additional Data Requirements (JUN 1987) 52.227-17 Rights in Data—Special Works (DEC 2007) 52.227-23 Rights to Proposal Data (Technical) (JUN 1987) 52.229-3 Federal, State, and Local Taxes (FEB 2013) 52.230-2 Cost Accounting Standards (JUN 2020) 52.230-6 Administration of Cost Accounting Standards (JUN 2010) 52.232-1 Payments (APR 1984) 52.232-8 Discounts for Prompt Payment (FEB 2002) 52.232-9 Limitation on Withholding of Payments (APR 1984) 52.232-11 Extras (APR 1984)

52.232.17 Interest (MAY 2014)

52.232-18 Availability of Funds (APR 1984) 52.232-23 Assignment of Claims (MAY 2014) 52.232-25 Prompt Payment (JAN 2017) 52.232-39 Unenforceability of Unauthorized Obligations (JUN 2013) 52.232-40 Providing Accelerated Payments to Small Business (MAR 2023) Subcontractors 52.233-1 Disputes (MAY 2014) 52.233-2 Service of Protest (SEP 2006) 52.233-3 Protest after Award (AUG 1996) 52.233-4 Applicable Law for Breach of Contract Claim (OCT 2004) 52.237-3 Continuity of Services (JAN 1991) 52.239-1 Privacy or Security Safeguards (AUG 1996) 52.242-5 Payments to Small Business Subcontractors (JAN 2017) 52.242-13 Bankruptcy (JUL 1995) 52.242-15 Stop-Work Order (AUG 1989) 52.242-17 Government Delay of Work (APR 1984) 52.243-1 Changes-Fixed Price (Aug 1987) Alternate I (APR 1984) 52.243-7 Notification of Changes (Fill in - (b) 3 days & (d) 30 days) (JAN 2017) 52.244-6 Subcontracts for Commercial Products and Commercial (FEB 2024) Services

52.245-1 Government Property (SEP 2021) 52.245-9 Use and Charges (APR 2012) 52.246-4 Inspection of Services-Fixed-Price (AUG 1996) 52.246-25 Limitation of Liability–Services (FEB 1997) 52.247-55 F.O.B Point for Delivery of Government-Furnished Property (JUN 2003) 52.249-2 Termination for Convenience of the Government (APR 2012) (Fixed-Price) 52.249-8 Default (Fixed-Price Supply and Service) (APR 1984) 52.253-1 Computer Generated Forms (JAN 1991)

I.2 Clauses incorporated by Full Text

52.204-30 FEDERAL ACQUISITION SUPPLY CHAIN SECURITY ACT ORDERS—PROHIBITION (DEC 2023)

(a) Definitions. As used in this clause— Covered article, as defined in 41 U.S.C. 4713(k), means—

(1) Information technology, as defined in 40 U.S.C. 11101, including cloud computing services of all types;

(2) Telecommunications equipment or telecommunications service, as those terms are defined in section 3 of the Communications Act of 1934 ( 47 U.S.C. 153);

(3) The processing of information on a Federal or non-Federal information system, subject to the requirements of the Controlled Unclassified Information program (see 32 CFR part 2002); or

(4) Hardware, systems, devices, software, or services that include embedded or incidental information technology.

FASCSA order means any of the following orders issued under the Federal Acquisition Supply Chain Security Act (FASCSA) requiring the removal of covered articles from executive agency information systems or the exclusion of one or more named sources or named covered articles from executive agency procurement actions, as described in 41 CFR 201–1.303(d) and (e):

(1) The Secretary of Homeland Security may issue FASCSA orders applicable to civilian agencies, to the extent not covered by paragraph (2) or (3) of this definition. This type of FASCSA order may be referred to as a Department of Homeland Security (DHS) FASCSA order.

(2) The Secretary of Defense may issue FASCSA orders applicable to the Department of Defense (DoD) and national security systems other than sensitive compartmented information systems. This type of FASCSA order may be referred to as a DoD FASCSA order.

(3) The Director of National Intelligence (DNI) may issue FASCSA orders applicable to the intelligence community and sensitive compartmented information systems, to the extent not covered by paragraph (2) of this definition. This type of FASCSA order may be referred to as a DNI FASCSA order.

Intelligence community, as defined by 50 U.S.C. 3003(4), means the following—

(1) The Office of the Director of National Intelligence;

(2) The Central Intelligence Agency;

(3) The National Security Agency;

(4) The Defense Intelligence Agency;

(5) The National Geospatial-Intelligence Agency;

(6) The National Reconnaissance Office;

https://www.govinfo.gov/link/uscode/41/4713 https://www.govinfo.gov/link/uscode/40/11101 https://www.govinfo.gov/link/uscode/47/153 https://www.ecfr.gov/current/title-32/part-2002 https://www.ecfr.gov/current/title-41/section-201-1.303#p-201-1.303(d) https://www.ecfr.gov/current/title-41/section-201-1.303#p-201-1.303(e) https://www.govinfo.gov/link/uscode/50/3003

(7) Other offices within the Department of Defense for the collection of specialized national intelligence through reconnaissance programs;

(8) The intelligence elements of the Army, the Navy, the Air Force, the Marine Corps, the Coast Guard, the Federal Bureau of Investigation, the Drug Enforcement Administration, and the Department of Energy;

(9) The Bureau of Intelligence and Research of the Department of State;

(10) The Office of Intelligence and Analysis of the Department of the Treasury;

(11) The Office of Intelligence and Analysis of the Department of Homeland Security; or

(12) Such other elements of any department or agency as may be designated by the President, or designated jointly by the Director of National Intelligence and the head of the department or agency concerned, as an element of the intelligence community.

National security system, as defined in 44 U.S.C. 3552, means any information system (including any telecommunications system) used or operated by an agency or by a contractor of an agency, or other organization on behalf of an agency—

(1) The function, operation, or use of which involves intelligence activities; involves cryptologic activities related to national security; involves command and control of military forces; involves equipment that is an integral part of a weapon or weapons system; or is critical to the direct fulfillment of military or intelligence missions, but does not include a system that is to be used for routine administrative and business applications (including payroll, finance, logistics, and personnel management applications); or

(2) Is protected at all times by procedures established for information that have been specifically authorized under criteria established by an Executive order or an Act of Congress to be kept classified in the interest of national defense or foreign policy.

Reasonable inquiry means an inquiry designed to uncover any information in the entity's possession about the identity of any covered articles, or any products or services produced or provided by a source. This applies when the covered article or the source is subject to an applicable FASCSA order. A reasonable inquiry excludes the need to include an internal or third-party audit.

Sensitive compartmented information means classified information concerning or derived from intelligence sources, methods, or analytical processes, which is required to be handled within formal access control systems established by the Director of National Intelligence.

Sensitive compartmented information system means a national security system authorized to process or store sensitive compartmented information.

Source means a non-Federal supplier, or potential supplier, of products or services, at any tier.

(b) Prohibition.

(1) Unless an applicable waiver has been issued by the issuing official, Contractors shall not provide or use as part of the performance of the contract any covered article, or any products or services produced or provided by a source, if the covered article or the source is prohibited by an applicable FASCSA orders as follows:

(i) For solicitations and contracts awarded by a Department of Defense contracting office, DoD FASCSA orders apply.

(ii) For all other solicitations and contracts DHS FASCSA orders apply.

(2) The Contractor shall search for the phrase “FASCSA order” in the System for Award

Management (SAM) at https://www.sam.gov to locate applicable FASCSA orders identified in paragraph (b)(1).

https://www.govinfo.gov/link/uscode/44/3552 https://www.sam.gov/

(3) The Government may identify in the solicitation additional FASCSA orders that are not in SAM, which are effective and apply to the solicitation and resultant contract.

(4) A FASCSA order issued after the date of solicitation applies to this contract only if added by an amendment to the solicitation or modification to the contract (see FAR 4.2304(c)). However, see paragraph (c) of this clause.

(5)

(i) If the contractor wishes to ask for a waiver of the requirements of a new FASCSA order being applied through modification, then the Contractor shall disclose the following:

(A) Name of the product or service provided to the Government;

(B) Name of the covered article or source subject to a FASCSA order;

(C) If applicable, name of the vendor, including the Commercial and Government Entity code and unique entity identifier (if known), that supplied or supplies the covered article or the product or service to the Offeror;

(D) Brand;

(E) Model number (original equipment manufacturer number, manufacturer part number, or wholesaler number);

(F) Item description;

(G) Reason why the applicable covered article or the product or service is being provided or used;

(ii) Executive agency review of disclosures. The contracting officer will review disclosures provided in paragraph (b)(5)(i) to determine if any waiver is warranted. A contracting officer may choose not to pursue a waiver for covered articles or sources otherwise covered by a FASCSA order and to instead pursue other appropriate action.

(c) Notice and reporting requirement.

(1) During contract performance, the Contractor shall review SAM.gov at least once every three months, or as advised by the Contracting Officer, to check for covered articles subject to FASCSA order(s), or for products or services produced by a source subject to FASCSA order(s) not currently identified under paragraph (b) of this clause.

(2) If the Contractor identifies a new FASCSA order(s) that could impact their supply chain, then the Contractor shall conduct a reasonable inquiry to identify whether a covered article or product or service produced or provided by a source subject to the FASCSA order(s) was provided to the Government or used during contract performance.

(3)

(i) The Contractor shall submit a report to the contracting office as identified in paragraph

(c)(3)(ii) of this clause, if the Contractor identifies, including through any notification by a subcontractor at any tier, that a covered article or product or service produced or provided by a source was provided to the Government or used during contract performance and is subject to a FASCSA order(s) identified in paragraph (b) of this clause, or a new FASCSA order identified in paragraph (c)(2) of this clause. For indefinite delivery contracts, the Contractor shall report to both the contracting office for the indefinite delivery contract and the contracting office for any affected order.

(ii) If a report is required to be submitted to a contracting office under (c)(3)(i) of this clause, the Contractor shall submit the report as follows:

(A) If a Department of Defense contracting office, the Contractor shall report to the website at https://dibnet.dod.mil.

https://www.acquisition.gov/far/4.2304#FAR_4_2304 https://dibnet.dod.mil/

(B) For all other contracting offices, the Contractor shall report to the Contracting Officer.

(4) The Contractor shall report the following information for each covered article or each product or service produced or provided by a source, where the covered article or source is subject to a FASCSA order, pursuant to paragraph (c)(3)(i) of this clause:

(i) Within 3 business days from the date of such identification or notification:

(A) Contract number;

(B) Order number(s), if applicable;

(C) Name of the product or service provided to the Government or used during performance of the contract;

(D) Name of the covered article or source subject to a FASCSA order;

(E) If applicable, name of the vendor, including the Commercial and Government Entity code and unique entity identifier (if known), that supplied the covered article or the product or service to the Contractor;

(F) Brand;

(G) Model number (original equipment manufacturer number, manufacturer part number, or wholesaler number);

(H) Item description; and

(I) Any readily available information about mitigation actions undertaken or recommended.

(ii) Within 10 business days of submitting the information in paragraph (c)(4)(i) of this clause:

(A) Any further available information about mitigation actions undertaken or recommended.

(B) In addition, the Contractor shall describe the efforts it undertook to prevent submission or use of the covered article or the product or service produced or provided by a source subject to an applicable FASCSA order, and any additional efforts that will be incorporated to prevent future submission or use of the covered article or the product or service produced or provided by a source that is subject to an applicable FASCSA order.

(d) Removal. For Federal Supply Schedules, Governmentwide acquisition contracts, multi-agency contracts or any other procurement instrument intended for use by multiple agencies, upon notification from the Contracting Officer, during the performance of the contract, the Contractor shall promptly make any necessary changes or modifications to remove any product or service produced or provided by a source that is subject to an applicable FASCSA order.

(e) Subcontracts.

(1) The Contractor shall insert the substance of this clause, including this paragraph (e) and excluding paragraph (c)(1) of this clause, in all subcontracts and other contractual instruments, including subcontracts for the acquisition of commercial products and commercial services.

(2) The Government may identify in the solicitation additional FASCSA orders that are not in SAM, which are effective and apply to the contract and any subcontracts and other contractual instruments under the contract. The Contractor or higher-tier subcontractor shall notify their subcontractors, and suppliers under other contractual instruments, that the FASCSA orders in the solicitation that are not in SAM apply to the contract and all subcontracts.

52.217-8 - OPTION TO EXTEND SERVICES (NOV 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 14 days of contract expiration.

52.217-9 - OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor within 3 days before the contract expires; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 66 months.

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’s Representative (COR) U.S. Department of Education Office of Federal Student Aid 830 1st Street, NE, Room TBD 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)

52.252-6 AUTHORIZED DEVIATIONS IN CLAUSES (NOV 2020)

(a) The use in this solicitation or contract of any Federal Acquisition Regulation (48 CFR Chapter 1) clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the date of the clause.

(b) The use in this solicitation or contract of any Department of Education Acquisition Regulation

(EDAR) (48 CFR 34)

clause with an authorized deviation is indicated by the addition of "(DEVIATION)" after the name of the regulation.

EDAR 3452.202-1 - DEFINITIONS—DEPARTMENT OF EDUCATION (MAR 2011)

(a) The definitions at FAR 2.101 are appended with those contained in Education Department Acquisition Regulations (EDAR) 3402.101.

(b) The EDAR is available via the internet at www.ed.gov/policy/fund/reg/clibrary/edar.html.

EDAR 3452.204–70 - RECORDS MANAGEMENT (OCT 2023)

A. Applicability

This clause applies to all Contractors and subcontractors that receive, create, work with, or otherwise handle Federal records, as defined in paragraph B, regardless of the medium in which the record exists.

B. Definitions

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

“Records inventory,” as used in this clause, means a descriptive listing of each Federal record series or system that a Contractor creates, receives, or maintains in performance of its contract with the Department, together with an indication of its location, retention, custodian, volume, and other pertinent data.

C. Requirements

1. The Contractor shall comply with all applicable records management laws and regulations, as well as National Archives and Records Administration (NARA) records policies, including the Federal Records Act (44 U.S.C. chapters 21, 29, 31, and 33), NARA regulations at 36 CFR chapter XII, subchapter B, including 36 CFR part 1236, and those policies associated with the safeguarding of Federal records covered by the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a). These laws, regulations, and policies include the appropriate preservation of all Federal 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 U.S. Government use and delivered to, or falling under the legal control of, the U.S. Government are Federal records subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act, as amended (FOIA) (5 U.S.C.

552), and the Privacy Act, and must be managed and scheduled for disposition only as permitted by Federal statute or regulation.

3. In accordance with 36 CFR 1222.32, the Contractor shall maintain and manage all Federal records created for U.S. Government use, created during performance of this contract, and/or delivered to, or under the legal control of, the U.S. Government in accordance with Federal law. Electronic Federal records and associated metadata specified for delivery under this contract must be accompanied by sufficient technical documentation to facilitate their understanding and use.

4. (a) The Contractor shall provide a records inventory to the Contracting Officer Representative and Contracting Officer within 60 business days after contract or order award. The Department will review the records inventory for accuracy and accept or reject the records inventory within 60 business days after receipt.

(b) If the Contractor creates, receives, or maintains a Federal record series or system that is not included in the records inventory, the Contractor shall notify the Contracting Officer Representative and Contracting Officer within five business days of the Contractor's creation, receipt, or maintenance of such Federal record series or system, and provide the Contracting Officer with a revised records inventory. The Department will review the records inventory for accuracy and accept or reject the records inventory within 60 business days after receipt.

(c) The Department will periodically review, and may, in its sole discretion, update, the records inventory to ensure that it is current, accurate, and complete. The Department will provide the Contractor with a copy of any such updated records inventory.

5. The U.S. Government reserves the right to inspect, at any time, Contractor and subcontractor policies, procedures, and strategies for ensuring that Federal records are appropriately maintained.

6. The Contractor is responsible for preventing the alienation or unauthorized destruction of Federal records under this contract, including all forms of mutilation. Federal records may not be removed from the legal custody of the Department or destroyed except in accordance with the provisions of this contract and the Federal Records Act. Willful and unlawful destruction, damage, or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. The Contractor shall report any unlawful or accidental removal, defacing, alteration, or destruction of Federal records to the Contracting Officer within one business day.

7. The Contractor shall ensure that the appropriate personnel, administrative, technical, and physical safeguards are established to ensure the security and confidentiality of all Federal records in accordance with this contract and applicable law.

8. The Contractor shall not remove material from U.S. Government facilities or systems, or facilities or systems operated or maintained on the U.S. Government's behalf, without the express prior written authorization of the Contracting Officer.

9. The Contractor shall not create or maintain any Federal records containing any non-public Department information not specified or authorized by this contract.

10. (a) During the term of this contract, the Contractor shall not (i) disclose any Federal record, or any copy thereof, that contains information covered by 32 CFR part 2002 or FOIA (with the exception, for the purposes of FOIA, of information that exclusively implicates the exemption 4 interests of the Contractor); or (ii) sell any Federal record, or any copy thereof.

(b) After expiration or termination of this contract, the Contractor shall not retain or have access to any Federal record, or any copy thereof, that contains information covered by 32 CFR part 2002 or that is generally protected from public disclosure by an exemption under FOIA with the exception, for the purposes of FOIA, of information that exclusively implicates the exemption 4 interests of the Contractor.

(c) Under no circumstances shall the Contractor destroy Federal records except in accordance with the provisions of this contract and the Federal Records Act.

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

12. The Contractor is required to notify the Contracting Officer of any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or Federal records generated under, or relating to, contracts. The Contractor (and any sub-contractor) is required to abide by U.S. Government and the Department's guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

(a) The Contractor shall incorporate the substance of this clause, its terms and requirements including this paragraph, in all subcontracts requiring the disclosure to a subcontractor of information, documentary material, and/or Federal records generated under, or relating to, the performance of this contract, and require written subcontractor acknowledgement of the same.

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

EDAR 3452.204–71 - CONTRACTOR SECURITY VETTING REQUIREMENTS (OCT 2023)

(a) The Contractor and its subcontractors shall comply with Department of Education personnel, cyber, privacy, and security policy requirements set forth in “Contractor Security Vetting Requirements” at http://www.ed.gov/fund/contract/about/bsp.html

(b) Contractor employees who will have access to proprietary or sensitive Department information including “Controlled Unclassified Information” as defined in 32 CFR 2002.4(h), Department IT systems, Contractor systems operated with Department data or interfacing with Department systems, or Department facilities or space, or perform duties in a school or in a location where children are present, must undergo a personnel security screening and receive a favorable determination and are subject to reinvestigation as described in the “Contractor Vetting Security Requirements.” Compliance with the “Contractor Vetting Security Requirements,” as amended, is required.

(c) The type of security investigation required to commence work on a Department contract is dictated by the position designation determination assigned by the Department. All Department Contractor positions are designated commensurate with their position risk/sensitivity, in accordance with title 5 of the Code of Federal Regulations (5 CFR 731.106) and OPM's Position Designation Tool (PDT) located at:

https://pdt.nbis.mil/. The position designation determines the risk level and the corresponding level of background investigations required.

(d) The Contractor shall comply with all Contractor position designations established by the Department.

(e) The following are the Contractor employee positions required under this contract and their designated risk levels:

High Risk (HR): Database Architect, Command Center Manager, Security Manager, Data Quality Manager, Development Manager, Enterprise Architect

Moderate Risk (MR): Program Manager, Project Manager, Training Manager, Test Manager

Low Risk (LR): Not Applicable

(f) For performance-based contracts where the Department has not identified required labor categories for Contractor positions, the Department considers the risk sensitivity of the services to be performed and the access to Department facilities and systems that will be required during performance, to determine the uniform Contractor position risk level designation for all Contractor employees who will be providing services under the contract. The uniform Contractor position risk level designation applicable to this performance-based contract is: (Contracting Officer to complete with overall risk level; or insert “Not Applicable”).

(g) Only U.S. citizens will be eligible for employment on contracts requiring a Low Risk/Public Trust, Moderate Risk/Public Trust, High Risk/Public Trust, or a National Security designation.

http://www.ed.gov/fund/contract/about/bsp.html

(h) An approved waiver, in accordance with the “Contractor Vetting Security Requirements,” is required for any exception to the requirements of paragraph (g) of this section.

(i) The Contractor shall—

(1) Comply with the Principal Office (PO) processing requirements for personnel security screening;

(2) Ensure that no Contractor employee is placed in a higher risk position than for which the employee is approved;

(3) Ensure Contractor employees submit required security forms for reinvestigation in accordance with the time frames set forth in the “Contractor Vetting Security Requirements”;

(4) Report to the COR any information (e.g., personal conduct, criminal conduct, financial difficulties) that would raise a concern about the suitability of a Contractor employee or whether a Contractor employee's continued employment would promote the efficiency of the service or violate the public trust;

(5) Protect sensitive and Privacy Act-protected information, including “Controlled Unclassified Information” as defined in 32 CFR 2002.4(h), from unauthorized access, use, or misuse by its Contractor employees, prevent unauthorized access by others, and report any instances of unauthorized access, use, or misuse to the COR;

(6) Report to the COR any removal of a Contractor employee from a contract within one business day if removed for cause or within two business days if otherwise removed;

(7) Upon the occurrence of any of the events listed under paragraph (b) of the clause at FAR 52.204–9, Personal Identity Verification of Contractor Personnel, return a PIV ID to the COR within seven business days of the Contractor employee's departure; and

(8) Report to the COR any change to job activities that could result in a change in the Contractor employee's position or the need for increased security access.

(j) Failure to comply with any of the personnel security requirements in the “Contractor Security Vetting Requirements” at http://www.ed.gov/fund/contract/about/bsp.html, may result in a termination of the contract for default or cause.

EDAR 3452.208-72 - PAPERWORK REDUCTION ACT (MAR 2011)

(a) The Paperwork Reduction Act of 1995 applies to contractors that collect information for use or disclosure by the Federal government. If the contractor will collect information requiring answers to identical questions from 10 or more people, no plan, questionnaire, interview guide, or other similar device for collecting information may be used without first obtaining clearance from the Chief

Acquisition Officer (CAO) or the CAO's designee within the Department of Education (ED) and the Office of Management and Budget (OMB). Contractors and Contracting Officers' Representatives shall be guided by the provisions of 5 CFR part 1320, Controlling Paperwork Burdens on the Public, and should seek the advice of the Department's Paperwork Clearance Officer to determine the procedures for acquiring CAO and OMB clearance.

(b) The contractor shall obtain the required clearances through the Contracting Officer's Representative before expending any funds or making public contacts for the collection of information described in paragraph (a) of this clause. The authority to expend funds and proceed with the collection shall be in writing by the contracting officer. The contractor must plan at least 120 days for CAO and OMB clearance. Excessive delay caused by the Government that arises out of causes beyond the control and without the fault or negligence of the contractor will be considered in accordance with the Excusable Delays or Default clause of this contract.

(End of clause)

EDAR 3452.209-70 - CONFLICT OF INTEREST CERTIFICATION (MAR 2011)

(a)

(1) The contractor, subcontractor, employee, or consultant, by signing the form in this clause, certifies that, to the best of its knowledge and belief, there are no relevant facts or circumstances that could give rise to an organizational or personal conflict of interest, (see FAR subpart 9.5 for organizational conflicts of interest) (or apparent conflict of interest), for the organization or any of its staff, and that the contractor, subcontractor, employee, or consultant has disclosed all such relevant information if such a conflict of interest appears to exist to a reasonable person with knowledge of the relevant facts (or if such a person would question the impartiality of the contractor, subcontractor, employee, or consultant). Conflicts may arise in the following situations:

(i) Unequal access to information. A potential contractor, subcontractor, employee, or consultant has access to non-public information through its performance on a government contract.

(ii) Biased ground rules. A potential contractor, subcontractor, employee, or consultant has worked, in one government contract, or program, on the basic structure or ground rules of another government contract.

(iii) Impaired objectivity. A potential contractor, subcontractor, employee, or consultant, or member of their immediate family (spouse, parent, or child) has financial or other interests that would impair, or give the appearance of impairing, impartial judgment in the evaluation of government programs, in offering advice or recommendations to the government, or in providing technical assistance or other services to recipients of Federal funds as part of its contractual responsibility. “Impaired objectivity” includes but is not limited to the following situations that would cause a reasonable person with knowledge of the relevant facts to question a person's objectivity:

(A) Financial interests or reasonably foreseeable financial interests in or in connection with products, property, or services that may be purchased by an educational agency, a person, organization, or institution in the course of implementing any program administered by the Department;

(B) Significant connections to teaching methodologies or approaches that might require or encourage the use of specific products, property, or services; or

(C) Significant identification with pedagogical or philosophical viewpoints that might require or encourage the use of a specific curriculum, specific products, property, or services.

(2) Offerors must provide the disclosure described above on any actual or potential conflict of interest (or apparent conflict of interest) regardless of their opinion that such a conflict or potential conflict (or apparent conflict of interest) would not impair their objectivity.

(3) In a case in which an actual or potential conflict (or apparent conflict of interest) is disclosed, the Department will take appropriate actions to eliminate or address the actual or potential conflict, including but not limited to mitigating or neutralizing the conflict, when appropriate, through such means as ensuring a balance of views, disclosure with the appropriate disclaimers, or by restricting or modifying the work to be performed to avoid or reduce the conflict. In this clause, the term “potential conflict” means reasonably foreseeable conflict of interest.

(b) The contractor, subcontractor, employee, or consultant agrees that if “impaired objectivity”, or an actual or potential conflict of interest (or apparent conflict of interest) is discovered after the award is made, it will make a full disclosure in writing to the contracting officer. This disclosure shall include a description of actions that the contractor has taken or proposes to take to avoid, mitigate, or neutralize the actual or potential conflict (or apparent conflict of interest).

(c) Remedies. The Government may terminate this contract for convenience, in whole or in part, if it deems such termination necessary to avoid the appearance of a conflict of interest. If the contractor was aware of a potential conflict of interest prior to award or discovered an actual or potential conflict after award and did not disclose or misrepresented relevant information to the contracting officer, the Government may terminate the contract for default, or pursue such other remedies as may be permitted by law or this contract. These remedies include imprisonment for up to five years for violation of 18 U.S.C. 1001 and fines of up to $5000 for violation of 31 U.S.C. 3802. Further remedies include suspension or debarment from contracting with the Federal government. The contractor may also be required to reimburse the Department for costs the Department incurs arising from activities related to conflicts of interest. An example of such costs would be those incurred in processing Freedom of Information Act requests related to a conflict of interest.

(d) In cases where remedies short of termination have been applied, the contractor, subcontractor, employee, or consultant agrees to eliminate the organizational conflict of interest, or mitigate it to the satisfaction of the contracting officer.

(e) The contractor further agrees to insert in any subcontract or consultant agreement hereunder, provisions that conform substantially to the language of this clause, including specific mention of potential remedies and this paragraph (e).

(f) Conflict of Interest Certification.

The Offeror, [insert name of Offeror], hereby certifies that, to the best of its knowledge and belief, there are no present or currently planned interests (financial, contractual, organizational, or otherwise) relating to the work to be performed under the contract or task order resulting from Request for Proposal No. [insert number] that would create any actual or potential conflict of interest (or apparent conflicts of interest) (including conflicts of interest for immediate family members: spouses, parents, children) that would impinge on its ability to render impartial, technically sound, and objective assistance or advice or result in it being given an unfair competitive advantage. In this clause, the term “potential conflict” means reasonably foreseeable conflict of interest. The Offeror further certifies that it has and will continue to exercise due diligence in identifying and removing or mitigating, to the Government's satisfaction, such conflict of interest (or apparent conflict of interest).

Offeror's Name RFP/Contract No.

Signature Title Date

(End of provision)

EDAR 3452.209-71 - CONFLICT OF INTEREST (MAR 2011)

(a)

(1) The contractor, subcontractor, employee, or consultant has certified that, to the best of its knowledge and belief, there are no relevant facts or circumstances that could give rise to an organizational or personal conflict of interest (see FAR subpart 9.5 for organizational conflicts of interest) (or apparent conflict of interest) for the organization or any of its staff, and that the contractor, subcontractor, employee, or consultant has disclosed all such relevant information if such a conflict of interest appears to exist to a reasonable person with knowledge of the relevant facts (or if such a person would question the impartiality of the contractor, subcontractor, employee, or consultant). Conflicts may arise in the following situations:

(i) Unequal access to information—A potential contractor, subcontractor, employee, or consultant has access to non-public information through its performance on a government contract.

(ii) Biased ground rules—A potential contractor, subcontractor, employee, or consultant has worked, in one government contract, or program, on the basic structure or ground rules of another government contract.

(iii) Impaired objectivity—A potential contractor, subcontractor, employee, or consultant, or member of their immediate family (spouse, parent, or child) has financial or other interests that would impair, or give the appearance of impairing, impartial judgment in the evaluation of government programs, in offering advice or recommendations to the government, or in providing technical assistance or other services to recipients of Federal funds as part of its contractual responsibility. “Impaired objectivity” includes but is not limited to the following situations that would cause a reasonable person with knowledge of the relevant facts to question a person's objectivity:

(A) Financial interests or reasonably foreseeable financial interests in or in connection with products, property, or services that may be purchased by an educational agency, a person, organization, or institution in the course of implementing any program administered by the Department;

(B) Significant connections to teaching methodologies that might require or encourage the use of specific products, property, or services; or

(C) Significant identification with pedagogical or philosophical viewpoints that might require or encourage the use of a specific curriculum, specific products, property, or services.

(2) Offerors must provide the disclosure described above on any actual or potential conflict (or apparent conflict of interest) of interest regardless of…