RFP-97-005 SOLICITATION, OFFER AND AWARD Form 1 of 2 OMB SOLICITATION CLEARANCE NO. 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350) Rating: _______________________________________________________________________________ 2. CONTRACT NO. 3. SOLICITATION NO. 4. TYPE OF SOLICITATION RFP-97-005 [ ] Sealed Bid (IFB) [X] Negotiated (RFP) _______________________________________________________________________________ 5. DATE ISSUED 6. REQUISITION/PURCHASE NO. 04/11/97 RK971260 _______________________________________________________________________________ 7. ISSUED BY (Hand-carried Address) 8. ADDRESS OFFER TO (If other than Item 7) U.S Department of Education Application Control Center GSA Bldg., Rm. 3633 (M.S. 4725) (Same as Item 7) Seventh and D Streets, S.W. ATTN: RFP-97-005 Washington, DC 20202 _______________________________________________________________________________ NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder". _______________________________________________________________________________ SOLICITATION 9. Sealed offers in original and 8 copies of the technical proposal, and original and 4 copies of the business proposal for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in (See Item 7) until 2:00 p.m. local time on 05/13/97. CAUTION - LATE submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-10. All offers are subject to all terms and conditions contained in this solicitation. _______________________________________________________________________________ 10. FOR INFORMATION CALL: A. NAME: Anmarie Lippert B. TELEPHONE NO. (Include area code) : 202/708-9774 (NO COLLECT CALLS) _______________________________________________________________________________ 11. TABLE OF CONTENTS (X) PART/SECTION DESCRIPTION PART I - THE SCHEDULE (X) A SOLICITATION/CONTRACT FORM (X) B SUPPLIES OR SERVICES AND PRICE/COSTS (X) C DESCRIPTION/SPECIFICATIONS/WORK STATEMENT (X) D PACKAGING AND MARKING (X) E INSPECTION AND ACCEPTANCE (X) F DELIVERIES OR PERFORMANCE (X) G CONTRACT ADMINISTRATION DATA (X) H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES (X) I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS (X) J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS (X) K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS (X) L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M EVALUATION FACTORS FOR AWARD _____________________________________________________________________________ EXCEPTION TO STANDARD FORM 33 APPROVED BY GSA/IRMS 5-87 Page 1 of 131 RFP-97-005 SOLICITATION, OFFER AND AWARD Form 2 of 2 OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period. _______________________________________________________________________________ 12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______ calendar days ( 60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule. _______________________________________________________________________________ 13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 Calendar days 20 Calendar days 30 Calendar days __ Calendar days ______% ______% ______% ______% _______________________________________________________________________________ 14. ACKNOWLEDGMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offers and related documents numbered and dated: AMENDMENT NO. DATE AMENDMENT NO. DATE _______________________________________________________________________________ 15A. NAME AND ADDRESS OF OFFEROR 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER (Type or Print) 15B. TELEPHONE NO. (Include Area Code) ______________________ 15C. [ ] CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM ABOVE. ENTER SUCH ADDRESS IN SCHEDULE. _______________________________________________________________________________ 17. SIGNATURE: 18. OFFER DATE: _______________________________________________________________________________ AWARD (To be completed by the Government) 19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION _______________________________________________________________________________ 22. AUTHORITY FOR USING OTHER THAN [ ] 10 U.S.C. 2304(C)( ) FULL AND OPEN COMPETITION: [ ] 41 U.S.C. 253(C)( ) _______________________________________________________________________________ 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM ___________ (4 copies unless otherwise specified) _______________________________________________________________________________ 24. ADMINISTERED BY (If other than Item 7) 25.PAYMENT WILL BE MADE BY _______________________________________________________________________________ 26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA 28.AWARD DATE (Type or Print) (Signature of Contracting Officer) _______________________________________________________________________________ IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice. _______________________________________________________________________________ EXCEPTION TO STANDARD FORM 33 "APPROVED BY GSA/IRMS 5-87 Page 2 of 131 RFP-97-005 TABLE OF CONTENTS PAGE SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS. . . . . . . . . . . . 1 B.1 ESTIMATED COST AND FIXED FEE. . . . . . . . . . . . . . . . . . 1 (ED 301-3) (APRIL 1984) SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT. . . . . . . . . . 2 C.1 SCOPE OF WORK. . . . . . . . . . . . . . . . . . . . . . . . . 2 SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . . . 26 D.1 PACKING . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 (ED 303-4) (MAR 1986) SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . . . 27 E.1 INSPECTION AND ACCEPTANCE . . . . . . . . . . . . . . . . . . . 27 (ED 304-1) (FEB 1985) SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . . . 28 F.1 PERIOD OF PERFORMANCE . . . . . . . . . . . . . . . . . . . . . 28 (ED 305-4) (MARCH 1986) F.2 DELIVERABLES. . . . . . . . . . . . . . . . . . . . . . . . . . 28 (ED 305-6) (MARCH 1986) F.3 REPORT OF CONSULTANTS . . . . . . . . . . . . . . . . . . . . . 28 (ED 305-2) (MAR 1986) SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . . . 29 G.1 CONTRACT ADMINISTRATOR. . . . . . . . . . . . . . . . . . . . . 29 (ED 306-8) (FEB 1985) G.2 ADDITIONAL REQUIREMENTS FOR CONTROL OF GOVERNMENT PROPERTY. . . 29 (ED 306-2) (JAN 1989) G.3 INVOICE AND CONTRACT FINANCING REQUEST SUBMISSION . . . . . . . 29 (ED 306-1) (MAR 1988) G.4 PROVISIONAL AND NEGOTIATED FINAL OVERHEAD RATES . . . . . . . . 30 (ED 306-9) (OCT 1993) SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . . . 31 H.1 PAYMENT OF PRINTING TO BE PERFORMED BY THE. . . . . . . . . . . 31 GOVERNMENT PRINTING OFFICE (ED 307-8) (APR 1992) H.2 COST ACCOUNTING STANDARDS APPLICATION . . . . . . . . . . . . . 31 (ED 307-11) (JUNE 1992) H.3 COST ACCOUNTING STANDARDS. . . . . . . . . . . . . . . . . . . 31 (FAR 52.230-2) (APR 1996) H.4 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES . . . . 33 (FAR 52.230-3) (APR 1996) H.5 ADMINISTRATION OF COST ACCOUNTING STANDARDS . . . . . . . . . . 35 (FAR 52.230-6) (APR 1996) H.6 ORDER OF PRECEDENCE (SOLICITATION). . . . . . . . . . . . . . . 37 (ED 307-1) (NOVEMBER 1986) H.7 DUAL COMPENSATION . . . . . . . . . . . . . . . . . . . . . . . 38 (ED 307-3) (MAR 1985) H.8 PAYMENT OF TRAVEL EXPENSES AND FEES FOR ED EMPLOYEES. . . . . . 38 (ED 307-5) (MAR 1985) H.9 PROHIBITION OF DISCRIMINATION AGAINST INDIVIDUALS . . . . . . . 38 WITH DISABILITIES (ED 301-20) (FEB 1995) TABLE OF CONTENTS PAGE H.10 REQUIRED SUBMISSION OF INFORMATION FOR. . . . . . . . . . . . . 38 PAYMENT BY ELECTRONIC FUNDS TRANSFER (ED 307-30) (SEP 1996) H.11 MANDATORY INFORMATION FOR . . . . . . . . . . . . . . . . . . . 40 ELECTRONIC FUNDS TRANSFER PAYMENT (FAR 52.232-33) (AUG 1996) H.12 AUDIO-VISUAL PRODUCTION . . . . . . . . . . . . . . . . . . . . 43 (ED 307-7) (AUG 1992) H.13 AUTOMATED DATA PROCESSING (ADP) . . . . . . . . . . . . . . . . 43 SYSTEM SECURITY REQUIREMENTS (ED 307-13) (MARCH 1995) H.14 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . . . . . . . . 44 (ED 307-17) (APR 1984) H.15 CONTINUITY OF SERVICES. . . . . . . . . . . . . . . . . . . . . 44 (FAR 52.237-3) (JANUARY 1991) H.16 OPTION TO EXTEND THE TERM OF THE CONTRACT. . . . . . . . . . . 45 PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . . . 47 SECTION I - CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE-ALTERNATE I . . . . . . . . . 47 (FAR 52.252-2) (JUN 1988) I.2 CLAUSES FOR A COST-PLUS-FIXED-FEE CONTRACT. . . . . . . . . . . 47 (MATRIX-A) (FEB 1997) I.2.1 FEDERAL ACQUISITION REGULATION. . . . . . . . . . . . . . . . 47 (48 CFR CHAPTER 1) CLAUSES I.2.2 DEPARTMENT OF EDUCATION ACQUISTION REGULATION (EDAR) . . . . 52 (48 CFR CHAPTER 34) CLAUSES I.3 CLAUSES FOR A COST REIMBURSEMENT CONTRACT . . . . . . . . . . . 52 WITH NONPROFIT, BUT OTHER THAN EDUCATIONAL, INSTITUTION (MATRIX-B) (FEB 1997) I.3.1 FEDERAL ACQUISITION REGULATION . . . . . . . . . . . . . . . 52 (48 CFR CHAPTER 1) CLAUSES I.3.2 DEPARTMENT OF EDUCATIONAL ACQUISITION REGULATION (EDAR). . . 58 (48 CFR CHAPTER 34) CLAUSES I.4 CLAUSES FOR A COST-REIMBURSEMENT CONTRACT . . . . . . . . . . . 58 WITH AN EDUCATIONAL INSTITUTION (MATRIX-E) (FEB 1997) I.4.1 FEDERAL ACQUISITION REGULATION . . . . . . . . . . . . . . . 58 (48 CFR CHAPTER 1) CLAUSES I.4.2 DEPARTMENT OF EDUCATION ACQUISITION REGULATION (EDAR). . . . 64 (48 CFR CHAPTER 34) CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . . . 65 AND OTHER ATTACHMENTS SECTION J -- LIST OF ATTACHMENTS J.1 LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . . . . . 65 (ED 309-1) (MARCH 1985) J.2 FIPS AND FED-STD CLAUSES AND PROVISIONS INCORPORATED BY . . . . 65 REFERENCE PART IV, SECTION K . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 REPRESENTATIONS,CERTIFICATIONS, AND OTHER STATEMENTS OF THE OFFEROR TABLE OF CONTENTS PAGE K.1 REPRESENTATION AUTHORITY. . . . . . . . . . . . . . . . . . . . 76 (ED 310-1) (MARCH 1985) K.2 WOMEN-OWNED BUSINESS. . . . . . . . . . . . . . . . . . . . . . 76 (FAR 52.204-5) (DEC 1996) K.3 PLACE OF PERFORMANCE. . . . . . . . . . . . . . . . . . . . . . 77 (FAR 52.215-20) (APRIL 1984) K.4 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY. . . . . . 77 (FAR 52.203-8) (SEPTEMBER 1995) K.5 CERTIFICATION OF NONSEGREGATED FACILITIES . . . . . . . . . . . 80 (FAR 52.222-21) (APRIL 1984) K.6 DRUG-FREE WORKPLACE . . . . . . . . . . . . . . . . . . . . . . 81 (FAR 52.223-6) (JAN 1997) K.7 CERTIFICATE OF CURRENT COST OR PRICING DATA . . . . . . . . . . 83 (ED 310-5) (MARCH 1985) K.8 DUPLICATION OF COST . . . . . . . . . . . . . . . . . . . . . . 84 (ED 310-6) (MARCH 1985) K.9 EMPLOYER'S IDENTIFICATION NUMBER. . . . . . . . . . . . . . . . 84 (ED 310-7) (MARCH 1985) K.10 CONTRACTOR IDENTIFICATION NUMBER - DATA . . . . . . . . . . . . 84 UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (FAR 52.204-6) (DEC 1996) K.11 TYPE OF BUSINESS ORGANIZATION . . . . . . . . . . . . . . . . . 85 (FAR 52.215-6) (JULY 1987) K.12 AUTHORIZED NEGOTIATORS. . . . . . . . . . . . . . . . . . . . . 85 (FAR 52.215-11) (APRIL 1984) K.13 APPROVAL OF ACCOUNTING SYSTEM . . . . . . . . . . . . . . . . . 86 (ED 310-9) (MARCH 1985) K.14 CERTIFICATION FOR INTENDED COMPLIANCE WITH. . . . . . . . . . . 86 "LIMITATION OF COST" CLAUSE (ED 310-15) (APRIL 1984) K.15 GENERAL FINANCIAL AND ORGANIZATIONAL INFORMATION. . . . . . . . 86 (ED 310-10) (APRIL 1984) K.16 SMALL BUSINESS PROGRAM REPRESENTATIONS. . . . . . . . . . . . . 89 (FAR 52.219-1) (JAN 1997) K.17 EQUAL LOW BIDS. . . . . . . . . . . . . . . . . . . . . . . . . 91 (FAR 52.219-2) (OCT 1995) K.18 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . . . . . . . . . . . 91 (FAR 52.222-22) (APRIL 1984) K.19 AFFIRMATIVE ACTION COMPLIANCE . . . . . . . . . . . . . . . . . 92 (FAR 52.222-25) (APRIL 1984) K.20 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING . . . . . . . 92 (FAR 52.223-13) (OCT 1996) K.21 POST EMPLOYMENT CONFLICT OF INTEREST. . . . . . . . . . . . . . 93 (ED 310-16) (MARCH 1985) K.22 CERTIFICATION REGARDING DEBARMENT, SUSPENSION,. . . . . . . . . 93 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS. (FAR 52.209-5) (MAY 1989) K.23 TAXPAYER IDENTIFICATION . . . . . . . . . . . . . . . . . . . . 94 (FAR 52.204-3) (SEPTEMBER 1989) K.24 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS . . . . . . . . 96 TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (FAR 52.203-11) (APRIL 1991) K.25 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . . . . . . . . 97 TABLE OF CONTENTS PAGE CERTIFICATE -- MARKETING CONSULTANTS (FAR 52.209-7) (OCTOBER 1995) K.26 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR . . . . . . 98 ILLEGAL OR IMPROPER ACTIVITY (FAR 52.203-8) (JAN 1997) K.27 ORGANIZATIONAL CONFLICT OF INTEREST . . . . . . . . . . . . . . 99 (EDAR 3452.209-70) (AUG 1987) K.28 REPRESENTATION OF LIMITED RIGHTS DATA AND RESTRICTED. . . . . . 99 COMPUTER SOFTWARE (FAR 52.227-15) (JUNE 1987) K.29 CLEAN AIR AND WATER CERTIFICATION . . . . . . . . . . . . . . . 100 (FAR 52.223-1) (APRIL 1984) K.30 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION. . . . . . 101 (52.230-1) (APR 1996) SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES. . . . . . . . . . . . 105 TO OFFERORS L.1 TYPE OF CONTRACT. . . . . . . . . . . . . . . . . . . . . . . . 105 (ED 311-1) (MARCH 1986) L.2 AVAILABILITY OF THE FEDERAL ADP AND . . . . . . . . . . . . . . 105 TELECOMMUNICATIONS STANDARDS INDEX (APRIL 1989) L.3 PRIVACY AND SECURITY SAFEGUARDS . . . . . . . . . . . . . . . . 105 FAR 239-1 (AUG 1996) L.4 GENERAL INSTRUCTIONS. . . . . . . . . . . . . . . . . . . . . . 106 (ED 311-2) (MAR 1997) L.5 TECHNICAL PROPOSAL INSTRUCTIONS . . . . . . . . . . . . . . . . 107 (ED 311-3) (MARCH 1986) L.6 PAST PERFORMANCE REPORT . . . . . . . . . . . . . . . . . . . . 112 (ED 314-1) (MAR 1996) L.7 BUSINESS PROPOSAL INSTRUCTIONS. . . . . . . . . . . . . . . . . 114 L.8 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION. . . . . . 116 OTHER THAN COST OR PRICING DATA (FAR 52.215-41, ALTERNATE IV) (OCT 1995) L.9 ADDITIONAL INSTRUCTION FOR PROPOSAL FOR . . . . . . . . . . . . 117 ADP SECURITY COMPLIANCE (ED 311-17) (FEBRUARY 1988) L.10 SMALL, SMALL DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS . . . 117 SUBCONTRACTING PLAN (FAR 52.219-9) (OCT 1995) L.11 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE REVIEW. . . . . . 122 (FAR 52.222-24) (APRIL 1984) L.12 LATE SUBMISSIONS, MODIFICATIONS, AND. . . . . . . . . . . . . . 122 WITHDRAWALS OF PROPOSALS (FAR 52.215-10) (FEB 1997) L.13 FAILURE TO SUBMIT OFFER . . . . . . . . . . . . . . . . . . . . 124 (FAR 52.215-15) (JUL 1995) L.14 CONTRACT AWARD. . . . . . . . . . . . . . . . . . . . . . . . . 124 (FAR 52.215-16) (OCT 1995) L.15 PROVISION FOR EVALUATION FACTOR AMENDMENTS. . . . . . . . . . . 125 (ED 311-7) (MARCH 1986) L.16 FORMS CLEARANCE PROCESS . . . . . . . . . . . . . . . . . . . . 125 (ED 311-5) (MARCH 1986) L.17 SERVICE OF PROTESTS . . . . . . . . . . . . . . . . . . . . . . 126 (FAR 52.233-2) (OCTOBER 1995) TABLE OF CONTENTS PAGE L.18 STANDARD INDUSTRIAL CODE AND. . . . . . . . . . . . . . . . . . 126 SMALL BUSINESS SIZE STANDARD (FAR 52.219-22) (JANUARY 1991) L.19 SMALL BUSINESS SIZE STANDARD. . . . . . . . . . . . . . . . . . 126 (ANNUAL DOLLAR RECEIPTS) - ALTERNATE 1 (ED 311-9A) (MARCH 1986) L.20 FACILITIES CAPITAL COST OF MONEY. . . . . . . . . . . . . . . . 127 (FAR 52.215-30) (SEPT 1987) L.21 EXPLANATION TO PROSPECTIVE OFFERORS. . . . . . . . . . . . . . . 127 SECTION M - EVALUATION FACTORS FOR AWARD . . . . . . . . . . . . . . . . 128 M.1 EVALUATION FACTORS FOR AWARD (ALTERNATE I). . . . . . . . . . . 128 (ED 312-2) (FEB 1996) M.2 Evaluation of Optional Tasks . . . . . . . . . . . . . . . . . . 131 Page 3of 131 RFP-97-005 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS B.1 ESTIMATED COST AND FIXED FEE (ED 301-3) (APRIL 1984) The estimated cost of this contract is $______. The fixed fee (if any) is $______. The total estimated cost and fixed fee is $______. Page 1 of 131 RFP-97-005 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT C.1 SCOPE OF WORK The contractor shall furnish all personnel, materials, services, and facilities necessary to perform the requirements set forth in the Statement of Work, below. This shall also be done in accordance with the specified General and Special Provisions and the contractor's final technical proposal, as shall be incorporated by reference as a part of the contract. NATIONAL CLEARINGHOUSE ON EDUCATIONAL FACILITIES STATEMENT OF WORK TABLE OF CONTENTS PART I. BACKGROUND A. Introduction B. The relationship of the Clearinghouse to ERIC components C. Definitions PART II. TASKS TO BE COMPLETED TASK 1 Management and Administration of the Clearinghouse Subtask 1.1 Brief the COTR Subtask 1.2 Develop and maintain management systems and procedures for operating the Clearinghouse Subtask 1.3 Maintain computer capability Subtask 1.4 Establish a national advisory board Subtask 1.5 Participate in ERIC system wide management and technical groups Subtask 1.6 Conduct self-evaluation of Clearinghouse products and services Subtask 1.7 Conduct annual national conference Subtask 1.8 Establish a toll-free number TASK 2 Build, Maintain, and Utilize the ERIC Database Subtask 2.1 Develop a comprehensive statement of the Scope of Interest Subtask 2.2 Identification, selection and processing of materials for Resources in Education (RIE) Subtask 2.3 Identification, selection and processing articles for the Current Index to Journals in Education (CIJE) Subtask 2.4 Participation in the maintenance and refinement of Page 2 of 131 RFP-97-005 the ERIC Thesaurus TASK 3 Develop and Maintain Effective Dissemination Activities Subtask 3.1 Build and maintain networks with professional associations, the education community and other ERIC users Subtask 3.2 Develop a Network of ERIC Partners Subtask 3.3 Technical Assistance Subtask 3.4 Develop Documents, Publications and materials Subtask 3.5 Develop an array of other products Subtask 3.6 Develop a program of collaborative cooperative activities with appropriate programs and organizations TASK 4 Provision of User Service Subtask 4.1 Services to individual users Subtask 4.2 Conduct workshops and other training programs Subtask 4.3 Provide other categories of users services or products Subtask 4.4 Provide profiles of model LEAþs/SEAþs and describe their best practices Subtask 4.5 Provide information on financial strategies relating to educational facilities Subtask 4.6 Assemble and make available list of experts in the educational facility field Subtask 4.7 Provide data on educational facility projects currently underway TASK 5 Reports, System Meetings, and Other Deliverables Subtask 5.2 System Meetings Subtask 5.3 Deliverables TASK 6 Participate in Special Projects TASK 7 Transfer Clearinghouse Activities PART III OTHER REQUIREMENTS Project Staff Meeting Accessibility for Individuals with Disabilities APPENDIX A -- Overview of ERIC Program PART I. BACKGROUND Page 3 of 131 RFP-97-005 A. Introduction In a recent GAO report, entitled School Facilities: Condition of America's Schools (GAO/HEHS-95-61, February 1, 1995, available through the General Accounting Office, Document Distribution Center, 441 G St.. NW, Room 1000, Washington, D.C. 20548.), the results of a nationwide survey of approximately 10,000 schools were presented. The report described the conditions observed in site visits of 10 school districts and found that about one-third of the schools, serving 14 million pupils nationwide, reported needing extensive repair or replacement of one of more buildings, 60 percent of schools reported at least one major building feature, such as plumbing, in need of repair or replacement. Half the schools reported at least one unsatisfactory environmental condition, such as poor ventilation or heating or lighting problems. The average cost for a new elementary school today is about $6 million, while the average secondary school cost is about $15 million to construct. Accordingly, a school today is likely to have more than one building-- an original building, some permanent additions to that building, and a variety of temporary buildings-- each built at different times. Several state courts as well as the Congress have recognized that the quality of the learning environment affects the education of children. Decent facilities are crucial to creating a high-quality learning environment. The term "decent facility" was specifically defined by one court as those that are "structurally safe, contain fire safety measures, sufficient exits, an adequate and safe water supply, an adequate sewage system, sufficient and sanitary toilet facilities and plumbing fixtures, adequate storage, adequate lighting, be in good repair and attractively painted as well as contain acoustics for noise control. Practitioners need to have access to information on what is effective in the school facilities field in order to begin addressing the substantial challenges they now face. The Office of Educational Research and Improvement (OERI) has a requirement to establish and operate a national clearinghouse on Educational Facilities. This clearinghouse and program shall provide information and technical assistance on issues and practices for more efficient construction and demolition practices, including the removal of environmental hazards, improvements in air quality, plumbing,lighting, heating and air conditioning, electrical systems, construction activities needed to meet the requirements of section 504 of the Rehabilitation Act of 1973, construction that facilitates the use of modern technologies as well as construction concepts need to promote the building of new school facilities, charter and community schools. The primary effort of this contract is to provide information and technical assistance on education facilities to elementary and secondary schools. The objective of the program is to help decision makers and facility managers reduce the costs of constructing and maintaining their educational facilities. The Page 4 of 131 RFP-97-005 clearinghouse will use a variety of resources and existing programs to gather and disseminate information on innovative and efficient construction technologies and techniques, indoor environmental quality practices, durability, maintenance costs and energy use, as well as information on how to use energy cost savings to improve facility maintenance. This Clearinghouse will acquire, produce and disseminate information on educational facilities to schools, practitioners, decision makers, governing boards, State Education Agency (SEAs), Local Education Agency (LEAS), and other interested parties. The clearinghouse will be expected to collect, produce, and disseminate information concerning effective and efficient approaches and methods of planning, designing, renovating, constructing, and financing educational facilities. The Clearinghouse will develop a database and web-site of information on educational facilities issues. The database will contain articles from journals, reports, trade standards, design models and case studies on school construction and design as well as results of research projects. The contractor shall provide and link through various media those who need assistance with those who can provide information about effective educational facilities, as well as successful financial strategies relating to educational facilities. Where materials do not exist, the clearinghouse will produce written products to address particular issues on school renovation and construction. In addition, the contractor will conduct an annual national conference(s) on Educational Facilities issues, as needed. The database will include the latest information on school construction activity across the nation. In addition, the database will have information about each state's school infrastructure financing mechanism. The role of planning for and implementing technology in school construction and/or renovation, including but not limited to basic school infrastructure, building improvements that increase schools safety and technology is critical to the success of this project. Since this clearinghouse will be having significant interaction with the ERIC clearinghouses, an overview of the ERIC program is provided in Appendix A, of this Statement of Work. B. The relationship of this Clearinghouse to other ERIC components Although this clearinghouse will serve as an independent clearinghouse from the existing sixteen ERIC clearinghouses, it will share similar activities and perform similar functions and conform to ERIC system standards. The Clearinghouse shall perform the following basic activities: þ Acquire significant education literature within its particular scope area, giving priority to the highest quality and most relevant materials; þ Process the selected items for entry into the ERIC database, Page 5 of 131 RFP-97-005 including cataloging, indexing, and abstracting documents; þ Adhere to the policies and procedures in the ERIC Processing Manual, and budget appropriate costs for such activities. þ Will develop, maintain and disseminate the database developed by the clearinghouse; þ Understand the critical issues in the field, and prepare materials for researchers, practitioners, and policy makers that summarize the literature and identify state-of-the-art practices; þ Provide users with products, services, information and technical assistance, such as brochures, publications, and Digests both in print and through electronic media; þ Establish and carry out dissemination programs designed to bring Clearinghouse and ERIC-produced materials to researchers, practitioners, journalists, policy makers and others. þ Produce materials that do not currently exist. þ Conduct annual national conference(s), workshops or training activities. Many Clearinghouse activities will be coordinated (through telephone, correspondence, electronic media and periodic meetings) with other components of the ERIC network. C. Definitions CHARTER SCHOOL, The term "charter school" has the meaning given that term in section 10306(1) of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 8066(l)). COMMUNITY SCHOOL, The term "community school" means a school, or part of a school, that serves as a center for after-school and summer programs and the delivery of education, tutoring, cultural, and recreational services, and as a safe haven for all members of the community by (1) collaborating with other public and private nonprofit agencies (including libraries and other educational, human-service, cultural, and recreational entities) and private businesses in the provision of services;(2) providing services such as literacy and reading programs; senior citizen programs; children's day-care services; nutrition services; services for individuals with disabilities; employment counseling, training, and placement; and other educational, health, cultural, and recreational services; and (3) providing those services outside the normal school day and school year, such as through safe and drug-free safe havens for learning. CONSTRUCTION. The term "construction" means (1) the preparation of drawings and specifications for school facilities; (2) erecting, building, acquiring, remodeling, renovating, improving, repairing, or extending school facilities; (3) demolition, in preparation for rebuilding school facilities; and (4) the inspection and supervision of the construction of school facilities. The term "construction" does not include the acquisition of any interest in real property. LOCAL EDUCATIONAL AGENCY, The term "local educational agency" has the meaning given that term in section 14101(18)(A) and (B) of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 8801(18)(A) Page 6 of 131 RFP-97-005 and (B)). SCHOOL FACILITY.--(A) The term "school facility means--(1) a public structure suitable for use as a classroom, laboratory, library, media center, or related facility, whose primary purpose is the instruction of public elementary or secondary students; and (2) initial equipment, machinery, and utilities necessary or appropriate for school purposes. (B) The term "school facility" does not include an athletic stadium, or any other structure or facility intended primarily for athletic exhibitions, contests, games, or events for which admission is charged to the general public. STATE. The term "State" means each of the 50 States and the Commonwealth of Puerto Rico. STATE EDUCATIONAL AGENCY, The term "State educational agency" has the meaning given that term in section 14101(28) of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 8801(28)). PART II. TASKS TO BE COMPLETED The following section discusses the specific tasks that the contractor shall complete in meeting the requirements of this contract. TASK 1. Management and Administration of the Clearinghouse. Subtask 1.1. Brief the Contract Officer's Technical Representative (COTR) Within ten (10) working days of the contract award, the contractor shall meet in Washington, D.C. with the OERI Contract Officer's Technical Representative (COTR) and the Contracting Specialist (CS). The purpose of this meeting is to review the progress in completing the approved tasks and scheduled activities for the first year of the contract. The COTR, CS, and the Contractor will meet at the beginning of each option year, if exercised, to discuss events of the preceding year as well as to discuss ways of improvement in the remaining option years. Subtask 1.2. Develop and maintain management systems and procedures for operating the Clearinghouse. The contractor shall develop written procedures within one (1) month after a contract award to provide uniform and timely processing of documents and other deliverables, adequate documentation of decisions, and timely response to clients. Procedures used for the ERIC system will be used as a guide. These procedures are subject to the approval of the COTR. Subtask 1.3. Maintain computer and information system capability. The contractor shall have--or have local access to--computer support staff with sufficient technical background to assist the Clearinghouse in appropriately configuring, debugging and enhancing the Page 7 of 131 RFP-97-005 Clearinghouse computer system, including electronic data transmission, desktop publishing, statistical reporting, and other applications. There shall be a close match between the assigned subject areas of the Clearinghouse and the subject specializations, strengths, and interests of the contractor's proposed staff. Experience, expertise and first-hand involvement in scope area research and practice are required for the contractor to understand, evaluate and acquire documents, to provide appropriate, accurate and timely user services, and to develop effective publications. The requirements of ERIC technical processing demand each Clearinghouse to have at least a basic computer system capability. However, the contractor shall provide the necessary funds, equipment and trained personnel to perform the following telecommunications, data processing and information transfer functions: þ Produce resume data entry and checking for Resources in Education (RIE) and Cumulative Index to Journals in Education (CIJE); þ Electronic reporting and statistical data transfer; þ Document unloading and downloading; þ Online and CD-ROM computer searching of the ERIC and other databases. þ World Wide Web site and html links þ Computer Assisted Design (CAD) The contractor shall pay the cost of inputting and processing all materials into the ERIC database to the ERIC Processing and Reference Facility to cover the cost of such service. The contractorþs information system shall have the capability for reproduction and distribution of reports, graphics (i.e., layouts, equipment, furniture, design drawings, architectural, electrical, mechanical, heating, lighting, energy efficiencies, removal of architectural barriers, plumbing and environmental specifications, media centers, laboratories, libraries). The system shall have the capability of producing 3-D designs, computer assisted design (CAD) and directly accepting & transmitting data from a modem. In addition to the above, the system shall also have the capability of addressing the role of planning and implementing technology in school construction and/or renovation. These areas involve wiring and and other internal/external technological connections. Subtask 1.4. Establish a national advisory board. The Contractor shall establish a national advisory board which shall contribute to the operation and management of the Clearinghouse. This board is advisory and does not set policy for the operation of the Clearinghouse. Membership on the board must be diverse enough to include the expertise and perspectives of various groups in the subject scope areas, and decision makers at both the state and local jurisdictions. The advisory board will consist of 10-15 unpaid members. However travel expenses and per diem will be paid to the advisory board members, by the contractor. The advisory board shall include, but not necessarily be limited to Page 8 of 131 RFP-97-005 representatives from among the following organizations, institutions or sectors: þ county/city government representative knowledgeable of school construction bonds other internal/external technological connections þ representatives from State Education Agencies (SEAS)/Local Education Agencies (LEAS) þ municipal finance expert þ representative from Educational Management clearinghouse þ professional organizations (finance, architecture, schools) þ an architect with specialization in educational facilities þ school construction/building firms þ Federal Agencies such as; HUD; DoE; DoD; DoC; DoL; EPA þ Computer Technology and Information Sciences þ Governance at SEA/LEA (Governors' Office) þ school community planner þ private education þ a representative representing individuals with disabilities The contractor shall submit the list of names of the Advisory Board and the areas they represent, to the COTR for review, one month after the award of the contract. The board shall be responsible for the following tasks: (1) assisting in the selection of topics and authors for major documents and other products to be developed by this clearinghouse; (2) identifying sources of documents, journals and publications suitable for entry into the ERIC system; (3) suggesting modes and methods of identifying users' needs and ways to satisfy them; (4) serving as liaison to other groups or persons within the scope of this clearinghouse; (5) recommending annual and long-term goals and priorities for the Clearinghouse, consistent with those set forth by OERI; (6) reporting to the Clearinghouse management, for the Clearinghouse to transmit in the annual report on how the Clearinghouse is meeting its goals and objectives and on what improvements are needed. This report shall be submitted annually; (7) reviewing quality control procedures for internal operations and assuring that adequate peer review procedures are established and executed for Clearinghouse products. An annual advisory board meeting of approximately one to three days shall be held by the contractor. The meeting may take place at the Clearinghouse, or, to conserve funds, Clearinghouse staff may choose to meet with the advisory board members at professional meetings or conferences which they would normally attend. The contractor shall provide for nominal meeting costs, travel, lodging and per-diem. Within one week of the advisory board meeting the contractor will prepare and deliver to the COTR, a complete report of the meeting, identifying the recommendations made and adopted. The report will highlight in detail any difficulties in implementing the approved recommendations of the advisory board. Page 9 of 131 RFP-97-005 Subtask 1.5. Participate in ERIC system wide management and technical groups. Appropriate Clearinghouse staff shall serve on system wide groups such as the ERIC Technical Committee and the Vocabulary Review Group. The Clearinghouse Director shall attend all national ERIC meetings. Such meetings of the ERIC Directors, ACCESS ERIC and other ERIC components occur up to twice each year with COTR and ERIC staff in Washington, D.C. These meetings, of one to two days duration, will afford the opportunity for continued monitoring of each individual Clearinghouse as well as for system wide review of progress and attainment of new goals and directions. Subtask 1.6. Conduct self-evaluation of Clearinghouse products and services. The Clearinghouse management is responsible for ensuring that its products and services are of the highest quality, and that they are cost-effective. Clearinghouse staff shall: Collect valuative information developed within and outside the Clearinghouse and use such information as the basis for planning adjustments or changes needed to improve products or services. The contractor shall produce a report twice a year that summarizes the collected evaluation information and report to the COTR the resolutions of problems and improvement made to Clearinghouse operations, products and services. The contractor shall design and carry out such assessments with precision and objectivity. Findings from these assessment activities shall be described summarized, in the annual report discussed under Subtask 5.1. Subtask 1.7 Conduct annual national conference. The contractor shall prepare and conduct an annual national conference(s) beginning in option year one (1), if exercised, on the Clearinghouse's activities, current national issues, emerging trends, etc. The national conference shall be at least two days in length. The list of attendees will be developed in consultation with the advisory board and COTR. The contractor shall also provide planning, logistical, technical, reporting, dissemination, and overall coordination support necessary to implement annual educational facilityþs conference(s) for approximately 150 participants beginning in the first option year of this contract (except for invited speakers and presenters, travel and lodging expenses for participants WILL NOT be paid for by the government). The contractor shall arrange appropriate meeting space and lodging for participants and assist with the arrangements for appropriate national speakers, workshops, and demonstrations and produce a report of the findings and recommendations coming out of the conference, to be given to the COTR. Subtask 1.8 Establish a toll free number Page 10 of 131 RFP-97-005 The contractor shall, within ninety days of contract award, establish and maintain a toll-free (within the United States) incoming telephone number. This number shall be routinely and widely available to Clearinghouse clients and potential clients. As soon as the award is made, the Department of Education will order an FTS 2000 800-number for Clearinghouse use, unless an alternative arrangement less costly to the Department is agreed to in writing. Alternative arrangements may include a no-cost-to the-contract provision of 800-service by the contractor, or an arrangement with a long-distance provider at rates less than those offered by FTS 2000. TASK 2. Build, Maintain and Utilize the ERIC Database. Subtask 2.1. Develop a comprehensive statement of the Scope of Interest. The contractor shall analyze and develop a comprehensive statement of the Scope of Interest for the Clearinghouse that includes, at least, all the areas contained in the following statement. Scope of Interest The design, demolition, construction, equipping, furnishing, operations, energy use, maintenance, electrical, mechanical, heating, lighting, energy efficiencies, removal of architectural barriers, plumbing and environmental specifications (including acoustics, asbestos and air quality) media centers, including laboratories, libraries; and renovation of elementary and secondary educational facilities; the role of planning and implementing technology (internal/external technological connections) in school contraction and/or renovation. The role and responsibilities of local and state boards of education in education governance and school contraction finance; strategic planning and the development, implementation, effects, and evaluation of educational finance, state and federal support, local school budgets, bond issues and zoning considerations. The Contractor shall provide a draft statement of the scope of interest for the approval of the COTR. Based on the approval of the COTR, a final statement of the scope of interest will be produced, within one month of the award of the contract. Subtask 2.2. Identification, selection and processing of materials for Resources in Education (RIE). To provide ready access to the significant noncommercial education literature, some of which may not otherwise receive wide dissemination, a productive acquisition program must be established. Formal agreements must be explored and negotiated with relevant organizations and agencies to ensure continuous contributions to the database. The contractor shall acquire research and evaluation data, materials about effective programs, and published and unpublished reports from all Federal, state, and local, public and private sources dealing with Page 11 of 131 RFP-97-005 or applicable to education facilities. Acquisitions shall include Federal and State project reports and materials, reports and documents produced under grants and contracts, teacher-oriented materials, effective programs, annotated bibliographies, information on the latest effective technologies improving educational facilities and journal articles. The number of documents to be acquired and selected is approximately 1000 per year. The Contractor shall place an emphasis on locating and obtaining current materials, significant state-of-the-art studies not previously published, and landmark documents in the field. The Contractor shall include model blueprint designs for creative and innovative approaches to addressing educational facilities needs. In the process of soliciting documents, the Contractor shall make an effort to secure authors' abstracts. However, no major effort is to be expended in locating and processing historical or archival documents. Clearinghouse staff must also be aware, in reviewing materials for possible inclusion to the ERIC database, that valid and well- documented research reports with negative or controversial results often constitute a valuable contribution to the field. The Clearinghouse shall collect and input into the database, information that reflects all sides of a particular issue, and conforms to the guidelines of the ERIC Processing manual (EPM). Items are to be screened for both content and reproduction quality; only those of high merit, perceived usefulness, and good reproducibility are to be processed into the database. Items not suitable for ERIC database, shallbe screened the same as the ones for the ERIC database. The Contractor shall encourage resubmission of documents rejected solely on the basis of poor reproducibility. Responsibility for screening materials suitable for RIE shall rest with the director of the Clearinghouse. Documents must be abstracted and indexed in accordance with the ERIC Processing Manual. This Manual provides a format for preparing bibliographic data about each document selected for RIE. The bibliographic data shall be transmitted electronically, on a weekly basis, to the Computer Science Corporation, ERIC Processing and Reference Facility, currently located at, 1100 West St., 2nd floor, Laurel, Md., 20707-3598. Subtask 2.3. Identification, selection and Processing of articles for the Current Index to Journals in Education (CIJE). The contractor shall develop an initial list of documents, journals and publications to be covered, selectively and cover-to-cover, and shall give the list to the COTR (Subtask 1.1) within 30 calendar days. In developing the list, the contractor shall: 1. Survey and analyze all the journals pertinent to the Clearinghouse's Scope of Interest; 2. Review the journals covered by the 16 ERIC Clearinghouses to see whether any of their journals are more appropriately within the Scope of Interest for the Clearinghouse on Education Facilities; 3. Identify on the list the journals covered by the other Page 12 of 131 RFP-97-005 Clearinghouses; 4. Negotiate with the other ERIC Clearinghouses to transfer the journal(s) to the new Education Facilities clearinghouse. If any difficulties arise in the negotiations, then the Clearinghouse shall notify the COTR and set a meeting among the clearinghouse and the affected ERIC Clearinghouses to resolve the difficulties. The approximate number of articles for CIJE input will be 700 with time frames being consistent with the ERIC cycle. At any time, the contractor shall propose additions, deletions, and other changes to this list, subject to approval by the COTR in light of budget and technical considerations. Items for CIJE shall be indexed and cataloged in accordance with the guidelines contained in the ERIC Processing Manual. Many of the characteristics of CIJE processing are identical to those for RIE. Subtask 2.4 Participation in the maintenance and refinement of the ERIC Thesaurus. The controlled vocabulary currently in use to index and retrieve documents in the ERIC database is published in the Thesaurus of ERIC Descriptors (10th Edition). The ERIC system maintains the development and control of the ERIC vocabulary on a continuing basis. The Contractor, through a Clearinghouse vocabulary coordinator, shall regularly consider new terms in the subject field for possible addition to the ERIC Thesaurus and participate in the review of all changes and proposed additions to the controlled vocabulary. The Contractor shall appoint one person to represent it on the system wide Vocabulary Review Group, which shall conduct its activities by telephone or computer networking, and shall meet in coordination with other ERIC meetings, such as Technical Steering Committee or Directors' meetings. TASK 3. Develop and Maintain Effective Dissemination Activities. Subtask 3.1. Build and maintain networks with professional associations, the education community and other ERIC users. The Contractor shall develop and maintain good working relationships with major professional organizations, researchers, policy makers, school construction industry professionals as well as practicing educators and administrators carrying out work in its scope area or subject field. All efforts shall be oriented toward establishing the Clearinghouse as a major subject matter information resource. Evidence of effective relationships includes, but is not limited to, the following: þ Agreements by associations, institutions or individuals to provide the Clearinghouse with publications for entry into the database; þ Agreements by Clearinghouse staff to write regular columns for associations' publications; Page 13 of 131 RFP-97-005 þ Cooperative publishing agreements; þ Agreements to provide a Clearinghouse with opportunities to make presentations and to use exhibit space at annual meetings. In particular, the Clearinghouse shall participate in appropriate professional meetings whose fields of interest relate to the scope areas for which the Clearinghouse is responsible. þ Agreements to provide blueprints of innovative design. þ Agreements to coordinate existing conferences and workshops with trade and construction organizations Subtask 3.2. Assistance provided Partners. As examples of appropriate ways to strengthen its relationship with its partners, the Contractor shall carry out, but not be limited to, the following types of activities: + Assistance provided to Partners, such as database training, sharing resources, coordination with other groups or recognition for significant organizational contributions; and, þ Materials provided to Partners, such as updates on recent ERIC documents of interest to the organizations, development of research syntheses (digests) or practitioner-oriented products in areas of emerging importance both in print and electronic forms. Subtask 3.3 Technical Assistance The contractor shall provide technical assistance to public and private educational organizations, SEA's and LEA's, with information to assist them in school construction and renovation. States and localities will be provided with information and referrals relating to such issues as how to survey building needs, how to accurately project enrollment, and how to implement effective preventive maintenance strategies. Examples of successfully administered contract bidding procedures and effective negotiation techniques in such areas as construction, renovation, equipment, and retrofitting shall be made available, for Clearinghouse customers. (see Subtask 2.1, Scope of Interest) Subtask 3.4 Develop Documents, Publications, and Materials. The Contractor shall develop an array of information products in various formats (e.g., print, video, CD-ROM, online, and Internet) to meet the different information needs of its customers. These products must be prepared according to the specifications in the ERIC Processing Manual, and Departmental standards. The contract shall establish a working relationship with organiations other than ERIC for assisting in the dissemination of products that are not suitable for placement in the ERIC system. NITS, The National Audio Visual Center at 5285 Port Royal Road, Springfield, VA, 22161, is one such organiation. The contractor shall submit an annual publication plan to the COTR for approval before producing any products or publications. The Contractor shall produce at a minimum: Page 14 of 131 RFP-97-005 þ Six (6) Digests--brief (one-page, two-sided) documents that summarize the most up-to-date information available on specific educational facilities issues and topics. Written for different consumers, Digests present the findings of significant, recent research in a field, and refer readers to other critical documents in the area. Digests are developed in print copy and are also submitted to the ERIC Digests Online file, a database of full-text reports. þ Six (6) major products--publications requiring a significant commitment of time and effort that are designed for a relatively wide audience. These major products may be: Monographs and Synthesis-Papers: substantial publications such as research reviews, papers summarizing important topics, guides to the literature in a field, etc. These products generally attempt to compress or reduce the content of many documents into one synthesizing product, usually 30 or more pages in length. Trends and Issues Papers: "state-of-the-art" papers that summarize the trends, issues and research highlights for the past year. A "trends and issue" paper shall be 10-30 pages in length; however, the Contractor may choose to divide its overall content area coverage into several smaller documents. These "what has been done and what has been learned" papers shall be written for general distribution. Directory of Effective Programs: a compilation of educational facility programs taken from Federal, state, local, business and industry, and public and private sources. Subtask 3.5 Develop an array of other products. The Contractor shall describe, annually, the approach to be taken for developing new products out of the scope of normal ERIC clearinghouse activities, such as comprehensive bibliographies, directories, resource guides, newsletters, listservs and mailing lists of Federal, State, local decision makers and program managers. After approval of the approach by the COTR, copies of these other products shall be sent to the COTR when developed. Subtask 3.6. Develop a program of collaborative and cooperative activities with appropriate programs and organizations. The contractor shall list the organizations and the expected product or activity resulting from its collaborative efforts with those organizations. In particular, the Contractor is encouraged to propose specific collaborative activities with other OERI-sponsored programs, such as the Regional Educational Laboratories and the National Research and Development Centers and other Federal Government agencies, State and private agencies. Collaborative activities can include, but are not limited to: þ collaborating or co-sponsoring joint activities to develop Page 15 of 131 RFP-97-005 publications, training programs and national and regional workshops; þ entering into the ERIC database documents about effective educational facilities projects that have been identified and approved by ED and other government agencies; þ providing technical assistance to state and local public and private associations, institutions, regional policy makers on identifying educational facilities issues. þ Coordinating with other conferences and workshops to leverage opportunities. This may include conferences organized by DoE and NIST, as well as state, construction and engineering organizations such as the American Society of Heating, Refrigerating and Air Conditioning Engineers, The American Society of Civil Engineers, The American Society of Mechanical Engineers, The American Association of Engineering Societies, National Association of State Energy Offices, National Institute of Building Sciences. The contractor shall consider organizations on the following list for possible collaborative activities; however, the contractor is not limited to this list. Components of the Department of Education such as: The Office of Educational Research and Improvement (OERI) The Office of Elementary and Secondary Education (OESE) The Office of Postsecondary Education (OPE) The Office of Special Education and Rehabilitative Services (OSERS) The Office of Bilingual Education and Minority Languages Affairs (OBEMLA) The Office of Civil Rights (OCR) The Office of Vocational and Adult Education (OVAE) Other Federal agencies such as: Housing and Urban Development (HUD) U.S. Department of Energy (DoE) U.S. Department of Commerce (DoC) U.S. Department of Labor (DoL) U.S. Environmental Protection Agency (EPA) State and Private Organizations such as: State Energy Offices The National Institute of Building Sciences Construction and engineering trade organizations such as: The American Society of Mechanical Engineering The Acoustical Society of America The American Society of Heating, Refrigerating and Air Conditioning Engineers The American Society of Civil Engineers The American Society of Mechanical Engineers Page 16 of 131 RFP-97-005 Other affiliated organizations such as: The National Council of Schoolhouse Construction Regional and Local School Building Corporations The Council of Educational Facility Planners The Facilities Consortium Some of these organizations may be partners. TASK 4. Provision of User Services. Subtask 4.1. Services to individual users. The Contractor shall provide, in addition to technical assistance, information on the ERIC system, reference assistance, and retrieval services to individuals, upon request. The Clearinghouse will answer approximately 5000 questions/requests for information per year. It shall also provide the following services: þ dissemination of specific documents in response to user requests; þ literature searches/bibliographies (computer or manual); þ identification and dissemination of sought-after documents and referrals to sources of information; and þ responses to inquiries referred to the Clearinghouse by COTR or other ERIC components or other Federal Agencies. Some of these services may be provided on a cost-recovery basis. It is expected that the financial account for such categories shall be managed to incur neither permanent profit nor interest. The contractor shall be continually aware of federal programs that promote research and advanced construction technologies and practices. These include, but are not limited to, the National Institute of Standards and Technology - Building Fire and Research Laboratory, the Department of Energy Office of Buildings, associated national laboratories working on buildings issues, Occupational Health and Safety Administration, Environmental Protection Agency green programs and others. The contractor shall team up with some of these agency programs as appropriate to not only enhance the database, but also, where appropriate, to join together in technical assistance programs, conferences and workshops. In particular the contractor should coordinate with the Federal Energy Management program on construction techniques and contractor certification programs. Subtask 4.2. Conduct workshops and other training programs. The contractor shall, annually, conduct eight (8) workshops or training activities possibly video-linked to multiple sites, to discuss construction and financial issues and practices. The Contractor shall provide cost effective, scope-related training; for instance, the Contractor shall place emphasis on the training of partners, trainers and intermediaries, that provide information about educational facilities. Subtask 4.3. Provide other categories of user services or products. Page 17 of 131 RFP-97-005 These categories provide money, for special products, publications, computer searches, list serves, and Internet services which are developed by the Clearinghouse. The production of such materials and services will result in enough income to defray some of the reproduction and dissemination costs. As stated in Subtask 4.1, the monies from these categories are provided on a cost recovery basis and are limited to five percent of the first year budget, which should be enough money to defray the reproduction and dissemination costs for the contract period and shall not incur either permanent profit or interest. Subtask 4.4 Provide profiles of model LEA's and SEA's and describe their best practices The contractor shall identify and provide profiles of model Local Education Agencies (LEA) and State Education Agencies (SEA) and describe their best practices and successful techniques relating to educational facilities. Examples of profiles may include, but not be limited to, creative uses of technology, financing solutions, award winning school and classroom designs, and innovative strategies for accommodating enrollment changes. The contractor shall also make the materials available on line. The contractor shall be responsible for obtaining any needed permission to include materials in the collection of best practices. Subtask 4.5 Provide information on financial strategies relating to educational facilities. The contractor shall collect and disseminate appropriate information to Clearinghouse customers, on "cutting edge" educational facilities financial strategies, summarize research findings for policy makers and practitioners, and compile nationwide information on financial strategies. The contractor shall serve as a resource of information and networking support. This should include, but not be limited to, information on unconventional financial strategies, such as securing clean air credits by constructing energy efficient buildings, and turning delinquent municipal taxes into revenue through tax liens. The contractor shall also disseminate information on alternative financing programs as well as programs which use energy savings performance contracts to help finance renovations. The contractor shall explore how to expand beyond energy savings to other operational cost savings. Subtask 4.6 Assemble and make available lists of recognized experts in the educational field The contractor shall develop, continually update and disseminate, to Clearinghouse customers, a list of recognized experts in the educational facility field, energy efficient construction, cost analysis, financing capitol projects, and developing facilities Page 18 of 131 RFP-97-005 consistent with sound educational goals. The contractor shall make every effort to ensure that the experts on the lists have kept abreast of developments in the designated field of specialty by attending meetings and conferences where work is presented and discussed, by following the literature, and by participating in or sponsoring networking activities in the field., and not assume endorsement. Subtask 4.7 Provide data on educational facility projects currently underway,to all requestors. Within the 60 calendar days of the award, the contractor shall collect and provide data on school facilities projects currently underway throughout the country to include specifications, statistical information, contractors and architects. It also should analyze trends in construction, both by utilizing existing data services/sources and by establishing new reporting and tracking mechanisms. The databases shall be designed to support: þ dissemination of information relevant to the Clearinghouse's constituents; þ project management; þ collaboration and coordination efforts. The database shall include information on: þ issues of regional and national interest; þ specific activities and interventions planned and underway with a particular school, school district or state relating to facilities specifications; þ other statistical information that may be of interest to constituents, including data on the number of projects in progress across the country, empirical information on regional and national trends (in construction energy, operations and maintenance costs, designs etc.) and information from past and existing projects on construction costs, energy, operations and maintenance savings. þ Databases shall be accessible and user friendly to assist the field in finding cost-effective and timely solutions to educational facilities needs, in managing projects and in collaboration and coordination efforts. Task 5. Reports, System Meetings, and Other Deliverables. Subtask 5.1. Reports. The contractor shall submit the following reports to the COTR both on a computer disk and in printed form, no later than six months after an award. þ Semiannual statistical report: (Every six months after contract Page 19 of 131 RFP-97-005 award totals and amounts for the operation and activities of the Clearinghouse. The contractor will follow the ERIC reporting format and will provide the exact format of this report on a floppy disk during the first month of the contract. þ Quarterly, narrative report: summary of accomplishments and valuative information, status of projects, identification of and solutions to problems, and projected activities. þ Annual report: annual narrative and statistical summary of the Clearinghouse activities and accomplishments during the previous year. A section of this report shall discuss, in 2-4 pages, the trends and issues in Educational facilities and school construction. This report is to be submitted by the end of the each contract year (base and any option periods that are exercised). þ Annual Advisory Board Report: annual report of the meeting, identifying the recommendations made and adopted. The report will highlight in detail any difficulties in implementing the approved recommendations and steps taken meet the recommendations of the board. Subtask 5.2. System meetings. The Clearinghouse staff shall attend the following ERIC system meetings: þ ERIC Directors Meeting: held twice a year in Washington D.C. The Clearinghouse director must attend the meeting, which is generally one and a half to two days in length. An associate director or assistant director may also attend this meeting. In addition, at the request of the COTR, the contractor shall attend up to two additional meetings, in Washington, D.C. Such meetings may include: þ ERIC Technical Meeting: An annual meeting of technical staff from throughout the ERIC system, to discuss current and proposed system procedures and processes. The meeting is held concomitant with the fall ERIC Directors meeting. þ Vocabulary Review Group: An annual meeting of the Vocabulary Review Group will be scheduled, concomitant with the national ERIC Technical Meeting. þ ERIC Task Force Meeting: With the approval of the COTR, Clearinghouse staff may participate in one or more ERIC Task Forces. Subtask 5.3. Deliverables. The contractor shall send the COTR the number of required copies for each deliverable discussed in the RFP. Subtask Deliverable # of Copies Due Date Page 20 of 131 RFP-97-005 1.2 Written Procedures 2 30 days after Contract award 1.3 Inventory 2 At the end of the Contract 1.4 List of Advisory Board 2 30 days after Contract award 1.6 Self Evaluation Report 2 every 6 months 1.7 National Conference 2 starting in the Findings Option Year, if exercised. 2.1 Draft Scope of Interest 2 20 days after Contract award 2.1 Final Scope of Interest 2 30 days after Contract award 2.3 Initial List 2 30 days after Contract Award 3.4 Publication Plan 2 90 days after Contract Award 3.4 6 Digests 10 thru Contract Life 3.4 6 Major Products/Pub. 10 thru Contract Life 3.5 Approach of New Product 2 90 days after Development Contract Award 5.1 Semiannual Statistical 1 disk Semiannually Report 3 hard* 5.1 Quarterly Narrative 2 Quarterly Report 5.1 Annual Report 1 disk Annually 3 hard* 5.1 Annual Advisory Board 3* Annually Report 7 Plans for Transfer 3* 10th month after Contract Award *one of the copies of the report will be sent to the Contract Specialist If option periods are exercised then the above deliverables also apply to the option periods. Task 6. Participate in Special Projects The contractor shall participate in special projects to develop or implement new products or services, or to assess the use of materials in educational settings. These projects may originate either at the request of OERI, or at the request of the contractor subject to COTR and Contracting Officer approval. [Possible examples of special projects include working on special studies relating to school construction activities as requested by the Assistant Secretary of OERI; collaborative projects with Government and non-Government organizations involving emerging trends involving educational facility activities.] It is anticipated that the contractor will participate annually in at least one special project, which (for proposal purposes) will require Page 21 of 131 RFP-97-005 two trips each year, one to Washington, D.C. and one to another domestic location. This subtask will be negotiated at the time a special project is proposed. Task 7 -- Transfer Clearinghouse Activities The contractor shall provide, no later than the tenth month of the final performance period, 3 copies of plans for transfer of the project should a new contractor be selected; the plans shall include details on how services to clearinghouse users shall be continued. In accordance with Federal Acquisition Regulation Clause 52.237-3, the contractor shall agree to exercise its best efforts and cooperation to effect an orderly and efficient transition to a successor. Upon completion of the contract, the incumbent contractor shall turn over to the Department (or its designee) all Government-furnished property, equipment and materials, and all materials, mailing lists, data, and software produced or acquired with contract funds. The contractor shall deliver all machine-readable items with documentation and, as defined by the FIPS standards included in the contract, in file format and media suitable for transfer to the new contractor or to the Department. The contractor shall ensure that all property, equipment, materials, mailing lists, data and software turned over to the Department (or its designee) is labeled, packed, and identified for transfer to the new contractor. If a new contractor is selected, upon notification by the Contracting Officer the incumbent contractor shall attend up to 2 meetings with the successor, Contracting Officer (or designee) and COTR. At the meeting the incumbent shall provide detailed information on the status of the Clearinghouse's operations and shall discuss the means by which a smooth transition shall be effected. PART III -- Other Requirements 1. Project Staffing The contractor shall recruit and assign staff, and develop policies, procedures, and training opportunities for their effective utilization. A professional staff with overall suitable technical and subject-area qualifications is required. The contractor shall appoint a Clearinghouse Director, who shall be a nationally recognized scholar or practitioner in school finance, civil engineering or an allied field and shall have demonstrated leadership skills. The contractor shall also designate an Associate Director, who can function in the Director's absence and shall be accountable--with the Director--for day-to-day management. Other senior staff members will have advanced work experience and/or degrees in architecture, information science, computer technology, and publications production. Complete detailed resumes are required to be submitted for all key personnel. Clearinghouse staff shall also include, as necessary and appropriate: senior, junior and research-level staff with complementary knowledge of the Clearinghouse subject fields, administrative capabilities, knowledge of information science, and capability to carry out document Page 22 of 131 RFP-97-005 review and processing; and, administrative and clerical staff. The qualifications of key personnel: Director of the Clearinghouse on Education Facilities: The Director shall have a minimum of a Ph.D. in civil engineering, architecture, school financing, facility planning, or other allied field; must be a recognized expert in his field; experienced in dealing with national associations, such as school boards, school business officers, educational facility planners, and school superintendents. The Director will be responsible for overall management of the Clearinghouse including the planning, development, staffing, coordination, and reporting activities. Associate Director: Takes the place of the Director in his absence; must have a Masterþs Degree, at a minimum, in the fields of education, management, information science or technology. Supervises, controls, and performs the specific daily tasks to complete the necessary performance and deliverables of the contractual requirements. Architect: Provides in-depth experience in facilities design and construction. Knowledge of technological applications, energy efficiency, construction techniques, acoustical design, etc. are required. Day-to day activities will be providing evaluation of all aspects of school construction and technical support. Engineer: Provides day-to-day support for all aspects of the technical questions involving facilities construction and/or retrofitting. Advanced experience and training in at least one of these areas is necessary. Information Specialist: Provides day-to-day support for database support and oversight. An advanced degree in library science is necessary. 2. Meeting Accessibility for Individuals with Disabilities The U.S. Department of Education is strongly committed to providing equal access to all aspects of Departmental business for all individuals. Access in this document relates to services, information, and facilities involved when the Department conducts meetings. Toward this end, a contractor organizing a federally conducted meeting ("the organizer") shall be responsible for locating, planning and using sites that are readily accessible, or making arrangements to make sites accessible before the time of a meeting. Also it is the responsibility of the organizer to provide auxiliary aids in order to ensure accessible communications with individuals with disabilities who are to participate in or in other ways benefit from the meeting. Such auxiliary aids could included, for example, providing materials in alternative formats, providing sign-language interpreters, etc. During the course of inviting participants and confirming participation, efforts must be made by both the organizer and the site reservations desk to notify participants what materials or visual aids will be used and where and how the facilities are accessible. Also, the organizer must inquire Page 23 of 131 RFP-97-005 whether the individual with disabilities has any additional needs and must determine what, if any, auxiliary aids are required by the individual, either before or during the meeting, in order to have access to the meeting. This information is to be shared between the meeting site and the organizer. APPENDIX A Overview of the ERIC Program ERIC system is composed of 16 Clearinghouses, each covering a specific scope of the field of Education, and three support contractors. For the past 30 years, the ERIC system has developed and maintains the worldþs largest and most frequently used education database, consisting of almost a million records of journal articles, research reports, curriculum and teaching guides, conference papers and books. Each year, over 30,000 new records update the database. Further, the ERIC system has an array of products such as Digests, Directories, annotated bibliographies, brochures, canned searches, books and other major publications which defines, analyzes, or synthesizes educational topics and research. These products and the database are available in various formats at over 1200 location throughout the world to meet the informational needs of all requestors. Lastly, ERIC is a leader in the electronic dissemination of information and maintains an extensive Internet-presence, including the award-winning ASKERIC question- answering service and Virtual Library, the National Parent Information Network (NPIN)--resources available to parents and teachers to raise and educate children--and 30 education-related Internet sites. Each component of the ERIC system is discussed below. Central ERIC is the part of the National Library of Education (NLE), in the Office of Educational Research and Improvement (OERI) that provides funding, oversight, and administrative and management support for the ERIC program. Central ERIC staff plan system wide activities and future directions, and execute policy and budget determinations. All system contractors work under the technical direction of Central ERIC program monitors, who closely oversee the operations of the ERIC system, provide technical guidance, ensure adherence to quality control procedures, approve the development of new materials and services, and review and approve documents and products supported by OERI funds. The 16 ERIC Clearinghouses specialize in a different subject area of education. The clearinghouses acquire significant literature within their particular scope; select the highest quality and most relevant materials; and catalog, index, and abstract them for input into the database. The clearinghouses also provide research summaries, bibliographies, information analysis papers, and many other products and services. Together, the clearinghouses present the most comprehensive mosaic of education information in the country. The ERIC Processing and Reference Facility (the Facility) is a central editorial and computer processing agency that coordinates document Page 24 of 131 RFP-97-005 processing and database-building activities for ERIC; performs acquisition, lexicographic, and reference functions; and maintains system wide quality control standards. The ERIC Facility also prepares Resources in Education (RIE), ERIC Ready References, and other products. The ERIC Document Reproduction Service (EDRS) produces and sells microfiche and paper copies of documents abstracted in ERIC. Back collections of ERIC documents, annual subscriptions, cumulative indexes, and other ERIC-related products are also available from EDRS. Users can conveniently order ERIC documents by toll-free phone call, fax, mail, or through online vendors and the Internet. The U.S. Government Printing Office (GPO) prints and sells Resources in-Education, (RIE), an index of the non-journal education literature. Oryx Press publishes and sells Current Index to Journals in Education, (CIJE), the index to the journal citations contained in the ERIC database. Oryx Press also publishes the Thesaurus of ERIC Descriptors. ACCESS ERIC coordinates ERIC's outreach and system wide dissemination activities; develops new ERIC publications; and provides general reference and referral services. ACCESS ERIC's publications and directories, including A Pocket Guide to ERIC, All About ERIC, The ERIC Review, ERIC Users' Interchange, the Catalog of ERIC Clearinghouse Publications, and several reference directories, help the public understand and use ERIC as well as provide information about current education-related issues, research, and practice. ERIC Partners. ERIC partners are organizations or institutions with a particular interest either in the ERIC system or in specific fields or disciplines included in the ERIC system. ERIC partners actively disseminate ERIC-developed materials to their constituents and help identify documents or materials to be considered for inclusion in the ERIC database. In return, ERIC partners receive some free or reduced- rate products or service from the ERIC system. Page 25 of 131 RFP-97-005 SECTION D - PACKAGING AND MARKING D.1 PACKING (ED 303-4) (MAR 1986) Preservation, packing and packaging of items for shipment shall be in accordance with commercial practice and adequate for acceptance by common carrier for safe transportation at the most economical rates. Page 26 of 131 RFP-97-005 SECTION E - INSPECTION AND ACCEPTANCE E.1 INSPECTION AND ACCEPTANCE (ED 304-1) (FEB 1985) Pursuant to the inspection clause in Part II, Section I, final inspection and acceptance of all contracted items shall be made by the Contracting Officer. Page 27 of 131 RFP-97-005 SECTION F - DELIVERIES OR PERFORMANCE F.1 PERIOD OF PERFORMANCE (ED 305-4) (MARCH 1986) The period of performance shall be from contract award to 12 months after contract award, inclusive of all specified deliveries and/or task work. F.2 DELIVERABLES (ED 305-6) (MARCH 1986) All deliverables shall be submitted to the designated Department of Education Contracting Officer. This shall be done according to the kinds, quantities and dates indicated in the attached Statement of Work. F.3 REPORT OF CONSULTANTS (ED 305-2) (MAR 1986) The contractor must maintain a written report for the files on the results of all consultations charged to this contract. This report must include, as a minimum: (1) the consultant's name, dates, hours and amount charged to the contract, (2) the names of the contractor or subcontractor staff to whom the services are provided, and (3) the results of the subject matter of the consultations. Page 28 of 131 RFP-97-005 SECTION G - CONTRACT ADMINISTRATION DATA G.1 CONTRACT ADMINISTRATOR (ED 306-8) (FEB 1985) The Contractor shall designate one individual to be contacted during the period of the contract for prompt contract administration. ______ ______ ______ ______ ______ ______ ______ G.2 ADDITIONAL REQUIREMENTS FOR CONTROL OF GOVERNMENT PROPERTY (ED 306-2) (JAN 1989) (A) The contractor shall request written authorization from the contracting officer before acquiring any contractually necessary property to which the Government will have title. The request shall include complete descriptions of all individual items which will exceed $1,000 in cost, including: (a) a brief statement of function; (b) manufacturer and manufacturer's brand name, model or part number; (c) vendor and its proposed price; (B) Management of government property in the possession of the contractor shall be in accordance with FAR Part 45. The contractor shall provide an annual report of total property acquisition cost, as required by FAR 45.505-14. G.3 INVOICE AND CONTRACT FINANCING REQUEST SUBMISSION (ED 306-1) (MAR 1988) (A) The Government agrees to pay the Contractor as complete compensation for all work and services performed and materials furnished under this contract those allowable costs defined in the contract clause entitled "ALLOWABLE COST AND PAYMENT" in an amount not to exceed the estimated costs specified in the contract. (B) The contractor shall submit the original and two (2) Page 29 of 131 RFP-97-005 copies of the invoices or contract financing requests to the Designated Billing Office. ______ ______ ______ ______ ______ ______ Note: Invoices or contract financing requests must be sent to the designated billing office indicated above. Invoices or contract financing requests should NOT be sent to the "Payment will be made by" office indicated on the face page of the contract (block 12 of SF26 or block 25 of SF33). (C) The Contractor shall prepare invoices and contract financing requests in accordance with the billing instructions attached hereto and made a part of this contract. G.4 PROVISIONAL AND NEGOTIATED FINAL OVERHEAD RATES (ED 306-9) (OCT 1993) (a) Pending the establishment of final indirect cost rates, as required by the clause entitled "Allowable Cost and Payment" FAR 52.216-7, the Contractor shall be reimbursed for its indirect costs on the basis of the negotiated provisional, or billing, rates as set forth below. Those rates shall remain in effect until the contract is modified to incorporated either negotiated final in-direct rates, as directed by either paragraph (d) or (f) of the same clause, as applicable, or revised provisional indirect cost rates, as explained in paragraph (e). (b) The provisional overhead rate applicable to this contract is ______% for _______________________________________________________ ______% for _______________________________________________________ ______% for _______________________________________________________ ______% for _______________________________________________________ Page 30 of 131 RFP-97-005 SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 PAYMENT OF PRINTING TO BE PERFORMED BY THE GOVERNMENT PRINTING OFFICE (ED 307-8) (APR 1992) The General Provisions of this contract set forth the Department's policy regarding printing to be performed in order to meet the terms of the contract. Should the services of the Government Printing Office (GPO) be required, the contractor shall request to the Department of Education to requisition those, subject to the contractor's provision of a completed SF-1, Printing and Binding Requisition to the Public Printer. Payment to the GPO shall be made directly by the Department and charged to the Contract. H.2 COST ACCOUNTING STANDARDS APPLICATION (ED 307-11) (JUNE 1992) The contract clause entitled "Cost Accounting Standards" shall apply to any resulting contract, except as exempted under Section 9903.201-1(b) of 48 CFR (CAS) Chapter 99 or when the contract is eligible for modified coverage under Section 9903.201-2(b) of the same Regulation. The clause entitled "Disclosure and Consistency of Cost Accounting Practices" shall apply in the latter case. H.3 COST ACCOUNTING STANDARDS (FAR 52.230-2) (APR 1996) (a) Unless the contract is exempt under 48 CFR 9903.201-1 and 9903.201-2, the provisions of 48 CFR Part 9903 are incorporated herein by reference and the Contractor, in connection with this contract, shall-- (1) (CAS-covered Contracts Only) By submission of a Disclosure Statement, disclose in writing the Contractor's cost accounting practices as required by 48 CFR 9903.202-1 through 9903.202-5, including methods of distinguishing direct costs from indirect costs and the basis used for allocating indirect costs. The practices disclosed for this contract shall be the same as the practices currently disclosed and applied on all other contracts and subcontracts being performed by the Contractor and which contain a Cost Accounting Standards (CAS) clause. If the Contractor has notified the Contracting Officer that the Disclosure Statement contains trade secrets and commercial or financial information which is privileged and confidential, the Disclosure Statement shall be protected and shall not be released outside of the Government. (2) Follow consistently the Contractor's cost accounting practices in accumulating and reporting contract performance cost data concerning this contract. If any change in cost accounting practices is made for the purposes of any contract or subcontract subject to CAS requirements, the change must be applied prospectively to this Page 31 of 131 RFP-97-005 contract and the Disclosure Statement must be amended accordingly. If the contract price or cost allowance of this contract is affected by such changes, adjustment shall be made in accordance with subparagraph (a)(4) or (a)(5) of this clause, as appropriate. (3) Comply with all CAS, including any modifications and interpretations indicated thereto contained in 48 CFR Part 9904, in effect on the date of award of this contract or, if the Contractor has submitted cost or pricing data, on the date of final agreement on price as shown on the Contractor's signed certificate of current cost or pricing data. The Contractor shall also comply with any CAS (or modifications to CAS) which hereafter become applicable to a contract or subcontract of the Contractor. Such compliance shall be required prospectively from the date of applicability to such contract or subcontract. (4)(i) Agree to an equitable adjustment as provided in the Changes clause of this contract if the contract cost is affected by a change which, pursuant to subparagraph (a)(3) of this clause, the Contractor is required to make to the Contractor's established cost accounting practices. (ii) Negotiate with the Contracting Officer to determine the terms and conditions under which a change may be made to a cost accounting practice, other than a change made under other provisions of subparagraph (a)(4) of this clause; provided that no agreement may be made under this provision that will increase costs paid by the United States. (iii) When the parties agree to a change to a cost accounting practice, other than a change under subdivision (a)(4)(i) of this clause, negotiate an equitable adjustment as provided in the Changes clause of this contract. (5) Agree to an adjustment of the contract price or cost allowance, as appropriate, if the Contractor or a subcontractor fails to comply with an applicable Cost Accounting Standard, or to follow any cost accounting practice consistently and such failure results in any increased costs paid by the United States. Such adjustment shall provide for recovery of the increased costs to the United States, together with interest thereon computed at the annual rate established under section 6621 of the Internal Revenue Code of 1986 (26 U.S.C. 6621) for such period, from the time the payment by the United States was made to the time the adjustment is effected. In no case shall the Government recover costs greater than the increased cost to the Government, in the aggregate, on the relevant contracts subject to the price adjustment, unless the Contractor made a change in its cost accounting practices of which it was aware or should have been aware at the time of price negotiations and which it failed to disclose to the Government. (b) If the parties fail to agree whether the Contractor or a subcontractor has complied with an applicable CAS in 48 CFR 9904 or a CAS rule or regulation in 48 CFR 9903 and as to any cost adjustment demanded by the United States, such failure to agree will constitute a dispute under the Contract Disputes Act (41 U.S.C. Page 32 of 131 RFP-97-005 601). (c) The Contractor shall permit any authorized representatives of the Government to examine and make copies of any documents, papers, or records relating to compliance with the requirements of this clause. (d) The Contractor shall include in all negotiated subcontracts which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts, of any tier, including the obligation to comply with all CAS in effect on the subcontractor's award date or if the subcontractor has submitted cost or pricing data, on the date of final agreement on price as shown on the subcontractor's signed Certificate of Current Cost or Pricing Data. This requirement shall apply only to negotiated subcontracts in excess of $500,000 where the price negotiated is not based on-- (1) Established catalog or market prices of commercial items sold in substantial quantities to the general public; or (2) Prices set by law or regulation, and except that the requirement shall not apply to negotiated subcontracts otherwise exempt from the requirement to include a CAS clause as specified in 48 CFR 9903.201-1. (End of clause) H.4 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES (FAR 52.230-3) (APR 1996) (a) The Contractor, in connection with this contract, shall- (1) Comply with the requirements of 48 CFR, Subpart 9904.401, Consistency in Estimating, Accumulating, and Reporting Costs, and 48 CFR, Subpart 9904.402, Consistency in Allocating Costs Incurred for the Same Purpose; 48CFR subpart 9904.405, Accounting for Unallowable Costs; and 48 CFR subpart 9904.406, Cost Accounting Standard-Cost Accounting Period, in effect on the date of award of this contract as indicated in 48 CFR part 9904. (2) (CAS-covered Contracts Only) If it is a business unit of a company required to submit a Disclosure Statement, disclose in writing its cost accounting practices as required by 48 CFR, Subparts 9903.202-1 through 9903.202-5. If the Contractor has notified the Contracting Officer that the Disclosure Statement contains trade secrets and commercial or financial information which is privileged and confidential, the Disclosure Statement shall be protected and shall not be released outside of the Government. (3)(i) Follow consistently the Contractor's cost accounting practices. A change to such practices may be proposed, however, by either the Government or the Contractor, and the Contractor agrees to negotiate with the Contracting Officer the Page 33 of 131 RFP-97-005 terms and conditions under which a change may be made. After the terms and conditions under which the change is to be made have been agreed to, the change must be applied prospectively to this contract, and the Disclosure Statement, if affected, must be amended accordingly. (ii) The Contractor shall, when the parties agree to a change to a cost accounting practice and the Contracting Officer has made the finding required in 48 CFR, Subpart 9903.201-6(b), that the change is desirable and not detrimental to the interests of the Government, negotiate an equitable adjustment as provided in the Changes clause of this contract. In the absence of the required finding, no agreement may be made under this contract clause that will increase costs paid by the United States. (4) Agree to an adjustment of the contract price or cost allowance, as appropriate, if the Contractor or a subcontractor fails to comply with the applicable CAS or to follow any cost accounting practice, and such failure results in any increased costs paid by the United States. Such adjustment shall provide for recovery of the increased costs to the United States together with interest thereon computed at the annual rate of interest established under the Internal Revenue Code of 1986 (26 U.S.C. 6621), from the time the payment by the United States was made to the time the adjustment is effected. (b) If the parties fail to agree whether the Contractor has complied with an applicable CAS, rule, or regulation as specified in 48 CFR, parts 9903 and 9904 and as to any cost adjustment demanded by the United States, such failure to agree will constitute a dispute under the Contract Disputes Act (41 U.S.C. 601). (c) The Contractor shall permit any authorized representatives of the Government to examine and make copies of any documents, papers, and records relating to compliance with the requirements of this clause. (d) The Contractor shall include in all negotiated subcontracts, which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts of any tier, except that- (1) If the subcontract is awarded to a business unit which pursuant to 48 CFR, Subpart 9903.201 is required to follow all CAS, the clause entitled "Cost Accounting Standards" set forth in FAR 52.230-2, shall be inserted in lieu of this clause; or (2) This requirement shall apply only to negotiated subcontracts in excess of $500,000 where the price negotiated is not based on- (i) Established catalog or market prices of commercial items sold in substantial quantities to the general public; or (ii) Price set by law or regulation; or Page 34 of 131 RFP-97-005 (3) The requirement shall not apply to negotiated subcontracts otherwise exempt from the requirement to include a CAS clause as specified in 48 CFR, Subpart 9903.201-1. (End of clause) H.5 ADMINISTRATION OF COST ACCOUNTING STANDARDS (FAR 52.230-6) (APR 1996) For the purpose of administering the Cost Accounting Standards (CAS) requirements under this contract, the Contractor shall take the steps outlined in paragraphs (a) through (g) of this clause: (a) Submit to the Contracting Officer a description of any cost accounting practice change, the total potential impact of the change on contracts containing a CAS clause, and a general dollar magnitude of the change which identifies the potential shift of costs between CAS-covered contracts by contract type (i.e., firm fixed-price, incentive, cost-plus- fixed fee, etc.) and other contractor business activity. As related to CAS-covered contracts, the analysis should identify the potential impact on funds of the various Agencies/Departments (i.e., Department of Energy, National Aeronautics and Space Administration, Army, Navy, Air Force, other Department of Defense, other Government) as follows: (1) For any change in cost accounting practices required to comply with a new or modified CAS in accordance with subparagraph (a)(3) and subdivision (a)(4)(i) of the clause at FAR 52.230-2, Cost Accounting Standards, within 60 days (or such other date as may be mutually agreed to) after award of a contract requiring this change. (2) For any change in cost accounting practices proposed in accordance with subdivision (a)(4)(ii) or (iii) of the clause at FAR 52.230-2, Cost Accounting Standards, or with subparagraph (a)(3) of the clause at FAR 52.230-3, Disclosure and Consistency of Cost Accounting Practices, not less than 60 days (or such other date as may be mutually agreed to) before the effective date of the proposed change. (3) For any failure to comply with an applicable CAS or to follow a disclosed practice (as contemplated by subparagraph (a)(5) at FAR 52.230- 2, Cost Accounting Standards, or by subparagraph (a)(4) at FAR 52.230-3, Disclosure and Consistency of Cost Accounting Practice): (i) Within 60 days (or such other date as may be mutually agreed to) after the date of agreement with the initial finding of noncompliance, or (ii) In the event of Contractor disagreement with the initial finding of noncompliance, within 60 days of the date the Contractor is notified by the Contracting Officer of the determination of noncompliance. Page 35 of 131 RFP-97-005 (b) After an ACO determination of materiality, submit a cost impact proposal in the form and manner specified by the Contracting Officer within 60 days (or such other date as may be mutually agreed to) after the date of determination of the adequacy and compliance of a change submitted pursuant to paragraph (a) of this clause. The cost impact proposal shall be in sufficient detail to permit evaluation, determination, and negotiation of the cost impact upon each separate CAS-covered contract and subcontract. (1) Cost impact proposals submitted for changes in cost accounting practices required to comply with a new CAS in accordance with subparagraph (a)(3) and subdivision (a)(4)(i) of the clause at FAR 52.230- 2, Cost Accounting Standards, shall identify the applicable standard and all contracts and subcontracts containing the clause in this contract entitled Cost Accounting Standards, which have an award date before the effective date of that standard. (2) Cost impact proposals submitted for any change in cost accounting practices proposed in accordance with subdivisions (a)(4)(ii) or (iii) of the clause at 52.230-2, Cost Accounting Standards, or with subparagraph (a)(3) of the clause at FAR 52.230-3, Disclosure and Consistency of Cost Accounting Practices, shall identify all contracts and subcontracts containing the clause at FAR 52.230-2, Cost Accounting Standards, and FAR 52.2303, Disclosure and Consistency of Cost Accounting Practices. (3) Cost impact proposals submitted for failure to comply with an applicable CAS or to follow a disclosed practice as contemplated by subparagraph (a)(5) of the clause at FAR 52.230-2, Cost Accounting Standards, or by subparagraph (a)(4) of the clause at FAR 52.230-3, Disclosure and Consistency of Cost Accounting Practices, shall identify the cost impact on each separate CAS covered contract from the date of failure to comply until the noncompliance is corrected. (c) If the submissions required by paragraphs (a) and (b) of this clause are not submitted within the specified time, or any extension granted by the Contracting Officer, an amount not to exceed 10 percent of each subsequent amount determined payable related to the Contractor's CAS- covered prime contracts, up to the estimated general dollar magnitude of the cost impact, may be withheld until such time as the required submission has been provided in the form and manner specified by the Contracting Officer. (d) Agree to appropriate contract and subcontract amendments to reflect adjustments established in accordance with subparagraphs (a)(4) and (a)(5) of the CAS clause at FAR 52.230-2 or with subparagraphs (a)(3) or (a)(4) of the Disclosure and Consistency of Cost Accounting Practices clause at FAR 52.230-3. (e) For all subcontracts subject either to the CAS clause or to the Disclosure and Consistency of Cost Accounting Practices clause- (1) So state in the body of the subcontract, in the letter of award, or in both (self-deleting clauses shall not be used); and Page 36 of 131 RFP-97-005 (2) Include the substance of this clause in all negotiated subcontracts. In addition, within 30 days after award of the subcontract, submit the following information to the Contractor's cognizant contract administration office for transmittal to the contract administrative office cognizant of the subcontractor's facility: (i) Subcontractor's name and subcontract number. (ii) Dollar amount and date of award. (iii) Name of Contractor making the award. (iv) Any changes the subcontractor has made or proposes to make to cost accounting practices that affect prime contracts or subcontracts containing the CAS clause or Disclosure and Consistency of Cost Accounting Practices clause, unless these changes have already been reported. If award of the subcontract results in making one or more CAS effective for the first time, this fact shall also be reported. (f) Notify the Contracting Officer in writing of any adjustments required to subcontracts under this contract and agree to an adjustment, based on them, to this contract price or estimated cost and fee. This notice is due within 30 days after proposed subcontract adjustments are received and shall include a proposal for adjusting the higher tier subcontract or the prime contract appropriately. (g) For subcontracts containing the CAS clause, require the subcontractor to comply with all Standards in effect on the date of award or of final agreement on price, as shown on the subcontractor's signed Certificate of Current Cost or Pricing Data, whichever is earlier. (End of clause) H.6 ORDER OF PRECEDENCE (SOLICITATION) (ED 307-1) (NOVEMBER 1986) Any inconsistency in this solicitation shall be resolved by giving precedence in the following order: (a) the Schedule (excluding the work statement or specification), (b) representations and other instructions, (c) contract clauses (Section I) (d) any incorporated documents, exhibits, or attachments, excluding the work statement or specifications, and (e) work statement or specifications. Page 37 of 131 RFP-97-005 H.7 DUAL COMPENSATION (ED 307-3) (MAR 1985) If a project staff member, subcontractor, or consultant is involved in two or more projects, at least one of which is supported by Federal funds, he/she may not be compensated for more than 100 percent of his/her time during any part of the period of dual involvement. That is, an individual is prohibited from receiving double payment for any given period of work. H.8 PAYMENT OF TRAVEL EXPENSES AND FEES FOR ED EMPLOYEES (ED 307-5) (MAR 1985) The Contractor shall not use any contract funds, or funds from other sources, to pay the travel expenses of, or a fee to, ED employees for lectures, attending program functions, or any other activities in connection with this contract. H.9 PROHIBITION OF DISCRIMINATION AGAINST INDIVIDUALS WITH DISABILITIES (ED 301-20) (FEB 1995) The contractor shall comply with all applicable requirements of the Americans with Disabilities Act of 1990 including Section 302, which provides that: "No individual shall be discriminated against on the basis of disability in the full and equal enjoyment of the goods, services, facilities, privileges, advantages, or accommodations of any place of public accommodation by any person who owns, leases (or leases to), or operates a place of public accommodation." Failure to comply with the Americans with Disabilities Act of 1990, as amended, shall be considered a failure to comply with the terms of this contract. H.10 REQUIRED SUBMISSION OF INFORMATION FOR PAYMENT BY ELECTRONIC FUNDS TRANSFER (ED 307-30) (SEP 1996) A. FAR clause 52.232-33, Mandatory Information of Electronic Funds Transfer Payments, requires that contractors submit to the payment office information needed for payment by EFT. 1. If the contractor is already enrolled in the Vendor Express program and is receiving payments from ED through EFT, the contractor shall notify the Contracting Officer of its Vendor Express number and enter it on all invoices submitted for payment under this contract. 2. If the contractor is already enrolled in the Vendor Express program and receiving payments through EFT but not from ED, Page 38 of 131 RFP-97-005 the contractor shall send a copy of its original Vendor Express enrollment Proof Letter to: Bernice Byrd U.S. Department of Education Program Management & Reporting Unit 600 Independence Ave., SW, Room 3365 Washington, D.C. 20202 Or fax to: (202) 40l-l624 (For confirmation of receipt call: (202) 40l-0995.) The contractor shall promptly notify the Contracting Officer that one copy of its Proof Letter has been sent to the address above. 3. If the contractor is not currently enrolled in Vendor Express, the contractor shall call the National Finance Center (NFC) Inquiry line at l-800-42l-0323, Miscellaneous Payments Section, or Lea Lang at 504-255-3327, to request a Vendor Express application package including enrollment form SF 388l with an assigned Vendor Express number indicated in block 8, Additional Information. The contractor must follow the NFC enrollment instructions and send the completed form back to: USDA/NFC P.O. Box 60,000 Tano Building New Orleans, LA 70l60 NFC will send a Prenotifiction Letter of enrollment to the contractor's financial institution indicated in the financial institution information blocks of the SF 388l. NFC will also send a "test" entry of payment for zero dollars to the financial institution requesting verification of the contractor's account information. The financial institution must return the completed Prenotification Letter with verification of the successful "test" entry to NFC within three work days. The contractor will receive a Proof Letter from NFC indicating that the account is now active and that NFC is now able to implement payments using Vendor Express. The contractor shall promptly send a copy of its Proof Letter to the address in paragraph 2 above and notify the Contracting Officer. B. Contractors can call NFC Inquiry at the 800 number in A.3. to confirm that their account has been properly activated to receive payments through EFT. Contractors who have already submitted the required SF 388l Enrollment form to NFC and have NOT received a Proof Letter, must call NFC Inquiry line to follow up on their enrollment status. Page 39 of 131 RFP-97-005 H.11 MANDATORY INFORMATION FOR ELECTRONIC FUNDS TRANSFER PAYMENT (FAR 52.232-33) (AUG 1996) (a) Method of payment. Payments by the Government under this contract, including invoice and contract financing payments, may be made by check or electronic funds transfer (EFT) at the option of the Government. If payment is made by EFT, the Government may, at its option, also forward the associated payment information by electronic transfer. As used in this clause, the term "EFT" refers to the funds transfer and may also include the information transfer. (b) Mandatory submission of Contractor's EFT information. (l) The Contractor is required, as a condition to any payment under this contract, to provide the Government with the information required to make payment by EFT as described in paragraph (d) of this clause, unless the payment office determines that submission of the information is not required. However, until January l, 1999, in the event the Contractor certifies in writing to the payment office that the Contractor does not have an account with a financial institution or an authorized payment agent, payment shall be made by other than EFT. For any payments to be made after January l, 1999, the Contractor shall provide EFT information as described in paragraph (d) of this clause. (2) If the Contractor provides EFT information, applicable to multiple contracts, the Contractor shall specifically state the applicability of this EFT information in terms acceptable to the payment office. (c) Contractor's EFT information. Prior to submission of the first request for payment (whether for invoice or contract financing payment) under this contract, the Contractor shall provide the information required to make contract payment by EFT, as described in paragraph (d) of this clause, directly to the Government payment office named in this contract. If more than one payment office is named for the contract, the Contractor shall provide a separate notice to each office. In the event that the EFT information changes, the Contractor shall be responsible for providing the changed information to the designated payment office(s). (d) Required EFT information. The Government may make payment by EFT through either an Automated Clearing House (ACH) subject to the banking laws of the United States or the Federal Reserve Wire Transfer System at the Government's option. The Contractor shall provide the following information for both methods in a form acceptable to the designated payment office. The Contractor may supply this data for this or multiple contracts (see paragraph (b) of this clause). (l) The contract number to which this notice applies. (2) The Contractor's name and remittance address, as stated in the contract, and the contract number at the Contractor's financial agent. Page 40 of 131 RFP-97-005 (3) The signature (manual or electronic, as appropriate), title, and telephone number of the Contractor official authorized to provide this information. (4) For ACH payments only: (i) Name, address, and 9-digit Routing Transit Number of the Contractor's financial agent. (ii) Contractor's account number and the type of account (checking, saving, or lockbox). (5) For Federal Reserve Wire Transfer System payments only: (i) Name, address, telegraphic abbreviation, and the 9-digit Routing Transit Number for the Contractor's financial agent. (ii) If the Contractor's financial agent is not directly on-line to the Federal Reserve Wire Transfer System and, therefore, not the receiver of the wire transfer payment, the Contractor shall also provide the name, address, and 9-digit Routing Transit Number of the correspondent financial institution receiving the wire transfer payment. (e) Suspension of payment. (l) Notwithstanding the provisions of any other clause of this contract, the Government is not required to make any payment under this contract until after receipt, by the designated payment office, of the correct EFT payment information from the Contractor or a certificate submitted in accordance with paragraph (b) of this clause. Until receipt of the correct EFT information, any invoice or contract shall be deemed not to be a valid invoice or contract financing request as defined in the Prompt Payment clause of this contract. (2) If the EFT information changes after submission of correct EFT information, the Government shall begin using the changed EFT information no later than the 30th day after its receipt to the extent payment is made by EFT. However, the Contractor may request that no further payments be made until the changed EFT information is implemented by the payment office. If such suspension would result in a late payment under the Prompt Payment clause of this contract, the Contractor's request for suspension shall extend the due date for payment by the number of days of the suspension. (f) Contractor EFT arrangements. The Contractor shall designate a single financial agent capable of receiving and processing the electronic funds transfer using the EFT methods described in paragraph (d) of this clause. The Contractor shall pay all fees and charges for receipt and processing of transfers. (g) Liability for uncompleted or erroneous transfers. (l) If an uncompleted or erroneous transfer occurs because the Government failed to use the Contractor-provided EFT information in the correct manner, the Government remains responsible for (i) making a correct payment, (ii) paying any prompt payment penalty due, and (iii) Page 41 of 131 RFP-97-005 recovering any erroneously directed funds. (2) If an uncompleted or erroneous transfer occurs because Government-provided EFT information was incorrect at the time of Government release of the EFT payment transaction instruction to the Federal Reserve System, and -- (i) If the funds are no longer under the control of the payment office, the Government is deemed to have made payment and the Contractor is responsible for recovery of any erroneously directed funds; or (ii) If the funds remain under the control of the payment office, the Government retains the right to either make payment by mail or suspend the payment in accordance with paragraph (e) of this clause. (h) EFT and prompt payment. (l) A payment shall be deemed to have been made in a timely manner in accordance with the Prompt Payment clause of this contract if, in the EFT payment transaction instruction given to the Federal Reserve System, the date specified for settlement of the payment is on or before the prompt payment due date, provided the specified payment date is a valid date under the rules of the Federal Reserve System. (2) When payment cannot be made by EFT because of incorrect EFT information provided by the Contractor, no interest penalty is due after the date of the uncompleted or erroneous payment transaction, provided that notice of the defective EFT information is issued to the Contractor within 7 days after the Government is notified of the defective EFT information. (i) EFT and assignment of claims. If the Contractor assigns the proceeds of this contract as provided for in the Assignment of Claims clause of this contract, the assignee shall provide the assignee EFT information required by paragraph (d) of this clause. In all respects, the requirements of this clause shall apply to the assignee as if it were the Contractor. EFT information which shows the ultimate recipient of the transfer to be other than the Contractor, in the absence of a proper assignment of claims acceptable to the Government, is incorrect EFT information within the meaning of paragraph (e) of this clause. (j) Payment office discretion. If the Contractor does not wish to receive payment by EFT methods for one or more payments, the Contractor may submit a request to the designated payment office to refrain from requiring EFT information or using the EFT payment method. The decision to grant the request is solely that of the Government. (k) Change of EFT information by financial agent. The Contractor agrees that the Contractor's financial agent may notify the Government of a change to the routing transit number, Contractor account number, or account type. The Government shall use the changed data in accordance with paragraph (e)(2) of this clause. The Contractor agrees that the information provided by the agent is Page 42 of 131 RFP-97-005 deemed to be correct information as if it were provided by the Contractor. The Contractor agrees that the agent's notice of changed EFT data is deemed to be a request by the Contractor in accordance with paragraph (e)(2) that no further payments be made until the changed EFT information is implemented by the payment office. (End of Clause) H.12 AUDIO-VISUAL PRODUCTION (ED 307-7) (AUG 1992) Except as provided below, neither the development or production of any publication or audiovisual product is authorized. In the event that this subsequently becomes a contract requirement (expressed or implied) to develop or produce any publication or audiovisual, approval must be obtained from the ED Publication Review Board (PRB). No funds shall be expended until approval is given in writing by the Contracting Officer. Contractor should plan at least 60 days for clearance. Excessive delay caused by the Government which 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 provision. The following items are excepted from PRB approval: 1. Up to 50 copies of progress and final reports. Consult with your Contracting Officer. Do not expend funds on development or production. Except as may be provided elsewhere, contractor may develop and produce at its own expense, results of work under this contract (see Publication and Publicity). All publications and audiovisuals that offeror intends to develop or produce will require approval. Early identification is advised. H.13 AUTOMATED DATA PROCESSING (ADP) SYSTEM SECURITY REQUIREMENTS (ED 307-13) (MARCH 1995) The Contractor and its subcontractors shall comply with the ADP System Security requirements set forth in: A. The Statement of Work of this contract; B. The Privacy Act of 1974 (P.L. 93-579, U.S.C. 552a); and Page 43 of 131 RFP-97-005 C. The U.S. Department of Education, Information Technology Security Manual, Handbook Number 6; including -- Contractors may also consider the use of the Department's Contractor Self-Certification Program (CSCP) for Personnel with Low Risk ADP- Related Responsibilities. This program is applicable only to those employees whose duties have been designated as "Low Risk" by the government and is designed to allow a contractor to "self-certify" the trustworthiness of its employees, in lieu of the government- required investigative process. More detailed information about the CSCP is set forth in the handbook entitled, "Information Technology Security Program" Contractor Self-Certification Program for Personnel with Low Risk ADP-Related Responsibilities." The Contractors may arrange to review copies of the above referenced documents by contacting the Contract Specialist at telephone number 202/708-9774. The Contractor shall include this provision in any subcontract(s) awarded pursuant to this contract. H.14 ORGANIZATIONAL CONFLICTS OF INTEREST (ED 307-17) (APR 1984) (A) The Contractor warrants that, to the best of the Contractor's knowledge and belief, there are no relevant facts or circumstances which could give rise to an organizational conflict of interest, as defined in FAR Subpart 9.5, or that the Contractor has disclosed all such relevant information. (B) The Contractor agrees that if an actual or potential organizational conflict of interest is discovered after award, the Contractor will make a full disclosure in writing to the Contracting Officer. This disclosure shall include a description of actions which the Contractor has taken or proposes to take, after consultation with the Contracting Officer, to avoid, mitigate, or neutralize the actual or potential conflict. (C) Remedies - The Government may terminate this contract for convenience, in whole or in part, if it deems such termination necessary to avoid an organizational conflict of interest. If the Contractor was aware of a potential organizational 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. (D) The Contractor further agrees to insert in any subcontract or consultant agreement hereunder, provisions which shall conform substantially to the language of this clause, including this paragraph (D). H.15 CONTINUITY OF SERVICES (FAR 52.237-3) (JANUARY 1991) (a) The Contractor recognizes that the services under this contract Page 44 of 131 RFP-97-005 are vital to the Government and must be continued without interruption and that, upon contract expiration, a successor, either the Government or another Contractor, may continue them. The Contractor agrees to (1) furnish phase-in training and (2) exercise its best effort and cooperation to effect an orderly and efficient transition to a successor. (b) The Contractor shall, upon the Contracting Officer's written notice, (1) furnish phase-in, phase-out services for up to 90 days after this contract expires and (2) negotiate in good faith a plan with a successor to determine the nature and extent of phase-in and phase-out service required. The plan shall specify a training program and a date for transferring responsibilities for each division of work described in the plan, and shall be subject to the Contracting Officer's approval. The Contractor shall provide sufficient experienced personnel during the phase-in, phase-out period to ensure that the services called for by this contract are maintained at the required level of proficiency. (c) The Contractor shall allow as many personnel as practicable to remain on the job to help the successor maintain the continuity and consistency of the services required by this contract. The Contractor also shall disclose necessary personnel records and allow the successor to conduct onsite interviews with these employees. If selected employees are agreeable to the change, the Contractor shall release them at a mutually agreeable date and negotiate transfer of their earned fringe benefits to the successor. (d) The Contractor shall be reimbursed for all reasonable phase-in, phase-out costs (i.e., costs incurred within the agreed period after contract expiration that results from phase-in, phase-out operations) and a fee (profit) not to exceed a pro rata portion of the fee (profit) under this contract. H.16 OPTION TO EXTEND THE TERM OF THE CONTRACT (a) The Government may extend the term of this contract by written notice to the Contractor within 30 days of the contract experation; provided, that the Government shall give the a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does commit the Government to an extension. (b) If the Government exercises this option, the extended contract shall be considered to include this option provision. (c) The total duration of this contract, including the of any options under this clause, shall not exceed 60 months. (d) The Option Periods will be as follows: Option Start Date End Date (after Award) (after Award) Page 45 of 131 RFP-97-005 I 13 months 24 months II 25 months 36 months III 37 months 48 months IV 49 months 60 months Page 46 of 131 RFP-97-005 PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE-ALTERNATE I (FAR 52.252-2) (JUN 1988) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I.2 CLAUSES FOR A COST-PLUS-FIXED-FEE CONTRACT (MATRIX-A) (FEB 1997) I.2.1 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES FAR Clause No. Title and Date (The following clauses shall apply to all contracts except Research and Development.) 52.203-6 Restrictions on Subcontractor Sales to the Government (JUL 1995) 52.203-7 Anti-Kickback Procedures (JUL 1995) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (SEPT 1990) (The following clauses shall apply to all contracts in excess of $100,000.) 52.203-3 Gratuities (APR 1984) 52.203-5 Covenant Against Contingent Fees (APR 1984) 52.204-4 Printing/Copying Double-Sided on Recycled (JUN 1996) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (JAN 1997) 52.203-12 Limitation on Payments to Influence Certain Federal Transactions (JAN 1990) 52.207-3 Right of First Refusal of Employment (NOV 1991) 52.209-6 Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (JUL 1995) 52.215-2 Audit and Records--Negotiation (AUG 1996) 52.242-15 Stop-Work Order - Alternate I (APR 1984) 52.247-63 Preference for U.S. Flag Air Carriers (JAN 1997) Page 47 of 131 RFP-97-005 (The following clauses shall apply when Cost or Pricing Data is required or if the total life amount of the contract is greater than $500,000.) 52.215-22 Price Reduction for Defective Cost or Pricing Data (OCT 1995) 52.215-24 Subcontractor Cost or Pricing Data (OCT 1995) (The following clauses shall apply to contracts exceeding $3,000,000 when cost and pricing data is required for the procurement.) 52.215-23 Price Reduction for Defective Cost or Pricing Data - Modifications (OCT 1995) 52.215-25 Subcontractor Cost or Pricing Data - Modifications (OCT l995) (The following clause shall apply when prescribed under FAR subpart 15.812-2(a). The alternate provision shall additionally apply when prescribed under 15.812-2(b). 52.215-26 Integrity of Unit Prices (FEB 1997) (The following clause shall apply if prescribed in FAR 15.804-8(e).) 52.215-27 Termination of Defined Benefit Pension Plans (SEPT 1989) (The following clause shall apply if the contractor did not propose facilities capital cost of money in its offer.) 52.215-31 Waiver of Facilities Capital Cost of Money (SEPT 1987) (The following clauses shall apply to Contracts when Cost and Pricing Data is required or to which cost determinations will be subject to FAR subpart 31.2, Commerical Organizations. 52.215-39 Reversion of Adjustment of Plans for Postretirement Benefits Other than Pensions (PRB) (FEB 1995) 52.215-40 Notification of Ownership Changes (FEB 1995) 52.216-7 Allowable Cost and Payment (FEB 1997) 52.216-8 Fixed Fee (FEB 1997) 52.219-8 Utilization of Small, Small Disadvantaged & Women-Owned Small Business Concerns (FEB 1997) (The following clauses shall apply as prescribed under FAR subparts 19.508(e) and 19.708(b).) 52.219-9 Small, Small Disadvantaged & Women-Owned Small Business Subcontracting Plan (AUG 1996) 52.219-13 Utilization of Women-Owned Small Page 48 of 131 RFP-97-005 Businesses (AUG 1986) 52.219-14 Limitation on Subcontracting (DEC 1996) (The following clauses shall apply to all contracts which include the clause FAR 52.219-9, Small Business and Small Disadvantaged Business Subcontracting Plan.) 52.219-16 Liquidated Damages-Subcontracting Plan (OCT 1995) 52.220-3 Utilization of Labor Surplus Area Concerns (APR 1984) (The following clause shall apply to all cost reimbursement contracts in excess of $100,000.) 52.222-2 Payment of Overtime Premiums (JUL 1990) (The following clause shall be exempted from application under FAR provisions 52.222-3(a) through (c).) 52.222-3 Convict Labor (AUG 1996) (The following clause shall apply when prescribed under FAR subpart 22.305.) 52.222-4 Contract Work Hours and Safety Standards Act-- Overtime Compensation (JUL 1995) (The following clauses shall apply when prescribed under FAR subpart 22.6.) 52.222-20 Walsh-Healy Public Contracts Act (DEC 1996) 52.222-26 Equal Opportunity (APR 1984) (The following clauses shall apply to all RFPs and Contracts with a life aggregate amount over $1,000,000.) 52.222-28 Equal Opportunity Pre-Award Clearance of Subcontract (APR 1984) 52.222-35 Affirmative Action for Special Disabled and Vietnam Era Veterans (APR 1984) 52.222-36 Affirmative Action for Handicapped Workers (APR 1984) (Note: The reports required by the following clause shall be submitted to OASVET (VETS-100); U.S. Department of Labor; 200 Constitution Avenue, NW; Washington D.C. 20210.) 52.222-37 Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era (JAN 1988) (The two following clauses shall only apply to contracts to which the Service Contract Act is applicable.) 52.222-41 Service Contract Act of 1965, as Amended (MAY 1989) Page 49 of 131 RFP-97-005 52.222-42 Statement of Equivalent Rates for Federal Hires (MAY 1989) (Note: List of equivalent rates, if applicable, will be given in attachment.) 52.223-2 Clean Air and Water (Over $100,000) (APR 1984) (The following clauses shall apply to (a) any contract awarded to an individual -- ie., a contractor having no more than one employee including the contractor -- or (b) any contract of $25,000 or more, unless excepted under the provisions of FAR 23.505 (b) (1) (3).) 52.223-6 Drug Free Workplace (JUL 1990) 52.223-14 Toxic Chemical Release Reporting (OCT 1995) 52.225-3 Buy American Act - Supplies (JAN 1989) 52.225-11 Restrictions on Certain Foreign Purchases (MAY 1992) (The following clause shall apply to all but specified research and development contracts.) 52.227-1 Authorization and Consent (JUL 1995) (The following clauses shall apply to only specified research and development contracts.) 52.227-1 Authorization and Consent - Alternate I (APR 1984) 52.227-2 Notice and Assistance Regarding Patent and Copyright Infringement (AUG 1996) 52.227-14 Rights in Data -- General (June 1987) Alternate I (June 1987) Alternate II (June 1987) Alternate III (June 1987) Alternate IV (June 1987) Alternate V (June 1987) (Alternate IV shall only apply to contracts for basic or applied research -- other than those for management or operation of Government facilities or where international agreements require otherwise -- to be performed soley by universities and colleges.) 52.227-16 Additional Data Requirements (JUNE 1987) 52.227-23 Rights to Proposal Data (Technical) (JUNE 1987) (The following clause applies except for construction and architect-engineer services or unless otherwise formally waived by the federal contract office.) 52.228-7 Insurance-Liability to Third Persons (APR 1984) 52.232-9 Limitation on Withholding of Payments (APR 1984) Page 50 of 131 RFP-97-005 52.232-17 Interest (JUN 1996) 52.232-20 Limitation of Cost (APR 1984) (Applicable if contract is fully funded.) 52.232-22 Limitation of Funds (APR 1984) (Applicable if contract is incrementally funded.) 52.232-23 Assignment of Claims (JAN 1986) 52.233-1 Disputes (OCT 1995) 52.233-3 Protest After Award (OCT 1995) 52.242-1 Notice of Intent to Disallow Costs (AUG 1987) 52.242-13 Bankruptcy (JUL 1995) 52.243-2 Changes - Cost-Reimbursement (AUG 1987) Alternate V (APR 1984) 52.244-2 Subcontracts Under Cost-Reimbursement and Letter Contracts (FEB 1997) 52.244-5 Competition in Subcontracting (DEC 1996) 52.245-5 Government Property (Cost-Reimbursement, Time-and-Material, or Labor-Hour Contract) (DEC 1992) (The following clause shall apply to contracts for services.) 52.246-5 Inspection of Services - Cost Reimbursement (APR 1984) 52.246-25 Limitation of Liability - Services (FEB 1997) (The following clause shall apply to Research and Development contracts.) 52.246-8 Inspection of Research and Development - Cost Reimbursement (APR 1984) 52.246-23 Limitation of Liabilities for Supplies (FEB 1997) (The following clause shall apply if designated.) 52.247-29 F.O.B. Origin (JUN 1988) (The following clause shall apply if designated.) 52.247-34 F.O.B. Destination (APR 1984) 52.249-6 Termination (Cost-Reimbursement) (SEP 1996) 52.249-14 Excusable Delays (APR 1984) 52.253-1 Computer Generated Forms (JAN 1991) 52.232-25 Prompt Payment (MAR 1994) 52.248-1 Value Engineering (MARCH 1989) Alternate III (APRIL 1984) Page 51 of 131 RFP-97-005 I.2.2 DEPARTMENT OF EDUCATION ACQUISTION REGULATION (EDAR) (48 CFR CHAPTER 34) CLAUSES EDAR Clause No. Title and Date 3452.202-1 Definitions (AUGUST 1987) 3452.208-70 Printing (AUGUST 1987) 3452.227-70 Publication and Publicity (AUGUST 1987) 3452.227-71 Paperwork Reduction Act (AUGUST 1987) 3452.227-72 Advertising of Awards (AUGUST 1987) 3452.228-70 Required Insurance (AUGUST 1987) 3452.237-71 Services of Consultants (AUGUST 1987) 3452.242-70 Litigation and Claims (AUGUST 1987) 3452.242-71 Notice to the Government of Delays (AUGUST 1987) 3452.242-72 Withholding of Contract Payments (AUGUST 1987) 3452.242-73 Accessibility of Meetings, Conferences, and Seminars to Persons with Disabilities (AUGUST 1987) 3452.243-70 Key Personnel (AUGUST 1987) 3452.247-70 Foreign Travel (AUGUST 1987) I.3 CLAUSES FOR A COST REIMBURSEMENT CONTRACT WITH NONPROFIT, BUT OTHER THAN EDUCATIONAL, INSTITUTION (MATRIX-B) (FEB 1997) I.3.1 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES FAR Clause No. Title and Date (The following clauses shall apply to all contracts except Research and Development.) 52.203-6 Restrictions on Subcontractor Sales to the Government (JUL 1995) 52.203-7 Anti-Kickback Procedures (JUL 1995) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (SEPT 1990) (The following clauses shall apply to all contracts in excess of $100,000.) 52.203-3 Gratuities (APR 1984) 52.203-5 Covenant Against Contingent Fees (APR 1984) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (JAN 1997) 52.203-12 Limitation on Payments to Influence Certain Federal Transactions (JAN 1990) 52.204-4 Printing/Copying Double-Sided on Recycled Paper (JUN l996) Page 52 of 131 RFP-97-005 52.207-3 Right of First Refusal of Employment (NOV 1991) 52.209-6 Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (JUL 1995) 52.242-15 Stop Work Order (APR 1984) 52.247-63 Preference for U.S.-Flag Air Carriers (JAN 1997) (The following clauses shall apply when prescribed under FAR subpart 15.812-2(a). The alternate provision shall additionally apply when prescribed under 15.812-2(b).) 52.215-2 Audit and Records--Negotiation (AUG 1996) (The following clauses shall apply when Cost or Pricing Data is required or if the total life amount of the contract is greater than $500,000.) 52.215-22 Price Reduction for Defective Cost or Pricing Data (OCT 1995) 52.215-24 Subcontractor Cost or Pricing Data (OCT 1995) (The following clauses shall apply to contracts exceeding $3,000,000 when cost and pricing data is required for the procurement.) 52.215-23 Price Reduction for Defective Cost or Pricing Data - Modifications (OCT 1995) 52.215-25 Subcontractor Cost or Pricing Data - Modifications (OCT l995) (The following clause shall apply when prescribed under FAR subpart 15.812-2(a). The alternate provision shall additionally apply when prescribed under 15.812-2(b).) 52.215-26 Integrity of Unit Prices (FEB 1997) (The following clause shall apply if prescribed in FAR 15.804-8(e).) 52.215-27 Termination of Defined Benefit Pension Plans (SEPT 1989) (The following clause shall apply if the contractor did not propose facilities capital cost of money in its offer.) 52.215-31 Waiver of Facilities Capital Cost of Money (SEPT 1987) (The following clauses shall apply to Contracts when Cost and Pricing Data is required and to cost determinations subject to FAR subpart 31.2, Commercial Organizations.) 52.215-39 Reversion or Adjustment of Plans for Page 53 of 131 RFP-97-005 Postretirement Benefits Other Than Pensions (PRB) (JUL 1991) 52.216-7 Allowable Cost and Payment (FEB 1997) 52.216-8 Fixed Fee (FEB 1997) 52.219-8 Utilization of Small, Small Disadvantaged & Women-Owned Small Business Concerns (OCT 1995) (The following clauses shall apply as prescribed under FAR subpart 19.708(b), including exemption of application to 8(a) and other small businesses.) 52.219-9 Small, Small Disadvantaged & Women-Owned Small Business Subcontracting Plan (AUG 1996) 52.219-13 Utilization of Women-Owned Small Businesses (AUG 1986) (The following clauses shall apply to all contracts which include the clause FAR 52.219-9, Small Business and Small Disadvantaged Business Subcontracting Plan.) 52.219-16 Liquidated Damages-Subcontracting Plan (OCT 1995) 52.220-3 Utilization of Labor Surplus Area Concerns (APR 1984) (The following clause applies to all Cost Reimbursement contracts in excess of $100,000, except Cost-Plus-Incentive-Fee contracts.) 52.222-2 Payment for Overtime Premiums (JUL 1990) (Insert "$100 a month" in Paragraph (a).) (The following clause shall be exempted from application under FAR provisions 52.222-3 (a) through (c).) 52.222-3 Convict Labor (AUG 1996) (The following clause shall apply when prescribed under FAR subpart 22.305.) 52.222-4 Contract Work Hours and Safety Standards Act-- Overtime Compensation (JUL 1995) (The following clauses shall apply when prescribed under FAR subpart 22.6.) 52.222-20 Walsh-Healy Public Contracts Act (DEC 1996) 52.222-26 Equal Opportunity (APR 1984) (The following clauses shall apply to all RFPs and Contracts with a life aggregate amount over $1,000,000.) 52.222-28 Equal Opportunity Pre-Award Clearance of Subcontract (APR 1984) 52.222-35 Affirmative Action for Special Disabled and Vietnam Era Veterans (APR 1984) Page 54 of 131 RFP-97-005 52.222-36 Affirmative Action for Handicapped Workers (APR 1984) (Note: The reports required by the following clause shall be submitted to OASVET (VETS-100); U.S. Department of Labor; 200 Constitution Avenue, NW; Washington D.C. 20210.) 52.222-37 Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era (JAN 1988) 52.223-2 Clean Air and Water (Over $100,000) (APR 1984) (The following clauses shall apply to (a) any contract awarded on or after 3/18/89 to an individual -- ie., a contractor having no more than one employee including the contractor -- or (b) any contract of $25,000 or more, to be awarded on or after 3/18/89, unless excepted under the provisions of FAR 23.505(b)(1)(3).) 52.223-6 Drug Free Workplace (JUL 1990) 52.223-14 Toxic Chemical Release Reporting (OCT 1995) 52.225-3 Buy American Act - Supplies (JAN 1989) 52.225-11 Restrictions on Certain Foreign Purchases (MAY 1994) (The following clause shall apply to all but specified research and development contracts.) 52.227-1 Authorization and Consent (JUL 1995) (The following clauses shall apply to only specified research and development contracts.) 52.227-1 Authorization and Consent - Alternate I (APR 1984) 52.227-2 Notice and Assistance, Regarding Patent and Copyright Infringement (AUG 1996) 52.227-14 Rights in Data -- General (June 1987) Alternate I (June 1987) Alternate II (June 1987) Alternate III (June 1987) Alternate IV (June 1987) Alternate V (June 1987) (Alternate IV shall only apply to contracts for basic or applied research -- other than those for management or operation of Government facilities or where international agreements require otherwise -- to be performed soley by universities and colleges.) 52.227-16 Additional Data Requirements (JUNE 1987) 52.227-23 Rights to Proposal Data (Technical) (JUNE 1987) (The following clause applies except for construction and architect-engineer services or unless otherwise formally waived by the federal contract office.) Page 55 of 131 RFP-97-005 52.228-7 Insurance-Liability to Third Persons (APR 1984) 52.232-9 Limitation on Withholding of Payments (APR 1984) 52.232-17 Interest (JUN 1996) 52.232-20 Limitation of Cost (APR 1984) (Applicable if contract is fully funded.) 52.232-22 Limitation of Funds (APR 1984) (Applicable if contract is incrementally funded.) 52.232-23 Assignment of Claims (JAN 1986) 52.233-1 Disputes (OCT 1995) 52.233-3 Protest After Award (OCT 1995) 52.242-1 Notice of Intent to Disallow Costs (APR 1984) 52.242-13 Bankruptcy (JUL 1995) (Applicable for all solicitations and contracts). 52.243-2 Changes - Cost-Reimbursement (AUG 1987) - Alternate V (APR 1984) 52.244-2 Subcontracts Under Cost-Reimbursement and Letter Contracts (FEB 1997) 52.244-5 Competition in Subcontracting (DEC 1996) 52.245-5 Government Property (Cost-Reimbursement, Time- and-Material, or Labor-Hour Contract) (APR 1984) - Alternate I (APR 1984) 52.246-5 Inspection of Service-Cost Reimbursement (APR 1984) 52.246-23 Limitation of Liabilities for Supplies (FEB 1997) (The following clause shall apply if designated.) 52.246-25 Limitation of Liability (FEB 1997) 52.247-29 F.O.B. Origin (JUN 1988) (The following clause shall apply if designated.) 52.247-34 F.O.B. Destination (APR 1984) (As prescribed in FAR 49.502(d), the following clause shall only apply to contracts for research and development work on no-fee bases.) 52.249-5 Termination for Convenience of the Government (Education and Other Nonprofit Institutions) (SEP 1996) (As prescribed in FAR 49.503(a)(1), the following clause shall apply to all contracts except for research and development work on a no-fee basis.) 52.249-6 Termination (Cost-Reimbursement) (SEP 1996) 52.253-1 Computer Generated Forms (JAN 1991) 52.232-25 Prompt Payment (MAR 1994) 52.248-1 Value Engineering (MARCH 1989) Alternate III (APRIL 1984) Page 56 of 131 RFP-97-005 Page 57 of 131 RFP-97-005 I.3.2 DEPARTMENT OF EDUCATIONAL ACQUISITION REGULATION (EDAR) (48 CFR CHAPTER 34) CLAUSES EDAR Clause No. Title and Date 3452.202-1 Definitions (AUGUST 1987) 3452.208-70 Printing (AUGUST 1987) (The following clause shall apply to contracts with nonprofit organizations other than educational institutions, hospitals, or organizations listed in Attachment C to OMB Circular No. A-122.) 3452.216-70 Additional Cost Principles (AUGUST 1987) (The following clause shall apply to contracts with organizations that have fixed indirect cost rates with carryforward adjustments approved by the Government agency responsible for negotiating the organization's indirect cost rates.) 3452.216-71 Negotiated Overhead Rates - Fixed (AUGUST 1987) 3452.227-70 Publication and Publicity (AUGUST 1987) 3452.227-71 Paperwork Reduction Act (AUGUST 1987) 3452.227-72 Advertising of Awards (AUGUST 1987) 3452.228-70 Required Insurance (AUGUST 1987) (The following clause shall apply to hospitals and State and local governments only.) 3452.232-70 Prohibition Against the Use of ED Funds to Influence Legislation or Appropriations (AUGUST 1987) 3452.237-71 Services of Consultants (AUGUST 1987) 3452.242-70 Litigation and Claims (AUGUST 1987) 3452.242-71 Notice to the Government of Delays (AUGUST 1987) 3452.242-72 Withholding of Contract Payments (AUGUST 1987) 3452.242-73 Accessibility of Meetings, Conferences, and Seminars to Persons with Disabilities (AUGUST 1987) 3452.243-70 Key Personnel (AUGUST 1987) 3452.247-70 Foreign Travel (AUGUST 1987) I.4 CLAUSES FOR A COST-REIMBURSEMENT CONTRACT WITH AN EDUCATIONAL INSTITUTION (MATRIX-E) (FEB 1997) I.4.1 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES FAR Clause No. Title and Date 52.203-7 Anti-Kickback Procedures (JUL 1995) Page 58 of 131 RFP-97-005 (The following clauses shall apply to all contracts except Research and Development.) 52.203-6 Restrictions on Subcontractor Sales to the Government (JUL 1995) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (SEP 1990) (The following clauses shall apply to all contracts in excess of $100,000.) 52.203-3 Gratuities (APR 1984) 52.203-5 Covenant Against Contingent Fees (APR 1984) 52.203-10 Price or Fee Adjustment for Illegal or Improper Activity (JAN 1997) 52.203-12 Limitation on Payments to Influence Certain Federal Transactions (JAN 1990) 52.204-4 Printing/Copying Double-Sided on Recycled Paper (JUN l996) 52.207-3 Right of First Refusal of Employment (NOV 1991) 52.209-6 Protecting the Government's Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment (JUL 1995) 52.215-2 Audit and Records--Negotiation (AUG 1996) 52.242-15 Stop-Work Order - Alternate I (APR 1984) 52.247-63 Preference for U.S.-Flag Air Carriers (JAN 1997) (The following clauses shall apply when Cost or Pricing Data is required or if the total life amount of the contract is greater than $500,000.) 52.215-22 Price Reduction for Defective Cost or Pricing Data (OCT 1995) 52.215-24 Subcontractor Cost or Pricing Data (OCT 1995) 52.230-5 Cost Accounting Standards - Educational Institution (APR 1996) (The following clauses shall apply to contracts exceeding $3,000,000 when cost and pricing data is required for the procurement.) 52.215-23 Price Reduction for Defective Cost or Pricing Data - Modifications (OCT 1995) 52.215-25 Subcontractor Cost or Pricing Data - Modifications (OCT l995) (The following clauses shall apply when prescribed under FAR subpart 15.812-2(a). The alternate provision shall additionally apply when prescribed under 15.812-2(b). 52.215-26 Integrity of Unit Prices (FEB 1997) Page 59 of 131 RFP-97-005 (The following clause shall apply to (1) Contracts when Cost and Pricing Data is required and (2) cost determinations subject to subpart 31.2, Commercial Organizations). 52.215-39 Reversion or Adjustment of Plans for Postretirement Benefits Other than Pensions (PRB) (JUL 1991) (The words "Subpart 31.3" are substituted for "Subpart 31.2" under paragraph (a) of the following clause.) 52.216-7 Allowable Cost and Payment (FEB 1997) 52.216-8 Fixed Fee (FEB 1997) 52.219-8 Utilization of Small, Small Disadvantaged & Women-Owned Small Business Concerns (FEB 1997) 52.216-11 Cost Contract - No Fee (APR 1984) (The following clauses shall apply when predetermined rates are used.) 52.216-15 Predetermined Indirect Cost Rates (APR 1984) 52.219-8 Utilization of Small, Small Disadvantaged & Women-Owned Small Business Concerns (AUG 1996) (The following clauses shall apply as prescribed under FAR subpart 19.708(b), including exemption of application to 8(a) and other small businesses.) 52.219-9 Small, Small Disadvantaged & Women-Owned Small Business Subcontracting Plan (AUG 1996) 52.219-13 Utilization of Women-Owned Small Businesses (AUG 1996) (The following clauses shall apply to all contracts which include the clause FAR 52.219-9, Small Business and Small Disadvantaged Business Subcontracting Plan.) 52.219-16 Liquidated Damages-Subcontracting Plan (OCT 1995) 52.220-3 Utilization of Labor Surplus Area Concerns (APR 1984) (The following clause shall apply to all cost reimbursement contracts in excess of $100,000, except Cost-Plus-Incentive-Fee contracts.) 52.222-2 Payment for Overtime Premiums (JUL 1990) (Insert "$100 a month" in Paragraph (a).) (The following clause shall be exempted from application under FAR provisions 52.222-3 (a) through (c).) 52.222-3 Convict Labor (AUG 1996) (The following clause shall apply when prescribed under FAR Page 60 of 131 RFP-97-005 subpart 22.305.) 52.222-4 Contract Work Hours and Safety Standards Act-- Overtime Compensation (JUL 1995) (The following clause shall apply when prescribed under FAR subpart 22.6.) 52.222-20 Walsh-Healy Public Contracts Act (DEC 1996) 52.222-26 Equal Opportunity (APR 1984) (The following clauses shall apply to all RFPs and Contracts with a life aggregate amount over $1,000,000.) 52.222-28 Equal Opportunity Pre-Award Clearance of Subcontract (APR 1984) 52.222-35 Affirmative Action for Special Disabled and Vietnam Era Veterans (APR 1984) 52.222-36 Affirmative Action for Handicapped Workers (APR 1984) (Note: The reports required by the following clause shall be submitted to OASVET (VETS-100); U.S. Department of Labor; 200 Constitution Avenue, NW; Washington D.C. 20210.) 52.222-37 Employment Reports on Special Disabled Veterans and Veterans of the Vietnam Era (JAN 1988) (The following clauses shall only apply to contracts to which the Service Contract Act is applicable.) 52.222-41 Service Contract Act of 1965, as Amended (MAY 1989) 52.222-42 Statement of Equivalent Rates for Federal Hires (MAY 1989) (Note: List of equivalent rates, if applicable, will be given in attachment.) 52.223-2 Clean Air and Water (Over $100,000) (APR 1984) (The following clause shall apply to (a) any contract awarded to an individual -- ie., a contractor having no more than one employee including the contractor -- or (b) any contract of $25,000 or more, unless excepted under the provisions of FAR 23.505 (b) (1) (3).) 52.223-6 Drug Free Workplace (JUL 1990) 52.223-14 Toxic Chemical Release Reporting (OCT 1995) 52.225-3 Buy American Act - Supplies (JAN 1989) 52.225-11 Restrictions on Certain Foreign Purchases (MAY 1992) (The following clause shall apply to all but specified research and development contracts.) Page 61 of 131 RFP-97-005 52.227-1 Authorization and Consent (JUL 1995) (The following clauses shall apply to only specified research and development contracts.) 52.227-1 Authorization and Consent - Alternate I (APR 1984) 52.227-2 Notice and Assistance, Regarding Patent and Copyright Infringement (AUG 1996) 52.227-14 Rights in Data -- General (June 1987) Alternate I (June 1987) Alternate II (June 1987) Alternate III (June 1987) Alternate IV (June 1987) Alternate V (June 1987) (Alternate IV shall only apply to contracts for basic or applied research -- other than those for management or operation of Government facilities or where international agreements require otherwise -- to be performed soley by universities and colleges.) 52.227-16 Additional Data Requirements (JUNE 1987) 52.227-23 Rights to Proposal Data (Technical) (JUNE 1987) FP (The following clause applies except for construction and architect-engineer services or unless otherwise formally waived by the federal contract office.) 52.228-7 Insurance-Liability to Third Persons (APR 1984) 52.232-9 Limitation on Withholding of Payments (APR 1984) 52.232-20 Limitation of Cost (APR 1984) (Applicable if contract is fully funded.) 52.232-22 Limitation of Funds (APR 1984) (Applicable if contract is incrementally funded.) 52.232-23 Assignment of Claims (JAN 1986) 52.233-1 Disputes (OCT 1995) 52.233-3 Protest After Award (OCT 1995) 52.242-1 Notice of Intent to Disallow Costs (APR 1984) 52.242-13 Bankruptcy (JUL 1995) (Applicable for all solicitations and contracts) 52.243-2 Changes - Cost-Reimbursement (AUG 1987) - Alternate V (APR 1984) 52.244-2 Subcontracts Under Cost-Reimbursement and Letter Contracts (FEB 1997) 52.244-5 Competition in Subcontracting (DEC 1996) 52.245-5 Government Property (Cost-Reimbursement, Time-and-Material, or Labor-Hour Contract) (DEC 1992) - Alternate I (DEC 1992) 52.246-8 Inspection of Research and Development - Cost Reimbursement (APR 1984) Page 62 of 131 RFP-97-005 52.246-23 Limitation of Liabilities for Supplies (FEB 1997) (The following clause shall apply if designated.) 52.246-25 Limitation of Liability - Services (FEB 1997) 52.247-29 F.O.B. Origin (JUN 1988) (The following clause shall apply if designated.) 52.247-34 F.O.B. Destination (APR 1984) (As prescribed in FAR 49.502(d), the following clause shall only apply to contracts for research and development work on no-fee bases.) 52.249-5 Termination for Convenience of the Government (Education and Other Nonprofit Institutions) (SEP 1996) (As prescribed in FAR 49.503(a)(1), the following clause shall apply to all contracts except for research and development work on a no-fee basis.) 52.249-6 Termination (Cost-Reimbursement) (SEP 1996) 52.253-1 Computer Generated Forms (JAN 1991) 52.232-25 Prompt Payment (MAR 1994) 52.248-1 Value Engineering (MARCH 1989) Alternate III (APRIL 1984) Page 63 of 131 RFP-97-005 I.4.2 DEPARTMENT OF EDUCATION ACQUISITION REGULATION (EDAR) (48 CFR CHAPTER 34) CLAUSES EDAR Clause No. Title and Date 3452.202-1 Definitions (AUGUST 1987) 3452.207-70 Printing (AUGUST 1987) (The following clause shall apply to contracts with organizations that have fixed indirect cost rates with carryforward adjustments approved by the Government agency responsible for negotiating the organization's indirect cost rates.) 3452.216-71 Negotiated Overhead Rates - Fixed (AUGUST 1987) 3452.227-70 Publication and Publicity (AUGUST 1987) 3452.227-71 Paperwork Reduction Act (AUGUST 1987) 3452.227-72 Advertising of Awards (AUGUST 1987) 3452.228-70 Required Insurance (AUGUST 1987) 3452.232-70 Prohibition Against the Use of ED Funds to Influence Legislation or Appropriations (AUGUST 1987) 3452.237-71 Services of Consultants (AUGUST 1987) 3452.242-70 Litigation and Claims (AUGUST 1987) 3452.242-71 Notice to the Government of Delays (AUGUST 1987) 3452.242-72 Withholding of Contract Payments (AUGUST 1987) 3452.242-73 Accessibility of Meetings, Conferences, and Seminars to Persons with Disabilites (AUGUST 1987) 3452.243-70 Key Personnel (AUGUST 1987) 3452.247-70 Foreign Travel (AUGUST 1987) Page 64 of 131 RFP-97-005 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J -- LIST OF ATTACHMENTS J.1 LIST OF ATTACHMENTS (ED 309-1) (MARCH 1985) Identifier Description Pages Attachment A Contractor Information Form 4 Attachment B Microfiche "ERIC Processing Manual" J.2 FIPS AND FED-STD CLAUSES AND PROVISIONS INCORPORATED BY REFERENCE This contract incorporates the following clauses and provisions by reference. The clauses and provisions that are applicable to this contract are checked with an "X". These clauses and provisions have the same force and effect as if they were given in full text. Offerors and contractors may order the texts of the FIPS PUBs from the following address: National Technical Information Service U.S. Department of Commerce Springfield, VA 22161 Telephone: (703) 487-4650 The texts of the FED STDs may be ordered from the following address: General Services Administration (WFRI) Washington, D.C. 20407 Telephone: (202) 472-2205 The abbreviation FIRMR means the Federal Information Resources Management Regulation (41 CFR Chapter 201). Page 65 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles FEDERAL INFORMATION PROCESSING STANDARDS (FIPS) ------- ----X--- ------- FIPS 1-2, Code for Information Interchange, Its Representations, Subsets, and Extensions ------- ----X--- ------- FIPS 2-1, Perforated Tape Code for Information Interchange ---X--- -------- ------- FIPS 4-1, Calendar Date ---X--- -------- ------- FIPS 5-2, Codes for the Identification of the States, District of Columbia, and the Outlying Areas of the United States, and Associated Areas ---X--- -------- ------- FIPS 6-4, Counties and County Equivalents of the States of the United States and the District of Columbia ---X--- -------- ------- FIPS 8-5, Standard Metropolitan Statistical Areas ---X--- -------- ------- FIPS 9-1, Congressional Districts of the United States ---X--- -------- ------- FIPS 10-3, Countries, dependencies and areas of Special Sovereignty ------- ----X--- ------- FIPS 13, Rectangular Holes in Twelve-row Punched Cards ------- ----X--- ------- FIPS 14-1, Hollerith Punched Card Code ------- ----X--- ------- FIPS 16-1, Bit Sequencing of the Code for Information Interchange in Serial-by-Bit Data Transmission Page 66 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 17-1, Character Structure and Character Parity Sense for Serial- by-Bit Data Communication in the Code for Information Interchange ------- ----X--- ------- FIPS 21-3, COBOL ------- ----X--- ------- FIPS 22-1, Synchronous Signaling Rates Between Data Terminal and Data Communication Equipment ------- ----X--- ------- FIPS 26, One-inch Perforated Paper Tape for Information Interchange ------- ----X--- ------- FIPS 27, Take-up Reels for One-Inch Perforated Tape for Information Interchange ------- ----X--- ------- FIPS 32-1, Optical Character Recognition Character Sets ------- ----X--- ------- FIPS 33-1, Character Set for Handprinting ------- ----X--- ------- FIPS 46-1, Data Encryption Standard (DES) ------- ----X--- ------- FIPS 54-1, Computer Output Microform (COM) Formats and Reduction Ratios, 16 mm and 105 mm Page 67 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 58-1, Representations of Local Time of the Day for Information Interchange ------- ----X--- ------- FIPS 59, Representations of Universal Time, Local Time Differentials, and United States Time Zone References for Information Interchange ------- ----X--- ------- FIPS 66, Standard Industrial Classification (SIC) Codes ------- ----X--- ------- FIPS 68-2, BASIC ------- ----X--- ------- FIPS 69-1, FORTRAN ------- ----X--- ------- FIPS 70-1, Representation of Geographic Point Locations for Information Interchange ------- ----X--- ------- FIPS 71, Advanced Data Communications Control Procedures (ADCCP) ------- ----X--- ------- FIPS 81, Data Encryption Standard (DES) Mode of Operation ------- ----X--- ------- FIPS 84, Microfilm Readers ------- ----X--- ------- FIPS 85, Optical Character Recognition (OCR) Inks ------- ----X--- ------- FIPS 86, Additional Controls For Use With American National Standard Code for Information Interchange ------- ----X--- ------- FIPS 89, Federal Standard for Optical Character Recognition (OCR) Character Positioning Page 68 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 95-1, Code for the Identification of Federal and Federally-Assisted Organizations ------- ----X--- ------- FIPS 100-1, Interface between Data Terminal Equipment (DTE) and Data Circuit-Terminating Equipment (DCE) for Operation with Packet-Switched Data Communication Networks (PSDN) or Between Two DTEs by Dedicated Circuits ------- ----X--- ------- FIPS 103, Codes for the Identification of Hydrologic Units in the United States and the Caribbean Outlying Areas ------- ----X--- ------- FIPS 104-1, ANS Codes for the Representation of Names of Countries, Dependencies, and Areas of Special Sovereignty for Information Interchange ------- ----X--- ------- FIPS 107, Local Area Networks: Baseband Carrier Sense Multiple Access with Collision Detection Access Method and Physical Layer Specifications and Link Layer Protocol ------- ----X--- ------- FIPS 108, Alphanumeric Computer Output Microform Quality Test Slide ------- ----X--- ------- FIPS 109, PASCAL ------- ----X--- ------- FIPS 112, Password Usage ------- ----X--- ------- FIPS 113, Computer Data Authentication ------- ----X--- ------- FIPS 119, Ada ------- ----X--- ------- FIPS 120-1, Graphical Kernel System (GKS) ------- ----X--- ------- FIPS 121, Videotex/Teletext Presentation Level Protocol Syntax (North America PLPS) Page 69 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 123, Specification for a Data Descriptive File for Information Interchange (DDF) ------- ----X--- ------- FIPS 125, MUMPS Programming Language ------- ----X--- ------- FIPS 126, Database Language NDL ------- ----X--- ------- FIPS 127-2, Database Language SQL ------- ----X--- ------- FIPS 128-1, Computer Graphics Metafile (CGM) ------- ----X--- ------- FIPS 129, Optical Character Recognition (OCR) Dot Matrix character sets for OCR-MA ------- ----X--- ------- FIPS 137, Analog to Digital Conversion of Voice by 2400 Bits/Second Linear Predictive Coding ------- ----X--- ------- FIPS 138, Electrical Characteristics of Balanced Voltage Digital Interface Circuits ------- ----X--- ------- FIPS 139, Interoperability and Security Requirements for Use of the Data Encryption Standard in the Physical Layer of Data Communications ------- ----X--- ------- FIPS 140, Security Requirements for Crytographic Modules ------- ----X--- ------- FIPS 141, Interoperability and Security Requirements for Use of the Data Encryption Standard with CCITT Group 3 Facsimile Equipment ------- ----X--- ------- FIPS 142, Electrical Characteristics of Unbalanced Voltage Digital Interface Circuits ------- ----X--- ------- FIPS 143, General Purpose 37-Position and 9-Position Interface Between Data Terminal Equipment and Data Circuit-Terminating Equipment Page 70 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 144, Data Communications Systems and Service-user Oriented Performance Parameters ------- ----X--- ------- FIPS 146-1, GOSIP: Government Open System Interconnection Profile ------- ----X--- ------- FIPS 147, Group 3 Facsimile Apparatus of Document Transmission ------- ----X--- ------- FIPS 148, Procedures for Document Facsimile Transmission ------- ----X--- ------- FIPS 149, General Aspects of Group 4 Facsimile Apparatus ------- ----X--- ------- FIPS 150, Facsimile Coding Schemes and Coding Control Functions for Group 4 Facsimile Apparatus ------- ----X--- ------- FIPS 151-2, Portable Operating System interface (POXIS) - System Appli- cation Interface (C Language) ------- ----X--- ------- FIPS 152, Standard Generalized Markup Language (SGML) ------- ----X--- ------- FIPS 153, Programmer's Hierarchical Interactive Graphics System (PHIGS) ------- ----X--- ------- FIPS 154, High Speed 25-position for Data Terminal Equipment and Data Circuit-terminating Equipment ------- ----X--- ------- FIPS 155, Data Communication Systems and Services User-oriented Performance Measurement Methods ------- ----X--- ------- FIPS 156, Information Resource Dictionary System (IRDS) Page 71 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 159, Detail Specifications for 62.5 uM Core Diameter/125 uM Cladding Diameter Class Ia Multimode, Graded-Index Optical Waveguide Fiber ------- ----X--- ------- FIPS 160, C ------- ----X--- ------- FIPS 161-1, Electronic Data Inter- change (EDI) ------- ----X--- ------- FIPS 162, 1,200 Bits per Second Two-Wire for Data Communications use on Telephone-Type Circuits ------- ----X--- ------- FIPS 163, 2,400 Bits per Second Two-Wire Duplex Modems for Data Communications use on Telephone-Type Circuits ------- ----X--- ------- FIPS 164, 2,400 Bits per Second Two-Wire Half-Duplex Modems for Data Communications use on Telephone-Type Circuits ------- ----X--- ------- FIPS 165, 4,800 and 9,600 Bits per Second Four-Wire Duplex and Two-Wire Half-Duplex Modems for Data Communications use on Telephone- Type Circuits ------- ----X--- ------- FIPS 166, 4,800 Bits per Second Two-Wire Duplex Modems for Data Communications use on Telephone-Type Circuits ------- ----X--- ------- FIPS 167, 9600 Bits per Second Two-Wire Duplex Modems for Data Communications use on Telephone-Type Circuits ------- ----X--- ------- FIPS 168, 12,000 and l4,000 Bits per Second Four-Wire Duples Modems for Data Communications use on Telephone-Type Circuits Page 72 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 169, Error Corrections in Modems Employing Asynchronous-To-Synchronous Conversions ------- ----X--- ------- FIPS 170, Data Compression in Modems Employing CCITT Recommendation V.42 Error Corrections ------- ----X--- ------- FIPS 171, Key Management Using ANSI X9.17 ------- ----X--- ------- FIPS 172, VHSIC Hardware Description Language (VHDL) ------- ----X--- ------- FIPS 173, Spatial Data Transfer Standard (SDTS) ------- ----X--- ------- FIPS 174, Federal Building Telecommunications Wiring Standard ------- ----X--- ------- FIPS 175, Federal Building Standard for Telecommunications Pathways and Spaces ------- ----X--- ------- FIPS 176, Residential and Light Commercial Telecommunications Wiring Standard ------- ----X--- ------- FIPS 177, Initial Graphical Exchange Standard (IGES) ------- ----X--- ------- FIPS 178, Video Teleconferencing Services at 56 to l.920 KBPS ------- ----X--- ------- FIPS 179, Government Network Management Profile (GNMP) ------- ----X--- ------- FIPS 180, Secure Hash Algorithm Page 73 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FIPS 181, Automated Password Generator ------- ----X--- ------- FIPS 182, Integrated Services Digital Network (ISDN) ------- ----X--- ------- FIPS 183, Integration Definition for Function Modeling (IDEFO) ------- ----X--- ------- FIPS 184, Integration Definition for Information Modeling (IDEFIX) --------------------------------------------- FEDERAL TELECOMMUNICATIONS STANDARDS (FED-STD) ---------------------------------------------- ------- ----X--- ------- FED-STD 1002A, Telecommunications: Time and Frequency References Information in Telecommunication Systems Page 74 of 131 RFP-97-005 STANDARDS CHECKLIST AS OF 03/15/94 CONT. Check Appropriate Column Standard Standard Applies Standard Does Not But Was Applies Apply Waived Standards Titles ------- ----X--- ------- FED-STD 1016, Telecommunications: Analog to Digital Conversion of Radio Voice by 4,800 Bit/second Code Excited Linear Prediction (CELP) ------- ----X--- ------- FED-STD 1023, Telecommunications: Interoperability Requirements for Encrypted Digitized Voice Utilized with 25 KHz Channel FM Radios Operating Above 30 MHZ ------- ----X--- ------- FED-STD 1035A, Telecommunications: Coding Modulations and Transmission Requirements for Single Channel Medium and High Frequency Radio Telegraph Systems Used In Government ------- ----X--- ------- FED-STD 1037B, Telecommunications: Glossary of Telecommunications Terms ------- ----X--- ------- FED-STD 1045A, Telecommunications HF Radio Automatic Link Establishments ------- ----X--- ------- FED-STD 1046/1, Telecommunications: HF Radio Automatic Networking Section l: Basic Networking-ALE Controller ------- ----X--- ------- FED-STD 1049/l, Telecommunications: HF Radio Automatic Link Establish- ments in Stressed Environments, Section l: Linking Protection Page 75 of 131 RFP-97-005 PART IV, SECTION K REPRESENTATIONS,CERTIFICATIONS, AND OTHER STATEMENTS OF THE OFFEROR K.1 REPRESENTATION AUTHORITY (ED 310-1) (MARCH 1985) The offeror makes the following Representations and Certifications as part of its proposal (check or complete all appropriate boxes or blanks on the following pages). _________________________________ ____________________ (Name of Offeror) (RFP No.) _________________________________ ____________________ (Signature of (Date) Authorized Individual) ____________________________________________________________________ (TYPED NAME OF AUTHORIZED INDIVIDUAL) Note: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. The Representations and Certifications must be executed by an individual authorized to bind the offeror. K.2 WOMEN-OWNED BUSINESS (FAR 52.204-5) (DEC 1996) As prescribed in 4.603(b), insert the following provision: (a) Representation. The offeror represents that it [] is [] is not a women-owned business concern. (b) Definition. "Women-owned business concern," as used in this provision, means a concern which is at least 5l percent owned by one or more women; or in the case of any publicly owned business, at least 5l percent of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women. (End of provision) Page 76 of 131 RFP-97-005 K.3 PLACE OF PERFORMANCE (FAR 52.215-20) (APRIL 1984) (A) The offeror or quoter, in the performance of any contract resulting from this solicitation, [_] intends [_] does not intend (check applicable block) to use one or more plants or facilities located at a different address from the address of the offeror or quoter as indicated in this proposal or quotation. (B) If the offeror or quoter checks "intends" in paragraph (A) above, it shall insert in the spaces provided below the required information: Name and Address of Owner Place of Performance and Operator of the Plant or (Street Address, City, Facility if Other than Offeror County, State, Zip Code) or Quoter __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ K.4 REQUIREMENT FOR CERTIFICATE OF PROCUREMENT INTEGRITY (FAR 52.203-8) (SEPTEMBER 1995) (a) Definitions. The definitions at FAR 3.104-4 are hereby incorporated in this provision. (b) Certifications. As required in paragraph (c) of this provision, the officer or employee responsible for this offer shall execute the following certification. The certification in paragraph (b)(2) of this provision is not required for a procurement of commercial items. CERTIFICATE OF PROCUREMENT INTEGRITY (1) I, [Name of certifier], _____________________________, am the officer or employee responsible for the preparation of this offer and hereby certify that, to the best of my knowledge and belief, with the exception of any information described in this certificate, I have no information concerning a violation or possible violation of subsection 27 (a), (b),(d), or (f) of the Office of Federal Procurement Policy Act* (41 U.S.C. 423) (hereinafter referred to as "the Act"), as implemented in the FAR, occurring during the conduct of this procurement RFP-97-005. (2) As required by subsection 27(e)(1)(B) of the Act, I further certify that, to the best of my knowledge and belief, each officer, Page 77 of 131 RFP-97-005 employee, agent, representative, and consultant of [Name of offeror] ______________________________ who has participated personally and substantially in the preparation or submission of this offer has certified that he or she is familiar with, and will comply with, the requirements of subsection 27(a) of the Act, as implemented in the FAR, and will report immediately to me any information concerning a violation or possible violation of Subsections 27(a), (b), and (d) or (f) of the Act, as implemented in the FAR, pertaining to this procurement. (3) Violations or possible violations: (Continue on plain bond paper if necessary and label Certificate of Procurement Integrity (Continuation Sheet). ENTER NONE IF NONE EXISTS.) _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ (4) I agree that, if awarded a contract under this solicitation, the certifications required by subsection 27(e)(1)(B) of the Act shall be maintained in accordance with paragraph (f) of this provision. _________________________________________________________________ (Signature of the Officer or Employee Responsible for the Offer and date) _________________________________________________________________ (Typed Name of the Officer or Employee Responsible for the Offer) < *Subsections 27 (a), (b), and (d) are effective on December 1, 1990. Subsection 27 (f) is effective on June 1, 1991. 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 TITLE 18, UNITED STATES CODE, SECTION 1001. (End of certification) (c)(1) For procurements using sealed bidding procedures, the signed certifications shall be submitted by each bidder with the bid submission except for procurements using two-step sealed bidding procedures (see subpart 14.5). For those procurements, the certifications shall be submitted with submission of the step two sealed bids. A certificate is not required for indefinite delivery contracts (see subpart 16.5) unless the total estimated value of all orders eventually to be placed under the contract is expected to exceed $100,000. Page 78 of 131 RFP-97-005 (2) For contracts and contract modifications which include options, a certificate is required when the aggregate value of the contract and contract modification and all options (see 3.104-4(e)) exceeds $100,000. (3) Failure of a bidder to submit the signed certificate with its bid shall render the bid nonresponsive. (d) Pursuant to FAR 3.104-9(d), the Offeror may be requested to execute additional certifications at the request of the Government. Failure of an Offeror to submit additional certifications shall cause its offer to be rejected. (e) A certification containing a disclosure of a violation or possible violation will not necessarily result in the withholding of an award under this solicitation. However, the Government, after evaluation of the disclosure, may cancel this procurement or take any other appropriate actions in the interests of the Government, such as disqualification of the Offeror. (f) In making the certification in paragraph (2) of the certificate, the officer or employee of the competing contractor responsible for the offer may rely upon a one-time certification from each individual required to submit a certification to the competing contractor, supplemented by periodic training. These certifications shall be obtained at the earliest possible date after an individual required to certify begins employment or association with the contractor. If a contractor decides to rely on a certification executed prior to the suspension of section 27 (i.e., prior to December1, 1989), the Contractor shall ensure that an individual who has so certified is notified that section 27 has been reinstated. These certifications shall be maintained by the Contractor for 6 years from the date a certifying employee's employment with the company ends or, for an agent, representative, or consultant, 6 years from the date such individual ceases to act on behalf of the Contractor. (g) Certifications under paragraphs (b) and (d) of this provision are material representations of fact upon which reliance will be placed in awarding a contract. (End of provision) Alternate I (Sep. 1990). Procurements using other than sealed bidding procedures: (c) For procurements, including contract modifications, in excess of $100,000 made using procedures other than sealed bidding, the signed certifications shall be submitted by the successful Offeror to the Contracting Officer within the time period specified by the Contracting Officer when requesting the certificates except as provided in subparagraphs (c)(1) through (c)(5) of this clause. In no event shall the certificate be submitted subsequent to award of a contract or execution of a contract modification: Page 79 of 131 RFP-97-005 (1) For letter contracts, other unpriced contracts, or unpriced contract modifications, whether or not the unpriced contract or modification contains a maximum or not to exceed price, the signed certifications shall be submitted prior to the award of the letter contract, unpriced contract, or unpriced contract modification, and prior to the definization of the letter contract or the establishment of the price of the unpriced contract or unpriced contract modification. The second certification shall apply only to the period between award of the letter contract and execution of the document definitizing the letter contract, or award of the unpriced contract or unpriced contract modification and execution of the document establishing the definitive price of such unpriced contract or unpriced contract modification. (2) For basic ordering agreements, prior to the execution of a priced order; prior to the execution of an unpriced order, whether or not the unpriced order contains a maximum or not to exceed price; and, prior to establishing the price of an unpriced order. The second certificate to be submitted for unpriced orders shall apply only to the period between award of the unpriced order and execution of the document establishing the definitive price for such order. (3) A certificate is not required for indefinite delivery contracts (see subpart 16.5) unless the total estimated value of all orders eventually to be placed under the contract is expected to exceed $100,000. (4) For contracts and contract modifications which include options, a certificate is required when the aggregate value of the contractor contract modification and all options (see 3.104(e)) exceeds $100,000. (5) For purposes of contracts entered into under section 8(a) of the SBA, the business entity with whom the SBA contracts, and not the SBA, shall be required to comply with the certification requirements of subsection 27(e). The SBA shall obtain the signed certificate from the business entity and forward the certificate to the Contracting Officer prior to the award of a contract to the SBA. (6) Failure of an Offeror to submit the signed certificate within the time prescribed by the Contracting Officer shall cause the offer to be rejected. K.5 CERTIFICATION OF NONSEGREGATED FACILITIES (FAR 52.222-21) (APRIL 1984) (A) "Segregated facilities," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restraurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise. Page 80 of 131 RFP-97-005 (B) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The offeror agrees that a breach of this certification is a violation of the Equal Opportunity clause in the contract. (C) The offeror further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) it will-- (1) Obtain identical certifications from proposed subcontractors before the award of the subcontracts under which the subcontractor will be subject to the Equal Opportunity clause; (2) Retain the certifications in the files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods): NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OR NONSEGREGATED FACILITIES A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which the subcontractor will be subject to the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually). NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. K.6 DRUG-FREE WORKPLACE (FAR 52.223-6) (JAN 1997) (a) Definitions. As used in this clause-- "Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11 - 1308.15. "Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes. "Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession, or use of any controlled substance. Page 81 of 131 RFP-97-005 "Drug-free workplace" means the site(s) for the performance of work done by the Contractor in connection with a specific contract at which employees of the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance. "Employee" means an employee of a Contractor directly engaged in the performance of work under a Government contract. "Directly engaged" is defined to include all direct cost employees and any other Contractor employee who has other than a minimal impact or involvement in contract performance. "Individual" means an offeror/contractor that has no more than one employee including the offeror/contractor. (b) The Contractor, if other than an individual, shall-- within 30 days after award (unless a longer period is agreed to in writing for contracts of 30 days or more performance duration), or as soon as possible for contracts of less than 30 days performance duration-- (1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (2) Establish an ongoing drug-free awareness program to inform such employees about-- (i) The dangers of drug abuse in the workplace; (ii) The Contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(1) of this clause; (4) Notify such employees in writing in the statement required by subparagraph (b)(1) of this clause that, as a condition of continued employment on this contract, the employee will-- (i) Abide by the terms of the statement; and (ii) Notify the employer in writing of the employee's conviction under a criminal drug statute for a violation occurring in the workplace no later than 5 days after such conviction; Page 82 of 131 RFP-97-005 (5) Notify the Contracting Officer in writing within 10 days after receiving notice under subdivision (b)(4)(ii) of this clause, from an employee or otherwise receiving actual notice of such conviction. The notice shall include the position title of the employee; (6) Within 30 days after receiving notice under subdivision (b)(4)(ii) of this clause of a conviction, take one of the following actions with respect to any employee who is convicted of a drug abuse violation occurring in the workplace: (i) Taking appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; and (7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) though (b)(6) of this clause. (c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance while performing this contract. (d) In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of (b) or (c) of this clause may, pursuant to FAR 23.506, render the Contractor subject to suspension of contract payments, termination of the contract or default, and suspension or debarment. (End of clause) K.7 CERTIFICATE OF CURRENT COST OR PRICING DATA (ED 310-5) (MARCH 1985) (When a certificate of cost or pricing data is required to be submitted in accordance with Federal Acquistion Regulation (FAR) 15.804-2, the Contracting Officer will request that the Offeror complete, execute, and submit to the Contracting Officer a certification in the format shown in the following Certificate of Current Cost or Pricing Data. The certification shall be submitted only at the time negotiations are completed. Offerors should complete the certificate set forth below and return it when requested by the Contracting Officer.) This is to certify that, to the best of my knowledge and belief, the cost or pricing data (as defined in Section 15.801 of the Federal Acquisition Regulation (FAR) and required under FAR subsection 15.804-2) submitted, either actually or by specific identification in writing, to the Contracting Officer or to the Contracting Officer's Representative Page 83 of 131 RFP-97-005 in support of _________________* are accurate, complete, and current as of _________________**. This certification includes the cost or pricing data supporting any advance agreements and forward pricing rate agreements between the offeror and the Government that are part of the proposal. Firm _______________________________________________________________ Name _______________________________________________________________ Title ______________________________________________________________ Date of execution*** _______________________________________________ *Identify the proposal, quotation, request for price adjustment, or other submission involved, giving the appropriate identifying number (e.g., RFP No.). **Insert the day, month, and year when price negotiations were concluded and price agreement was reached. ***Insert the day, month, and year of signing, which should be as close as practicable to the date when the price negotiations were concluded and the contract price was agreed to. K.8 DUPLICATION OF COST (ED 310-6) (MARCH 1985) The offeror represents and certifies that any charges contemplated and included in its estimate of cost for performance are not duplicative of any charges against any other Government contract, subcontract, or other Government source. K.9 EMPLOYER'S IDENTIFICATION NUMBER (ED 310-7) (MARCH 1985) The offeror's Internal Revenue Service "Employer's Identification Number" is _______________________________. K.10 CONTRACTOR IDENTIFICATION NUMBER - DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (FAR 52.204-6) (DEC 1996) (a) Contractor Identification Number, as used in this provision, means "Data Universal Numbering System (DUNS) number," which is a nine-digit number assigned by Dun and Bradstreet Information Services. (b) Contractor identification is essential for complying with statutory contract reporting requirements. Therefore, the offeror is requested to enter, in the block with its name and address on the Standard Form 33 or similar document, the annotation "DUNS" followed by the DUNS number which identifies the offeror's name and address exactly as stated in the offer. (c) If the offeror does not have a DUNS number, it should Page 84 of 131 RFP-97-005 contact Dun and Bradstreet directly to obtain one. A DUNS number will be provided immediately by telephone at no charge to the offeror. For information on obtaining a DUNS number, the offeror should call Dun and Bradstreet at l-800-333-0505. The offeror should be prepared to provide the following information: (l) Company name. (2) Company address. (3) Company telephone number. (4) Line of business. (5) Chief executive officer/key manager. (6) Date the company was started. (7) Number of people employed by the company. (8) Company affiliation. (d) Offerors located outside the United States may obtain the location and phone number of the local Dun and Bradstreet Information Services office from the Internet Home Page at http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is unable to locate a local service center, it may send an e-mail to Dun and Bradstreet at globalinfo@dbisma.com. (End of provision) K.11 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JULY 1987) The offeror or quoter, by checking the applicable box, represents that: (a) It operates as [_] a corporation incorporated under the laws of the State of _____________________, [_] an individual, [_] a partnership, [_] a nonprofit organization, or [_] a joint venture. (b) If the offeror or quoter is a foreign entity, it operates as [_] an individual, [_] a partnership, [_] a nonprofit organization, [_] a joint venture, or [_] a corporation registered for business in ______________________ (country). K.12 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APRIL 1984) The offeror or quoter represents that the following persons are authorized to negotiate on its behalf with the Government in connection with this request for proposals or quotations: TELEPHONE NUMBER NAMES TITLE (INCLUDING AREA CODE) ______________________ __________________ ____________________ ______________________ __________________ ____________________ ______________________ __________________ ____________________ Page 85 of 131 RFP-97-005 K.13 APPROVAL OF ACCOUNTING SYSTEM (ED 310-9) (MARCH 1985) The offeror [_] does, [_] does not, have an approved accounting system for purposes of cost reimbursement under this requirement. If so, specify the approving government audit agency or office and the date of approval. ____________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ Date: ______________________________________________________________ K.14 CERTIFICATION FOR INTENDED COMPLIANCE WITH "LIMITATION OF COST" CLAUSE (ED 310-15) (APRIL 1984) The offeror certifies by submission of offer hereunder for understanding of and full intent to comply with the clause titled "Limitation of Cost", or "Limitation of Funds" clause in the case of incremental funding. K.15 GENERAL FINANCIAL AND ORGANIZATIONAL INFORMATION (ED 310-10) (APRIL 1984) Offerors or quoters are requested to provide information regarding the following items in sufficient detail to allow a full and complete business evaluation. If the question indicated is not applicable or the answer is none, it should be annotated. If the offeror has previously submitted the information, it should certify the validity of that data currently on file at ED or update all outdated information on file. (A) Contractor's Name: _________________________________________ (B) Address (If financial records are maintained at some other location, show the address of the place where the records are kept): ____________________________________________________________ ____________________________________________________________ (C) Telephone Number: __________________________________________ (D) Individual(s) to contact re this proposal: _________________ ____________________________________________________________ (E) Cognizant Government: Audit Agency: ______________________________________________ Page 86 of 131 RFP-97-005 Address: ___________________________________________________ Auditor: ___________________________________________________ (F) (1) Work Distribution for the Last Completed Fiscal Accounting Period: Sales: Government cost-reimbursement type prime contracts and subcontracts: $_________ Government fixed-price prime contracts and subcontracts: $_________ Commercial Sales: $_________ Total Sales: $_________ (2) Total Sales for first and second fiscal years immediately preceding last completed fiscal year. Total Sales for First Preceding Fiscal Year $_________ Total Sales for Second Preceding Fiscal Year $_________ (G) Is company an ED rate entity or division? ___________________________________________________________ If a division or subsidiary corporation, name parent company: ___________________________________________________________ (H) Date Company Organized: ___________________________________ (I) Manpower: Total Employees: __________________________________________ Direct: ___________________________________________________ Indirect: _________________________________________________ Standard Work Week (Hours): _______________________________ (J) Commercial Products: ______________________________________ ___________________________________________________________ (K) Attach a current organizational chart of the company. (L) Description of Contractor's system of estimating and accumulating costs under Government contracts. (Check Page 87 of 131 RFP-97-005 appropriate blocks.) Estimated/ Standard Actual Cost Cost Estimating System Job Order ___________ ________ Process ___________ ________ Accumulating System Job Order ___________ ________ Process ___________ ________ Has your cost estimating system been approved by any Government agency? Yes __________ No __________ If yes, give name and location of agency: ________________ ____________________________________________________________ Has your cost accumulation system been approved by any Government agency? Yes __________ No __________ If yes, give name and address of agency: __________________ ____________________________________________________________ (M) What is your fiscal year period? (Give month-to-month dates): ____________________________________________________________ What were the indirect cost rates for your last completed fiscal year? Fiscal Year Fringe Benefits _________ __________ Overhead _________ __________ G&A Expense _________ __________ Other _________ __________ (N) Have the proposed indirect cost rate(s) been evaluated and accepted by any Government agency? Yes _______ No_______ If yes, name and location of the Government agency: ______________________________________________________________ Date of last pre-award audit review by a Government agency: ________ Page 88 of 131 RFP-97-005 (If the answer is no, data supporting the proposed rates must accompany the cost or price proposal. A breakdown of the items comprising overhead and G&A must be furnished.) (O) Cost estimating is performed by: Accounting Department: _________________________________ Contracting Department: _________________________________ Other (describe) ________________________________________ (P) Has system of control of Government property been approved by a Government agency? Yes __________ No __________ If yes, name and location of the Government agency: ___________________________________________________________ (Q) Purchasing Procedures: Are purchasing procedures written? Yes _______ No_______ Has your purchasing system been approved by a Government agency? Yes __________ No __________ If yes, name and location of the Government agency: ___________________________________________________________ (R) Does your firm have an established written incentive compensation or bonus plan? Yes __________ No __________ K.16 SMALL BUSINESS PROGRAM REPRESENTATIONS (FAR 52.219-1) (JAN 1997) (a)(1) The standard industrial classification (SIC) code for this acquisition is 8999. (2) The small business size standard is 8999. (3) Ths small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees. (b) Representation. (1) The offeror represents as part of its offer that it [_] is, [_] is not a small business concern. (2) (Complete only if offeror represented itself as a small business concern in block (b)(1) of this section.) The offeror represents as part of its offer that it [_] is, [_] is not a small disadvantaged business concern. (3) (Complete only if offeror represented itslef as a small business concern in block (b)(1) of this section.) The offeror represents as part of its offer that it [_] is, [_] is not a women- Page 89 of 131 RFP-97-005 owned small business concern. (c) Definitions. "Joint venture," for purposes of a small disadvantaged business (SDB) set-aside or price evaluation preference (as pescribed at l3 CFR l24.32), is a concern that is owned and controlled by one or more socially and economically disadvantaged individuals entering into a joint venture agreement with one or more business concerns and is considered to be affiliated for size purposes with such other concern(s). The combined annual receipts or employees of the concerns entering into the joint venture must meet the applicable size standard corresponding to the SIC code designated for the contract. The majority of the venture's earnings must accrue directly to the socially and economically disadvantaged individuals in the SDB concern(s) in the joint venture. The percentage of the ownership involvement in a joint venture by disadvantaged individuals must be at least 5l percent. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and size standard above. "Small disadvantaged business concern", as used in this provision, means a small business concern that (1) is at least 51 percent unconditionally owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock unconditionally owned by one or more socially and economically disadvantaged individuals, and (2) has its management and daily business controlled by one or more such individuals. This term also means a small business concern that is at least 51 percent unconditionally owned by an economically disadvantaged Indian tribe or Native Hawaiian Organization, or a publicly owned business having at least 51 percent of its stock unconditionally owned by one or more of these entities, which has its management and daily business controlled by members of an economically disadvantaged Indian tribe or Native Hawaiian Organization, and which meets the requirements of 13 CFR Part 124. "Women-owned small business concern", as used in this provision, means a small business concern----- (a) Which is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and (b) Whose management and daily business operations are controlled by one or more women. (d) Notice. (1) If this solicitation is for supplies and has been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be Page 90 of 131 RFP-97-005 furnished. (2) Notice. Under 15 U.S.C. 645(d), any person who misrep- resents a firm's status as a small or small disadvantaged business concern in order to obtain a contract to be awarded under the preference programs established pursuant to sections 8(a), 8(d), 9, or 15 of the Small Business Act or any other provision of Federal law that specifically references section 8(d) for a definition of program eligibility, shall - (i) Be punished by imposition of a fine, imprisonment, or both; (ii) Be subject to administrative remedies, including suspension and debarment; and (iii) Be ineligible for participation in programs conducted under the authority of the Act. K.17 EQUAL LOW BIDS (FAR 52.219-2) (OCT 1995) (a) This provision applies to small business conerns only. (b) The bidder status as a labor surplus area (LSA) concern may affect entitlement to award in case of tie bids. If the bidder wishes to be considered for this priority, the bidder must identify, below, the LSA in which the costs to be incurred on account of manufacturing or production (by the bidder or the first-tier subcontractors) amount to more than 50 percent of contract price. _____________________________________________________________ _____________________________________________________________ (c) Failure to identify the labor surplus areas as specified above preclude the bidder from receiving priority consid- eration. If the bidder is awarded a contract as a result of receiving priority consideration under this provision and would not have otherwise received award, the bidder shall perform the contract or cause the contract to be performed in accordance with the obligations of an LSA concern. K.18 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FAR 52.222-22) (APRIL 1984) The offeror represents that-- (A) It [_] has, [_] has not participated in a previous contract or subcontract subject either to the Equal Opportunity clause of this solicitation, the clause originally contained in Section 310 of Page 91 of 131 RFP-97-005 Executive Order No. 10925, or the clause contained in Section 201 of Executive Order No. 11114; (B) It [_] has, [_] has not filed all required compliance reports; and (C) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards. K.19 AFFIRMATIVE ACTION COMPLIANCE (FAR 52.222-25) (APRIL 1984) The offeror represents that (a) it [_] has developed and has on file, [_] has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or (b) it [_] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor. K.20 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING (FAR 52.223-13) (OCT 1996) (a) Submission of the certification is a prerequisite for making or entering into this contract imposed by Executive Order 12969, August 8, 1996. (b) By signing this offer, the offeror certifies that - |_| (1) As the owner or operator of facilities that will be used in the performance of this contract that are subject to the filing and reporting requirements described in section 313 of the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA)(42 U.S.C. 11023) and section 6607 of the Pollution Prevention Act of 1990 (PPA) (42 U.S.C. 13106), the offeror will file and continue to file for such facilities for the life of the contract the Toxic Chemical Release Inventory Form (FR) as described in sections 313(a)(g) of EPCRA and section 6607 of PPA; or (2) None of its owned or operated facilities to be used in the performance of this contract is subject to the FR filing and reporting requirements because each such facility is exempt for at least one of the following reasons: (check each block that is applicable) |_| (i) The facility does not manufacture, process, or otherwise use any toxic chemicals listed under section 313(c) of EPCRA, 42 U.S.C. 11023(c); |_| (ii) The facility does not have ten or more full-time employees as specified in section 313(b)(1)(A) of EPCRA, 42 U.S.C. 11023(b)(1)(A); Page 92 of 131 RFP-97-005 |_| (iii) The facility does not meet the reporting thresholds of toxic chemicals established under section 313(f) of EPCRA, 42 U.S.C. 11023(f) (including the alternate thresholds at 40 CRF 372.27, provided an appropriate certificate form has been filed with EPA); |_| (iv) The facility does not fall within Standard Industrial Classification Code (SIC) designations 20 through 39 as set forth in Section 19.102 of the Federal Acquisition Regulation; |_| (v) The facility is not located within any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Somoa, the United States Virgin Islands, and the Northern Mariana Islands, or any other terrotories or possession over which the United States has jurisdiction. (End of Provision) K.21 POST EMPLOYMENT CONFLICT OF INTEREST (ED 310-16) (MARCH 1985) The contractor certifies that in developing a proposal in response to the solicitation for this contract, it has not utilized the services of any former Education Department (ED) employee who, while working for the Government, participated personally and substantially in, or was officially responsible for, the development or drafting of the solicitation for this contract. The contractor further certifies that it did not utilize the services of such an ED employee in assisting or representing the offeror at negotiations for this contract. K.22 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS. (FAR 52.209-5) (MAY 1989) (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 3-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, or receiving stolen property; and (C) Are ( ) are not ( ) presently indicted for, or otherwise Page 93 of 131 RFP-97-005 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. (ii) The Offeror has ( ) has not ( ), within a 3-year period preceding this offer, had one or more contracts terminated for default by any Federal agency. (2) "Principals," for the purposes of this certification, means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager, plant manager, head of a subsidiary, 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 nonresponsible. (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 dealings. (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. K.23 TAXPAYER IDENTIFICATION (FAR 52.204-3) (SEPTEMBER 1989) (a) Definitions. "Common parent," as used in this solicitation provision, means that corporate entity that owns or controls an affiliated group of corporations that files its Federal income tax Page 94 of 131 RFP-97-005 returns on a consolidated basis, and of which the offeror is a member. "Corporate status," as used in this solicitation provision, means a designation as to whether the offeror is a corporate entity, an unincorporated entity (e.g., sole proprietorship or partnership), or a corporation providing medical and health care services. "Taxpayer Identification Number (TIN)," as used in this solicitation provision, means the number required by the IRS to be used by the offeror in reporting income tax and other returns. (b) The offeror is required to submit the information required in paragraphs (c) through (e) of this solicitation provision in order to comply with reporting requirements of 26 U.S.C. 6041, 6041A, and 6050M and implementing regulations issued by the Internal Revenue Service (IRS). If the resulting contract is subject to reporting requirements described in 4.902(a), the failure or refusal by the offeror to furnish the information may result in a 20 percent reduction of payments otherwise due under the contract. (c) "Taxpayer Identification Number (TIN). ( ) TIN: _______________. ( ) TIN has been applied for. ( ) TIN is not required because: ( ) Offeror is a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the U.S. and does not have an office or place of business or a fiscal paying agent in the U.S.; ( ) Offeror is an agency or instrumentality of a foreign government; ( ) Offeror is an agency or instrumentality of a Federal, state, or local government; ( ) Other. State basis. __________. (d) "Corporate Status". ( ) Corporation providing medical and health care services, or engaged in the billing and collecting of payments for such services; ( ) Other corporate entity; ( ) Not a corporate entity; ( ) Sole proprietorship ( ) Partnership ( ) Hospital or extended care facility described in 26 CFR 501(c)(3) that is exempt from taxation under 26 CFR 501(a). (e) "Common Parent". ( ) Offeror is not owned or controlled by a common parent as defined in paragraph (a) of this clause. ( ) Name and TIN of common parent: Name _________________________ Page 95 of 131 RFP-97-005 TIN _________________________ K.24 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (FAR 52.203-11) (APRIL 1991) (Note: This certification is only applicable to proposals or pending contract awards exceeding $100,000 in value and shall only cover activities occurring from December 23, 1989 on.) (a) The definitions and prohibitions contained in the clause, at FAR 52.203-12, Limitation on Payments to Influence Certain Federal Transactions, included in this solicitation; are hereby incorporated by reference in paragraph (b) of this certification. (b) The offeror, by signing its offer, hereby certifies to the best of his or her knowledge and belief on or after December 23, 1989, (1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement; (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting Officer; and (3) He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly. (c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure. Page 96 of 131 RFP-97-005 K.25 ORGANIZATIONAL CONFLICTS OF INTEREST CERTIFICATE -- MARKETING CONSULTANTS (FAR 52.209-7) (OCTOBER 1995) (A) Definitions. (1) Marketing consultant means any independent contractor who furnishes advice, information, direction, or assistance to an offeror or any other contractor in support of the preparation or submission of an offer for a government contract by that offeror. An independent Contractor is not a marketing consultant when rendering -- (i) Services excluded in subpart 37.2; (ii) Routine engineering and technical services (such as installation, operation, or maintenance of systems, equipment, software, components, or facilities); (iii) Routine legal, actuarial, auditing,and accounting services; or (iv) Training services. (2) Organizational conflict of interest means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the Government, or the person's objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage. (B) An individual or firm that employs, retains, or engages contractually one or more marketing consultants in connection with a contract, shall submit to the contracting officer, with respect to each marketing consultant, the certificates described below, if the individual or firm is notified that it is the apparent successful offeror. (C) The certificate must contain the following: (1) The name of the agency and the number of the solicitation in question. (2) The name, address, telephone number, and federal taxpayer identification number of the marketing consultant. (3) The name, address and telephone number of a responsible officer or employee of the marketing consultant who has personal knowledge of the marketing consultants involvement in the contract. (4) A description of the nature of the services rendered by or to be rendered by the marketing consultant. (5) The name, address, and telephone number of a responsible officer or employee of the marketing consultant who is knowledgeable about the services provided to such client(s), and a description of Page 97 of 131 RFP-97-005 the nature of the services rendered to such client(s), if based on information provided to the Contractor by the marketing consultant, any marketing consultant rendering or, in the 12 months preceding the date of the certificate, has rendered services respecting the same subject matter of the instant solicitation, or directly relating to such subject matter, to the Government or any other client (including any foreign government or person). (6) A statement that the person who signs the certificate for the prime Contractor has informed the marketing consultant of the existence of subpart 9.5 and Office of Federal Procurement Policy Letter 89-1. (7) The signature, name, title, employer's name, address, and telephone number of the persons who signed the certificates for both the apparent successful offeror and the marketing consultant. (D) In addition, the apparent successful offeror shall forward to the Contracting Officer a certificate signed by the marketing consultant that the marketing consultant has been told of the existence of subpart 9.5 and Office of Federal Procurement Policy Letter 89-1, and the marketing consultant has made inquiry, and to the best of the consultant's knowledge and belief, the consultant has provided no unfair competitive advantage to the prime Contractor with respect to the services rendered or to be rendered in connection with the solicitation, or that any unfair competitive advantage that, to the best of the consultant's knowledge and belief, does or may exist, has been disclosed to the offeror. (E) Failure of the offeror to provide the required certifications may result in the offeror being determined ineligible for award. Misrepresentation of any fact may result in the assessment of penalties associated with false certifications or such other provisions provided for by law or regulation. K.26 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR ILLEGAL OR IMPROPER ACTIVITY (FAR 52.203-8) (JAN 1997) (a) If the Government receives information that a contractor or a person has engaged in conduct constituting a violation of subsection (a), (b), (c), or (d) of Section 27 of the Office of Federal Procurement Policy Act (4l U.S.C. 423) (the Act), as amended by section 4304 of the l996 National Defense Authorization Act for Fiscal Year l996 (Pub. L. l04-l06), the Government may - (l) Cancel the solicitation, if the contract has not yet been awarded or issued; or (2) Rescind the contract with respect to which - (i) The Contractor or someone acting for the Contractor has been convicted for an offense where the conduct constitutes a Page 98 of 131 RFP-97-005 violation of subsection 27 (a) or (b) of the Act for the purpose of either - (A) Exchanging the inforamtion covered by such subsections for anything of value; or (B) Obtaining or giving anyone a competitive advantage in the award of a Federal agency procurement contract; or (ii) The head of the contracting activity has determined, based upon a preponderance of the evidence, that the Contractor or someone acting for the Contractor has engaged in conduct constituting an offense punishable under subsections 27(e)(l) of the Act. (b) If the Government rescinds the contract under paragraph (a) of this clause, the Government is entitled to recover, in addition to any penalty prescribed by law, the amount expended under the contract. (c) The rights and remedies of the Government specified herein are not exclusive, and are in addition to any other rights and remedies provided by law, regulation, or under this contract. (End of clause) K.27 ORGANIZATIONAL CONFLICT OF INTEREST (EDAR 3452.209-70) (AUG 1987) The offeror certifies that it [__] is [__] is not aware of any potential organization conflict of interest that it may have under this procurement. If the offeror is aware of any potential conflict of interest, the offeror shall submit a disclosure statement fully describing the situation. An organizational conflict of interest is as defined and illustrated in FAR 9.5. K.28 REPRESENTATION OF LIMITED RIGHTS DATA AND RESTRICTED COMPUTER SOFTWARE (FAR 52.227-15) (JUNE 1987) (a) This solicitation sets forth the work to be performed if a contract award results, and the Government's known delivery requirements for data (as defined in FAR 27.401). Any resulting contract may also provide the government the option to order additional data under the Additional Data Requirements clause at 52.227-16 of the FAR, if included in the contract. Any data delivered under the resulting contract will be subject to the Rights in Data -- General clause at 52.227-14 that is to be included in this contract. Under the latter clause, a Contractor may withhold from delivery data that qualify as limited rights data or restricted computer software, and deliver form, fit, and function data in lieu thereof. The latter clause also may be used with its Alternates II and/or III to obtain delivery of limited Page 99 of 131 RFP-97-005 rights data or restricted computer software, marked with limited rights or restricted rights notices, as appropriate. In addition, use of Alternate V with this latter clause provides the Government the right to inspect such data at the Contractor's facility. (b) As an aid in determining the Government's need to include any of the aforementioned Alternates in the clause at 52.227-14, Rights in Data -- General, the offeror's response to this solicitation shall, to the extent feasible, complete the representation in paragraph (b) of this clause to either state that none of the data qualify as limited rights data or restricted computer software, or identify which of the data qualifies as limited rights data or restricted computer software. Any identification of limited rights data or restricted computer software in the offeror's response in not determinative of the status of such data should a contract be awarded to the offeror. REPRESENTATION CONCERNING DATA RIGHTS Offeror has reviewed the requirements for the delivery of data or software an states (offeror check appropriate block)-- [ ] None of the data proposed for fulfilling such requirements qualifies as limited rights data or restricted computer software. [ ] Data proposed for fulfilling such requirements qualify as limited rights data or restricted computer software and are identified as follows: _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ NOTE: "Limited rights data" and "Restricted computer software" are defined in the contract clause entitled "Rights In Data -- General". K.29 CLEAN AIR AND WATER CERTIFICATION (FAR 52.223-1) (APRIL 1984) The Offeror certifies that-- (A) Any facility to be used in the performance of this proposed contract is [_], is not [_] listed on the Environmental Protection Agency List of Violating Facilities; (B) The Offeror will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the Offeror proposes to use for the performance of the contract is under consideration to Page 100 of 131 RFP-97-005 be listed on the EPA List of Violating Facilities; and (C) The Offeror will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract. K.30 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (52.230-1) (APR 1996) NOTE: This notice does not apply to small businesses or foreign governments. This notice is in three parts, identified by Roman numerals I through III. Offerors shall examine each part and provide the requested information in order to determine Cost Accounting Standards (CAS) requirements applicable to any resultant contract. If the offeror is an educational institution, Part II does not apply unless the contemplated contract will be subject to full or modified CAS coverage pursuant to 48 CFR 9903.201-2(c)(5) or 9903.201-2(c)(6), respectively. I. DISCLOSURE STATEMENT-COST ACCOUNTING PRACTICES AND CERTIFICATION (a) Any contract in excess of $500,000 resulting from this solicitation, except contracts in which the price negotiated is based on (1) established catalog or market prices of commercial items sold in substantial quantities to the general public, or (2) prices set by law or regulation, will be subject to the requirements of the Cost Accounting Standard Board 48 CFR, Chapter 99, except for those contracts which are exempt as specified in 48 CFR 9903.201-1. (b) Any offeror submitting a proposal which, if accepted, will result in a contract subject to the requirements of 48 CFR, Chapter 99, as a condition of contracting, submit a Disclosure Statement as required by 48 CFR 9903.202. When required, the Disclosure Statement must be submitted as a part of the offeror's proposal under this solicitation unless the offeror has already submitted a Disclosure Statement disclosing the practices used in connection with the pricing of this proposal. If an applicable Disclosure Statement has already been submitted, the offeror may satisfy the requirement for submission by providing the information requested in paragraph (c) of Part I of this provision. CAUTION: In the absence of specific regulations or agreement, a practice disclosed in a Disclosure Statement shall not, by virtue of such disclosure, be deemed to be a proper, approved, or agreed-to practice for pricing proposals or accumulating and reporting contract performance cost data. (c) Check the appropriate box below: ___(1) Certificate of Concurrent Submission of Disclosure Statement. Page 101 of 131 RFP-97-005 The offeror hereby certifies that, as a part of the offer, copies of the Disclosure Statement have been submitted as follows: (i) original and one copy to the cognizant Administrative Contracting Officer (ACO), or cognizant Federal agency official authorized to act in that capacity (Federal official), as applicable, and (ii) one copy to the cognizant Federal auditor. (Disclosure must be on Form No. CASB DS-1 or CASB DS-2, as applicable. Forms may be obtained from the cognizant ACO or Federal official and/or from the loose-leaf version of the Federal Acquisition Regulation.) Date of Disclosure Statement: _______________________________ Name and Address of Cognizant ACO or Federal Official Where Filed: ____________________________________________ ____________________________________________ ____________________________________________ ____________________________________________ The offeror further certifies that practices used in estimating costs in pricing this proposal are consistent with the cost accounting practices disclosed in the Disclosure Statement. ___(2) Certificate of Previously Submitted Disclosure Statement. The offeror hereby certifies that Disclosure Statement was filed as follows: Date of Disclosure Statement: _______________________________ Name and Address of Cognizant ACO or Federal Official Where Filed: ____________________________________________ ____________________________________________ ____________________________________________ ____________________________________________ The offeror further certifies that the practices used in estimating costs in pricing this proposal are consistent with the cost accounting practices disclosed in the applicable Disclosure Statement. ___(3) Certificate of Monetary Exemption. The offeror hereby certifies that the offeror, together with all divisions, subsidiaries, and affiliates under common control, Page 102 of 131 RFP-97-005 did not receive net awards of negotiated prime contracts and subcontracts subject to CAS totaling more than $25 million (of which at least one award exceeded $1 million) in the cost accounting period immediately preceding the period in which this proposal was submitted. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Contracting Officer immediately. ___(4) Certificate of Interim Exemption. The offeror hereby certifies that (i) the offeror first exceeded the monetary exemption for disclosure, as defined in (3) of this subsection, in the cost accounting period immediately preceding the period in which this offer was submitted and (ii) in accordance with 48 CFR 9903.202-1, the offeror is not yet required to submit a Disclosure Statement. The offeror further certifies that if an award resulting from this proposal has not been made within 90 days after the end of that period, the offeror will immediately submit a revised certificate to the Contracting Officer, in the form specified under subparagraph (c)(1) or (c)(2) of Part I of this provision, as appropriate, to verify submission of a completed Disclosure Statement. CAUTION: Offerors currently required to disclose because they were awarded a CAS-covered prime contract or subcontract of $25 million or more in the current cost accounting period may not claim this exemption (4). Further, the exemption applies only in connection with proposals submitted before expiration of the 90-day period following the cost accounting period in which the monetary exemption was exceeded. II. COST ACCOUNTING STANDARDS-ELIGIBILITY FOR MODIFIED CONTRACT COVERAGE If the offeror is eligible to use the modified provisions of 48 CFR, Subpart 9903.201-2(b) and elects to do so, the offeror shall indicate by checking the box below. Checking the box below shall mean that the resultant contract is subject to the Disclosure and Consistency of Cost Accounting Practices clause in lieu of the Cost Accounting Standards clause. ___ The offeror hereby claims an exemption from the Cost Accounting Standards clause under the provisions of 48 CFR 9903.201-2(b) and certifies that the offeror is eligible for use of the Disclosure and Consistency of Cost Accounting Practices clause because (i) during the cost accounting period immediately preceding the period in which this proposal was submitted, the offeror received less than $25 million in awards of CAS-covered prime contracts and subcontracts, or the offeror did not receive a single CAS-covered award exceeding $1 million. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Contracting Officer immediately. CAUTION: An offeror may not claim the above eligibility for modified contract coverage if this proposal is expected to result in Page 103 of 131 RFP-97-005 the award of a CAS-covered contract of $25 million or more or if, during its current cost accounting period, the offeror has been awarded a single CAS-covered prime contract or subcontract of $25 million or more. III. ADDITIONAL COST ACCOUNTING STANDARDS APPLICABLE TO EXISTING CONTRACTS The offeror shall indicate below whether award of the contemplated contract would, in accordance with subparagraph (a)(3) of the Cost Accounting Standards clause, require a change in established cost accounting practices affecting existing contracts and subcontracts. ___ YES ___ NO (End of Provision) ALTERNATE I (APR 1996). As prescribed in 30.201-3(b), add the following subparagraph (c)(5) to Part I of the basic provision: [__] (5) Certificate of Disclosure Statement Due Date by Educational Institution. If the offeror is an educational institution that, under the transition provisions of 48 CFR 9903.202-1(f), is or will be required to submit a Disclosure Statement after receipt of this award, the offeror hereby certifies that (check one and complete): [__] (i) A Disclosure Statement Filing Due Date of ____________________ has been established with the cognizant Federal agency. [__] (ii) The Disclosure Statement will be submitted within the 6-month period ending ____________ months after receipt of this award. Name and Address of Cognizant ACO or Federal Official Where Disclosure Statement is to be Filed: __________________________________________________ __________________________________________________ __________________________________________________ __________________________________________________ Page 104 of 131 RFP-97-005 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS L.1 TYPE OF CONTRACT (ED 311-1) (MARCH 1986) The Government contemplates award of a Cost Reimbursement type contract from this solicitation. L.2 AVAILABILITY OF THE FEDERAL ADP AND TELECOMMUNICATIONS STANDARDS INDEX (APRIL 1989) Copies of the "Federal ADP and Telecommunications Standards Index" may be obtained by submitting a written request to the Superintendent of Documents; U.S. Government Printing Office; Washington, D.C. 20402. L.3 PRIVACY AND SECURITY SAFEGUARDS FAR 239-1 (AUG 1996) (a) The details of any safeguards the contractor may design or develop under this contract are the property of the Government and shall not be published or disclosed in any manner without the contracting officer's express written consent. (b) The details of any safeguards that may be revealed to the contractor by the Government in the course of performance under this contract shall not be published or disclosed in any manner without the contracting officer's express written consent. (c) The Government shall be afforded full, free, and uninhibited access to all facilities, installations, technical capabilities, operations, documentation, records, and data bases for the purpose of carrying out a program of inspection to ensure continued efficacy and efficiency of safeguards against threats and hazards to data security, integrity, and confidentiality. (d) If new or unanticipated threats or hazards are discovered by either the Government or the contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party. Mutual agreement shall then be reached on changes or corrections to existing safeguards or institution of new safeguards, with final determination of appropriateness being made by the Government. The Government's liability is limited to an equitable adjustment of cost for such changes or corrections, and the Government shall not be liable for claims of loss of business, damage to reputation, or damages of any other kind arising from discovery of new or unanticipated threats or hazards, or any pubilic or private disclosure thereof. Page 105 of 131 RFP-97-005 (End of Clause) L.4 GENERAL INSTRUCTIONS (ED 311-2) (MAR 1997) The following instructions establish the acceptable minimum requirements for the format and content of proposals: Your special attention is directed to the requirements for technical and business proposals and past performance report to be submitted in accordance with these instructions. Any resultant contract shall include the general provisions applicable to the selected offeror's organization and type of contract awarded. Copies of general provisions may be obtained by contacting the Contracting Officer. Any additional clauses required by public law, executive order, or acquisition regulations, in effect at the time of execution of the proposed contract, will be included. The proposal must be prepared in three parts: A "Technical Proposal," "Business Proposal," and a "Past Performance Report." Each of the parts shall be separate and complete in itself so that evaluation of one may be accomplished independently of evaluation of the other. The technical proposal must not contain reference to cost; however, resource information, such as data concerning labor hours and categories, materials, subcontracts, etc., must be contained in the technical proposal so that your understanding of the scope of the work may be evaluated. It must disclose your technical approach in sufficient detail to provide a clear and concise presentation that includes, but is not limited to, the requirements of the technical proposal instructions. The proposal must be signed by an official authorized to bind your organization. You must submit an original and 8 copies of your technical proposal and an original and 4 copies of your business proposal and an original and one copy of your past performance report to: U. S. Department of Education Support Services Group GSA Building, Room 3616 (Mail Stop 4443) 7th & D Streets, S.W. Washington, D. C. 20202 Hand-carried proposals must be delivered by entering through the 'D' Street entrance of the building and stopping at the Guard's Desk. Offerors are directed to call the Support Services Group (SSG) at 708-8191. Offerors should indicate for which RFP number they are submitting a proposal and should have proper identification. Offerors will be required to sign in and be escorted to SSG where the proposal will be officially received. Offerors should consider this delay in meeting the time specified for proposal receipt. Page 106 of 131 RFP-97-005 You may, at your discretion, submit alternate proposals, or proposals which deviate from the requirements; PROVIDED, that you also submit a proposal for performance of the work, as specified in the statement of work. These proposals may be considered if overall performance would be improved or not compromised and if they are in the best interest of the Government. Alternate proposals, or deviations from any requirements of this RFP, must be clearly identified. The Government will evaluate proposals in accordance with the evaluation criteria set forth in Section M of this request for proposals. Offerors are encouraged to submit proposals on recycled paper with a high post-consumer waste content. It is understood that your proposal will become part of the official contract file. The RFP does not commit the Government to pay any cost for the preparation and submission of a proposal. In addition, the Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds in connection with this proposed acquisition. L.5 TECHNICAL PROPOSAL INSTRUCTIONS (ED 311-3) (MARCH 1986) Proposals which merely offer to conduct a program in accordance with the requirements of the Government's scope of work will not be eligible for award. You must submit an explanation of the proposed technical approach in conjunction with the tasks to be performed in achieving the project objectives. A detailed work plan must be submitted indicating how each aspect of the statement of work is to be accomplished. Your technical approach should be in as much detail as you consider necessary to fully explain your proposed technical approach or method. The technical proposal should reflect a clear understanding of the nature of the work being undertaken. The technical proposal must include information on how the project is to be organized, staffed, and managed. Information should be provided which will demonstrate your understanding and management of important events or tasks. You must explain how the management and coordination of consultant and/or subcontractor efforts will be accomplished. The technical proposal must include a list of names and proposed duties of the professional personnel, consultants, and key subcontractor employees assigned to the project. Their resumes should be included and should contain information on education, background, recent experience, and specific requirement related or technical accomplishments. The approximate percentage of time each individual will be available for this project must be included. Page 107 of 131 RFP-97-005 The proposed staff hours for each of the above individuals should be allocated against each task or subtask for the project. The technical proposal must provide the general background, experience, and qualifications of the organization. Similar or related contracts, subcontracts, or grants should be included and contain the name of the customer, contract or grant number, dollar amount, time of performance, and the names and telephone numbers of the contracting officer's technical representative or project officer and contracting/grants officer. The technical proposal must contain a discussion of present or proposed facilities and equipment which will be used in the performance of the contract. The technical proposal must be prepared and submitted in the following format: 1. Introductory Material 2. Rational and General Technical Approach 3. Discussion of Specific Tasks 4. Qualifications of Key Personnel 5. Organizational Capacity and Commitment 1. Introductory Material The proposals must contain a cover page which states the name, address, and telephone number of the offeror. If the offeror has more than one office address, there should be no ambiguity about which office is submitting the proposal. The proposal must be signed by a person authorized to bind the organization contractually. The offeror must also state the name and telephone number of the person(s) authorized to conduct the negotiation. Proposals must contain a table of contents which identifies authors of each major section. 2. Rationale and General Technical Approach The offeror is required to provide a comprehensive technical plan for only the first year of the award period; for each of the remaining four years, offeror must describe general technical strategies and discuss how their activities, objectives and processes will evolve while continuing to fulfill the tasks of the RFP. This section shall describe the overall design for accomplishing the tasks of the work statement. It must include the offeror's technical approach to establishing, operating, and managing the Clearinghouse. The offeror must discuss its understanding of this Clearinghouse, its philosophy for operating this contract, Page 108 of 131 RFP-97-005 and its ability to successfully undertake the work required. The offeror shall demonstrate an in-depth knowledge of the scope and functions of the Clearinghouse, and undertaking of the relationship of the Clearinghouses to component of the ERIC system, methods the offeror will use to acquire, synthesize, and disseminate information, and familiarity with other information resource providers and networks. Each proposal shall discuss the offeror's general technical approach to establishing and managing a clearinghouse. This discussion must demonstrate in-depth knowledge of the scope of interest assigned to the clearinghouse, and an understanding of the relationship to the components of the ERIC system. In presenting their general technical approach, offerors shall discuss fully the proposed scope of interest for the clearinghouse, present a critical analysis of the emerging trends and issues of the field, and provide explicit plans and procedures for responding to these trends and issues. Offeror must show how the expertise and experience of the organization will be applied to covering the scope area as well as to clearinghouse management and operations. Each proposal shall explain how the offeror will assure objectivity and impartiality in clearinghouse activities, including-- in the case of offerors that promote specific approaches or products in a field covered by the clearinghouse-- provisions to assure that the clearinghouse is not used to promote the host institution's (if any) approaches or products. 3. Discussion of Specific Tasks The offeror shall fully address plans for accomplishing each of the tasks required in the RFP. The offeror, in developing the technical plans, is to be responsive to the tasks, but is also encouraged to propose and discuss alternative and creative approaches to the work required, and when possible, to provide actual examples of activities for the first contract year. Offerors must describe specific procedures that will be followed for each task and reasons why these procedures are the most effective to achieve the objectives of the project and to avoid problems. The proposal must also present a plan to ensure a timely and successful completion of each task. These procedures must conform to ERIC systems standards, as described in the guides and manuals referred to in this RFP. Copies of ERIC guides and manuals are available for review at the National Library of Education, 555 New Jersey Ave. N.W. Washington, D.C. 20208. The offeror must include a management plan that clearly describes the allocation of personnel, resource utilization, and scheduling of specific tasks and deliverables. The plan must provide timeliness, including milestones, for work performed on each Page 109 of 131 RFP-97-005 task, as well as, a demonstrated understanding of the interrelationship of tasks. The plan must develop a system for ensuring the timely and successful completion of each task, including procedures for ensuring quality control of processes and products. Offerors must present plans for all tasks, for a full period of performance. As noted above, a comprehensive discussion of project activities, staff arrangements, processing schedules, and products must be provided only for the first year of the contract. Plans for the final four years include objectives, general strategies, and estimates of the allocation of resources among the different tasks. The Clearinghouse shall develop a network of Partners in order to expand, formalize, and systematize relationships with organizations which have members or customers, who are both the producers and users of education facilities' information. The proposal shall also contain the list of titles or topics of the proposed Digests for the first year. The Contractor's proposal shall contain the publication plan for the 6 major publications, containing publication titles, authors, description type, intended audiences and date of publication for the first year. One of the major publications shall be a comprehensive directory of recently built schools that can serve as models. Another of the major publications should be a detailed survey/set of case studies of successful, innovative financing strategies. The proposal shall include any special projects (Subtask 6) that the offeror has to develop or implement new products or services or to assess the use of materials in educational settings. 4. Qualifications of Key Personnel The contractor shall recruit and assign staff, and develop policies, procedures, and training opportunities for their effective utilization. A professional staff with overall suitable technical and subject-area qualifications is required. The contractor shall appoint a Clearinghouse Director, who shall be a nationally recognized scholar or practitioner in education management, school finance, civil engineering or an allied field and shall have demonstrated leadership skills. The contractor shall also designate an Associate Director, who can function in the Director's absence and shall be accountable--with the Director--for day-to-day management. Other senior staff members will have advanced work experience and/or degrees in architecture, information science, computer technology, and publications production. Complete detailed resumes are required to be submitted for all key personnel. Clearinghouse staff shall also include, as necessary and appropriate: senior, junior and research-level staff with Page 110 of 131 RFP-97-005 complementary knowledge of the Clearinghouse subject fields, administrative capabilities, knowledge of information science, and capability to carry out document review and processing; and, administrative and clerical staff. The offeror must include a staffing plan and person-loading chart which include actual hours and percentages of time to be devoted to each task. Key personnel (i.e., staff with major responsibilities) must be listed by name, title, responsibilities and percentage of time committed to the project. The address and phone number of each proposed key staff member must be provided. The qualifications of key personnel: Director of the Clearinghouse on Education Facilities: The Director shall have a minimum of a Ph.D. in civil engineering, architecture, school financing, facility planning, or other allied field; must be a recognized expert in his field; experienced in dealing with national associations, such as school boards, school business officers, educational facility planners, and school superintendents. The Director will be responsible for overall management of the Clearinghouse including the planning, development, staffing, coordination, and reporting activities. Associate Director: Takes the place of the Director in his absence; must have a Masterþs Degree, at a minimum, in the fields of education, management, information science or technology. Supervises, controls, and performs the specific daily tasks to complete the necessary performance and deliverables of the contractual requirements. Architect: Provides in-depth experience in facilities design and construction. Knowledge of technological applications, energy efficiency, construction techniques, acoustical design, etc. are required. Day-to day activities will be providing evaluation of all aspects of school construction and technical support. Engineer: Provides day-to-day support for all aspects of the technical questions involving facilities construction and/or retrofitting. Advanced experience and training in at least one of these areas is necessary. Information Specialist: Provides day-to-day support for database support and oversight. An advanced degree in library science is necessary. 5. Organizational Capacity and Commitment The proposal must demonstrate clearly how the work of the Clearinghouse is related to the mission and work of the offeror, and how the offeror's organizational capability, staff expertise, and resources will be harnessed to establish and operate the Clearinghouse. Short abstracts of related work must include the name, current affiliation, and current telephone number of the work's monitor. Corporate facilities, hardware and software to Page 111 of 131 RFP-97-005 be used in the performance of this scope of work must be described. In response to this proposal the Clearinghouse shall include in the proposal, a detailed plan indicating its activities for dissemination and practitioner-oriented services. The plan shall include active strategies for producing and distributing materials covering its particular scope area. It shall address the information needs of a wide variety of current and potential users, including policy makers, school administrators, public and private schoolsþ facility directors both at the state and local levels. The plan shall also include the development and use of technologies including a world wide web site, 800 (toll-free number), video-conferencing, etc., in its dissemination activities. L.6 PAST PERFORMANCE REPORT (ED 314-1) (MAR 1996) Each offeror shall submit the following information as a separately bound part of its proposal for both the offeror and proposed major subcontractors. Major, as defined here and in the remainder of sections L and M regarding past performance, is any subcontractor that is subcontracted for a minimum of 25% of the total contract amount. If the offeror has no relevant corporate or organizational past performance, the offeror may substitute past performance of its management or proposed key personnel. Subcontractors who submit the past performances form must have the prime contractors', for whom they are subcontracting with in this procurement, name on the form also. A. Each offeror shall submit information about its most recent four contracts, completed in the last three years or currently in process, which are of similar size, scope, complexity or, in any way, are relevant to the effort required by this solicitation. If the offeror's last four similar contracts are all currently in process, submit the last three similar contracts currently in process, and the most recent similar contract completed within the last three years. Contracts listed may include those entered into by the Federal Government, agencies of State and local governments and commercial customers. Contracts with the parent or an affiliate of the offeror may not be used. Include the following information for each contract and subcontract: 1. Identification a. Name of the contracting activity b. Program title or product name c. Contract number d. Contract type e. Period of performance, including all option periods f. Contract Value: Page 112 of 131 RFP-97-005 (1) Initial projected total contract amount including all option periods (2) Final or current projected total contract amount including all option periods g. Points of Contact (1) Contracting officer and telephone and fax number and e-mail address (if known) (2) Administrative contracting officer, if different from above, and telephone and fax number and e-mail address (if known) (3) Program manager, COTR or technical officer and telephone and fax number and e-mail address (if known) 2. Work performed and relevance a. Brief synopsis of work performed b. Brief discussion of how the work performed is relevant to the statement of work in this solicitation c. Brief, specific examples of the offeror's high quality performance 3. If any of the listed contracts are award-fee or incentive contracts, include a table showing fees awarded and the minimum and maximum available fee for each period. 4. Paragraph E. below requires you to send a copy of the "Contractor Information Form" to each of your references. In your past performance report, include: a. The date you sent the "Contractor Information Form" to each reference. b. How you sent it (e.g., fax, mail, express delivery service, courier, e-mail, etc.). c. To whom you sent it including telephone and fax number and e-mail address (if known). B. The offeror may provide information on problems encountered on the contracts and subcontracts identified in A above and corrective actions taken to resolve those problems. Other than the information requested in A above, offerors should not provide general information on their performance on the identified contracts. General performance information will be obtained from the references. C. Offerors should understand the difference between experience and past performance. Experience reflects the offeror's capability of performing a requirement. Past performance reflects how well it has performed similar requirements. In assessing past performance, the quality of the offeror's past performance is of primary significance, not the quantity of previous contracts performed. An offeror's experience will be evaluated in the technical proposal. For further guidance on Page 113 of 131 RFP-97-005 including information on experience or how experience will be evaluated refer to the technical proposal instructions and evaluation criteria. D. The offeror may describe any quality awards or certifications that indicate the offeror possesses a high-quality process for developing and producing the product or service required. Such awards or certifications include, for example, the Malcolm Baldrige Quality Award, other government quality awards, and private sector awards or certifications (e.g., the automobile industry's QS 9000, Sematech's SSQA, or ANSI/EIA-599). Identify which segment of the company (one division or the entire company) received the award or certification. Describe when the award or certification was bestowed. If the award or certification is over three years old, present evidence that the qualifications still apply. Information about awards will be considered in evaluation of each of the past performance subfactors described in Section M. The offeror may describe how the award relates to one or more of the subfactors. E. No later than the date proposals are due under this solicitation (see Block 9 of Standard Form 33), send a copy to each of your four references of the "Contractor Performance Information" form attached to this solicitation. Ask each reference to complete the form and return it to the contracting officer as prescribed on the form. Completed forms from references are due l0 calendar days after the date proposals are due under this solicitation. Request that the reference please return the completed form to the contracting officer by this date. Do not ask the reference to give you a copy of the completed form or any information therefrom. F. Each offeror will be evaluated on its performance under existing and prior contracts for similar products or services. Performance information will be used for both responsibility determinations and as an evaluation factor against which offerors' relative rankings will be compared to assure best value to the government. The government will focus on information that demonstrates quality of performance relative to the size and complexity of the procurement under consideration. The "Contractor Performance Information" form identified in Section J will be used to collect this information. References other than those identified by the offeror may be contacted by the Government with the information received used in the evaluation of the offeror's past performance. L.7 BUSINESS PROPOSAL INSTRUCTIONS The offeror(s) business proposal must address and breakout all costs for Tasks 1-5 and 7, including all subtasks. Task 7 will be a one time cost only. Task 6 will be negotiated at the time a special project is proposed. If the offeror(s) proposes a special project with their offer, then all costs must be broken out Page 114 of 131 RFP-97-005 and addressed. All costs as stated above, must be addressed and broken out for the base year and all option periods. The proposal will be evaluated for purposes of award by adding the total price of the base year and all Option Periods. The offeror(s) business proposal must also contain the following information: A. Standard Form 33, "Solicitation, Offer and Award", the Special Provision article entitled "Contract Administrator," and "Representations, Certifications, and Other Statements of Offerors or Quoters of Section K" must be properly filled out and signed by an official authorized to bind the offeror. Your proposal must stipulate that it is predicated upon all the terms and conditions of this RFP. B. The information, if any, required by the provision FAR 52.215-41, "Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data, Alternative IV" as incorporated in Section L of this solicitation. C. Property and equipment - It is ED policy that contractors provide all equipment and facilities necessary for performance of contracts; however, in some instances, an exception may be granted to furnish Government-owned property or to authorize purchase with contract funds. If additional equipment must be acquired, you must include in your proposal the description and estimated cost of each item, and whether you propose to acquire the item with your own funds. The description shall include the following elements for individual items which will exceed $1,000 in cost: (1) A brief statement of function; (2) manufacturer and manufacturer's brand name, model or part number; and (3) vendor and its proposed price. You must identify all Government-owned property in your possession and all property acquired from Federal funds, to which you have title, that is proposed to be used in the performance of the prospective contract. D. Other Administrative Details: (1) The proposal shall list the names and telephone numbers of persons authorized to conduct negotiations. (2) Block 12 of Standard Form 33 must contain a Statement to the effect that your offer is firm for a period of at least 60 calendar days from the date of receipt of offers specified by the Government. Page 115 of 131 RFP-97-005 E. Responsibility of Prospective Contractor - In order for an offeror to receive a contract, the contracting officer must first make an affirmative determination that the prospective contractor is responsible in accordance with the provisions of FAR 9.104. To assist the contracting officer in this regard, the offeror shall supply sufficient categorical descriptions and statements to establish the following: (1) The offeror's financial capability; including detail for the accounting system and controls employed by the offeror; (2) the offeror's capability to meet delivery or performance schedules; (3) the offeror's record of business integrity; (4) the offeror's possession of necessary organizational experience, technical skills or the ability to obtain them; (5) the offeror's possession of necessary facilities; or the ability to obtain them; and (6) the offeror's compliance with subcontract requirements; and (7) any other special considerations involved in the acquisition. F. The attached vendor payment Enrollment Form is not required to be submitted with your proposal. However, be aware, that should you be awarded this contract, a properly completed Enrollment Form must be submitted to the contracting officer within 5 days of contract award. Please ensure that you have available the financial information required on the form, as payment on this contract will be accomplished through EFT. NOTE: THESE DESCRIPTIONS AND STATEMENTS SHOULD ALSO BE INCORPORATED IN THE TECHNICAL PROPOSAL, AS CONDUCIVE OF SEPARATE EXAMINATION BY THE TECHNICAL EVALUATORS DURING THE PROCESS OF TECHNICAL EVALUATION. L.8 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION OTHER THAN COST OR PRICING DATA (FAR 52.215-41, ALTERNATE IV) (OCT 1995) (a) Submission of cost or pricing data is not required. (b) Provide information described below: As part of its business proposal, the offeror shall submit information to help the contracting officer determine the of the proposed price and assess cost realism. The offeror should include at least the following information: The estimated cost and fixed-fee (if any) for the base contract Page 116 of 131 RFP-97-005 period and for any option periods; Salaries of proposed key personnel; Number of hours proposed for key personnel; Indirect cost rates used in preparing the cost proposal; Any property or equipment costing over $l,000 proposed for purchase; and Significant assumptions used, such as inflation rates for subsequent years. The offeror may use Standard Form l448, Proposal Cover (Cost or Pricing Data Not Required) or its own format for this information. Instructions for completing SF l448 are in Table l5-3 at FAR l5.804-6. The offeror may include other information to show that the offeror can complete the work at the proposed price. The contracting officer reserves the right to require cost pricing data if the contracting officer subsequently determines that none of the exceptions under FAR l5.804-l apply and that the amount exceeds the threshold at FAR l5.804-2(a)(l). (End of provision) L.9 ADDITIONAL INSTRUCTION FOR PROPOSAL FOR ADP SECURITY COMPLIANCE (ED 311-17) (FEBRUARY 1988) Potential offerors are directed to the security requirements under the clause entitled "Automated Data Processing (ADP) System Security Requirements", ED 307-13. Technical proposals must include a separately detailed plan for meeting these requirments, including any necessary subcontract applications. Submission of these plans shall serve as certifications of the offerors' full intent for compliance. L.10 SMALL, SMALL DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS SUBCONTRACTING PLAN (FAR 52.219-9) (OCT 1995) (a) This clause does not apply to small business concerns. (b) "COMMERCIAL PRODUCT," as used in this clause, means a product in regular production that is sold in substantial quantities to the general public and/or industry at established catalog or market prices. It also means a product which, in the opinion of the Contracting Officer, differs only insignifi- cantly from the contractor's commercial product. Page 117 of 131 RFP-97-005 "SUBCONTRACT," as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a Federal Government prime Contractor or subcontractor calling for supplies or services required for performance of the contract or subcontract. (c) The offeror, upon request by the Contracting Officer, shall submit and negotiate a subcontracting plan, where applicable, which separately addresses subcontracting with small business concerns, with small disadvantaged business concerns and with women-owned small business concerns. If the offeror is submit- ting an individual contract plan, the plan must separately address subcontracting with small business concerns, small disadvantaged business concerns, and women-owned small business concerns with a separate part for the basic contract and separate parts for each option (if any). The plan shall be included in and made a part of the resultant contract. The subcontracting plan shall be negotiated within the time specified by the Contracting Officer. Failure to submit and negotiate the subcontracting plan shall make the offeror ineligible for award of a contract. (d) The offeror's subcontracting plan shall include the following: (1) Goals, expressed in terms of percentages of total planned subcontracting dollars, for the use of small business concerns, small disadvantaged business concerns and women- owned small business concerns as subcontractors. The offeror shall include all subcontracts that contribute to contract performance, and may include a proportionate share of products and services that are normally allocated as indirect costs. (2) A statement of: (i) Total dollars planned to be subcontracted; (ii) Total dollars planned to be subcontracted to small business concerns; (iii) Total dollars planned to be subcontracted to small disadvantaged business concerns; and (iv) Total dollars planned to be subcontracted to women-owned small business concerns. (3) A description of the principal types of supplies and services to be subcontracted, and an identification of the types planned for subcontracting to: (i) small business concerns; (ii) small disadvantaged business concerns; and (iii) women-owned small business concerns. (4) A description of the method used to develop the subcontracting goals in paragraph (d)(1) of this clause. (5) A description of the method used to identify potential Page 118 of 131 RFP-97-005 sources for solicitation purposes (e.g., existing company source lists, the Procurement Automated Source System (PASS) of the Small Business Administration, the National Minority Purchasing Council Vendor Information Service, the Research and Information Division of the Minority Business Development Agency in the Department of Commerce, or small, small disadvantaged business concerns and women-owned small business concerns trade associations). A firm may rely on PASS as its small business source list. Use of the PASS as its source list does not relieve a firm of its responsibilities (i.e., outreach, assistance, counseling, pubicizing subcontracting opportunities) in this clause. (6) A statement as to whether or not the offeror included indirect costs in establishing subcontracting goals, and a description of the method used to determine the proportinate share of indirect costs to be incurred with (i) small business concerns; (ii) small disadvantaged business concerns; and (iii) small women-owned business concerns. (7) The name of individual employed by the offeror who will administer the offeror's subcontracting program, and a description of the duties of the individual. (8) A description of the efforts the offeror will make to assure that small, small disadvantaged and women-owned smaall business concerns have an equitable opportunity to compete for subcontracts. (9) Assurances that the offeror will include the clause on this contract entitled "Utilization of Small, Small Disadvantaged and Women-Owned Small Business Concerns" in all subcontracts that offer further subcontracting opportunities, and that the offeror will require all subcontractors (except small business concerns) who receive subcontracts in excess of $500,000 ($1,000,000 for construction of any public facility), to adopt a plan similar to the plan agreed to be the offeror. (10) Assurances that the offeror will: (i) cooperate in any studies or surveys as may be required, (ii) submit periodic reports in order to allow the Government to determine the extent of compliance by the offeror with the subcontracting plan, (iii) submit Standard Form (SF) 294, Subcontracting Report for Individual Contracts, and/or SF 295, Summary Subcontract Report, in accordance with the instructions on the forms, and (iv) ensure that its subcontractors agree to submit Standard Form 294 and 295. Page 119 of 131 RFP-97-005 (11) A recitation of the types of records the offeror will maintain to demonstrate procedures that have been adopted to comply with the requirements and goals in the plan, including establishing source lists; and a description of its efforts to locate small, small disadvantaged and women-owned small business concerns and award subcontracts to them. The records shall include at least the following (on a plant-wide or company-wide basis, unless otherwise indicated): (i) Source lists (e.g., PASS), guides, and other data that identify small, small disadvantaged and women-owned small business concerns. (ii) Organizations contacted in an attempt to locate sources that are small, small disadvantaged and women-owned small business concerns. (iii) Records on each subcontract solicitation resulting in an award of more than $100,000, indicating: (a) whether small business concerns were solicited and if not, why not, (b) whether small disadvantaged business concerns were solicited and if not, why not, (c) whether women-owned small business concerns were solicited and if not, why not, and (d) if applicable, the reason award was not made to a small business concern. (iv) Records of any outreach efforts to contact: (a) trade associations, (b) business development organizations, and (c) conferences and trade fairs to locate to locate small, small disadvantaged and women- owned small business sources. (v) Records of internal guidance and encouragement provided to buyers through: (a) workshops, seminars, training, etc., and (b) monitoring performance to evaluate compliance with the program's requirements. (vi) On a contract-by-contract basis, records to support award data submitted by the offeror to the Government, including the name, address, and business size of each subcontractor. Contractors having company or division-wide annual plans need not comply with this requirement. (e) In order to effectively implement this plan to the extent Page 120 of 131 RFP-97-005 consistent with efficient contract performance, the Contractor shall perform the following functions: (1) Assist small, small disadvantaged and women-owned small businessconcerns by arranging solicitations, time for the preparation of bids, quantities, specifications, and delivery schedules so as to facilitate the participation by such concerns. Where the Contractor's lists of potential small, small disadvantaged, and women-owned small business subcontractors are excessively long, reasonable effort shall be made to give all such small business concerns an opportunity to compete over a period of time. (2) Provide adequate and timely consideration of the potentialities of small, small disadvantaged and women- owned small business concerns in all "make-or-buy" decisions. (3) Counsel and discuss subcontracting opportunities with representatives of small, small disadvantaged and women- owned small business firms. (4) Provide notice to subcontractors concerning penalties and remedies for misrepresentations of business status as small, small disadvantaged or women-owned small business for the purpose of obtaining a subcontract that is to be included a part or all of a goal contained in the Contractor's subcontracting plan. (f) A master subcontracting plan on a plant or division-wide basis which contains all the elements required by (d) above, except goals, may be incorporated by reference as a part of the subcontracting plan required of the offeror by this clause; provided, (1) the master plan has been approved, (2) the offeror provides copies of the approved master plan and evidence of its approval to the Contracting Officer, and (3) goals and any deviations from the master plan deemed necessary by the Contracting Officer to satisfy the requirements of this contract are set forth in the individual subcontracting plan. (g) (1) If a commercial product is offered, the subcontracting plan required by this clause may relate to the offeror's production generally, for both commercial and noncommercial products, rather than solely to the Government contract. In these cases, the offeror shall, with the concurrence of the Contracting Officer, submit one company-wide or division-wide annual plan. (2) The annual plan shall be reviewed for approval by the Page 121 of 131 RFP-97-005 agency awarding the offeror its first prime contract requiring a subcontracting plan during the fiscal year, or by an agency satisfactory to the Contracting Officer. (3) The approved plan shall remain in effect during the offeror's fiscal year for all of the offeror's commercial products. (h) Prior compliance of the offeror with other such subcontracting plans under previous contracts will be considered by the Contracting Officer in determining the responsibility of the offeror for award of the contract. (i) The failure of the Contractor or subcontractor to comply in good faith with: (1) the clause of this contract entitled "Utilization of Small, Small Disadvantaged Business and Women-Owned Small Business Concerns," or (2) an approved plan required by this clause, shall be a material breach of the contract. L.11 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE REVIEW (FAR 52.222-24) (APRIL 1984) An award in the amount of $1 million or more will not be made under this solicitation unless the offeror and each of its known first-tier subcontractors (to whom it intends to award a subcontract of $1 million or more) are found, on the basis of a compliance review, to be able to comply with the provisions of the Equal Opportunity clause of this solicitation. L.12 LATE SUBMISSIONS, MODIFICATIONS, AND WITHDRAWALS OF PROPOSALS (FAR 52.215-10) (FEB 1997) (a) Any proposal received at the office designated in the solicitation after the exact time specified for receipt of offers will not be cconsidered unless it is received before award is made and - (1) It was sent by registered or certified mail not later than the fifth calendar day before the date specified for receive of offers (e.g., an offer submitted in response to a solicitation requiring receipt of offers by the 20th of the month must have been mailed by the l5th); (2) It was sent by mail (or telegram or facsimile, if authorized) or hand-carried (including delivery by a commercial carrier) if it is determined by the Government that the late receipt was due primarily to Government mishandling after receipt at the Page 122 of 131 RFP-97-005 Government installation; (3) It was sent by U.S. Postal Service Express Mail Next Day Service-Post Office to Addressee, not later than 5:00 p.m. at the place of mailing two working days prior to the date specified for receipt of proposals. The term "working days" excludes weekends and U.S. Federal holidays. (4) It was transmitted through an electronic commerce method authorized by the solicitation and was received by the Government not later than 5:00 p.m. one working day prior to the date specified for receipt of proposals; (5) There is acceptable evidence to establish that it was received at the activity designated for receipt of offers and was under the Government's control prior to the time set for receipt of offers, and the Contracting Officer determines that accepting the late offer would not unduly delay the procurement; or (6) It is the only proposal received. (b) Any modification of a proposal or quotation, including a modification resulting from the Contracting Officer's request for "best and final" offer, is subject to the same conditions as in subparagraphs (a)(1) through (1)(5) of this provision. (c) The only acceptable evidence to establish the date of mailing of a late proposal or modification sent either by U.S. Postal Service registered or certified mail is the U.S. or Canadian Postal Service postmark both on the envelope or wrapper and on the original receipt from the U.S. or Canadian Postal Service. Both postmarks must show a legible date or the proposal, quotation, or modification shall be processed as if mailed late. "Postmark" means a printed, stamped, or otherwise placed impression (exclusive of a postage meter machine impression) that is readily identifiable without further action as having been supplied and affixed by employees of the U.S. or Canadian Postal Service on the date of mailing. Therefore, offerors or quoters should request the postal clerks to place a legible hand cancellation bull's-eye postmark on both the receipt and the envelope or wrapper. (d) Acceptable evidence to establish the time of receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel. (e) The only acceptable evidence to establish the date of mailing of a late offer, modification, or withdrawal sent by Express Mail Next Day Service-Post Office to Addressee is the date entered by the post office receiving clerk on the "Express Mail Next Day Service - Post Office to Addressee" label and the postmark on both Page 123 of 131 RFP-97-005 the envelope or wrapper and on the original receipt from the U.S. Postal Service, "Postmark" has the same meaning as defined in paragraph (d) of this provision, excluding postmarks of the Canadian Postal Service. Therefore, offers or quoters should request the postal clerk to place a legible hand cancellation bull's-eye postmark on both the receipt and the envelope or wrapper. (f) Notwithstanding paragraph (A) above, a late modification of an otherwise successful proposal that makes its terms more favorable to the Government will be considered at any time it is received and may be accepted. (g) Proposals may be withdrawn by written notice or telegram (including mailgram) received at any time before award. If the solicitation authorizes facsimile proposals, proposals may be withdrawn via facsimile received at any time before award, subject to conditions specified in the provision entitled "Facsimile Proposals." Proposals may be withdrawn in person by an offeror or an authorized representative, if the representative's identity is made known and the representative signs a receipt for the proposal before award. L.13 FAILURE TO SUBMIT OFFER (FAR 52.215-15) (JUL 1995) Recipients of this solicitation not responding with an offer should not return this solicitation, unless it specifies otherwise. Instead, they should advise the issuing office by letter or postcard, or establish electronic commerc methods whether they want to receive future solicitations for similar requirements. If a recipient does not submit an offer and does not notify the issuing office that future solicitations are desired, the recipient's name may be removed from the application mailing list. L.14 CONTRACT AWARD (FAR 52.215-16) (OCT 1995) (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, cost or price and other factors, specified elsewhere in this solicitation, considered. (B) The Government may (1) reject any or all offers, (2) accept other than the lowest offer, and (3) waive informalities and minor irregularities in offers received. (C) The Government intends to evaluate proposals and award a contract after conducting written or oral discussions with all responsible offerors whose proposals have been determined to be within the competitive range. However, each initial offer should contain the offeror's best terms from a cost or price and technical standpoint. Page 124 of 131 RFP-97-005 (D) The Government may accept any item or combination of items, unless doing so is precluded by a restrictive limitation in the solicitation or the offer. (E) A written award or acceptance of 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, as provided in paragraph (D) above), whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award. Negotiations conducted after receipt of an offer do not constitute a rejection or counter offer by the Government. (F) Neither financial data submitted with an offer, nor representations concerning facilities or financing, will form a part of the resulting contract. However, if the resulting contract contains a clause providing for price reduction for defective cost or pricing data, the contract price will be subject to reduction if cost or pricing data furnished is incomplete, inaccurate, or not current. (G) The Government may determine that an offer is unacceptable if the prices proposed are materially unbalanced between line items or subline items. An offer is materially unbalanced when it is based on prices significantly less than cost for some work and prices which are significantly overstated in relation to cost for other work, and if there is a reasonable doubt that the offer will result in the lowest overall cost to the Government, even though it may be the low evaluated offer, or it is so unbalanced as to be tantamount to allowing as advance payment. (H) The Government may disclose the following information in post- award debriefings to other offerors: (1) the overall evaluated cost or price and technical rating of the successful offeror; (2) the overall ranking of all the offerors, when any ranking was developed by the agency during source selection; (3) a summary of the rationale for award; and (4) for acquisitions of commercial end items, the make and model of the item to be delivered by the successful offeror. (End of provision). L.15 PROVISION FOR EVALUATION FACTOR AMENDMENTS (ED 311-7) (MARCH 1986) It is hereby provided that the evaluation factors for award under Section M herein shall not be modified except by a formal amendment to this solicitation and that no factors other than those set in that section shall be used in the evaluation of the technical proposals. L.16 FORMS CLEARANCE PROCESS (ED 311-5) (MARCH 1986) Reference is made to the General Provision entitled "Paperwork Page 125 of 131 RFP-97-005 Reduction Act." If the contractor has proposed the use of any plan, questionnaire, interview guide or other similar device which calls either for answers to identical questions from ten or more persons other than Federal employees or information from Federal employees which is outside the scope of their employment, any of which is to be used by the Federal Government or disclosed to third parties, clearances from the Deputy Under Secretary for Management or his/her delegate within the Department of Education and the Office of Management and Budget shall first be obtained. Those should be expected to take at least 120 days together. Offerors' proposals shall accordingly reflect that 120 day period in proposal timelines if the Paperwork Reduction Act is applicable. L.17 SERVICE OF PROTESTS (FAR 52.233-2) (OCTOBER 1995) (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 General Accounting Office (GAO) or the General Services Administration Board of Contract Appeals (GSBCA), shall be served on the Contracting Officer by obtaining written and dated acknowledgement of receipt from the individual specified in block (10) of SF33. (b) The copy of any protest shall be received in the office designated above on the same day a protest is filed with the GSBCA or within one day of filing a protest with the GAO. (c) In this procurement, you may not protest to the GSBCA because of the nature of the supplies or services being procured. L.18 STANDARD INDUSTRIAL CODE AND SMALL BUSINESS SIZE STANDARD (FAR 52.219-22) (JANUARY 1991) (a) The standard industrial classification (SIC) code for this acquisition is 8999. (b) (1) The small business size standard is $5,000,000. (2) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees. L.19 SMALL BUSINESS SIZE STANDARD (ANNUAL DOLLAR RECEIPTS) - ALTERNATE 1 (ED 311-9A) (MARCH 1986) Page 126 of 131 RFP-97-005 This acquisition is not a set aside for small businesses. A small business size standard, in accordance with solicitation provision FAR 52.219-22, entitled "Standard Industrial Code and Small Business Size Standard", may still apply, however. This may serve to identify small businesses under any small business subcontracting requirement or for possible consideration under the evaluation factors at Section M. L.20 FACILITIES CAPITAL COST OF MONEY (FAR 52.215-30) (SEPT 1987) (Note: This provision only applies to commercial organizations that are subject to the cost principles in FAR Subpart 31.2.) (a) Facilities capital cost of money will be an allowable cost under the contemplated contract if the criteria for allowability in subparagraph 31.205-10(a)(2) of the Federal Acquisition Regulation are met. One of the allowability criteria requires the prospective contractor to propose facilities capital cost of money in its offer. (b) If the prospective Contractor does not propose this cost, the resulting contract will include the clause Waiver of Facilities Capital Cost of Money. L.21 EXPLANATION TO PROSPECTIVE OFFERORS Any prospective offeror desiring an explanation or interpretation of the solicitation, drawings, specification, etc., must request it in writing within 15 days of the RFP issuance date. Requests transmitted via facsimile (fax) are acceptable at (202) 708-9817. Electronic submission or requests are encouraged and should be sent to Anmarie_Lippert@ed.gov. Should any request for clarification be received after the date stated above, the government reserves the right not to provide an answer. If however, in the government's opinion, the request cites an issue of significant important, the government may provide written reponses to all offerors. Oral explanations or instructions given before the The government will not provide any information concerning requests for clarification in response to telephone calls from offerors. Oral explanations or instructions give by the government before the award of the contract will not be binding. Any information given to a prospect offeror concerning a solicitation will be furnished promptly to all other prospective offerors as an amendment of the solicitation, if that information is necessary in submitting offers or if the lack of it would be prejudicial to any other prospective offerors. Page 127 of 131 RFP-97-005 SECTION M - EVALUATION FACTORS FOR AWARD M.1 EVALUATION FACTORS FOR AWARD (ALTERNATE I) (ED 312-2) (FEB 1996) (A) The Government will make award to the responsible offeror(s) whose offer conforms to the solicitation and is most advantageous to the Government, cost or price and other factors considered. For this solicitation, price will be a substantial factor in source selection, however quality factors (including technical merit and past performance), considered together, are significantly more important than cost or price. The contracting officer will determine whether the difference in quality is worth the difference in cost or price. (B) Past Performance 1. Each offeror's past performance will be evaluated based on the subfactors below. The past performance rating will be combined with the technical rating at a ratio of 36% past performance to technical to produce a combined quality rating. The relative importance of combined quality factors to cost or price is described in paragraph M.1(A). 2. Past performance subfactors: a. Quality of Product or Service - compliance with contract requirements - accuracy of reports - appropriateness of personnel - technical excellence. b. Problem Resolution - anticipates and avoids or mitigates problems - satisfactorily overcomes or resolves problems - prompt notification of problems - pro-active - effective contractor-recommended solutions. c. Cost Control - within budget - current, accurate and complete billings - costs properly allocated - unallowable costs not billed - relationship of negotiated costs to actual - cost efficiencies. d. Timeliness of Performance - meets interim milestones - reliable - stays on schedule despite problems - responsive to technical direction - completes on time, including wrap-up and contract administration - no liquidated damages assessed. e. Business Relations - effective management - use of performance-based management techniques - business-like concern for the customer's interests - effective management and selection of subcontractors - effective small/small disadvantaged business subcontracting program - reasonable/cooperative behavior - effective use of technology in management and communication - flexible - minimal staff turnover - maintains high Page 128 of 131 RFP-97-005 employee morale - resolves disagreements without being unnecessarily litigious. f. Customer Service - understands and embraces service and program goals - team approach with the customer - satisfaction of end users with the contractor's service - positive customer feedback - prompt responses - courteous interactions - effective escalations and referrals - initiative and proactive improvements - creative service strategies. Bonus Rating--Where the offeror has demonstrated an exceptional performance level in any of the above six subfactors, the contracting officer may give additional consideration for that factor. It is expected that this rating will be used in those rare circumstances when contractor performance clearly exceeds the performance level of "excellent." 3. Past performance evaluation will be based on information obtained from the awards and references listed in the offeror's proposal, other customers known to the Government, consumer protection organizations, and others who may have useful and relevant information. Information will also be considered regarding any major subcontractors, and key personnel records. The contracting officer will give greater consideration to information about an offeror's past performance that the contracting officer considers either more reliable or more relevant to the effort required by this solicitation. 4. Evaluation of past performance may be quite subjective, based on consideration of all relevant facts and circumstances. It will include consideration of the offeror's commitment to customer satisfaction and will include conclusions of informed judgement. 5. Award may be made from the initial offers without discussions. However, if discussions are held, offerors will be given an opportunity to discuss unfavorable past performance information obtained from references, if the offeror has not had a previous opportunity to comment on the information. The contracting officer may review recent contracts to ensure that corrective measures raised in discussions have been implemented. Prompt corrective action in an isolated instance might not outweigh an overall negative trend. 6. If an offeror, or the management or proposed key personnel for the offeror, does not have a past performance history relating to this solicitation, the offeror will receive a neutral evaluation for past performance. (C) Technical Evaluation Criteria: 1. Discussion of Specific Tasks - 30 total points The proposal demonstrates the offeror's understanding and capability for carrying out the specific tasks required in this Page 129 of 131 RFP-97-005 RFP, specifically with regard to: a. Build, Maintain and Utilize the ERIC and education facilities databases 10 points b. Develop and Maintain Effective Dissemination 8 points Activities c. Provision of User Services 7 points d. Reports, System Meetings, and other Deliverables 5 points 2. General Technical Approach - 20 total points a. Discussion of a comprehensive technical plan which includes the overall design and general technical approach to establishing, operating and managing the Education Facilities Clearinghouse; and discuss methods which will be used to acquire, synthesize and disseminate information - 10 points b. Discuss fully the proposed scope of interest for the Clearinghouse, including a critical analysis of the emerging trends and issues in the field of school facility construction and discusses plans and procedures for responding to these issues; provides assurance in the selection, inputting of data, publication activities and products of objectivity and impartiality in Clearinghouse activities, including provisions to assure that the Clearinghouse will not promote the host institution's agenda (if any) - 10 points 3. Qualifications of Key Personnel - 20 total points a. Clearinghouse Director: The proposal provides 8 evidence of scope area expertise and national leadership, relevant managerial experience, and writing and publication experience. - 12 points b. Other Key Staff: The proposal provides evidence of scope area expertise, database development and document processing experience, publication development, user services and dissemination, and knowledge of emerging information technologies of all key personnel. - 8 points 4. Management Plan - 15 total points a. The proposal's management plan is clear, logical, and specific. The milestones and timeliness are scheduled by Task. There are provisions for identifying and correcting problems, and a system for maintaining quality and timeliness of work performed by task. There are demonstrated staff training and supervision. - 10 points b. The plan clearly indicates lines of authority and responsibility in operating the Clearinghouse, including a Page 130 of 131 RFP-97-005 staffing plan and person-loading chart, with actual hours and percentages of time for each task. - 5 points 5. Capability and Commitment of Offeror - 15 total points a. Demonstrated organizational competence to perform similar or related tasks. Discussion of how this project relates to the mission of the offeror. - 8 points b. The proposal's management plan clearly describes the proposed facility, including computer hardware and software capabilities and other equipment and resources. - 7 points M.2 Evaluation of Optional Tasks Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interest, the Government will evaluate offers for award purposes by adding the total price for all optional tasks to the total price for the basic requirement. Evaluating optional tasks will not obligate the Government to exercise the optional tasks. Page 131 of 131