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 98-003 X _______________________________________________________________________________ 5. DATE ISSUED 6. REQUISITION/PURCHASE NO. June 19, 1997 RN980020 _______________________________________________________________________________ 7. ISSUED BY (Hand-carried Address) 8. ADDRESS OFFER TO (If other than Item 7) U.S. Department of Education Support Services Group GSA Building, Rm 3616, MS 4447 (Same as Item 7) Seventh & D Streets, S.W. ATTN: Michelle Ringo Washington, D.C. 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 August 15, 1997. 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: Michelle Ringo B. TELEPHONE NO. (Include area code) : 202/708-8283 (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 RFP 98-003 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 ( 90 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 TABLE OF CONTENTS PAGE SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS. . . . . . . . . . . . 1 B.1 ESTIMATED COST AND FEE. . . . . . . . . . . . . . . . . . . . . 1 (INCREMENTALLY FUNDED CONTRACTS) B.2 INCENTIVE FEE . . . . . . . . . . . . . . . . . . . . . . . . . 1 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT. . . . . . . . . . 4 C.1 SCOPE OF WORK. . . . . . . . . . . . . . . . . . . . . . . . . 4 (ED 302-2) (FEBRUARY 1985) SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . . . 55 D.1 SHIPMENT AND MARKING. . . . . . . . . . . . . . . . . . . . . . 55 (ED 303-1) (MAR 1986) D.2 PACKING . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 (ED 303-4) (MAR 1986) D.3 F.O.B. DESTINATION. . . . . . . . . . . . . . . . . . . . . . . 55 (ED 303-2) (MAR 1986) SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . . . 56 E.1 INSPECTION AND ACCEPTANCE . . . . . . . . . . . . . . . . . . . 56 (ED 304-1) (FEB 1985) SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . . . 57 F.1 PERIOD OF PERFORMANCE . . . . . . . . . . . . . . . . . . . . . 57 (ED 305-5) (MARCH 1986) F.2 DELIVERABLES. . . . . . . . . . . . . . . . . . . . . . . . . . 57 (ED 305-6) (MARCH 1986) F.3 REPORT OF CONSULTANTS . . . . . . . . . . . . . . . . . . . . . 57 (ED 305-2) (MAR 1986) F.4 Monthly Progress Report. . . . . . . . . . . . . . . . . . . . 57 F.5 Monthly Summary of Project Expenditures. . . . . . . . . . . . 57 F.6 Contractor Interaction with Government . . . . . . . . . . . . 58 F.7 NCES/ED REVIEW AND APPROVAL. . . . . . . . . . . . . . . . . . . 58 F.8 QUALITY CONTROL. . . . . . . . . . . . . . . . . . . . . . . . . 59 F.9 SCHEDULE OF MILESTONES AND DELIVERABLES. . . . . . . . . . . . . 59 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . . . 63 G.1 CONTRACT ADMINISTRATOR. . . . . . . . . . . . . . . . . . . . . 63 (ED 306-8) (FEB 1985) G.2 ADDITIONAL REQUIREMENTS FOR CONTROL OF GOVERNMENT PROPERTY. . . 63 (ED 306-2) (JAN 1989) G.3 INVOICE AND CONTRACT FINANCING REQUEST SUBMISSION . . . . . . . 63 (ED 306-1) (MAR 1988) G.4 PROVISIONAL AND NEGOTIATED FINAL OVERHEAD RATES . . . . . . . . 64 (ED 306-9) (OCT 1993) SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . . . 65 H.1 PAYMENT OF PRINTING TO BE PERFORMED BY THE. . . . . . . . . . . 65 GOVERNMENT PRINTING OFFICE (ED 307-8) (APR 1992) H.2 COST ACCOUNTING STANDARDS APPLICATION . . . . . . . . . . . . . 65 (ED 307-11) (JUNE 1992) H.3 ORDER OF PRECEDENCE (SOLICITATION). . . . . . . . . . . . . . . 65 TABLE OF CONTENTS PAGE (ED 307-1) (NOVEMBER 1986) H.4 DUAL COMPENSATION . . . . . . . . . . . . . . . . . . . . . . . 65 (ED 307-3) (MAR 1985) H.5 PAYMENT OF TRAVEL EXPENSES AND FEES FOR ED EMPLOYEES. . . . . . 66 (ED 307-5) (MAR 1985) H.6 PROHIBITION OF DISCRIMINATION AGAINST INDIVIDUALS . . . . . . . 66 WITH DISABILITIES (ED 301-20) (FEB 1995) H.7 REQUIRED SUBMISSION OF INFORMATION FOR. . . . . . . . . . . . . 66 PAYMENT BY ELECTRONIC FUNDS TRANSFER (ED 307-30) (SEP 1996) H.8 MANDATORY INFORMATION FOR . . . . . . . . . . . . . . . . . . . 67 ELECTRONIC FUNDS TRANSFER PAYMENT (FAR 52.232-33) (AUG 1996) H.9 ACCESSIBILITY OF SOFTWARE . . . . . . . . . . . . . . . . . . . 71 ED 316-1 (APR 1997) H.10 PRIVACY ACT NOTIFICATION. . . . . . . . . . . . . . . . . . . . 72 (FAR 52.224-1) (APRIL 1984) H.11 PRIVACY ACT . . . . . . . . . . . . . . . . . . . . . . . . . . 72 (FAR 52.224-2) (APRIL 1984) H.12 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . . . . . . . . 73 (ED 307-17) (APR 1984) H.13 OPTION TO EXTEND SERVICES . . . . . . . . . . . . . . . . . . . 74 (FAR 52.217-8) (AUG 1989) H.14 KEY PERSONNEL DESIGNATION. . . . . . . . . . . . . . . . . . . . 74 (ED 307-2) (MARCH 1985) H.15 OPTION FOR INCREASED QUANTITY. . . . . . . . . . . . . . . . . . 74 PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . . . 76 SECTION I - CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE-ALTERNATE I . . . . . . . . . 76 (FAR 52.252-2) (JUN 1988) I.2 CLAUSES FOR A COST-PLUS-FIXED-FEE CONTRACT. . . . . . . . . . . 76 (MATRIX-A) (FEB 1997) I.2.1 FEDERAL ACQUISITION REGULATION. . . . . . . . . . . . . . . . 76 (48 CFR CHAPTER 1) CLAUSES I.2.2 DEPARTMENT OF EDUCATION ACQUISTION REGULATION (EDAR) . . . . 81 (48 CFR CHAPTER 34) CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . . . 82 AND OTHER ATTACHMENTS SECTION J -- LIST OF ATTACHMENTS J.1 LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . . . . . 82 (ED 309-1) (MARCH 1985) J.2 Documents Available for Inspection . . . . . . . . . . . . . . . 82 PART IV, SECTION K . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 REPRESENTATIONS,CERTIFICATIONS, AND OTHER STATEMENTS OF THE OFFEROR K.1 REPRESENTATION AUTHORITY. . . . . . . . . . . . . . . . . . . . 83 (ED 310-1) (MARCH 1985) K.2 WOMEN-OWNED BUSINESS. . . . . . . . . . . . . . . . . . . . . . 83 (FAR 52.204-5) (DEC 1996) K.3 PLACE OF PERFORMANCE. . . . . . . . . . . . . . . . . . . . . . 84 (FAR 52.215-20) (APRIL 1984) TABLE OF CONTENTS PAGE K.4 CERTIFICATION OF NONSEGREGATED FACILITIES . . . . . . . . . . . 84 (FAR 52.222-21) (APRIL 1984) K.5 DRUG-FREE WORKPLACE . . . . . . . . . . . . . . . . . . . . . . 85 (FAR 52.223-6) (JAN 1997) K.6 CERTIFICATE OF CURRENT COST OR PRICING DATA . . . . . . . . . . 87 (ED 310-5) (MARCH 1985) K.7 DUPLICATION OF COST . . . . . . . . . . . . . . . . . . . . . . 88 (ED 310-6) (MARCH 1985) K.8 EMPLOYER'S IDENTIFICATION NUMBER. . . . . . . . . . . . . . . . 88 (ED 310-7) (MARCH 1985) K.9 CONTRACTOR IDENTIFICATION NUMBER - DATA . . . . . . . . . . . . 88 UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (FAR 52.204-6) (DEC 1996) K.10 TYPE OF BUSINESS ORGANIZATION . . . . . . . . . . . . . . . . . 89 (FAR 52.215-6) (JULY 1987) K.11 AUTHORIZED NEGOTIATORS. . . . . . . . . . . . . . . . . . . . . 89 (FAR 52.215-11) (APRIL 1984) K.12 APPROVAL OF ACCOUNTING SYSTEM . . . . . . . . . . . . . . . . . 89 (ED 310-9) (MARCH 1985) K.13 CERTIFICATION FOR INTENDED COMPLIANCE WITH. . . . . . . . . . . 90 "LIMITATION OF COST" CLAUSE (ED 310-15) (APRIL 1984) K.14 GENERAL FINANCIAL AND ORGANIZATIONAL INFORMATION. . . . . . . . 90 (ED 310-10) (APRIL 1984) K.15 SMALL BUSINESS PROGRAM REPRESENTATIONS. . . . . . . . . . . . . 93 (FAR 52.219-1) (JAN 1997) K.16 EQUAL LOW BIDS. . . . . . . . . . . . . . . . . . . . . . . . . 95 (FAR 52.219-2) (OCT 1995) K.17 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . . . . . . . . . . . 95 (FAR 52.222-22) (APRIL 1984) K.18 AFFIRMATIVE ACTION COMPLIANCE . . . . . . . . . . . . . . . . . 96 (FAR 52.222-25) (APRIL 1984) K.19 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING . . . . . . . 96 (FAR 52.223-13) (OCT 1996) K.20 POST EMPLOYMENT CONFLICT OF INTEREST. . . . . . . . . . . . . . 97 (ED 310-16) (MARCH 1985) K.21 CERTIFICATION REGARDING DEBARMENT, SUSPENSION,. . . . . . . . . 97 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS. (FAR 52.209-5) (MAY 1989) K.22 TAXPAYER IDENTIFICATION . . . . . . . . . . . . . . . . . . . . 98 (FAR 52.204-3) (SEPTEMBER 1989) K.23 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS . . . . . . . . 99 TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (FAR 52.203-11) (APRIL 1991) K.24 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . . . . . . . . 100 CERTIFICATE -- MARKETING CONSULTANTS (FAR 52.209-7) (OCTOBER 1995) K.25 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR . . . . . . 102 ILLEGAL OR IMPROPER ACTIVITY (FAR 52.203-8) (JAN 1997) K.26 ORGANIZATIONAL CONFLICT OF INTEREST . . . . . . . . . . . . . . 103 (EDAR 3452.209-70) (AUG 1987) K.27 REPRESENTATION OF LIMITED RIGHTS DATA AND RESTRICTED. . . . . . 103 COMPUTER SOFTWARE (FAR 52.227-15) (JUNE 1987) TABLE OF CONTENTS PAGE K.28 CLEAN AIR AND WATER CERTIFICATION . . . . . . . . . . . . . . . 104 (FAR 52.223-1) (APRIL 1984) K.29 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION. . . . . . 104 (52.230-1) (APR 1996) SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES. . . . . . . . . . . . 109 TO OFFERORS L.1 TYPE OF CONTRACT. . . . . . . . . . . . . . . . . . . . . . . . 109 (ED 311-1) (MARCH 1986) L.2 INCREMENTAL FUNDING. . . . . . . . . . . . . . . . . . . . . . . 109 (EDAR 3452.232-71) (AUG 1987) L.3 GENERAL INSTRUCTIONS. . . . . . . . . . . . . . . . . . . . . . 109 (ED 311-2) (FEB 1996) L.4 TECHNICAL PROPOSAL INSTRUCTIONS . . . . . . . . . . . . . . . . 111 (ED 311-3) (MARCH 1986) L.5 PAST PERFORMANCE REPORT . . . . . . . . . . . . . . . . . . . . 120 (ED 314-1) (MAR 1996) L.6 BUSINESS PROPOSAL INSTRUCTIONS. . . . . . . . . . . . . . . . . 122 (ED 311-4A) (JUL 1996) L.7 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION. . . . . . 124 OTHER THAN COST OR PRICING DATA (FAR 52.215-41, ALTERNATE IV) (OCT 1995) L.8 SMALL, SMALL DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS . . . 125 SUBCONTRACTING PLAN (FAR 52.219-9) (OCT 1995) L.9 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE REVIEW. . . . . . 130 (FAR 52.222-24) (APRIL 1984) L.10 EXPLANATION TO PROSPECTIVE OFFERORS . . . . . . . . . . . . . . 130 (FAR 52.215-14) (APRIL 1984) L.11 LATE SUBMISSIONS, MODIFICATIONS, AND. . . . . . . . . . . . . . 130 WITHDRAWALS OF PROPOSALS (FAR 52.215-10) (MAY 1997) L.12 FAILURE TO SUBMIT OFFER . . . . . . . . . . . . . . . . . . . . 132 (FAR 52.215-15) (MAY 1997) L.13 CONTRACT AWARD. . . . . . . . . . . . . . . . . . . . . . . . . 132 (FAR 52.215-16) (OCT 1995) L.14 PROVISION FOR EVALUATION FACTOR AMENDMENTS. . . . . . . . . . . 133 (ED 311-7) (MARCH 1986) L.15 APPLICATION OF PATENT RIGHTS CLAUSE . . . . . . . . . . . . . . 133 (ED 311-13) (MARCH 1987) L.16 FORMS CLEARANCE PROCESS . . . . . . . . . . . . . . . . . . . . 134 (ED 311-5) (MARCH 1986) L.17 SERVICE OF PROTESTS . . . . . . . . . . . . . . . . . . . . . . 134 (FAR 52.233-2) (AUG 1996) L.18 FACILITIES CAPITAL COST OF MONEY. . . . . . . . . . . . . . . . 134 (FAR 52.215-30) (SEPT 1987) L.19 REQUEST FOR CLARIFICATION. . . . . . . . . . . . . . . . . . . . 134 SECTION M - EVALUATION FACTORS FOR AWARD . . . . . . . . . . . . . . . . 136 M.1 EVALUATION FACTORS FOR AWARD (ALTERNATE I). . . . . . . . . . . 136 (ED 312-2) (FEB 1996) 1. Quality and credibility of the General Approach and . . . . . . . 137 Statement of Work (60 points) . . . . . . . . . . . . . . . . . . . . 138 2. Qualifications, technical and managerial, and experience of . . . 138 the proposed project director (15 points) . . . . . . . . . . . . 138 TABLE OF CONTENTS PAGE 3. Soundness of the management plan and task/time commitments. . . . 138 of staff (15 points). . . . . . . . . . . . . . . . . . . . . . . . . 138 4. Qualifications of the project staff (15 points) . . . . . . . . . 138 5. Corporate expertise, capability, and oversight (5 points) . . . . 139 M.2 EVALUATION OF OPTIONS . . . . . . . . . . . . . . . . . . . . . 139 (FAR 52.217-5) (JULY 1990) RFP 98-003 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS B.1 ESTIMATED COST AND FEE (INCREMENTALLY FUNDED CONTRACTS) (a) It is estimated that the total cost to the Government for full performance of this contract will be $______, of which the sum of $______ represents the target cost, the sum of $___________ represents the target fee, and the sum of $____________ represents the minimum incentive fee and $_______ represents the maximum incentive fee (if any). (b) Total funds currently available for payment and allotted to this contract are $______, of which $______ represents the limitation for reimbursable costs and $______ represents the amount set aside for fee (if any). Fee shall be determined based on the target fee plus the incentive fee calculation described in B.2 INCENTIVE FEE and the Incentive Fee Plan described at Attachment 1. For further provisions on funding, see the Limitation of Funds clause. (c) If and when the contract is fully funded, as specified in paragraph (a) of this clause, the Limitation of Cost clause shall become applicable. (d) The Contracting Officer may allot additional funds to the contract without the concurrence of the Contractor. B.2 INCENTIVE FEE (FAR 52.216-10) (MAR 1997) (a) General. The Government shall pay the Contractor for performing this contract a fee determined as provided in this contract. (b) Target cost and target fee. The target cost and target fee specified in the Schedule are subject to adjustment if the contract is modified in accordance with paragraph (d) of this clause. (1) "Target cost," as used in this contract, means the estimated cost of this contract as initially negotiated, adjusted in accordance with paragraph (d) below. (2) "Target fee," as used in this contract, means the fee initially negotiated on the assumption that this contract would be performed for a cost equal to the estimated cost initially negotiated, adjusted in accordance with paragraph (d) of this clause. Page 1 of 139 RFP 98-003 (c) Withholding of payment. Normally, the Government shall pay the fee to the Contractor as specified in the Schedule. However, when the Contracting Officer considers that performance or cost indicates that the Contractor will not achieve target, the Government shall pay on the basis of an appropriate lesser fee. When the Contractor demonstrates that performance or cost clearly indicates that the Contractor will earn a fee significantly above the target fee, the Government may, at the sole discretion of the Contracting Officer, pay on the basis of an appropriate higher fee. After payment of 85 percent of the applicable fee, the Contracting Officer may withhold further payment of fee until a reserve is set aside in an amount that the Contracting Officer considers necessary to protect the Government's interest. This reserve shall not exceed 15 percent of the applicable fee or $100,000, whichever is less. The Contracting Officer shall release 75 percent of all fee withholds under this contract after receipt of the certified final indirect cost rate proposal covering the year of physical completion of this contract, provided the Contractor has satisfied all other contract terms and conditions,including the submission of the final patent and royalty reports, and is not delinquent in submitting final vouchers on prior years' settlements. The Contracting Officer may release up to 90 percent of the fee withholds under this contract based on the Contractor's past performance related to the submission and settlement of final indirect cost rate proposals. (d) Equitable adjustments. When the work under this contract is increased or decreased by a modification to this contract or when any equitable adjustment in the target cost is authorized under any other clause, equitable adjustments in the target cost, target fee, minimum fee, and maximum fee, as appropriate, shall be stated in a supplemental agreement to this contract. (e) Fee payable. (1) The fee payable under this contract shall be the target fee increased by two cents for every dollar that the total allowable cost is less than the target cost or decreased by two cents for every dollar that the total allowable cost exceeds the target cost. In no event shall the fee be greater than ten percent or less than zero percent of the target cost. (2) The fee shall be subject to adjustment, to the extent provided in paragraph (d) of this clause, and within the minimum and maximum fee limitations in paragraph (e)(1) of this clause, when the total allowable cost is increased or decreased as a consequence of (i) payments made under assignments or (ii) claims excepted from the release as required by paragraph (h)(2) of the Allowable Cost and Payment clause. (3) If this contract is terminated in its entirety, the portion of the target fee payable shall not be subject to an increase or decrease as provided in this paragraph. The termination shall be accomplished in accordance with other applicable clauses of this contract. (4) For the purpose of fee adjustment, "total allowable cost" shall not include allowable costs arising out of-- Page 2 of 139 RFP 98-003 (i) Any of the causes covered by the Excusable Delays clause to the extent that they are beyond the control and without the fault or negligence of the Contractor or any subcontractor; (ii) The taking effect, after negotiating the target cost, of a statute, court decision, written ruling, or regulation that results in the Contractor's being required to pay or bear the burden of any tax or duty or rate increase in a tax or duty; (iii) Any direct cost attributed to the Contractor's involvement in litigation as required by the Contracting Officer pursuant to a clause of this contract, including furnishing evidence and information requested pursuant to the Notice and Assistance Regarding Patent and Copyright Infringement clause; (iv) The purchase and maintenance of additional insurance not in the target cost and required by the Contracting Officer, or claims for reimbursement for liabilities to third persons pursuant to the Insurance Liability to Third Persons clause; (v) Any claim, loss, or damage resulting from a risk for which the Contractor has been relieved of liability by the Government Property clause; or (vi) Any claim, loss, or damage resulting from a risk defined in the contract as unusually hazardous or as a nuclear risk and against which the Government has expressly agreed to indemnify the Contractor. (5) All other allowable costs are included in "total allowable cost" for fee adjustment in accordance with this paragraph (e), unless otherwise specifically provided in this contract. (f) Contract modification. The total allowable cost and the adjusted fee determined as provided in this clause shall be evidenced by a modification to this contract signed by the Contractor and Contracting Officer. (g) Inconsistencies. In the event of any language inconsistencies between this clause and provisioning documents or Government options under this contract, compensation for spare parts or other supplies and services ordered under such documents shall be determined in accordance with this clause. (End of clause) Page 3 of 139 RFP 98-003 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT C.1 SCOPE OF WORK (ED 302-2) (FEBRUARY 1985) 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, which shall be incorporated by reference as a part of the contract. I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . A. Purpose and Nature of the Procurement . . . . . . . . . B. Background. . . . . . . . . . . . . . . . . . . . . . . B.1 Enabling Legislation . . . . . . . . . . . . . . B.2 Early Childhood Longitudinal Studies Program . . B.3 The Need for National Data on Early Childhood . C. Key Study Areas and Questions . . . . . . . . . . . . . D. NCES Study Design Activities. . . . . . . . . . . . . D.1 Past Activities. . . . . . . . . . . . . . . . D.2 Current and Planned Activities . . . . . . . . II. BIRTH COHORT STUDY DESIGN . . . . . . . . . . . . . . . . A. Target Population . . . . . . . . . . . . . . . . . . B. Holistic Approach . . . . . . . . . . . . . . . . . . C. Study Components. . . . . . . . . . . . . . . . . . . D. Data Collection Schedule. . . . . . . . . . . . . . . E. Measuring Childrenžs Growth and Development . . . . . G. Sampling Issues . . . . . . . . . . . . . . . . . . . H. Methodological Inquiries and Data Quality . . . . . . I. Optional Special Studies and Supplements . . . . . . J. NCES/ED Standards. . . . . . . . . . . . . . . . . . K. Coordination with ECLS Kindergarten Cohort Study. . . III. SCOPE OF WORK. . . . . . . . . . . . . . . . . . . . . . A. Overview of Tasks . . . . . . . . . . . . . . . . . . B. Core Tasks to Be Performed. . . . . . . . . . . . . . Task 1. Project Planning and General Management . . Task 2. Technical Review Panel. . . . . . . . . . . Task 3. Develop Survey Instruments and Procedures . Task 4. Design and Select Sample. . . . . . . . . . Task 5. Study Design Report . . . . . . . . . . . . Task 6. IMT/OMB Clearance . . . . . . . . . . . . . Task 7. Develop CATI/CAPI System. . . . . . . . . . Task 8. Field Test of Survey Instruments and Procedures. . . . . . . . . . . . . . . . . . . Task 9. Hiring and Training CATI/CAPI Interviewers. Task 10. Data Collection. . . . . . . . . . . . . . Task 11. Data File Preparation and Documentation . Task 12. Data Analysis and Reporting. . . . . . . . Task 13. Methodology Report. . . . . . . . . . . . . C. Optional Special Studies and Supplements. . . . . . . C.1 Oversample of American Indian Children. . . . . C.2 Children with Disabilities. . . . . . . . . . . Page 4 of 139 RFP 98-003 C.3 Food and Consumer Service . . . . . . . . . . . C.4 Home Assessment . . . . . . . . . . . . . . . . C.5 Father Data . . . . . . . . . . . . . . . . . . I. INTRODUCTION A. Purpose and Nature of the Procurement The National Center for Education Statistics (NCES) of the United States Department of Education (ED) requires a contract to 1) design a national longitudinal study of children born JanuaryžDecember, 1999 and 2) to conduct the base year, first and second followup waves of this study. The birth cohort study is part of a two cohort Early Childhood Longitudinal Study (ECLS) program being developed by NCES. The design and conduct of the second cohort studyža kindergarten cohortžis being developed and fielded separately and is not part of this RFP. The contractor for the Early Childhood Longitudinal Study, Birth Cohort Study (ECLS-B) will select a nationally representative sample of children at or shortly after birth and follow these children for about a six year period, or through the end of first grade. The ECLS-B contractor will collect data that will be used by researchers to study a variety of questions relating to children and their families as they move from infancy to school and to inform policy regarding the care and education of the Nationžs children. This procurement involves 1) developing the overall design for the sample, data collection methodologies, and procedures for the ECLS-B; 2) developing and field testing the instruments and procedures that will be used during the base year, first and second followup waves; 3) conducting the base-year study, and the first and second followup waves of the study; and 4) processing the data and preparing it for public release. The period of performance for the contract shall be 60 months. This procurement also contains several optional special studies and supplements. These optional studies and supplements will be exercised at the discretion of the government. All optional special studies and supplements shall be completed within the 60 month period of performance. B. Background B.1 Enabling Legislation The ECLS is being undertaken in compliance with the mandate stated in section 404 of the National Education Statistics Act of 1994 (20 U.S.C. 9003): "The duties of the Center are to collect, and analyze and disseminate statistics and other information related to Page 5 of 139 RFP 98-003 education in the United States and in other nations, including ...conducting longitudinal studies, as well as regular and special surveys and data collections, necessary to report on the condition and progress of education... B.2 Early Childhood Longitudinal Studies Program The ECLS program is intended to provide information that will serve to inform policy regarding children, their families, schools, and early care and education. The data collected by program and the information that is disseminated through reports prepared by NCES/ED and others will inform decision makers, educational practitioners, researchers, and parents about the ways in which children are prepared for school and how schools and early childhood programs affect the lives of the children who attend them. The central goal of the ECLS program is to provide a comprehensive and reliable set of data that may be used to describe and to better understand childrenžs preparation for school; key transitions during the early and middle childhood years; childrenžs experience in early care and education programs, kindergarten, and the primary and elementary grades; and how their early experiences, both school/program and family, relate to their likelihood of succeeding in school. The ECLS program has adopted a framework which recognizes the importance of factors that capture the child's health status, social/emotional and intellectual development, and incorporates factors from the child's family, community, and school/program environments. The design of the program is based on the assumption that children's preparation for school begins at birth and continues up to the point where they enter school for the first time. Children's life experiences contribute not only to this important transition but to other critical transitions before and after children enter school. The ECLS program is comprised of two cohortsža birth cohort and a kindergarten cohort. Together, these cohorts will provide the range and breadth of data required to more fully describe children's early learning and education experience. The birth cohort study is being designed to study childrenžs early learning and development from birth through first grade. It will focus on those characteristics of children, their families, and out-of- home experiences that influence childrenžs first experiences with the demands of formal school, i.e., kindergarten and first grade. The kindergarten cohort measures aspects of childrenžs development and their environments (home and school) as they enter school for the first time and examines how these influence their academic achievement and experiences through fifth grade. B.3 The Need for National Data on Early Childhood Education is receiving much public attention today. Parents, educators, and policymakers are being asked to reconsider the ways in which children are being educated in our nation's schools and to develop more effective approaches to Page 6 of 139 RFP 98-003 education. Much of this attention on education is being focused on children's preparation for school and the early school years. A number of factors have contributed to the amount of attention being given to children's experience prior to school entry, their first encounters with formal schooling, and their experience during the early grades. These include: increased public awareness of the importance of children's early experiences, reinforced by the National Education Goal on school readiness; the changing nature of both children's preschool and early school experience; and more calls for schools to be more responsive to the backgrounds and experiences of the children they serve. Increased public awareness of early childhood issues has been accompanied by strong calls for greater, better, and more detailed data both at the national and state levels. Many researchers and policy makers have pointed out that adequate information is not available on which to base many of the complex decisions the Nation faces concerning the care and education of our children. What information is available is often fragmented, difficult to access, and of unknown reliability. More and better data are needed to study children's life and education experiences. There is currently no study that follows a national sample of children from birth through the early formative years, and to school. Few existing data bases permit the study of children's early learning experiences, their transition into school and their early school experience by race-ethnicity, gender, region, etc. Most research on children's early development and education has been conducted on small, often nonrepresentative samples of specific groups of children (e.g., disadvantaged inner city black children). There are some notable exceptions, but most of these do not use national samples. The National Institute for Child Health and Human Develop is sponsoring a longitudinal study of 1,200 infants sampled from hospitals in 10 heterogeneous sites across the country. Children were visited and observed in their homes at 1, 6, 15, and 36 months and in child care settings at 6, 15, 24, and 36 months. The study also includes observations of the children and their mothers in a laboratory setting at 15, 24, and 36 months. The National Center for Health Statistics conducted a follow-back survey for a national sample of 11,000 mothers with live births in 1988. The children were between 2 « and 3 years old at the time of the follow-back data collection. The study collected a wide range of data on children's health and development, child care, child safety, maternal health, maternal depression, medical care, accidents, hospitalizations, etc. The Bureau of Labor Statistics sponsored the National Longitudinal Survey of Youth - Child Supplement. Interviews were conducted regarding the children born to female participants in Page 7 of 139 RFP 98-003 the NLSY who were 14-21 years of age in 1979. Individual child assessments were administered in the childžs home and assessments of the childžs home environment were obtained through questionnaire and observational methods. The Early Head Start Child Care Study sponsored by the Administration on Children, Youth, and Families is studying more than 3,000 children and families in 17 communities in 15 states. Child and family assessments are being administered at 14, 24, and 36 months . Observations of child care settings and interviews with child care providers occur at the same three points in time. Another study approached childrenžs transition from school from a different perspective. The National Transition Study sponsored by the U.S. Department of Education used a national sample of public schools to examine activities initiated by schools and preschool programs to ease childrenžs transition between programs from the school/program point of view. No data were collected on or from the children who experience these transitions, and the study was not able to examine the impact of these transition activities on child outcomes. However, it does provide useful and important information about how schools view this critical transition and the programs they offer children and their families. C. Key Study Areas and Questions There is a vast array of issues and research questions pertaining to childrenžs early care and education that could be studied with a national birth cohort sample; however, certain areas and questions have been identified as central to the study. The three key areas to be addressed by the ECLS are 1) school readiness; 2) children's transitions to nonparental care and education programs, kindergarten, and first grade; 3) the relationships between children's early care and education experiences and their growth and development in critical domains. Each of these areas and questions are described in more detail in the following sections. School Readiness Some children seem to adjust to their first encounter with formal school and are able to have a positive school experience while other children experience problems. For most children, the first formal school experience is kindergarten. However, the nature of this kindergarten experience is quite variable and the demands it places on the child differ across programs. The ECLS-B will examine children's preparation for formal schooling by studying different characteristics of children, their families, out-of-home care and educational experiences during the years prior to school that influence children's developmental status (social and emotional, cognitive and language, and physical) at school entry and whether or not they Page 8 of 139 RFP 98-003 have a positive experience in kindergarten and first grade. The study is particularly interested in the role that parents/family play in helping prepare children for formal school and in the effects of childrenžs participation in early care and education arrangements. Because the way in which children adjust to school and their early school success is influenced by the schools they attend, the proposed study will pay particular attention to how schools and kindergarten programs respond to the diverse backgrounds and experiences that children bring with them as they enter school for the first time. At a minimum, the contractor shall address the following questions with its ECLS-B design:  What background and cumulative experience do children bring to school? What is the background and experience of children who exhibit varying levels of competence in the different developmental domains that define school readiness (e.g., social skills, literacy and numeracy, fine and gross motor development)?  What actions do parents take to prepare their children for school? What is the socioeconomic and cultural variation in these actions? What is the relationship between parent behaviors and children's readiness for school? Which behaviors seem to make a difference and which seem less important?  What is the relationship between parents' attitudes and beliefs about their childrenžs abilities and their childrenžs development? What is the relationship between parent beliefs about children in general and the way they learn and their own children's cognitive and social competence?  To what extent do different early individual and family health/medical histories relate to children's readiness for school?  Are those characteristics of children's early childhood care/education programs that are traditionally used to define "high quality" programs related to the different dimensions of school readiness? Are these relationships the same for groups of children defined by such characteristics as race-ethnicity, socioeconomic status (SES), and family composition.  Do children with different backgrounds and experiences enter schools that are responsive to their experiences? What role do schools and preschools play in easing the transition into kindergarten? What is the relationship between the actions that schools and preschools take and a child's early experience with school? Transitions to out-of-home programs and school Children and adults are continually making transitions from one status to another. Of particular interest to the proposed Page 9 of 139 RFP 98-003 program is the transition that occurs as young children go from being cared for exclusively by their parents to the care of other persons. For some children, this transition may occur shortly after birth, while for others, their first significant experience with adults other than their parents in a regular care and educational setting may be when they enter school for the first time. Other transitions of particular interest are the transition to a group-based early childhood program and from preschool to school. Specific questions to be addressed include:  When do children first make the transition from the exclusive care of their parents to the care of another person? What are the characteristics of this care? What factors do parents consider when deciding to have part of their child's care be provided by someone other than them?  What affect, if any, does the timing of this transition have on children and their families? Do children who receive regular care from a nonparent have more difficulties than children who are cared for only by their parents? Do the problems children experience vary by the type of care children receive or important characteristics of this care?  How continuous is the supplemental care and education children receive from persons other than their parents? How often do children change care settings? How consistent are the characteristics of the different settings?  What problems do children and their families experience as a result of their child care arrangements? Are these problems sporadic or continuous? What characteristics of childrenžs child care arrangements are related to these problems?  At what point do parents decide to place their preschool-age child in an early childhood program? What factors do parents consider in making this decision and in evaluating alternative programs?  What is the nature and level of children's participation in early childhood programs? What are the characteristics of the programs that children attend?  What are the transition patterns of children as they move from preschool (or no school) to kindergarten? For example, what percentage of children go from full- time private nursery school programs to part-day public kindergarten programs? What percentage of children go from a high quality and developmentally appropriate preschool program to a kindergarten program that emphasizes academic achievement? Page 10 of 139 RFP 98-003  How much movement occurs across (e.g., private to public) and within sectors during and between preschool, kindergarten and first grade?  How do those children and families who change sectors compare with those who remain in the same sector?  Do children who make these changes experience any particular types of problems? How long do these problems persist? Children's Growth and Development The ECLS-B is especially interested in childrenžs development during the critical years before school. A major goal of the study is to monitor children's growth and development during these years. The proposed study seeks to understand better children's social and emotional, cognitive and language, and physical development as it relates to important influences in their lives. It is also generally acknowledged that the early experiences of children born in the 1990s are different from those of children born in previous decades. Increasing numbers of young children have mothers in the labor force, live in poverty, live in single-parent households, have limited proficiency in English, have poor nutrition and receive inadequate health care. These and other changes have contributed to the erosion of the economic and social capital available to children through their families and communities. In addition, large numbers of young children experience out- of-home care/education before they reach the age of compulsory school attendance, kindergarten attendance is nearly universal and the majority of primary school children have had at least one organized group experience (i.e., daycare center and/or nursery school) prior to starting first grade (West et al., 1992). For most children, then, first grade no longer represents their first encounter with school or with an organized group led by an unrelated adult. However, the quality of these experiences is not the same for all children and the impact quality has on children's development and adjustment to school needs further study. In a recent review of the research literature on effects of child care on childrenžs well-being, Love, Schochet, and Meckstroth conclude that: 1) there is a positive relationship between the quality of childrenžs child care arrangements and their well-being, 2) classroom dynamics are more important than structure, 3) more research is needed to understand the combined and unique effects of quality and an array of family variables, and 4) the relationship between quality and child outcomes needs to be studied with designs that measure child outcomes before and after their participation in a care/education setting. Many of the studies that have looked at child care and child well-being have measured the two at a single point in time. Page 11 of 139 RFP 98-003 Some of the specific questions the contractor shall address in the ECLS-B are:  What are the levels and rates of cognitive growth (cognitive, social, and physical) over time for different groups of children? What characteristics of children, their families, and their nonparental care providers are associated with different levels and rates of growth?  Which groups of children seem to have more developmental difficulties and which groups seem to have fewer of these difficulties and more accomplishments? What is the outlook for those children who have early difficulties as they enter school for the first time? Are there strategies that help children with a history of developmental difficulties to succeed in kindergarten and first grade?  Do children who change child care settings and early education programs many times experience any adverse effects not found among children who attend the same setting/arrangement for a continuous period?  What are the characteristics of the early childhood programs attended by children who exhibit different levels and rates of cognitive growth? How do they interact with characteristics of children and their families to affect childrenžs social and cognitive development?  What effects does participation in different types of early care and education programs/arrangements have on children? Are the outcomes of participation the same for different groups of children defined by race- ethnicity, SES, and other characteristics of children and their families? D. NCES Study Design Activities D.1 Past Activities Before deciding to launch this major new initiative, NCES initiated a series of activities directed toward first determining the need for a new longitudinal study of the education of young children and second identifying possible design parameters for such a study. Between the fall of 1989 and the spring of 1991 NCES commissioned a number of papers from experts in the fields of child development, early childhood education, elementary education, child assessment, sampling, and research design. These papers addressed a number of substantive and methodological issues associated with the design and conduct of a national longitudinal study of young children. The Page 12 of 139 RFP 98-003 authors of these papers also attended meetings to discuss these issues further. D.2 Current and Planned Activities NCES/ED has several ECLS-B design activities that are either already underway or planned. These activities are directed towards the design and implementation of the proposed study and are intended to help facilitate decisions about the ECLS-B design and to keep the project on schedule. NCES/ED is developing a content outline for the ECLS-B parent component. It is also identifying a set of questionnaire items for inclusion in the first three waves of data collection when the focus is on infants and toddlers. A copy of the draft content outline is available through the National Education Data Resource Center (NEDRC) . NCES/ED has identified and evaluated certain aspects of the different sampling approaches that are available for the ECLS-B. These include 1) a household sample, 2) a birth certificate sample, and 3) a hospital sample. Draft materials from this activity are available through the National Education Data Resource Center. NCES intends to collaborate with other parts of the U.S. Department of Education (e.g., Office of Special Education Programs) and with other agencies to the greatest extent possible. NCES staff will continue to work with representatives of relevant ED program offices and other Federal agencies both to keep them up-to-date on the progress of the ECLS-B and to solicit their participation in the study. II. BIRTH COHORT STUDY DESIGN While many decisions about the design of the Early Childhood Longitudinal Study, Birth Cohort (ECLS-B) are yet to be made, NCES/ED has decided on a number of key features of the study. The contractor shall develop and implement a study design that incorporates these key features. A. Target Population The target population of the ECLS-B shall be children born in the United States during calendar year 1999. The contractor shall design a sample that can be used to support estimates of key characteristics of this population. One of the benefits arising from a national longitudinal study of children is that it can provide nationally representative data on a wide range of early learning experiences and environments. Data on the experiences and environments of children from different groups in the population defined by race- ethnicity, socioeconomic status (SES), and other characteristics (e.g., working status of the mother, family structure) can also be collected, leading to comparative analyses within and across Page 13 of 139 RFP 98-003 these different population groups. B. Holistic Approach It is imperative that the different contexts in which learning occurs be examined in detail in order to improve our understanding of why some children adjust easily to school and appear to make critical transitions without much difficulty while others experience varying degrees of difficulty. It is also important to examine childrenžs development across a number of critical cognitive and noncognitive domains. The contractor shall design the ECLS-B to capture data about the child's home, community, and child care and early childhood program environments. The ECLS-B contractor shall design the study to capture data about children's physical, social, emotional, language and cognitive development. C. Study Components The emphasis that NCES/ED is placing on the whole child and the different environments in which learning occurs is critically important for the design of the ECLS-B. The contractor shall use childrenžs parents as primary reporters throughout the life of the study. At varying points in the life of the study, the contractor shall gather data directly from children, their child care and early education providers, and during later waves from their schools and teachers. Parents/Guardians The parents/guardians of children selected for participation in the ECLS-B will be the primary respondents over the life of the study. Due to the young age of the children who will be participating in the ECLS-B, parents/guardians will act as proxy respondents for their children. Furthermore, they are an important source of information on themselves and on their childrenžs early development, home environment, and neighborhood. Because the ECLS-B will rely on parents for so much data, the contractor shall conduct parent/guardian interviews at each wave of data collection. The parent/guardian to be interviewed shall be the individual who is the most knowledgeable about the sampled childžs care and education. In most cases, this individual will be the childžs mother. The participation of children in the ECLS-B and the level and quality of data that are collected about these children will depend on the cooperation and participation of the childrenžs parents/guardians. Therefore, the initial interview with parents/guardians will be conducted in person. Later interviews may be conducted in person or by telephone. The contractor shall develop and implement a plan for collecting data from parents/guardians. The contractoržs plan shall identify and justify the interviewing mode in terms of the data collection Page 14 of 139 RFP 98-003 and analytic goals of the study and the need to control data collection costs. The contractor shall cover several important topical areas during the parent/guardian interviews. The frequency at which information on characteristics in each area shall be collected depends on the stability of the characteristics. In other words, some items may only need to be asked during the initial parent/guardian interview while others need to be asked during each interview or on some periodic basis. The content to be covered in the parent/guardian interviews in the first three waves of the study includes the following: Family Structure Immigration Status Primary Language(s) Spoken and English Proficiency Child Care Child's Health and Well-Being Family Health Care and Nutritional Practices Child's Temperament, Language, and Cognitive Development Parental Values, Beliefs, and Expectations Home Environment, Activities, and Cognitive Stimulation Socioemotional Behaviors Neighborhood Parent Education Parent Employment Parent Income and Assets Welfare and Other Public Transfers Discipline, Warmth, and Emotional Support Parent's Psychological Well-Being and Health Social Support Networks Critical Family Processes Child. A challenge facing the ECLS-B is when and how to involve children directly in the study. Decisions about the amount, level, and type of data to be collected from children must take into account the ages of the children at the time of scheduled data collection. All instruments and procedures used to gather information directly from children must be appropriate to their age-level. Special care must be taken to limit any negative impacts associated with their participation. Beginning at age 2 « - 3, children will be asked to participate directly in activities designed to measure important domains of cognitive and noncognitive development. Repeated measures for many of these characteristics will occur over the course of the study period so that change in these characteristics may be measured and related to important characteristics of children's home and out-of-home environments and child characteristics. The contractor shall develop and implement a plan for involving children directly in the ECLS-B. The contractor shall administer a direct measure of childrenžs development only once during the first three waves of the ECLS-B. Indirect measures of childrenžs development shall be a part of each data collection Page 15 of 139 RFP 98-003 wave. Child Care Providers and Teachers. An estimated 45 percent of children under age 1 receive some type of care and education on a regular basis from someone other than their parents/guardians. By age 4, an estimated 78 percent of children who are not yet attending kindergarten will receive supplemental care and education on a regular basis. Before age 2, a majority of this care and education is provided in a home setting and at age 2 supplemental care and education is evenly distributed between home and center-based programs. Starting with 3-year-olds, most supplemental care and education is usually provided through center-based programs. Because having data on childrenžs care and education programs is central to answering many of the questions of major importance to the ECLS-B, the contractor shall capture a variety of data on childrenžs child care arrangements and education programs. Some of these data can be collected from parents/guardians; however, much of the data that are needed to describe the structure and quality of childrenžs arrangements and programs and the background and experience of the providers cannot be reported validly by parents/guardians. Therefore, the contractor shall collect certain of these data from the individuals and organizations who are providing care and educational services to children. Contacting childrenžs care and education providers also opens up other data collection opportunities (e.g., using the childžs provider as a source of information about the childžs development). The contractor shall develop and implement a plan for collecting data on childrenžs child care and education arrangements. When developing its plan, the contractor shall carefully evaluate the need for such data, the quality of the data that can be provided by different sources (e.g., family day care providers, child care center directors), any baises associated with differential rates of nonresponse for these different sources, and the cost of collecting data from these different sources. The contractor shall collect data on childrenžs child care and education arrangements from providers no more than twice during the first three waves of the ECLS-B. For children participating in multiple arrangements, the contractor shall develop a plan for choosing one of each childžs arrangements and for collecting data from this arrangement. School and Teachers. During later waves of data collection, information about the schools attended by children participating in the ECLS-B will be needed in order to address critical research questions. School administrators will be asked to provide information on the physical and organizational characteristics of their schools, and on the schools' learning environment, educational philosophy and programs. As the ECLS-B children enter kindergarten and first grade, their kindergarten and first grade teachers become valuable Page 16 of 139 RFP 98-003 sources for information on children's most immediate school learning environment, i.e., the classroom. Teachers also represent a source of information on the children's development, both cognitive and social. Although the contractor is not responsible for these later waves of data collection, the contractor shall take into account the need to collect these data later in the life of the study when developing the design of the study and the sampling plan. D. Data Collection Schedule Because the first data collection point will be used to get baseline data on children at the point they enter the study and because much of the data collected will pertain to prenatal care, the child's birth, and the care of the mother and child during the first few months of life, it shall be collected within six months of the child's birth. Later waves of data collection shall be conducted annually. The exact timing of base-year data collection and that of later waves of the ECLS-B may be affected by other design decisions (e.g., choice of a sampling frame) and the analytic goals of the study (e.g., tying the data collection schedule to critical developmental milestones). Various operational considerations may also come into play, such as the merits of spreading data collection out over the year versus collecting data over shorter periods of time (e.g., quarterly, semi- annually). The contractor shall develop a schedule for collecting data and implement this schedule. When designing the annual waves of data collection for the ECLS-B, the contractor shall evaluate the intensity of data collection against 1) the needs of the study and 2) the need to manage respondent burden. The contractoržs schedule shall clearly indicate when data will be collected for each of the study components (parents/guardians, child, and child care and education providers). E. Measuring Childrenžs Growth and Development An essential component of the ECLS-B is the collection of data which describes the development of young children. At a minimum, the data related to childrenžs developmental status at a given time and across time must take into account childrenžs health, physical abilities, social and emotional development, and cognitive and language abilities. As with the ECLS-K assessment battery, the ECLS-B assessment battery will need to be a multiple-variable battery that will enable researchers to describe children's developmental status at given points in time and over time. Although children's behavior and personality characteristics have been shown to become globally stable over time, at the younger ages (i.e., infancy to 3 years), children's day-to-day or hour-to-hour behaviors can be highly variable. In the early Page 17 of 139 RFP 98-003 years, rapid changes occur in all areas of development, and these changes do not occur at the same time in all areas. Environmental factors such as the physical and social surroundings also influence behaviors by either facilitating or discouraging performance. Measurement Domains. The primary purpose of the ECLS-B battery is to obtain accurate measures of the status of children in the following dimensions of development: social and emotional development, physical development, and cognitive and language development. Current developmental theory supports a model that suggests that childrenžs development in the physical, social and emotional, and cognitive domains is interrelated and mediated by social and environmental contexts. Social and emotional development Social and emotional development are intricately related and mutually reinforcing. Social functioning refers to the interpersonal relationships and behaviors that a child initiates with others. Emotional functioning refers to the childžs feelings about himself or herself and others. Research suggests that from infancy, individuals are constitutionally predisposed to vary widely along such dimensions as affect, attention, and motor activity; collectively called temperament. Children's levels of independence, activity, attention, and distractibility have been found to be associated with children's adjustment to kindergarten. Social skills and behaviors have also been found to lead to positive adjustment to school. The social and emotional development domain covers the social, emotional, and feelings aspects of behavioržchildrenžs social skills, self concepts, attitudes, likes, and such. Child health and physical development Children's health, physical growth, and motor development are integral parts of well-being. A healthy child is not simply one who is growing well and is free of disease, but is an individual who demonstrates appropriate physical competencies for his or her age and the capacity to engage successfully in age-appropriate activities. Childrenžs height and weight are two examples of measures that are used as indicators of adequate nutrition, sufficient nurturing, and the absence of significant chronic illnesses. In addition, attributes that mediate the level and quality of individual performance include stamina, energy, strength, and physical flexibility. Visual and auditory functioning are also important aspects of childrenžs physical health. Visual and auditory impairments in infancy and early childhood can adversely affect the development of social and emotional, cognitive/language, and physical competencies. Examples of measures of children's visual and auditory functioning include visual and auditory acuity measurements. Motor development has long been considered an important part of child development and is a recognized means for measuring the overall rate and level of development of the children during the early months and years of life. Motor development may be Page 18 of 139 RFP 98-003 defined as the gradual acquisition of control and/or use of the large and small muscles of the body. The development of neuromuscular coordination will be used by the individual throughout life to deal with a variety of social, emotional, mental, and recreational dimensions of living. Motor skills can be divided into gross and fine motor skills. Examples of gross motor development skills during the early stages of life include rolling over, crawling, sitting up, and walking up stairs. Skills such as grasping a cup or toy, stringing beads, building blocks, and using writing implements to make scribbles are examples of fine motor skills. Cognitive developmentžThe cognitive domain of development represents children's knowledge base and language. The knowledge subdomain can be further subdivided into how much children know that is related to a topic or experience and their abilities and skills in performing mental operations such as comprehension, application, analysis, synthesis, and evaluation. Knowledge concepts related to school outcomes include awareness of time, spatial relationships, vocabulary, roles people play in society, and logical thinking skills. Language developmentžThe age range of birth to 6 years represents one of the most critical age ranges for the development of language skills. Language provides a critical function for interacting between the physical and social environments. As children progress through the early years, language plays an increasingly important role for accessing the many social encounters in the home, neighborhood, playground, and school. Children's use of language to communicate is essential to understanding children's cognitive development and social adaptation. Measurement Issues. While the design and selection of a nationally representative birth cohort sample presents many challenges, perhaps the greatest challenge facing the ECLS-B is the ability to measure the central constructs that are so important to understanding children's early learning and development. A variety of instruments will be needed to reliably and validly measure specific constructs. Obtaining quality measures of children's developmental growth, family, and nonparent care and education environments is critical for the proposed study. Instruments that accurately tap the different dimensions of children's development are critical. Any direct assessment of young children must be carefully planned, tested, and well executed. Existing measures shall be scrutinized to determine their psychometric properties and any new measures shall be tested and refined. It is vital that all measures of children's developmental domains and children's home and family be sensitive to the cultural diversity that exists among childrenžs families. Valid and reliable measures of children's development. The general purpose of the assessment of children in the ECLS-B is to document children's growth and development (i.e., the extent of Page 19 of 139 RFP 98-003 children's accomplishments in those critical developmental and behavioral domains that are believed to be most essential for school performance) before school entry, at school entry, during kindergarten, and at the end of first grade. The accuracy and usefulness of the information derived from measures of these characteristics depend on instrument reliability and validity. The battery of instruments selected to measure all major developmental areas such as cognition, language, motor development, and socio-emotional development must meet strict psychometric rules for standardization, reliability, and validity. Individual instruments shall be sufficiently reliable to support change measurement and must be capable of measuring across a broad range of abilities/skills. Minimizing the possibility of "floor and ceiling effects is critical in selecting or designing measurement instruments. Furthermore, all tests, procedures, and processes must be culturally, linguistically, and developmentally sensitive. Measurement approaches. Measures of children's developmental status can be collected in several ways: directly from the child or indirectly from others familiar with the child. Measurements may include objective performance tests, questionnaires/rating scales, and behavioral observations. While each of these measurement formats provide information about the child, each also poses numerous issues related to instrument variances that need to be considered in designing the methods for collecting data related to children's development or growth in each of the domains. G. Sampling Issues The contractor shall design and select a nationally representative sample of children to participate in the ECLS-B. The contractor shall 1) identify and/or develop a sampling frame; 2) design the sample to meet certain precision requirements set by NCES/ED; 3) oversample specific groups of minority children; 4) develop an approach that minimizes attrition and the effects of residential mobility; and 5) develop a sample and data collection approach that minimizes the effects of age on important child characteristics and attributes. Each of these contractor responsibilities and sample design considerations is discussed in more detail in the following sections. Sampling frame There are several frames that could be used to select a nationally representative sample of children born at specific times. These include 1) a household frame, 2) a vital records/birth records frame, and 3) a hospital frame. Each has advantages and disadvantages. For example, vital records/birth records provide a very complete sampling frame for cohort members born in the United States. In addition, minimal effort is needed to screen eligible sample units, especially when compared with a household frame. Disadvantages associated with the use of a vital records/birth records frame are: 1) more effort is required to Page 20 of 139 RFP 98-003 locate sample units because of the time lag between the birth of the child and when the records are available for use as a sampling frame; and 2) the complexity of frame preparation as a result of differences in the birth record systems used in different states. The contractor shall weigh the advantages and disadvantages of the different frames and select and/or develop a sampling frame that is cost effective and will satisfy the needs of the study. Precision requirements The contractor shall use the following precision requirements to guide the development of the ECLS-B sample.  The sample size for ECLS-B should be able to produce level estimates for which the standard error is no larger than 20 percent of a proportion and 2.5 percent of a mean in each wave of data collection. Also, for a two-tailed test of significance at the .05 level with power equal to .80, the sample should be able to detect a 20 percent change in proportions and a 5 percent change in means for all waves.  These requirements should be applied not only to the entire sample but to important subgroups. These include children defined by race-ethnicity (Hispanic, non- Hispanic black, Asian and Pacific Islander and non- Hispanic white), socioeconomic status (low, middle and high), family type (two-parent and single-parent), motheržs employment status (full-time, part-time, not in the labor force), birth weight (less than or equal 5.5 lbs and over 5.5 lbs), Census region, and urbanicity. NCES is also interested in estimating characteristics of children with different child care and education program experiences (e.g., in-home versus center-based care).  For the purposes of deriving preliminary sample sizes, the contractor shall assume a mean of 50 with a standard deviation of 15, a proportion of .30, and a correlation of .60 between two consecutive waves. The contractor shall assume a design effect of 2.5 when deriving ECLS-B sample sizes. Oversampling of minority children In order to detect differences or changes for certain racial-ethnic minorities (e.g., blacks, Hispanics, Asians and Pacific Islanders) at the level of precision set for this study, it may be necessary for the contractor to oversample some of these groups. Even if sufficient numbers of these children are expected to be selected into the sample using equal probability methods, differential rates of attrition may result in the contractor having to oversample one or more of these groups. Page 21 of 139 RFP 98-003 Sample attrition and mobility The contractor shall carefully examine attrition when designing the ECLS-B sample. A moderate level of attrition for each single wave may become a severe problem when summed over the life of the study. In addition, when designing the ECLS-B sample, the contractor shall evaluate the impact of residential mobility on the sample and the cost of study over time. The Bureau of the Census reports (see Census Report P20-481) that between March 1992 and March 1993, 22 percent of children from 1 to 4 years old had moved. According to data from the 1993 National Household Education Survey, an estimated 25.7 percent of 5-year- olds enrolled in kindergarten or a higher grade had moved 3 or more times between their birth and fifth birthday. Another 14.4 percent of these children had moved twice and 26.3 percent had moved once. Only 33.7 percent of these children had never moved. Thus, young children not only move in large proportions, they also move frequently. Mobility rates may change over time. In addition, they differ by socioeconomic, geographic, and demographic characteristics such as family income, locality, and race- ethnicity. To ensure that a sufficient number of children in important policy-relevant subgroups (e.g., racial-ethnic minorities, disadvantaged children) will be maintained in all waves of the study, the contractor shall take these factors into account when devising its sampling plans for the base year and followup waves. Elapsed time between sample selection and data collection As mentioned earlier, the target population of the ECLS-B is all children born in the United Stated from JanuaryžDecember, 1999. If all children are selected at the same time as most surveys do, there is an age difference of 12 months between the oldest and the youngest children in the sample. The impact of this age difference on many of the attributes likely to be measured in the ECLS-B may be substantial. For example, the physical development of a child at 3 months will be significantly different from that of a child at 12 months. One way of minimizing the potential impact of this age difference is to select children for the base-year sample at several points in time instead of selecting all children at once. For example, children might be selected at 4 different points in time. One- fourth of the base-year sample would be selected in the first quarter of 1999. All children born between January 1st and March 31st would be eligible for this selection. In the second quarter of 1999, one-fourth of the sample would be selected from those children born between April 1st and June 30th. The sample selection would continue in the same fashion until the last fourth of the base-year sample is selected. If the elapsed time between sample selection and data collection is approximately equal for all children, then the age difference can be reduced to Page 22 of 139 RFP 98-003 3 months instead of 12 months. There are other ways of reducing the age difference, and the contractor shall explore these when devising its sampling plan for the ECLS-B. H. Methodological Inquiries and Data Quality The contractor shall give considerable attention to identifying potential sources of error, quantifying this error, and designing techniques to either reduce the error or minimize its impact on study estimates. The contractor shall carry out a variety of activities that are directed toward improving the quality of the survey data. The methods and procedures used by the contractor during the conduct of the study shall undergo continued evaluation. NCES/ED hopes to be able to set aside funds for the contractor to conduct experiments and studies designed to enhance knowledge of the effects of different design features on the quality of the data. NCES/ED is interested in studies that measure the validity and reliability of the data collected from parents concerning their children's educational experiences and learning environments. It is also especially interested in studies that assess the validity and reliability of data that are used to describe children's status on different developmental dimensions. During the design and conduct of the ECLS-B, the contractor shall work to reduce nonsampling errors as well as to reduce errors introduced through the sample selection process. I. Optional Special Studies and Supplements NCES/ED will support the development and implementation of a core study design that will achieve the goals of the program and provide the data required to answer the major research and policy questions guiding the study. NCES/ED plans to explore other ways of enriching the study. The study may be expanded in scope or enriched through a variety of special studies and supplements. Some of these may be supported by NCES/ED depending on the availability of funds, while others may be sponsored by other Federal agencies and private foundations. NCES/ED is considering expanding the ECLS design in several ways, including: 1) oversampling specific populations of children, 2) adding questions to one or more questionnaires in order to explore more fully an area of interest, 3) using supplemental instruments that will be administered to one or more groups of respondents, and 4) expanding the range of persons who will report on the early care and experiences of children in the study. The special studies and supplements that NCES/ED is considering at this time are described in the Scope of Work. The final decision as to whether or not to incorporate one or all of these studies and supplements will depend on the availability of funds. J. NCES/ED Standards NCES/ED has developed and implemented a set of standards Page 23 of 139 RFP 98-003 that set guidelines to insure the quality of NCES/ED's work. The contractor shall adhere to these standards during the design and conduct of the ECLS-B. A copy of the NCES/ED publication NCES Statistical Standards and Policies (U. S. Department of Education, June 1992) can be obtained by calling the Statistical Standards and Methodology Division of the National Center for Education Statistics at (202) 219-1643. K. Coordination with ECLS Kindergarten Cohort Study Some of the issues of interest to the ECLS program span the two cohorts, birth cohort and kindergarten cohort. For example, a question of interest to many is how childrenžs experiences in nonparental care and education programs during the years prior to school affect their later school achievement. Also, how does the literacy environment of the home during the early formative years influence childrenžs reading in the primary and elementary grades. It is not clear exactly how, and if, the design of the ECLS- B sample should be changed in order to facilitate the analysis of research questions spanning the two cohorts. For example, should the ECLS-B and ECLS-K samples use the same Primary Sampling Units (PSUs)? The contractor shall consider these and other questions when designing the ECLS-B sample. If necessary, the contractor shall design the ECLS-B sample in such a way as to increase NCES/EDžs ability to address questions that span the preschool and early school years. However, the contractor shall not make changes that might limit the ability of the ECLS-B to address issues surrounding the birth through first grade period. NCES/ED is finalizing the design of the kindergarten cohort of the ECLS. A large field test is being conducted in 1996-97 and the base-year data collection is scheduled for fall of the 1998-99 school year. The contractor shall examine carefully the design of the ECLS-K and the possible impact of that activity on the design of the ECLS-B. III. SCOPE OF WORK A. Overview of Tasks This Scope of Work is written in two sections (Core Tasks and Optional Special Studies and Supplements). The first section describes the core tasks that are required to prepare for and conduct the first three waves of the ECLS-B (base-year and the first and second followup waves). The contractor shall perform a series of tasks that will lead to 1) the final design and selection of a national sample of children born between January and December, 1999; 2) the collection of data from the parents of these children at three times; and 3) the processing of data collected at each of these three times and the preparation of public release data files. The second section describes a set of optional special studies and supplements. Page 24 of 139 RFP 98-003 B. Core Tasks to Be Performed The core tasks represent activities that are required to prepare for and implement the first three waves of the ECLS-B. A few of these tasks will be performed only once (e.g., task 1 and 3), while most will be repeated for each of the data collections. While the outcome of some tasks will be the same each time they are performed, the level of effort required to accomplish these outcomes will not necessarily be the same. For example, task 10 requires that the contractor design and produce a set of training materials, design training sessions, and train staff for each wave of data collection. However, much of the material that the contractor develops for base-year training, and many of the activities planned for the training sessions, can be used and modified for later rounds of data collection. Task 1. Project Planning and General Management 1.1 Project Initiation and Planning. The contractor shall work closely with the COTR and other NCES/ED staff to develop and conduct the first three waves of the ECLS-Bl. Upon award of the contract, NCES/ED will provide the contractor with copies of all final design reports and instruments developed for the ECLS-K. It will also provide the contractor with final copies of all papers and documents pertaining to the design and conduct of a birth cohort prepared in advance of contract award. Within two weeks of contract award, the contractor shall meet with NCES/ED to review the contractžs tasks and to discuss issues related to the conduct of the study. The meeting shall be held in Washington, D.C. at the offices of NCES/ED. The contractor shall provide NCES/ED with an agenda and any background material at least five working days in advance of the meeting. The contractor shall come prepared to identify any areas of concern and to suggest ways of responding to these concerns. The contractor shall also be prepared at this meeting to recommend members for the ECLS-B Technical Review Panel (see task 2). 1.2 General Project Management and Monthly Progress Reports. Under this task, the contractor shall perform its general project management functions. A routine aspect of this management shall be the development and submission of regular monthly project reports. 1.3 Other Meetings with NCES/ED. Key contractor staff shall travel to Washington, DC for meetings with the COTR throughout the contract period. The contractor shall participate in the development of the goals and agenda for each meeting. The contractor shall provide a final agenda at least five working days in advance of the meeting. The contractor shall be responsible for distributing the agenda and other meeting materials, if any, to about 12 meeting attendees. Materials to be distributed shall be approved, in advance, by the COTR. All Page 25 of 139 RFP 98-003 materials shall be distributed at least five working days prior to each meeting. 1.4 Briefings and Descriptive Materials. From time to time throughout the course of the project, NCES/ED shall provide interested individuals and agencies with information about the nature, findings, and progress of the ECLS-B. The contractor shall support these activities by developing up to three sets of materials that describe different components of the ECLS-B (e.g., ECLS-B assessment battery and ECLS-B field test). These materials will be used by NCES/ED. Each set of materials shall be no more than 10 typewritten pages of text (double-spaced) with accompanying graphs and/or tables suitable for display (such as transparencies or slides). Within two weeks of a request, a set of materials shall be submitted to NCES/ED for review and comment. The contractor shall make necessary revisions to the materials based on this review and resubmit the materials within one week of receipt of comments. The contractor shall also be prepared to give up to ten briefings and/or demonstrations about the ECLS-B over the life of the contract. The COTR will notify the contractor at least two weeks in advance of each briefing or demonstration. Examples of the kinds of meetings at which the contractor might be asked to discuss the ECLS-B and to present preliminary findings from the field test and main study are the annual meetings of the American Educational Research Association and NCES' Summer Data Conference. They might also include briefings with other federal agencies and with the Office of Management and Budget. 1.5 Project Brochure. The contractor shall assist NCES/ED in developing two brochures describing the ECLS-B. Each brochure shall describe the general goals of the ECLS-B and the larger ECLS program. It shall identify the types of data that are being collected and the project development and data collection schedule. These brochures are used to describe the ECLS-B to individuals and organizations requesting information about the study and are included as part of the information packets used to secure the cooperation of study participants. A draft of the first brochure shall be submitted within 12 weeks of contract award. A draft of the second brochure shall be submitted 12 weeks prior to the start of base-year data collection. The content of the second brochure shall reflect any changes made as a result of the ECLS-B field test. NCES/ED shall review the drafts and provide comments and suggestions within two weeks. NCES/ED shall provide the contractor with an electronic version of the ECLS-B logo, which the contractor shall use on the cover of the brochure. The contractor shall revise the materials based on NCES/ED suggestions and submit camera-ready, color-separated copy of the materials no later than two weeks following receipt of NCES/EDžs comments. An electronic version of each brochurežs text and graphics should be delivered with the camera-ready copy; the electronic version should be in a Web-compatible format in accordance with existing NCES guidelines. 1.6 Project Bibliography. Throughout the course of the Page 26 of 139 RFP 98-003 contract, the contractor shall maintain a bibliography of reports and articles which cite any of the ECLS (both birth and kindergarten components) surveys. A draft of the first bibliography shall be submitted to NCES/ED for review no later than 52 weeks following contract award. NCES/ED will review the draft and provide comments within two weeks of receipt. The contractor shall revise the bibliography and submit one camera- ready and ten stapled copies within two weeks of receipt of NCES/ED comments. This bibliography shall be updated on an annual basis thereafter to include citations of reports or articles which cite the ECLS. 1.7 Electronic formats of transmittals and study products. The contractor shall transmit all correspondence directly to the COTR via cc:Mail or another mutually agreed-upon communications package. NCES/ED currently uses Word, WordPerfect, PowerPoint, and Excel as its primary software packages for communicating documents, charts, and tables. NCES/ED uses the Department of Educationžs cc:Mail software as its communications package. All deliverables are to be in a format that is compatable with these packages. 1.8 Confidentiality procedures. In order to ensure the anonymity of individual respondents, the contractor must comply with Section 408 of the National Education Statistics Act of 1994, P.L. 103-382 (20 U.S.C. 9007). A copy of the Act is attached. The Act authorizes fines or imprisonment for disclosure of individually identifiable information for any purpose other than statistical purposes. Under no circumstances may the contractor release personally identifiable information. Information which identifies persons must be maintained in files which are physically separate from other research data and which are accessible only to sworn agency and contractor personnel. Individual identifiers used during the course of the project shall be associated with data only for purposes of data gathering, matching new data with old, establishing sample composition, authenticating data collections, editing data based on callbacks, or obtaining missing information. The contractor shall enforce strict procedures for ensuring confidentiality. These procedures shall apply to all phases of the project. Any employee needing access to confidential information shall first swear to an Affidavit of Nondisclosure. The contractor shall execute these Affidavits of Nondisclosure and the originals shall be transmitted to the COTR. As part of the transmission, the contractor shall indicate the position in the organization of the person signing the Affidavit of Nondisclosure and the personžs functional relationship to this project. As new persons are assigned to the project, an Affidavit of Nondisclosure shall be executed for them on the first working day of assignment to the project. Throughout the life of the Page 27 of 139 RFP 98-003 contract, the Affidavits of Nondisclosure for interviewers and other short-term personnel shall be submitted on a schedule designated by the COTR or at a minimum of three times a year. A copy of the Affidavit is attached. All respondents shall be informed of the following: NCESž enabling legislation; the purposes for which the information is needed; uses that may be made of the data; and the methods of reporting the data so that an individualžs responses are not revealed. The contractor shall maintain security on the complete set (and deliverable backups) of all master data files and documentation. The contractor shall present a detailed security plan that expands upon what was presented in its proposal to the COTR for approval 8 weeks after the award of the contract. Task 2. Technical Review Panel and Outside Review 2.1 Role of the technical review panel. Studies of this scope, complexity, and importance require input from a number of individuals and organizations in order to address the data needs of policy makers and of those performing policy studies and educational research. The contractor shall form and work with a Technical Review Panel (TRP). The contractor shall ensure that the TRP provides the contractor with review and comment on such matters as technical design and implementation, administrative practices, policy and research topics that are appropriate for the ECLS and other technical and policy matters that arise from time to time. The contractor shall ensure that the TRP plays an active role in the study by reviewing and commenting on overall research priorities, identifying policy and research questions, providing input about questionnaire and assessment instrument content, proposing analytical models and methods, reviewing work plans and their implementation, and reviewing and suggesting modifications to draft reports. The contractor shall not ask the TRP to function as a consensus group. Instead, the contractor shall ask that the individuals on the panel review and respond to matters concerning the design of the ECLS-B and to offer their individual opinions and evaluations on such matters. It is the responsibility of the contractor to compile and weigh these different opinions and recommendations, and to provide a recommended course of action to NCES/ED. 2.2 Contractor's responsibilities. The contractor's responsibilities related to the TRP shall include, but not neces- sarily be limited to, the following: 1. Identify and recruit up to 10 non-government members for the TRP. Members shall be national authorities in those substantive and methodological areas critical to the design and implementation of the ECLS-B. Within two weeks of contract award, the contractor shall identify, in Page 28 of 139 RFP 98-003 writing, individuals with the needed expertise for possible membership on the TRP. The contractor shall identify the institutional affiliation of each nominee and provide a short biographical sketch highlighting expertise and prior work related to the ECLS. Following NCES/ED review of the list of individuals nominated for membership, which shall take no more than four weeks, the contractor shall contact each individual to solicit and finalize his/her participation. 2. Inform the TRP of the progress of the study. In addition to the regular meetings, the contractor shall summarize the progress of the study for the panelists at least on a semi-annual basis. 3. Prepare all materials and correspondence required for TRP consideration and review. After NCES/ED review and approval, the contractor shall share materials with the TRP for review and comment. 4. Schedule the meetings with panel members. The first panel meeting shall occur within 16 weeks of contract award. All meetings with the exception of the first shall be scheduled at least 36 weeks in advance. The contractor shall hold all meetings in Washington, D.C. unless otherwise approved by the COTR. The contractor shall convene the TRP an average of two times per year for the life of the contract. 5. Arrange for TRP meetings (e.g., meeting space and accommodations) and pay all associated expenses. Non-government panelists shall be paid an honorarium plus per diem and travel expenses. Government participants and guests at the TRP meetings will usually include 4-6 staff from NCES/ED and 1-2 staff from each of the government agencies sponsoring components of the ECLS-B. 6. The contractor shall prepare and submit an agenda for each meeting to NCES/ED at least 4 weeks in advance. The contractor shall deliver the agenda and any other materials that will be used by panel members for discussion at the meetings to panel members at least 1 week prior to the meeting. 7. Prepare minutes of the meetings. The contractor shall tape record the meetings and submit a written summary to NCES/ED within two weeks of each meeting. The minutes shall include a summary of the discussions (There is no requirement for a verbatim transcript) and activities that took place during the meeting, highlighting major issues that were raised and decisions made. The minutes shall identify actions (long-term and Page 29 of 139 RFP 98-003 immediate) the contractor will take to respond to issues that were raised and not resolved during these meetings. The minutes of the meeting shall be distributed to panel members and invited guests within three weeks of each meeting after NCES/ED review. 8. Arrange and pay for specific work products not tied to a meeting. For example, TRP members might be asked to review and comment on a particular draft paper. Again, non-government panelists shall be paid an honorarium. 9. Supply NCES/ED with copies of all correspondence and other materials exchanged with panelists. 2.3 Other outside review. In addition to the contractor's TRP, other review panels may be required from time to time. For example, the ECLS-K has used groups of subject area specialists to review the specifications of the ECLS-K assessment framework and drafts of the assessment battery. It has also convened groups to consider different approaches for collecting data on and about special populations (e.g., children with disabilities and language minority children). If such panels of consultants are used, the contractor shall have the same responsibilities for these panels as are outlined for the contractoržs TRP (see 2.2 above). The contractor shall assume that three such groups will be convened over the life of the contract for a one-day meeting in Washington, D.C. Each group will be comprised of up to 8 non- federal members. Task 3. Develop Survey Instruments and Procedures A draft content outline for the first three waves of data collection has been developed and is available through NEDRC. Immediately upon award of the contract, NCES/ED will give the contractor a copy of the final content outline and a set of recommended items for the parent interview developed from this content outline. Even though a set of recommended items will be available at the time of contract award, the contractor will need to do additional work to develop and produce the parent interview instrument and other data collection instruments and procedures for use in the ECLS-B. The contractor shall implement an approach to developing these instruments and procedures that follows the steps outlined in the following subtasks. 3.1 Identify key questions and variables. As needed, and with the knowledge of the COTR, the contractor shall consult with the staff of NCES, the various offices in the U.S. Department of Education, other Federal agencies (including OMB), education policy groups, and members of the ECLS TRPs for input on the key research and policy questions that should be addressed by the ECLS-B and on what variables to include. The contractor shall provide short 1-2 page written summaries of all such consultations within one week of each consultation. Page 30 of 139 RFP 98-003 3.2 Prepare Content Outline Matrix. Within 16 weeks of contract award, the contractor shall prepare and submit a draft final content outline for the ECLS-B. This outline should update and revise the outline provided to the contractor at the beginning of the contract. The content outline shall list the recommended constructs and variables for inclusion along with a brief rationale for each. The constructs and variables shall be organized by the research and policy issues they address. This information shall be submitted using a matrix format. The matrix shall identify the source(s) of data for each variable. The draft final content outline shall reflect the outcomes of project activities and revise as necessary the content outline contained in the contractoržs proposal. Following NCES/ED review of the draft final content outline, the contractor shall submit a revised outline which incorporates suggestions made by NCES/ED. With the approval of the COTR, the contractor shall provide members of the Technical Review Panel with a copy of the content outline for review and comment. All comments from the TRP members shall be summarized by the contractor and presented to the COTR prior to the submission of the final content outline or no later than 18 weeks after contract award. 3.3 Develop Study Instruments and Procedures. The contractor shall develop and revise the study instruments and procedures needed to address the research and policy issues being addressed by the ECLS-B. In designing the study instruments, the contractor shall take into account the comments and suggestions made by TRP members and NCES/ED regarding the content outline. Where the ECLS-B consists of topical components and variables being used in the ECLS-K or where questions are being asked that build upon the data collection efforts of other agencies, special consideration shall be given to maintaining the comparability of items across time and/or across studies. Draft copies of all study instruments shall be submitted to NCES/ED for review and comment no later than 30 weeks following award of the contract. NCES/ED will provide comments on the draft instruments within two weeks. Within one week of receipt of NCES/ED's review comments, the contractor shall revise the instruments incorporating the comments and suggestions of NCES/ED and submit a second draft of the instruments. The contractor shall produce the ECLS-B parent/guardian instruments in both English and Spanish. In addition, the contractor shall develop approaches for increasing the participation of respondents from other language minority backgrounds. The contractor shall reproduce or acquire all the materials and program all the systems necessary to support the collection of data for the ECLS-B. The contractor shall reproduce or arrange for the reproduction of all questionnaires. A sufficient number of copies of each form shall be reproduced to meet the needs of the study, plus a 10 percent overage. The contractor Page 31 of 139 RFP 98-003 must be familiar with the requirements of the Government Printing Office for such reproductions; all reproductions shall be done in accordance with government printing regulations. 3.4 Conduct Cognitive Laboratory Research. Most of the data items that will be used in the ECLS-B will have been used in previous studies and many will have been subjected to cognitive laboratory research. However, some of the items will be new or modified from their original version. As such, the contractor shall design and conduct limited cognitive laboratory research on certain items or sets of items. This research shall be directed toward an understanding of the extent to which the questionnaire items are understood by respondents and how the questionnaire flow might be improved. This research shall seek to identify any areas of ambiguity and confusion. Prior to conducting any cognitive laboratory research, the contractor shall develop and submit a memorandum that outlines its plan for the conduct of such research. This plan shall be submitted to NCES/ED no later than 16 weeks after contract award. This plan shall describe the contractor's general approach to this work and identify the specific methods and procedures that shall be used. Justification shall be provided for the selection of certain methods over others relative to the objectives of the research. The plan shall also describe how the outcomes of the cognitive laboratory research will be used to improve the overall quality of the ECLS-B instruments and procedures. The contractor shall allow two weeks for NCES/ED review of the plan. Implementation of the plan shall be contingent upon NCES/ED approval. The contractor shall submit a draft Cognitive Research Report to NCES/ED within two weeks of completing the research outlined in the approved cognitive research plan. This short report shall summarize the cognitive research conducted for the ECLS-B and changes that are recommended to study instruments and procedures as a result of this work. The contractor shall allow two weeks for NCES/ED review of the draft report. The report shall be revised in response to NCES/EDžs comments and the final report submitted one week later. 3.5 Develop birth cohort assessment battery. Developing an assessment battery for the ECLS-B is extremely important to the success of the study. The assessment battery for the ECLS-B shall include all instruments designed to collect indicators of children's status within a number of critical dimensions associated with school performance. The dimensions include 1) physical development, 2) social and emotional development and 3) cognitive and language development. The contractor shall develop this battery following the steps outlined below. The contractor shall conduct a review of the relevant research in the field, review and evaluate existing assessment instruments, and review relevant materials from the NCES/ED development activities for the ECLS-K. The contractor shall engage in discussions with child development specialists, Page 32 of 139 RFP 98-003 education content area researchers, related professionals, and the ECLS-B TRP. All instruments used in the ECLS-B shall meet psychometric standards (e.g., validity and reliability) at the highest level. Identify key elements of each assessment domain. The contractor shall 1) develop an inventory of the variables for each of the key assessment domains, 2) select those elements that are closely related to the study issues and have been shown to be related to children's later school performance, and 3) describe their relationship to the types of school outcomes identified in the ECLS-K. Operationalize elements in each domain. The contractor shall define each of the identified key elements and its relationship to each of the essential dimensions of learning and development. Both conceptual and operational definitions shall be provided. Identify data source for each element. Information for each element may be obtained from a variety of sources. The sources may include children, their parents, and when they enter school, their teachers. The contractor shall identify the appropriate source(s) for information pertaining to each element and the best method(s) or procedure(s) for obtaining the information. All methods and procedures advanced for collecting information directly from children shall be appropriate for their age. Special care shall be taken to limit any negative impact of children's participation. Review instruments from other studies. The contractor shall review the designs and instruments of relevant studies and data collection programs that collect data on the types of issues and populations of particular interest to the ECLS-B. After the review, the contractor shall recommend those instruments and/or elements of instruments that are most appropriate for use in the ECLS-B. The contractor shall include empirical evidence establishing the importance and relevance of the instruments/items for the ECLS-B. Conduct small-scale pretest. To determine the feasibility and appropriateness of methods and procedures proposed by the contractor, the contractor shall conduct small-scale tests. All such tests shall be separate from and precede the full-scale field test. Such early testing may include cognitive laboratory work. Assessment Plan. The contractor shall prepare and submit to NCES/ED a report that summarizes its plans for the design and conduct of the assessment. At a minimum, the plan shall: 1) identify the key assessment domains and the critical elements within each domain to be collected; 2) describe the methods and procedures that will be used to conduct the assessment and identify the sources of data for each domain/element; 3) include copies of any questionnaires and assessment instruments; 4) Page 33 of 139 RFP 98-003 describe in detail any procedure that involves the direct assessment of young children and steps that will be taken to minimize the impact of children's direct participation; and 5) describe procedures for analyzing the data. A draft copy of this plan shall be submitted to NCES/ED within 32 weeks of contract award. NCES/ED will provide comments on the draft plan within two weeks. The contractor shall revise the plan based on the comments and suggestions of NCES/ED and submit a revised draft of the plan. The plan shall be reviewed by members of the ECLS TRP and other experts in child development and assessment. The contractor shall notify the COTR prior to sending the plan out for review. A final version of this plan shall be appended to the Study Design Report (see Task 5). Assessment reproduction and materials. The contractor shall be responsible for reproducing all printed materials associated with the ECLS-B assessment battery (both the direct and indirect instruments). A sufficient number of copies shall be reproduced to meet the needs of each round of data collection, plus a 10 percent overage. The contractor shall be responsible for acquiring all materials and supplying all equipment needed to administer the ECLS-B assessment battery. The contractor shall protect the security of the cognitive assessment battery by restricting the number of copies published to the number needed to conduct the study and maintaining a record of the location of each copy of the assessment battery instruments. A copy of this record shall be made available to the COTR upon request. Under no circumstances shall copies of the assessment battery instruments be distributed or loaned out without the permission of the COTR. The contractor shall employ strict procedures for ensuring that all project staff adhere to this requirement. The contractor shall protect the proprietary rights of all copyrighted assessment instruments used in the ECLS-B assessment battery. The contractor shall provide proper notice of copyright. Individual ECLS assessment battery data and individual item data shall not be released without the permission of NCES/ED. The contractor shall negotiate and pay all royalties associated with the use of copyrighted material. The contractor shall secure the written permission of the copyright holder to change or modify individual items that are part of a copyrighted instrument if such changes are a part of the contractoržs approach to assessing children in the ECLS-B. The contractor shall provide NCES/ED with a copy of each agreement between the contractor and a copyright holder prior to it being finalized. Task 4. Design and Select Sample The contractor shall design and select a sample of children Page 34 of 139 RFP 98-003 that meets NCES/EDžs precision requirements and other study requirements (see section G, Birth Cohort Study Design). The contractoržs plan for selecting this sample shall be submitted to NCES/ED for review and approval prior to its implementation. A revised version of the plan included in the contractoržs technical proposal shall be submitted to NCES/ED within 36 weeks of contract award. Following NCES/ED review, the contractor shall make any necessary revisions to the plan and submit the revised plan to NCES/ED for review. The revised plan shall be submitted within one week of receipt of NCES/ED's comments on the draft plan. The revised plan is expected to be the final sample design. The contractor shall select the sample following the specifications and procedures contained in its approved sample design. Three weeks prior to the sample being drawn, the contractor shall provide NCES/ED with the computer specifications that will be used to select the sample along with copies of other written materials (e.g., instructions, specifications) that document the derivation, justification, and implementation of the operations that lead to the selection of the sample, including 1) selection of PSUs; 2) sample allocation; and 3) stratification. Task 5. Study Design Report The contractor shall prepare a Study Design Report. This report shall be in large part a compilation of the materials prepared under Tasks 3 and 4. At a minimum, it shall contain an introduction to the study with a comprehensive statement of its intended purpose and overall design. The report shall include a description of the methods and procedures that will be used to collect data from parents/guardians and other study respondents. The report shall outline how the data collected through the ECLS- B may be used to address key research and policy questions. A copy of the 1) content outline, 2) sample design plan, and 3) assessment plan shall be included as appendices. The contractor shall also append copies of all instruments with the exception of those found in the ECLS-B assessment battery. The contractor shall prepare the Study Design Report as a loose-leaf binder. The contractor shall submit an outline of the Study Design Report to NCES/ED for approval no later than 15 weeks after contract award. Once the outline of the report is approved by NCES/ED and no later than 40 weeks after contract award, the contractor shall submit a draft of the Study Design Report to NCES/ED. Within two weeks of receipt of the draft report, NCES/ED will provide the contractor with comments on the draft document. The contractor shall revise the Study Design Report incorporating NCES/ED's comments and suggestions. The revised draft Study Design Report shall be submitted to NCES/ED within one week of receipt of NCES/ED's review comments on the draft report. The contractor shall provide the COTR and members of the ECLS-B TRP with copies of the draft report for their review and comment. The contractor shall request that the members of the TRP provide written comments and be prepared to discuss the ECLS design at a TRP meeting. Page 35 of 139 RFP 98-003 With NCES/ED approval, the contractor shall modify the draft Survey Design Report (and the ECLS-B design) based on the suggestions of the TRP members. The contractor shall continually update the Survey Design Report based on the outcomes of the field test. Task 6. IMT/OMB Clearance The contractor shall prepare a forms clearance package for obtaining both IMT (Information Management Team of the Department of Education) and OMB approval of the ECLS-B field test and the first three waves of data collection. A draft package shall be submitted to NCES/ED not less than 180 working days prior to the start of the base-year field test data collection. In preparing the clearance package, the contractor shall follow instructions for completing Standard Form 83-I and writing the supporting statement required for Paperwork Reduction Act submissions. The contractor shall expect that several iterations of the forms clearance documents will be required before a final draft will be ready for submission to IMT/OMB.. When preparing the package, the contractor shall draw heavily on the material found in the draft Study Design Report. Following NCES/ED review of the draft package, the contractor shall revise the package incorporating NCES/ED's comments and suggestions and resubmit the package. Following this review, the contractor shall revise the package and submit it for final NCES/ED approval. Following approval, the contractor shall provide NCES/ED with 10 copies of the Clearance Package. The contractor shall submit these copies no later than 150 days prior to the start of the base-year field test data collection. NCES/ED will submit the package to IMT/OMB. Task 7. Develop CATI/CAPI System The contractor shall use CATI/CAPI technologies to collect data from study participants when the contractoržs approach involves interviewing respondents. To the greatest extent possible, the contractor shall design the CATI/CAPI system in such a way as to minimize disruptions to the system when requests for changes are made. 7.1 Specification of Range and Logic Checks. The contractor shall prepare specifications for every questionnaire item response that detail the allowable range of response and of internal consistency checks between sets of related items. For example, if the age of the respondent is collected in the demographic items, then other items relating to the personžs age should be consistent with the reported age. All year fields shall be formatted as a four digit year, so as to be compatible with dates in the year 2000 and after. The contractor shall develop range codes that distinguish between žNot applicablež (i.e., valid skips) and item nonresponse. The contractor shall develop procedures for insuring the Page 36 of 139 RFP 98-003 overall quality of the data collected in the ECLS-B. Most of the data editing associated with the conduct of the ECLS-B shall take place during the interview session via edits contained in the CATI/CAPI system. However, even with elaborate edit specifications for the study instruments, it is assumed that errors in the data still may occur. As a consequence, the contractor shall implement manual editing procedures. Procedures shall be developed and in place for resolving unanticipated problems. At a minimum, editing during the conduct of the interview shall include range checks (both hard and soft) and consistency checks. Inappropriate characters (such as words in a numeric field) should be prevented from being entered by the interviewer. Procedures shall be established that permit interviewers to respond appropriately to participants who provide out-of-range or inconsistent information. In developing these procedures, the contractor shall weigh the needs for accurate information and limited interviewer interference against the need for completing the interview as efficiently as possible. For each instrument, the contractor shall prepare CATI/CAPI edit specifications. (Post-CATI/CAPI edit specifications are covered in Task 11.1, below.) These specifications shall be submitted to NCES/ED for review and comment no later than six weeks prior to the start of data collection. NCES/ED will provide comments within two weeks, and CATI/CAPI edit specifications revised in response to NCES/ED review shall be submitted two weeks later. Revised CATI/CAPI specifications are expected to be the final version; the draft submitted should be considered as a final version with only minor modifications to be incorporated. Open-ended items (such as an occupation or care provider name) shall be coded and edited either online (with screens that provide precoded response categories) or handled in post- interview manual edits. The online capability is most desirable but would need to work seamlessly with the rest of the CATI/CAPI software. The contractor shall develop an approach for handling such open-ended items. 7.2 Programming of Study Instruments. Programming the study instruments into the CATI/CAPI system is one of the key activities of the project. For the instrument to capture the data reported by respondents accurately, the CATI/CAPI system shall be able to appropriately handle all contingencies associated with the conduct of the interview. Each response shall lead to the next appropriate point in the instrument and each response provided by the participants shall be accounted for. The contractor shall develop the procedures and materials necessary to insure that all program specifications are correct and complete. At a minimum, this shall include the creation of flowcharts and hard-copy screens and the development and use of project staff and programmer review procedures for these Page 37 of 139 RFP 98-003 materials. 7.3 Testing the CATI/CAPI System. Prior to the conduct of the field test (see Task 8), the contractor shall test all features of the CATI/CAPI system, including those features of the system associated with sampling, scheduling, interview management (e.g., skip patterns), data entry and editing, and case control. Testing of the system shall involve the review of project staff at all levels of the project (e.g., project management, staff with substantive expertise pertaining to the collection, telephone operations staff, and programmers). It shall also involve the use of interview scenarios so that the system can be tested under simulated interview conditions. Every branch of the interview skip patterns shall be tested, and corrected if necessary, prior to field use, to be sure that all contingencies have been foreseen. 7.4 CATI/CAPI Screens. The contractor shall also prepare hard-copy versions of the CATI/CAPI monitor screens for each of the instruments. At a minimum, these screens shall include: 1. the item number and text; 2. all displays that are to appear in the body of an item (e.g., names, wording alternatives, responses to previously asked items); 3. all information that is being provided to the interviewers to assist them in conducting the interview accurately and smoothly (e.g., respondent's or subject's name, age, and sex, and the type of early childhood program being discussed); 4. information that identifies the next item to be asked for each response; and 5. the response range specifications. The contractor shall provide copies of the CATI/CAPI English and Spanish screens six weeks prior to the field test. NCES/ED shall provide comments on these materials within two weeks of receipt. Revised screens shall be delivered one week after receipt of NCES/ED comments. 7.5 Delivery of Testable CATI/CAPI Instruments. The COTR shall have a minimum of 5 days to test the CATI/CAPI system. The contractor shall make the CATI/CAPI system available to the COTR for testing at NCES. A testable CATI/CAPI is one in which all screens are ready to be tested. It shall be possible for the COTR or other assigned project staff to go through a variety of simulated interviews, testing out the responses to various scenarios and types of respondents. It is not necessary for the CATI/CAPI system to be complete in all details, but the screen routing program shall be considered final. The COTR shall notify the contractor promptly of all questions or problems with the CATI/CAPI programming. The contractor shall remedy all problems Page 38 of 139 RFP 98-003 reported during the testing phase. CATI/CAPI instruments shall be made available to the COTR no later than two weeks prior to the Field Test to allow time for reprogramming as necessary. Task 8. Field Test of Survey Instruments and Procedures 8.1 Submit Field Test Plan. The contractor shall design a field test for the ECLS-B. The contractor shall use the field test to žshake outž the CATI/CAPI system, to evaluate items in the ECLS-B instruments and to evaluate other methods and procedures planned for the main study. Many of the items that will be in the ECLS-B instruments have been fielded before. Therefore, the contractor shall design and implement a field test that concentrates on new items or items that have been adapted from studies designed for different purposes from the ECLS-B. The contractor shall submit a short description of its plans for conducting a field test of the ECLS-B instruments and procedures no later than 24 weeks after contract award. This plan shall update, if necessary, the plans outlined in its technical proposal. Once the contractor has completed its cognitive laboratory work and the data collection instruments are complete and approved (by NCES/ED and OMB), the contractor shall conduct a field test of the instruments and the CATI/CAPI system. The contractor shall allow enough time between the completion of this field test and the commencement of interviewer training (Task 10) to permit an analysis of the field test and to allow for any proposed changes to the data collection instruments and procedures to be evaluated and made. Recommended changes to the data collection instruments shall be submitted to NCES/ED for approval and to OMB through the COTR. 8.2 Conduct Field Test. The contractor shall conduct a field test of each ECLS instrument prior to its full-scale implementation. All sampling and data collection procedures scheduled for the full-scale study (see Draft Survey Design Report under Task 5) shall be used to the extent feasible during the conduct of the field test; however, purposive sampling may be substituted in order to guarantee a sufficient number of respondents for specific populations. The field test shall be used to test the entire CATI/CAPI system, including scheduling and interview progress reporting functions. It shall also be used to test the wording and flow of the questionnaire items including appropriate skip patterns. The contractor shall review, analyze and document the responses of field test sample members. The contractor shall pay special attention to skip pattern errors, consistency and other edit checks, the variability of responses to questions, and the sensitivity of items. 8.3 Report on Field Test. The contractor shall prepare a short summary of the field test for review by NCES/ED and, at NCES/ED's request, by members of the ECLS-B TRP. Any problems Page 39 of 139 RFP 98-003 encountered during the conduct of the field test and the contractor's recommendations for overcoming these problems shall be documented and reported. This short summary report shall be submitted no later than three weeks after completing field test data collection. 8.4 Submit Design/Instrument Changes in IMT/OMB Memo. Based upon field test results, modifications may be called for in the data collection procedures and instruments. Following NCES/ED approval of any revisions to the survey instruments and procedures, the contractor shall submit these changes to IMT/OMB through NCES/ED. Notification of these changes shall be made in the form of a memorandum from NCES/ED to IMT/OMB. A draft of the memorandum shall be prepared by the contractor and submitted to the COTR at the same time it submits the field test report. The contractor shall modify the memorandum based on the comments of NCES/ED staff and submit a final memorandum to NCES/ED within one week of receipt of NCES/ED comments. Task 9. Hiring and Training CATI/CAPI Interviewers The success of the ECLS-B will be due in large part to the skills and dedication of the contractor's CATI/CAPI interviewers. It is critical that all persons assigned to these positions have the necessary verbal, interpersonal and typing skills required for successful CATI/CAPI interviewing. These skills are developed through a combination of prior experiences working on other projects and training. 9.1 Develop Interviewer Training Materials. In order to ensure that the interviewers assigned to the ECLS-B have the skill levels necessary to perform successfully the demanding tasks associated with the conduct of the study, the contractor shall design and implement an interviewer training program. Prior to developing any training materials and not later than 12 weeks prior to the start of data collection, the contractor shall submit an outline of its interviewer training program to NCES/ED for review. This outline shall include: 1) a training program agenda that identifies the format of the session (lecture, interactive, role-playing, etc.), the topics to be covered (e.g., study background, overview of instruments, survey topical component), and the length of time the session is scheduled to run; 2) an outline of the study materials that interviewers will be provided; 3) a preliminary training program schedule that identifies when and where each group of interviewers will be trained; and, 4) the contractor's plan for evaluating the training program and the performance of individual trainees during and after training. Page 40 of 139 RFP 98-003 Following NCES/ED review and approval of the interviewer training program outline, the contractor shall develop and submit draft copies of all training materials to NCES/ED for review at least five (5) weeks prior to the start of the first interviewer training session and six (6) weeks prior to the start of data collection. The contractor shall make revisions as necessary based on NCES/ED's review of the materials and submit 10 copies of the final training materials to the COTR at least five (5) working days prior to their being distributed to CATI interviewer trainees. The contractor shall monitor all data collection activities to assure consistent high quality data throughout the collection period. Therefore, as a part of the training plan, the contractor shall include awareness of interviewer responsibilities under the Privacy Act of 1974 (5 U.S.C. 552a), the Privacy Act Regulations (34 CFR Part 5b), and the National Center for Education Statistics Act of 1994 (P.L. 103-382, Section 9007). The contractor shall also follow NCES Standards and Policies and design methods of review and checking which will take place during and after training to assure that only high quality personnel are retained and utilized. In addition to supervisory monitoring, the contractor shall include plans that address issues of quality control such as tracking interviewer performance, maintenance of standards, identification of poor performance, and procedures for correcting such performance. 9.2 Recruitment of Interviewers. The contractor shall recruit and hire all interviewers needed to complete the data collection within the time constraints imposed by the project schedule. Whenever possible, the contractor shall recruit interviewers with prior CATI/CAPI interviewing experience. Because the ECLS-B most likely will oversample Hispanic children and other language minority children, the contractor shall have staff who are qualified to conduct the interviews in languages other than English. At a minimum, the contractor shall have staff who can conduct the interviews in Spanish, and a sufficient number of such staff to conduct the interviews within the contractoržs data collection schedule. Confidentiality requirements in NCES contracts mandate that interviewers complete a sworn Affidavit of Nondisclosure. These affidavits shall be signed in the presence of a public notary and must be dated the first day the interviewer is on the payroll. (This requirement applies to all project staff having access to the data.) 9.3 Interviewer Training Sessions. The contractor shall have responsibility for the conduct of the training sessions. All sessions shall take place at the contractors' facilities or facilities arranged for by the contractor. The contractor shall be responsible for assuring that all interviewers assigned to the project successfully complete the training program as specified in the training plan. The contractor shall have responsibility for the production of all interviewer training materials and Page 41 of 139 RFP 98-003 shall have sufficient materials available for all staff trained during the conduct of the project. The contractor shall provide standardized training to all staff who will be working with a particular instrument. Due to the large numbers of individuals that will need to be trained, training may take place at different times and at different sites. The contractor shall develop materials and use technologies, as needed, to insure that all staff receive the same training in their respective assignments. Interviewer training shall occur at least one week prior to the start of data collection. Task 10. Data Collection The contractor shall collect all base year, first, and second followup data according to the plans contained in its technical proposal and the Study Design Report. All interviewing associated with the ECLS-B, unless otherwise approved by NCES/ED, shall be done using a CATI/CAPI methodology. All CATI interviewing shall be conducted at the contractor's facilities. CATI/CAPI interviewing shall be under the supervision of the contractor's staff. 10.1 Data Collection Schedule. The contractor shall develop and adhere to a data collection schedule that achieves the goals of the study and minimizes the effect of childrenžs age on data that are captured at each wave of the study. Interviews with childrenžs parents shall be scheduled so as to maximize the number of completed interviews and minimize the number of non-productive interviewer hours charged to the project. At least 14 attempts over a two-week period shall be made to contact and conduct an interview with the parent of each sampled child. These attempts shall be scheduled so that they cover different days of the week and hours of the day. 10.2 Quality Control Procedures. The contractor shall develop and implement a set of quality control procedures that will assure the collection of high quality data throughout the data collection period. Project supervisory staff shall closely monitor interviewer activities in order to ensure that all data collection procedures are followed and that all standards are adhered to. Problems that are identified shall be addressed immediately and consistently. Statistics on interviewer response rates should be maintained and checked regularly to pinpoint response rate problems. Because of the number of staff who will be assigned to the ECLS-B data collection activities (both supervisory and interviewer staff), it is important that any decisions that are made about the conduct of the survey be disseminated immediately and clearly to all staff involved in the project. The contractor shall have procedures in place from the beginning of staff training until the end of data collection to assure that all Page 42 of 139 RFP 98-003 parties involved with the collection of data use the same solutions to and interpretations of problems that arise during the course of the study. 10.3 Progress Reports. Throughout the data collection period, the contractor shall provide the COTR with weekly progress reports. The contractor shall have a receipt control system at its facilities. The contractor's CATI/CAPI system (receipt control system) shall be designed in such a way as to be able to produce computer-generated reports that show the progress that is being made during the interview phase of the project. These reports shall contain detailed information on the initial and final status of all interviews. At a minimum, they shall include information on the total number of interviews to be completed, the number of cases for which contact has been attempted and established, the number of cases for which interviews have been completed or refusals have occured, the number of cases by reason for all types of noninterviews, the number of missed scheduled interviews, the number of interviewer hours (aggregated), the number of cases referred to refusal conversion, and the number of initial refusals that were completed during refusal conversion. Where appropriate this information shall be reported separately by key characteristics of sampled cases (e.g., race-ethnicity, region, urban-rural). The contractor shall report estimated response rates as well as completion rates for all cases to the COTR on a weekly basis. In addition to the computer-generated reports described above, these weekly reports shall identify any problems encountered and either describe how these problems were resolved or recommend alternative ways of resolving these problems. The report shall include a short summary certifying that progress is at or above target levels for data collection, or explaining why sufficient progress is not being made and the steps that are being taken to rectify this. These weekly progress reports are in addition to the monthly reporting requirements described in Section III (Study Requirements, A. Reporting). Any problems encountered that either have consequences for the project's budget or time schedule shall be brought to the attention of the COTR in these weekly progress summaries. 10.4 Nonresponse Follow-up and Refusal Conversion. The ECLS-B will encounter initial refusals and other types of nonresponse. The potential for nonresponse and its effects on study estimates shall be given special consideration in the contractors' design of the ECLS-B. In addition, the contractor shall develop and implement a set of procedures for converting initial nonrespondents to completed interviews in order to meet NCES response rate standards. 10.5 Tracking sample One of the challenges facing the ECLS-B is limiting the adverse effects of sample mobility. To help maintain a high response rate, the contractor shall develop methods and Page 43 of 139 RFP 98-003 procedures for collecting locating information on each child/parent sample member. The contractor shall create and maintain a tracking system data base. At a minimum, the data base system shall include the following: 1) child/case identification number, 2) parent(s) names, 3) home address and telephone number, and 4) names, addresses, and phone numbers of two other individuals who would always know the whereabouts of the child. The contractor shall also have a set of proven procedures for locating sample members who change addresses between data collections. The contractor shall locate all child/parent sample members who change addresses between data collections using these procedures and the tracking system data base. The contractor shall submit its final specifications for the tracking system to the NCES COTR within 24 weeks of the contractžs start date. These specifications shall update and revise those found in the contractoržs technical proposal. Task 11. Data File Preparation and Documentation Much of the data collected during the conduct of the ECLS-B will be entered directly into a computer file through the CATI/CAPI system. Nevertheless, additional steps will be necessary to prepare these data and others collected through other means for public release and analysis. The contractor shall take the necessary steps to convert the raw data to a more useable form. The contractor shall develop and implement a set of quality control procedures that assures high quality data conversion and accuracy. 11.1 Data Coding and Editing. Although most data edits shall occur online as responses are entered during CATI/CAPI interviews (see task 7), the contractor shall perform additional data editing and coding at the conclusion of the data collection period. These editing and coding activities shall involve both computer-assisted (e.g., CADE) and manual activities. Respondent data records shall be reviewed by contractor staff for completeness and for any other problems (e.g., inappropriate skips, out-of-range values, input errors) that may have occurred during the conduct of the interview. Problem records shall be identified and appropriate corrective actions taken. The contractor shall submit a plan for post-CATI/CAPI editing to NCES/ED by the start of data collection. NCES/ED will review the plan and provide comments and suggestions within two weeks of receipt. The contractor shall revise its post-CATI/CAPI editing plan based on NCES/EDžs comments and submit a revised plan. The contractor shall maintain for NCES/ED inspection the records and results of the data editing and corrective actions. Page 44 of 139 RFP 98-003 These records shall be delivered to NCES/ED on request. A status report of the data editing and corrective actions shall be delivered to NCES/ED four weeks after the end of data collection. This status report shall include cumulative summary statistics by instrument on the number of problems detected for the various types of items and the status and method of corrective actions taken. The contractor shall submit specifications for the coding of open-ended items by the start of data collection. Coding specifications shall be reviewed by NCES/ED and comments from NCES/ED provided within two weeks of receipt. The contractor shall revise the specifications based on NCES/ED's comments and submit the final coding specifications to NCES/ED one week later. The contractor shall code responses to all open-ended questions according to the approved coding specifications. Data collected through methods other than CATI/CAPI (e.g., self-administered questionnaires) shall be edited and coded by the contractor. The methods and procedures the contractor uses to edit and code data collected through these other means shall be consistent, and of similar quality, to those used for CATI/CAPI interviews. 11.2 Data Conversion. The contractor shall design, establish, and carry out the procedures necessary to convert the data in the CATI/CAPI (and CADE) system to CD-ROM with electronic codebooks. The data set on the CD-ROM shall be made available in three formats: 1)ASCII format; 2)SAS/PC; 3)SPSS/PC. ASCII- readable input files shall be used by the contractor to create Electronic Codebooks (ECBs) for the separate files. The contractor shall submit a plan to the COTR that describes the proposed structure and specifications for these data files. This plan shall be submitted by the start of base year data collection. NCES/ED will review the plan and provide comments within two weeks. A revised plan shall be submitted two weeks after the receipt of NCES/EDžs review comments. The plan shall not be implemented without the approval of NCES/ED. 11.3 Creation of Composite and Classification Variables. The contractor shall propose and create a limited number of composite (e.g., SES using income measures, parent's education and occupation) and classification variables (e.g., race/ethnicity, highest level of parent education, family/household composition, count of adults in household, etc.) for use by analysts. A plan for the creation of composite and classification variables shall be submitted by the start of base year data collection. NCES/ED shall review the plan and provide comments and suggestions within two weeks. A revised plan incorporating the changes requested by NCES/ED shall be submitted within one week of receipt of NCES/EDžs comments. Once approved, these variables shall be amended to the public use data files and their definitions included in the ECLS-B data file user's manual. Page 45 of 139 RFP 98-003 11.4 Item Nonresponse. The contractor shall consider the impact of item nonresponse on study estimates and analyze the level of item nonresponse for individual items and assess the merits of imputing for missing item data. When considering whether or not to impute for missing data, the contractor shall weigh the advantages and disadvantages of including the imputed values on the public release files (with appropriate documentation and flags). These analyses shall be performed and the findings reported to NCES/ED prior to the production of the final data files. The findings of the contractor's analysis of item nonresponse shall be reported to the COTR and included in the methodology report (see Task 13). Recommendations regarding the imputation for missing data on the public release files shall be submitted to NCES/ED. These recommendations shall not be implemented without prior approval of the COTR. 11.5 Sample Weights. The contractor shall develop sample weights to apply to the data. The weights shall incorporate an adjustment for differential questionnaire response rates for individuals in different "weighting classes." Weighting classes and adjustment procedures shall be consistent with NCES Standards. The contractor shall document the procedures planned for use in developing the weights and submit these plans to NCES/ED by the start of base year data collection. Two weeks shall be allowed for NCES/ED review. The contractor shall have one week to make any revisions resulting from NCES/EDžs review and submit a revised plan. 11.6 Public Release Files and User's Manuals. The contractor shall prepare data files and documentation following NCES standards. The contractor shall submit preliminary or draft copies of the following computer-related products 12 weeks after the end of data collection: 1. ECLS-B restricted-use files on CD-ROM in ASCII, SAS/PC, and SPSS/PC formats, with Electronic Codebook. 2. ECLS-B public-use files on CD-ROM, in ASCII, SAS/PC, and SPSS/PC formats, with Electronic Codebook. 3. User's manual (patterned after those developed for NELS:88 and NHES:95) for each of the files. The User's Manuals will also include a codebook print file containing well-documented, weighted and unweighted frequency tables for all variables contained in the master files. 4. READ.ME files that will be included on the CD-ROM that will provide guidelines for accessing the data files and describing the data files contained on the CD-ROM. Page 46 of 139 RFP 98-003 The construction of these files and the associated documentation shall be modeled after those in NELS:88 second follow up and the 1995 National Household Education Survey. For NCES/ED review, the contractor shall provide separate ASCII data files with SPSS for Window code on CD-ROMs. All preliminary files and all documentation (including linking IDs) needed to access and read the data stored in each file shall be delivered within 16 weeks of the end of data collection activities. NCES/ED review of data files and User's Manuals will be completed four (4) weeks after receipt of the draft/preliminary deliverables. The contractor shall have two (2) weeks to submit revised copies of the tapes and manuals following NCES/ED review. NCES/ED's comments and suggestions shall be taken into consideration when developing these final products. Following NCES/ED approval, 20 copies of the User's Manuals shall be sent to NCES/ED along with the final public use data files. At the same time, the contractor shall deliver two masters of a CD containing the ASCII data files, SAS/PC and SPSS/PC data files, and the ECB. 11.7 Restricted-use Data Files and User's Manuals. Following the same steps presented in Task 11.6 above, the contractor shall produce data files that contain restricted-use data. These data files will contain all the variables that reside on the public-use files plus variables with potential identifiers of respondents (e.g., State codes, Census zipcode data, etc.). These files will be distributed by the government through NCES site-license agreements. 11.8 Disclosure Review Board. NCES Standards for release of public-use data require that the data ready for release be submitted to the Disclosure Review Board (DRB). This process usually entails having the dataset tested out and ready to certify as žclean,ž meaning that all of the procedures in NCES Statistical Standard for Machine-Readable Products (IV-06-92) are followed, and that data suppression or conversion has been performed on individually-identifiable data (NCES Statistical Standard for Maintaining Confidentiality, IV-01-92). There should be a data release product, usually a Statistics in Brief (see task 12), and a Useržs Manual to submit to the DRB at the same time. The contractor shall conduct a thorough confidentiality analysis of the ECLS-B data when preparing the public use files. This analysis shall ensure that the confidentiality provisions contained in PL 100-297 are fully complied with. To protect the privacy of respondents as required by PL 100-297, respondents with high disclosure-risk will be identified. Data that can potentially be used to identify these respondents will be masked. Disclosure-risk can be increased as more information is collected during future rounds of ECLS-B and as this information Page 47 of 139 RFP 98-003 is added to the data records of the sample members. The contractor shall consider this type of disclosure risk when planning and conducting confidentiality analysis for the ECLS-B. 11.9 Maintenance of Necessary Data Files. The contractor shall maintain complete data files for all waves and components of the ECLS and all supplemental files created and obtained in support of this study. Maintenance of data files means keeping data file documentation available for reproduction on request from data users on a cost-reimbursable basis and keeping a machine-readable copy of each data file so that copies can be supplied to NCES/ED on request. Certain data files that shall be maintained may not be made available to the public because of privacy considerations. In these cases, file maintenance means that the data files shall be kept intact, in a form that can be updated or copied. Data files shall not be allowed to expire, to be released, to be overwritten, or otherwise destroyed. These files shall be maintained with a software system capable of easily interlinking them for analytic (or other) purposes while, at the same time, preserving the necessary confidentiality requirements of the study. Task 12. Data Analysis and Reporting 12.1 Descriptive Reports. The contractor shall analyze the ECLS-B data and prepare two Statistics in Brief publications. The first Statistics in Brief serves two purposes: 1) To adjudicate the public release data files (see task 11), and 2) To stimulate interest in the ECLS-B data. The second Statistics in Brief will serve to futher stimulate interest in the ECLS-B. A Statistics in Brief report is anywhere from 12-20 pages in length and shall contain the following information: 1) A short introduction with a brief review of relevant literature; 2) A brief description of the ECLS-B; 3) Findings; 4) Summary and conclusions; 5) A number of major tables, with standard errors; 6) Figures from table data (optional); 7) A short methodology section that describes the study design and methods, including: the characteristics of the sample used in the analysis, operational definitions of the variables found in the report, and tests of significance used; and 8) An acknowledgments section. The contractor shall use as a model appropriate extant NCES/ED publications. The exact format will be determined by the Page 48 of 139 RFP 98-003 COTR and all reports prepared by the contractor shall follow NCES publication standards. The contractor shall submit an outline for the Statistics in Brief reports to NCES/ED 8 weeks before the end of data collection. NCES/ED will take two weeks for review, and the contractor shall submit the revised outline, incorporating NCES/ED review comments, one week later. Once the outline is approved by NCES/ED, the contractor shall begin preparation of the reports. NCES/ED expects that several iterations will be required for each report. The first draft of the first-release report shall be due 20 weeks after the end of data collection. NCES/ED shall require a minimum of two weeks for the review of at least one of the iterations. In addition to hardcopy, the briefs shall be submitted on floppy diskette using Microsoft Word 7.0 or above. The contractor and NCES/ED will jointly author the report. No information in a report shall be released prior to NCES/ED approval of the report. All differences cited in the text of the report shall be supported by an appropriate statistical test (e.g., Bonferroni- adjusted t-test, chi square, etc.). Standard errors of the estimates presented in the brief shall be reported in the technical appendix. Statistics in Briefs and most other published products (Working Papers are an exception) go through a peer review process termed žadjudication.ž This process involves internal review within NCES, and requires that the publication be sent out to other parts of the Department of Education and to several academic or government reviewers who are chosen for their expertise in the subject area. Two weeks should be allowed for circulation of the report to be adjudicated. An adjudication meeting is scheduled at the end of the review period, and all members convene or send in their comments and all comments are discussed. Comments are accepted, modified, or rejected, by consensus, and the contractor must incorporate the comments and write up a memorandum to the Adjudicator detailing the changes within two weeks following the meeting. At that point, once all parties have given their approval, the contractor shall prepare a camera-ready copy and electronic file copy within two weeks. 12.2 Standard Error Calculations. The contractor shall develop and implement procedures (see NCES Statistical Standards) to enable users of the ECLS-B to estimate the sampling errors of study estimates. The contractor shall calculate estimates of design effects for a minimum of thirty variables for the total sample and for various subgroups of selected respondent characteristics (e.g., sex, race/ethnicity, SES, and at least two other variables recommended by the contractor). Means and standard deviations of the design effect distributions shall be calculated. The same set of procedures shall be followed for each public release tape developed under this contract. The data files created by the contractor for each ECLS-B component shall contain the elements necessary to support the Page 49 of 139 RFP 98-003 calculation of standard errors for complex designs using one of three possible methods--balanced repeated replication (BRR), jackknife repeated replication (JRR), or Taylor series procedures (TSP). If the contractor uses a software package to calculate these standard errors other than those available to NCES/ED, it shall make this package available to NCES/ED. If BRR or JRR is used, the contractor shall provide replicate codes that indicate the computing strata and the half- sample to which each sample unit belongs and the contractor shall provide, for each sample unit, the replicate weights for all replicates that were formed in order to calculate variances. If TSP is used, the contractor shall provide the stratum code and PSU code that identifies each sample unit. Regardless of the method used, the contractor shall describe in detail the method used to calculate the standard errors in the User's Manual. This description shall instruct users how to use the data elements and the associated software to calculate sample variances for the ECLS-B. A short example of the method and the use of the available software shall be provided in the manual. The contractor shall submit to NCES/ED its plan for 1) computing standard errors, 2) analyzing patterns of nonresponse and 3) estimating nonresponse bias for key items in each study instrument by the start of base year data collection. The plan will be reviewed within two weeks by NCES/ED, and the contractor shall submit a revised plan within one week of receipt of comments. The contractor shall include results of these analyses in the User's Manual (see task 11) and in the Methodology Report (see task 13). Task 13. Methodology Report The contractor shall submit a methodology report that documents the entire ECLS-B project including: a description of the sample design, weighting, and imputation scheme (sample design report); item nonresponse rates, unit nonresponse rates, and bias analysis (nonresponse and bias report); instrument development and CATI specifications (CATI methodology report); and data collection procedures (field report). This report shall be submitted 24 weeks after the end of base year data collection. This report shall describe the study design and all procedures used to conduct the ECLS-B. The contractor shall describe special features of the study in detail and any problems encountered either during the design or implementation of the study identified. Changes that were made to the design and/or procedures in response to unanticipated problems shall be documented. The Methodology Report shall include major findings pertaining to the methods used and/or experimented with during the conduct of the study and discuss their implications for future surveys. After a two week NCES/ED review, the contractor shall revise the report based on the comments and suggestions of NCES/ED Page 50 of 139 RFP 98-003 staff. The revised methodology report shall be submitted to NCES/ED within two weeks of receipt of NCES/ED review comments. Once NCES/ED has approved the final report, the contractor shall submit 20 copies of the report to NCES/ED. In addition to hardcopies, each final methodology report shall be delivered on floppy diskette. The electronic version of the report shall be delivered to NCES/ED in Word version 7.0 or later. The contractor and NCES/ED will jointly author the report. No information contained in a report shall be released prior to NCES/ED approval of the report. The COTR may request that the methodological reports also be prepared in Web-readable format. The contractor shall update this report after each subsequent round of data collection. The contractor shall submit modifications and changes to the report based on the first and second followup experience. These modifications and changes shall be submitted within 24 weeks of completing each round of data collection. The schedule for NCES/ED's review will be the same as for the base-year methodology report. C. Optional Special Studies and Supplements In addition to the core tasks (tasks 1 through 13), this procurement includes five optional special studies and supplements. The requirements for each are described below. C.1 Oversample of American Indian Children During the study design phase of the ECLS-K, NCES/ED supported work to look into the feasibility of oversampling American Indian children in order to support separate national estimates for this group of children. Several different methods for increasing the number of American Indian children in the ECLS-K sample were investigated. These methods are described in the ECLS Study Design Report. The ECLS-B contractor shall develop and implement a plan for increasing the number of American Indian children sampled for the ECLS-B. The contractor shall oversample American Indian children in order to support national estimates for this group of children. The contractor shall oversample American Indian children in order to increase the total number of these children in the ECLS-B sample to 1,000. Once selected for participation in the ECLS, the contractor shall ensure that these children, their parents/guardians, and child care providers participate fully in the study. The contractor shall complete tasks 3 through 13. C.2 Children with Disabilities One of the benefits arising from a national study of children is the collection of data on a wide range of early learning experiences and environments for different groups of children. The core ECLS-B sample will include 1) children with disabilities who have been identified and are receiving special Page 51 of 139 RFP 98-003 education related services, 2) children with disabilities who are not receiving special education related services, 3) children who are at risk but have not yet been identified, and 4) children who have received special education related services but are no longer receiving these services. As children age, the distribution of children in these different groups will change. While it appears that the core ECLS-B sample will include sufficient numbers of children receiving special education services to support independent analyses of this group as a whole, a sufficient number of children to support independent analyses of children with specific disabilities (i.e., blindness, deafness, orthopedic impairment) is not expected unless such children are oversampled. In addition, without augmentations to the design, other key issues related to the population of children with disabling conditions and their special education needs will not be adequately addressed in the core ECLS-B. The longitudinal study of children with disabling conditions, if incorporated into the ECLS-B study design, will be funded by the U. S. Department of Education, Office of Special Education. The design of the optional study of children with disabilities requires that the members of this sample be followed for the same period of time as the main ECLS-B sample. C.3 Food and Consumer Service One of the purposes of the ECLS-B is to study the influence of childrenžs physical characteristics and household circumstances on their behavior and development. A proposed area of investigation for the ECLS-B is the relationship between childrenžs nutrition and participation in nutrition programs and their physical, social and emotional, and cognitive development. NCES/ED plans to collect information in the ECLS-B about the participation of children's families in federal assistance programs (e.g., food stamps, WIC, AFDC). An additional supplement to the ECLS-B would be to collect measures of infant feeding practices, childrenžs physical activity, childrenžs height and weight, their mothersž participation in prenatal care programs, and their familiesž food sufficiency situations. Information on how often children engage in activities requiring physical exertion would be obtained from parent and nonparental care provider reports; information on childrenžs height and weight would be collected at each scheduled wave of the study; and, data on infant feeding practices and familiesž abilities to get enough to eat would be acquired from the parent interview. If this additional supplement is included in the ECLS-B, it will be funded by the U.S. Department of Agriculture, Food and Consumer Service (FCS). The contractor shall work with FCS and NCES/ED to identify measures of infant feeding practices, childrenžs physical activity, childrenžs height and weight, their mothersž participation in prenatal care programs, and their familiesž food sufficiency situations. The contractor shall design and implement an approach for collecting these data. The contractor shall complete tasks 3 through 13 for this supplement. Page 52 of 139 RFP 98-003 C.4 Home Assessment An important goal of the ECLS-B is to obtain a clearer understanding of the relationship between the environments in which early learning takes place and childrenžs preparation for school. The study is interested in the different settings in which early learning takes place, especially the home environment. The design of the ECLS-B shall lead to the collection of data on a range of characteristics that define the structure of the home environment and the activities and interactions that occur within the home. NCES/ED believes that valuable information can be obtained from the parents on the activities and interactions that take place in the home with the use of traditional interview methods. However, it also recognizes the value of collecting data through other means (e.g., observational studies). The contractor shall design and implement a study that enhances the data that are available to describe and analyze childrenžs homes and the impact of the home on child outcomes. The contractor shall carefully weigh the need for such data, the quality of the data that will result from the use of these methods, and the cost of collecting these data. C.5 Father Data In recent years, attention on the role of fathers has increased at the federal level. As a result, more information on fathers, whether they live in or out of their childžs household, has been collected. Nonetheless, the recent studies collecting this information have generally relied upon a sampled childžs mother to answer questions regarding the childžs father. While mothers may be able to adequately provide factual information about their child's father (e.g., age and level of education), they are less likely to be adequate proxy respondents when it comes to providing information on the fatheržs attitudes, beliefs, and behaviors. As a result, a proposed area of study for the ECLS-B is to conduct supplemental interviews with fathers. NCES/ED plans to collect demographic, education, and employment information in the ECLS-B about fathers residing with sampled children whether or not they are the actual respondents. An additional supplement to the ECLS-B would collect information directly from fathers regarding their parental role identification (e.g., specific duties versus žco-parentsž), their perception of their financial situation, their involvement and expectations with regards to their children, their family of origin (i.e., what kind of fathers they had), and their relationship with their wives. The contractor shall develop and implement a methodology for collecting data from all or a sample of the fathers of ECLS-B sampled children. The contractor shall complete tasks 3 through Page 53 of 139 RFP 98-003 13 for this supplement. Page 54 of 139 RFP 98-003 SECTION D - PACKAGING AND MARKING D.1 SHIPMENT AND MARKING (ED 303-1) (MAR 1986) (a) The contract number shall be placed on or adjacent to all exterior mailing or shipping labels of deliverable items called for by the contract. (b) Ship deliverable items to: U.S. Department of Education Contracts & Purchasing Operations 7th and D Streets, SW ROB 3, Room 3616, Mail Stop 4447 Washington, DC 20202-4447 (c) Mark deliverables for: ______ D.2 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. D.3 F.O.B. DESTINATION (ED 303-2) (MAR 1986) All deliverables shall be shipped on an F.O.B. Destination basis. The point for that shall be the delivery point otherwise specified under this section. Page 55 of 139 RFP 98-003 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. Inspection and acceptance will be performed at: U.S. Department of Education Contracts & Purchasing Operations 7th and D Streets, SW ROB 3, Room 3616, Mail Stop 4447 Washington, DC 20202-4447 Page 56 of 139 RFP 98-003 SECTION F - DELIVERIES OR PERFORMANCE F.1 PERIOD OF PERFORMANCE (ED 305-5) (MARCH 1986) Performance hereunder shall be completed within 60 months of the date of 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 Schedule of Deliverables below. 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. F.4 Monthly Progress Report The contractor shall submit monthly letters of progress to the Contracts Officer for the duration of the contract. Letters of progress shall describe major activities by task and accomplishments, problems and suggested solutions, significant findings and events, any decisions which may be needed from NCES/ED, and plans for the period until the next report. In addition to reporting on the progress of the contract, the letter of progress shall be used as one of the ways of keeping all parties (e.g., subcontractors, cosponsors) up to date on project activities. Progress letters shall be submitted to the Contracts Officer on the same business day of each month. F.5 Monthly Summary of Project Expenditures A summary of project expenditures shall be included with each letter of progress. Project expenditures shall include: 1) a table summarizing, by task, the budgeted cost for the month, the actual cost for the month, the cumulative budgeted cost, the cumulative actual cost, the percent of the contracted amount spent to date, the estimated cost to complete, the total estimated cost, the contracted cost, and the difference between the total estimated cost and the contracted cost; and 2) a manpower report prepared Page 57 of 139 RFP 98-003 and signed by the project director that summarizes actual personnel assignments for staff for the month just completed and the hours charged by task. This information shall be reported individually for key project staff and by labor category (e.g., programmer, clerical, statistician, field assessor). The format chosen shall be the same from month to month. The same format shall be used to report on any subcontractor activity and costs. F.6 Contractor Interaction with Government The contractor shall communicate regularly (several times each week) and work closely with the COTR on all aspects of the study. To facilitate this communication, the contractor shall set up an electronic system for transferring information via electronic mail and microcomputer. The contractor shall make frequent phone calls and up to three visits per year to NCES/ED to discuss project problems and progress. The contractor's project director shall have a regularly scheduled weekly telephone conference with the COTR to discuss project progress, upcoming activities, and problems. F.7 NCES/ED REVIEW AND APPROVAL The contractor shall consult with the COTR before making any major decision concerning a deliverable product. Reports prepared by the contractor shall follow guidelines referenced by the most current version of NCES/ED' Standards (1992). It is a requirement that schedules for deliverables found in the contractoržs proposal be kept and that NCES/ED standards be followed during all phases of project work. An outline shall be submitted and approved by the COTR before beginning preparation of specific reports and plans. Outlines are required for the following reports and plans: - Study design report (task 5) - User's manuals (task 11) - Methodology report (task 13) The contractor shall expect that major reports and deliverables (e.g., questionnaires, useržs manuals, IMT/OMB clearance package, methodology report) shall require three revisions. The contractor shall expect that other deliverables (e.g., monthly progress letters, meeting agenda) shall require one revision. The contractor shall allow sufficient time for NCES/ED and OERI review. Unless noted elsewhere, the contractor shall allow two weeks for NCES/ED review of each draft deliverable. Two weeks shall be allowed for the contractor to respond to any requests for revisions. All revisions requested by NCES/ED shall be incorporated unless justified in a cover memorandum. Page 58 of 139 RFP 98-003 F.8 QUALITY CONTROL The contractor is required to develop and submit a number of reports, memorandum, and other materials and products during the conduct of the ECLS-B. The expectation is that all such materials (even when they are labeled draft) will be of high quality and of sufficient quality to be released as is. Quality control of these materials is a contractor responsibility. All reports, memorandum, and other deliverables (including any produced by subcontractors) submitted to NCES/ED shall be accompanied by a letter of transmittal signed by the ECLS-B project director and the corporate official with corporate oversight responsibility for the ECLS-B. F.9 SCHEDULE OF MILESTONES AND DELIVERABLES The products that the contractor is required to prepare and submit to NCES/ED are in the descriptions of the 13 core tasks and the optional studies and supplements. While there may be other possible schedules for completing the tasks associated with the ECLS-B, several activities must take place at the specific times indicated during the conduct of the project. The final IMT/OMB clearance package for the field test and main study data collections (see task 6) shall be submitted to NCES/ED at least 150 working days prior to the start of the field test. Below is listed the Schedule of Deliverables: Page 59 of 139 RFP 98-003 Page 60 of 139 RFP 98-003 Page 61 of 139 RFP 98-003 Page 62 of 139 RFP 98-003 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 63 of 139 RFP 98-003 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 64 of 139 RFP 98-003 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 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. H.4 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 Page 65 of 139 RFP 98-003 given period of work. H.5 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.6 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.7 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, 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 Page 66 of 139 RFP 98-003 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. H.8 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 Page 67 of 139 RFP 98-003 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. (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. Page 68 of 139 RFP 98-003 (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) 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 Page 69 of 139 RFP 98-003 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 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) Page 70 of 139 RFP 98-003 H.9 ACCESSIBILITY OF SOFTWARE ED 316-1 (APR 1997) The Department of Education (ED) considers universal acces- sibility to information a priority for all its employees and external customers, including individuals with disabilities. Under Sections 504 and 508 ofthe Rehabilitation Act of 1973, 29 U.S.C. subsections 794 and 794d, as amended, ED must ensure the accessibility of its programs and activities, specifically including electronic and information technology. ED maintains the manual, "Requirements for Accessible Software Design," to convey the accessibility needs of the Department to the developers and suppliers of computer applications. To comply with the provisions of this clause, the contractor may use the edition of the ED manual "Requirements for Accessible Software Design" in effect at the date of award of this contract or any more recent edition. A copy of the most recent edition of the manual may be found at ocfo.ed.gov/coninfo/clibrary/software.htm. (a) Software developed for ED--The contractor shall ensure that any software developed under this contract for use by ED's employees or external customers is accessible to individuals with disabilities. At a minimum, such software must meet all the requirements the ED manual "Requirements for Accessible Software Design." However, in accordance with paragraph (d) of this clause, the contracting officer may waive a requirement in writing. (b) Software enhanced or modified for ED--Any enhancements and other modifications, made under this contract to software for use by ED's employees or external customers, are subject to the requirements of paragraph (a) of this clause, regardless of where or how the software was first developed. Except as otherwise specified elsewhere in the contract schedule, the contractor is only required to ensure that the enhancements or modifications (not other features or parts of the software) comply with the requirements of paragraph (a). However, the contractor is encouraged to point out deficiencies in the accessibility of the software and to suggest solutions to ensure the software fully complies with the accessibility requirements of paragraph (a). (c) Other software delivered under this contract--Unless otherwise specified elsewhere in the contract schedule, the contractor is not required to ensure that software not developed under this contract meets the accessibility requirements of paragraph (a). However-- (1) The contractor shall consider accessibility to individuals with disabilities as a significant factor when selecting or purchasing any software that will be delivered under this contract for use by ED's employees or external customers. (2) At least ten calendar days prior to final selection of any software with a total estimated cost or price over $5,000 that Page 71 of 139 RFP 98-003 does not meet all the requirements of the ED manual "Requirements for Accessible Software Design," the contractor shall notify the Contracting Officer's Technical Representative (COTR) in writing. Such notice shall list the specific acces- sibility features that are lacking and explain the trade-offs or other reasons for recommending selection of the software. (3) Within ten calendar days of the COTR's receipt of a notice under subparagraph (c)(2), if selection of the software may significantly impair ED's ability to ensure accessibility of its programs and activities to all its employees and external customers, including individuals with disabilities, the contracting officer may reject selection of the software by written notice to the contractor. (d) Waiver of requirements--It is recognized that new technologies may provide solutions that are not envisioned in or consistent with the provisions of the manual "Requirements for Accessible Software Design." Or, certain requirements of the manual may be unreasonable or ineffective in certain situations. Accordingly, the contractor may request and the contracting officer may grant a waiver, in writing, to any requirement of the manual or of this clause. H.10 PRIVACY ACT NOTIFICATION (FAR 52.224-1) (APRIL 1984) The Contractor will be required to design, develop, or operate a system of records on individuals, to accomplish an agency function subject to the Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 U.S.C. 552a) and applicable agency regulations. Violation of the Act may involve the imposition of criminal penalties. H.11 PRIVACY ACT (FAR 52.224-2) (APRIL 1984) (a) The Contractor agrees to-- (1) Comply with the Privacy Act of 1974 (the Act) and the agency rules and regulations issued under the Act in the design, development, or operation of any system of records on individuals to accomplish an agency function when the contract specifically identifies-- (i) The systems of records; and (ii) The design, development, or operation work that the contractor is to perform; (2) Include the Privacy Act notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation, when the work statement in the proposed subcontract requires the design, development, or operation of a system of records on individuals that Page 72 of 139 RFP 98-003 is subject to the Act; and (3) Include this clause, including this subparagraph (3), in all subcontracts awarded under this contract which requires the design, development, or operation of such a system of records. (b) In the event of violations of the Act, a civil action may be brought against the agency involved when the violation concerns the design, development, or operation of a system of records on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency when the violation concerns the operation of a system of records on individuals to accomplish an agency function. For purposes of the Act, when the contract is for the operation of a system of records on individuals to accomplish an agency function, the Contractor and any employee of the Contractor is considered to be an employee of the agency. (c) (1) "Operation of a system of records," as used in this clause, means performance of any of the activities associated with maintaining the system of records, including the collection, use, and dissemination of records. (2) "Record," as used in this clause, means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, education, financial transactions, medical history, and criminal or employment history and that contains the person's name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a fingerprint or voiceprint or a photograph. (3) "System of records on individuals," as used in this clause means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual. H.12 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 Page 73 of 139 RFP 98-003 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.13 OPTION TO EXTEND SERVICES (FAR 52.217-8) (AUG 1989) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extention of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within the period specified in the Schedule. (Note: Notice shall be given within 60 days before contract completion.) H.14 KEY PERSONNEL DESIGNATION (ED 307-2) (MARCH 1985) In accordance with the contract clause entitled "Key Personnel", the following key personnel are considered to be essential to the work being performed: NAME______________________________ TELEPHONE_________________________ TITLE_____________________________ NAME______________________________ TELEPHONE_________________________ TITLE_____________________________ NAME______________________________ TELEPHONE_________________________ TITLE_____________________________ H.15 OPTION FOR INCREASED QUANTITY The Government may increase the quantity for Services at the target cost, target fee and incentive fee specified below. The Contracting Officer may exercise the option by written notice to the Contractor 14 days in advance. Delivery of the added items shall be as specified in Clause F.9 Schedule of Milestones and Deliverables. Target Target Minimum Maximum Cost Fee Incentive Fee Incentive Fee Page 74 of 139 RFP 98-003 Option 1 Amer. Indian Children Option 2 Children with Disabilities Option 3 Food and Consumer Service Option 4 Home Assessment Option 5 Father Data Page 75 of 139 RFP 98-003 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 76 of 139 RFP 98-003 (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 77 of 139 RFP 98-003 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 78 of 139 RFP 98-003 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.) 52.227-23 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) 52.232-17 Interest (JUN 1996) Page 79 of 139 RFP 98-003 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) Page 80 of 139 RFP 98-003 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) Page 81 of 139 RFP 98-003 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 Included In By Ref Attach. 1. Incentive Fee Plan 4 X 2. Billing Instructions for 6 X Cost-Reimbursement, Time and Materials, AND Labor- Hour Contracts 3. Contractor Performance 4 X Information Sheet (will serve as Performance Evaluation Form during Contract Administration) 4. Small & Disadvantaged & 5 X Women Owned Small Business Subcontracting Plan (Suggested Format) 5. SF 1448 Proposal Cover 1 X Sheet - Uncertified Cost and Pricing Data 6. Title IV National Education Statistics Act 14 X 7. Affidavit of Non-Disclosure 1 X J.2 Documents Available for Inspection Copies of all ECLS design documents and materials referenced in this RFP may be obtained by calling the National Data Resource Center, C/O Pinkerton Computer Consultants, Inc. at (703) 845-3151. Page 82 of 139 RFP 98-003 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 83 of 139 RFP 98-003 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 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. (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 Page 84 of 139 RFP 98-003 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.5 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. "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. Page 85 of 139 RFP 98-003 (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; (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 Page 86 of 139 RFP 98-003 (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.6 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 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.). Page 87 of 139 RFP 98-003 **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.7 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.8 EMPLOYER'S IDENTIFICATION NUMBER (ED 310-7) (MARCH 1985) The offeror's Internal Revenue Service "Employer's Identification Number" is _______________________________. K.9 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 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. Page 88 of 139 RFP 98-003 (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.10 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.11 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) ______________________ __________________ ____________________ ______________________ __________________ ____________________ ______________________ __________________ ____________________ K.12 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. ____________________________________________________________________ ____________________________________________________________________ Page 89 of 139 RFP 98-003 ____________________________________________________________________ Date: ______________________________________________________________ K.13 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.14 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: ______________________________________________ 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 Page 90 of 139 RFP 98-003 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 appropriate blocks.) Estimated/ Standard Actual Cost Cost Estimating System Job Order ___________ ________ Process ___________ ________ Accumulating System Job Order ___________ ________ Page 91 of 139 RFP 98-003 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: ________ (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 __________ Page 92 of 139 RFP 98-003 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.15 SMALL BUSINESS PROGRAM REPRESENTATIONS (FAR 52.219-1) (JAN 1997) (a)(1) The standard industrial classification (SIC) code for this acquisition is 8732. (2) The small business size standard is 8732. (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- 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 Page 93 of 139 RFP 98-003 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 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 Page 94 of 139 RFP 98-003 suspension and debarment; and (iii) Be ineligible for participation in programs conducted under the authority of the Act. K.16 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.17 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 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. Page 95 of 139 RFP 98-003 K.18 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.19 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); |_| (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 Page 96 of 139 RFP 98-003 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.20 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.21 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 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 Page 97 of 139 RFP 98-003 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.22 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 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. Page 98 of 139 RFP 98-003 (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 _________________________ TIN _________________________ K.23 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.) Page 99 of 139 RFP 98-003 (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. K.24 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 -- Page 100 of 139 RFP 98-003 (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 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. Page 101 of 139 RFP 98-003 (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.25 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 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 Page 102 of 139 RFP 98-003 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.26 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.27 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 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 Page 103 of 139 RFP 98-003 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.28 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 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.29 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. Page 104 of 139 RFP 98-003 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. 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.) Page 105 of 139 RFP 98-003 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, 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 Page 106 of 139 RFP 98-003 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 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. Page 107 of 139 RFP 98-003 ___ 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 108 of 139 RFP 98-003 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 plus incentive fee type contract from this solicitation. L.2 INCREMENTAL FUNDING (EDAR 3452.232-71) (AUG 1987) (A) Sufficient funds are not presently available to cover the total cost of the complete project described in this solicitation. However, it is the Government's intention to negotiate and award a contract using the incremental funding concepts described in the clause entitled "Limitation of Funds" in FAR 52.232-22. Under that clause, which will be included in the resultant contract, initial funds will be obligated under the contract to cover an estimated base performance period. Additional funds are intended to be allotted to the contract by contract modification, up to and including the full estimated cost of the entire period of performance. This intent notwithstanding, the Government will not be obligated to reimburse the contractor for costs incurred in excess of the periodic allotments, nor will the contractor be obligated to perform in excess of the amount allotted. (B) The Limitation of Cost clause in FAR 52.232-20 shall supersede the Limitation of Funds clause in the event the contract becomes fully funded. L.3 GENERAL INSTRUCTIONS (ED 311-2) (FEB 1996) 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 Page 109 of 139 RFP 98-003 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 4447) 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 Application Control Center (ACC) at 708-8493. 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 ACC where the proposal will be officially received. Offerors should consider this delay in meeting the time specified for proposal receipt. 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. To assist you in the preparation of your proposal, the Government estimates the effort to perform this contract to be as stated below. This level of effort is for the base contract level of effort including all sixty months, but does not include the optional tasks. These numbers are furnished for the offeror's information only and are not considered restrictive for proposal purposes. Labor Category Staff Hours Page 110 of 139 RFP 98-003 1. Professional 56,160 L.4 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. 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: Page 111 of 139 RFP 98-003 A. Organization and Content of Proposal All information necessary to judge the technical soundness of the offer should be contained in the technical proposal. A.1 Technical proposal. Offerors should provide a Technical Proposal for the entire project. This includes 1) the core tasks (tasks 1 - 13) and 2) each of the optional studies and supplements. An offeror must address all optional special studies and supplements in its proposal. All special studies and supplements will be exercised at the discretion of the government. The technical proposal should be organized into the following sections: Table of Contents, Introduction, General Approach, Statement of Work, Project Management, Proposed Staff Related Experience, and Related Corporate Experience. The authors of each section should be clearly identified in the proposal. Specific requirements for each section are discussed in greater detail in the following paragraphs. A.1.1 Table of Contents The Table of Contents should provide an easy means to identify major points of discussion. A.1.2 Introduction The Introduction should demonstrate the offeror's understanding of the purposes, methodology, and products of the project and should include a short summary of the offeror's qualifications and unique strengths related to the work outlined in the RFP. In describing the purposes of the project, offerors should discuss their current understanding of the design of the ECLS-B and how the study can be designed to answer questions surrounding the National Education Goals and early childhood development and education. The offeror should identify the most important research and policy questions that the ECLS-B should be designed to address. A.1.3 General approach The General Approach section should be organized into three parts. In the first part, the offeror is asked to describe its overall approach for successfully accomplishing the work and the rationale for the proposed approach. The offeror should include a framework or conceptual model that it will use to guide the design of the ECLS-B and to help make decisions about what data are most important to collect in the ECLS-B. In the second part, the offeror should identify what it sees as the major challenges associated with 1) selecting a nationally representative sample of new births, 2) securing the cooperation and participation of parents and child care providers, 3) conducting in-home interviews with parents, and 4) creating a meaningful assessment battery for the ECLS-B. The offeror should include a framework for the assessment battery that it will use when making decisions about what instruments and items to include. In the third Page 112 of 139 RFP 98-003 section, the offeror should describe the methods and approaches it will use to respond to each of these challenges. A.1.4 Statement of work The Statement of Work section should correspond to the Scope of Work section in this document. The offeror's Statement of Work should expand upon each of the tasks outlined in the Scope of Work and discusses procedural issues related to completing each task. The offeror's plan for carrying out each task, including the naming of staff members who will play a major role in completing the task, should be clearly stated. Any variations to the tasks and subtasks defined herein should be accompanied by a rationale. If the variation affects the overall cost of the study, this should be indicated in the technical proposal and alternative designs should be separately costed in the business or cost proposal. Offerors are encouraged to propose alternatives that, if adopted, would improve upon the study or reduce the costs. However, for evaluation purposes, the offeror should also submit a proposal to perform the work as specified in this document. (Refer to Section L.3 for a discussion of alternate proposals.) Listed below are topics that the offeror should fully discuss when preparing its description of the work and methods it will use in completing specific tasks, special studies, and supplements. Task 1. Project Planning and General Management It is anticipated that the contractors staff will meet about 3 times per year (other than the initial meeting described above) with the COTR over the life of the contract. Typically, two of the meetings per year will be one-day meetings and one will be a two-day meeting. The designation of attendees to each meeting should be made only after the meeting goals and agenda have been established. An average of three of the contractoržs staff members will typically attend each meeting. The offeroržs proposal should include: 1) a description of general project management and quality control procedures, 2) a sample agenda for the initial project meeting, 3) an example of the type of briefing material that will be prepared, 4) an outline for a project brochure, and 5) a plan for securing master data files and documentation. Task 2. Technical review panel and outside review The offeror's proposal should include: 1) a preliminary list of recommended TRP members with justifications, 2) a draft agenda for the first TRP meeting, and 3) a schedule for TRP and outside group meetings. Offerors should assume that three outside review groups will be convened over the life of the contract. Each group will be comprised of up to 8 non-federal members and will meet for one day in Washington, D.C. Task 3. Develop Survey Instruments and Procedures Page 113 of 139 RFP 98-003 Based on the offeror's review of the draft content outline and its knowledge of the research and policy questions surrounding the development and education of young children, the offeror should identify the areas and constructs in most need of work and the gaps in content coverage. The offeror's proposal should include its plans for completing this work and for filling these gaps. The offeror's proposal should also include: 1) its approach to creating the ECLS-B assessment battery and its plans for obtaining outside review of its plans prior to their being finalized, 2) a preliminary plan for conducting cognitive laboratory work on the base year survey instruments, identifying specific areas within the questionnaires that may need special attention, and 3) its approaches for increasing the participation of non-Hispanic language minorities in the ECLS-B. Task 4. Design and Select Sample The offeror's proposal should include a preliminary sample design for the ECLS-B that meets the requirements specified in the SOW. The offeror's choice of a sampling frame should be identified and justified. Any plans for clustering or stratifying the sample should be clearly stated. The offeror's plans for oversampling particular populations of children should be identified and justified. A secondary goal of the ECLS-B is to use the data from this sample with data from the ECLS-K sample to answer questions that span the preschool and elementary school years covered by the two cohorts. The offeror's proposal should include a discussion of how the ECLS-B should be designed to accomplish this goal. Specific examples of how information from the two samples would be used to answer questions of this type, and the statistical methods that would be used should be included in the offeror's proposal. Task 5. Study Design Report The offeror should offer a preliminary outline that summarizes the major components of the Study Design Report. This outline should reflect the proposed instruments and sample design. Task 6. IMT/OMB Clearance The offeror's proposal should describe of its approach to preparing the materials required for OMB clearance. The offeror's proposal should suggest possible ways of working with OMB to meet the needs of the ECLS-B. Task 7. Develop CATI/CAPI System The offeror should describe how the proposed CATI/CAPI system will be portable for use by the government and the computer resources required since the government will test the proposed system. The offeror should include a description of its approach to programming and testing each CATI/CAPI instrument and identify when these activities will take place. Page 114 of 139 RFP 98-003 Task 8. Field test of survey instruments and procedures Because of the tight schedule of this contract, it is important that the contractor begin preparing for the field test early in the contract. The offeror should describe the design of the field test and discuss how it intends to use the field test to evaluate its methods and procedures for the main study. Any experiments or studies imbedded in the field test should be clearly identified and justified. The offeror's proposal should justify its decision to design and implement a field test that follows the same children/families over time or one that uses a multi-cohort cross-sectional design. Task 9. Hiring and training CATI/CAPI interviewers Offerors should identify potential problems associated with recruiting, hiring, and training of: 1) field staff and 2) telephone interviewers, and how it will overcome these problems. The offeror's proposal should include 1) a draft agenda for training field staff to conduct in-home assessments of young children and for conducting interviews with parents and child care providers, 2) a plan describing how it intends to ensure that all field staff receive the same training, and 3) a plan for evaluating the training program and the performance of individual trainees during and after training. Task 10. Data collection (receipt control system) The offeror should include a data collection schedule for each component of the ECLS-B (e.g., parent/guardian interview, child care and education provider, child assessment) for the base year, first and second followup waves. The data collection approach that will be used for each of these components at each point in time should be clearly identified and justified. The SOW requires the contractor to capture data from child care and education providers through a questionnaire/interview. The offeror should explain its approach to collecting these data. Designs using other approaches (e.g., observations) should be submitted as an alternative proposal. The offeror is to propose the events and activities that will be monitored by this system and describe how the systemžs files will be maintained. The offeror should provide an example of a report prepared by its system. The offeror is to describe its approach to tracking children and the system that will be used to support this activity. The sources of information that the offeror will use to locate sample members and the sequence in which these sources will be used should be described. Task 11. Data file preparation and documentation The offeror's proposal should include a description of its plans for coding and editing data and for dealing with missing data. It should also include a description of how it will produce sample weights Page 115 of 139 RFP 98-003 for each study population (e.g., children, parents and care providers). Also, its plan for conducting confidentially analyses should be included. Task 12. Data Analysis and Reporting The offeror's proposal should include 1) a description of a Statistics in Brief that would be developed for use when adjudicating the ECLS-B public release files and 2) its plans for estimating standard errors for each study component. Task 13. Methodology Report The offeror's proposal should include a description of its approach to developing the Methodology Report. A draft outline of the report should be included. Optional Tasks: 1. Oversampling American Indian Children The offeror's proposal should include a preliminary design for increasing the number of American Indian children in the ECLS-B. The offeror should assume a sample size of 1,000 American Indian children. 2. Home Assessment The offeror should include a detailed set of plans for conducting an assessment of children's home environment. Offeror's should propose a design that involves the participation of the families of all the children in the family and a design that involves only a sample of these families. 3. Father Data The offeror should propose an approach to collecting data from the resident fathers of the children in the ECLS-B sample. Again, offerors should propose a design that involves the participation of all resident fathers and one that involves a sample of these fathers. A.1.5 Project Management The complexity of the project requires that the contractor has in place an effective management system that enables tasks to be completed on schedule and within budget. The Project Management section includes discussions of the offeror's procedures for: coordinating and controlling project personnel, resources, and tasks; ensuring adherence to schedules and dead- lines; ensuring high quality products and outcomes; identifying potential problems early; maintaining close communication with the COTR; and controlling project expenditures. This section outlines the offeroržs specific plans for managing the ECLS-B and identifies how its proposed approach to project management will respond to the special needs and complexities of the ECLS-B. Descriptions that are limited to the offeroržs general approach to project management will be considered unacceptable. Page 116 of 139 RFP 98-003 The Project Management section details the offeror's plan for managing the ECLS, including proposed lines of authority, coordination and communication within the offeror's organization and with any subcontractors, consultants, and NCES/ED. All personnel, including subcontractor staff and consultants should be identified and their position in the study's management structure detailed in an organization chart. There should also be a staff skills matrix that identifies the project director and key project staff by skill area (e.g., early childhood development and education, child assessment, sampling, data collection, training, data processing) (see A.1.6). All key staff of subcontractors should be identified and described in the same way and listed in the staff skills matrix. There should be sufficient detail on how each project staff member will be used. In all cases where key personnel external to the offeror's organization are proposed, letters of agreement (with proposed staff) and letters of availability (endorsed by the primary organizations with which they are affiliated) are to be included. For purposes of the Work Statement, staff are defined as all personnel proposed to work on the study regardless of their primary affiliation or specific assignment. A person-loading chart that shows the number of hours each key staff member will devote to each of the project tasks and the number of total hours each will devote to the core and optional tasks should be included in this section of the offeror's technical proposal. The hours for other project staff (e.g., programmers, clerical staff, field staff) should be reported by labor category. A similar chart is required for each optional special study and supplement. All key staff of subcontractors proposed for the ECLS should be included in the person-loading chart. The offeror should also provide information on the level of commitment to the ECLS-B and to other projects and administrative activities for each proposed key staff member. Offerors should clearly state how many hours equals one full-time equivalent. Project Schedule. The offeror should provide a project schedule for completing the 13 core tasks. Separate schedules should be provided for the base year, first followup, and second followup rounds of the study. Project schedules for completing the optional special studies and supplements should also be included in the offeroržs technical proposal. A.1.6 Proposed staff related experiences This section of the offeror's proposal should contain a summary for each proposed key staff member that indicates how his/her prior work experience and educational background relates to his/her proposed role on the ECLS. Primary areas of expertise should be clearly specified. The summary should be limited to the two or three experiences that best qualify the staff member for the role he/she will play on the ECLS-B. Offerors are encouraged to submit current vitae for each staff member proposed for the project. The vitae should document only directly related experience, educational background, publications, and professional activities. Each vitae should list: 1) each degree earned Page 117 of 139 RFP 98-003 (along with the date when each was confirmed, the confirming institution, and the major field of study); 2) no more than four prior/current work or project experiences; and 3) no more than 10 publications and professional presentations. Vitae should only list previous work experience and publications that are directly relevant to the staff memberžs proposed duties on the ECLS-B. Submitting general vitae or vitae that do not clearly identify the information identified above is unacceptable. One of the single greatest determinants of project success is the quality of the contractor's staff. To plan, conduct and complete the ECLS-B base year, first, and second followup studies successfully requires staff who together have technical exper- tise, knowledge, and experience in a wide range of areas. At a minimum, staff should have expertise in the following areas: child development and early childhood education, child assessment, test development and the development of longitudinal measures of childrenžs growth, measurement of children's social skills and physical development, field operations, CATI/CAPI data collection, field staff and CATI/CAPI interviewer training, data processing and computer applications, research methodology, statistics, sampling and psychometrics. In addition to these areas, optional tasks require staff with different subject matter (e.g., children with disabilities and child and family nutrition) and methodological expertise. The contractor's staff's subject matter expertise should be above and beyond that possessed by the members of the contractor's Technical Review Panels. Offeror's staff's experience and expertise in each of these areas should be clearly described and documented in this section. The offeror's proposal should include a matrix that clearly identifies which of its proposed project staff possess each of the above skills and expertise. The Proposed Project Director is critical to the study because this person sets the study's tone and direction. This person should have expertise in designing, conducting, and managing large studies with multiple components such as the ECLS- B. The person should be knowledgeable in the subject matter areas of particular interest to the ECLS-B. Most important is the individualžs management experience and skills. The project director should be able to organize, oversee, manage, and control the quality of staff performance on many tasks simultaneously. The project director should be a good leader: strong; confident; and capable of not only inspiring project staff to perform productively as team members, but of taking whatever corrective action is required to insure quality performance. The project director is expected to be a problem solver and a good communicator. The project director should be capable of identifying problems early or anticipating them before they occur. Once identified, the project director should not hesitate to share potential problems with the COTR for consideration and resolution. Finally, the project director should be a person who can feel comfortable working closely with the COTR as a colleague and member of the study team. In summary, the project director should have these traits and a demonstrated ability to meet deadlines, to produce qualitatively sound products within budget, and to keep the COTR informed of and involved in major decisions or events that are likely to affect the project's performance and products. The Page 118 of 139 RFP 98-003 project director is expected to be committed to the study and to be prepared to maintain this commitment over the period of the contract. NCES/ED believes that the magnitude and complexity of the ECLS-B requires a large commitment by the project director (in excess of 80 percent). Task leaders and key project personnel should also be persons who can make a long-range commitment to the study. Their competencies should complement those of the project director and they should be individuals who can feel they are part of the project director's team. They should be people with demonstrated ability to meet deadlines and to produce high quality products. They should have expertise which matches their assigned responsibilities on the project. Key project staff include the project director, any associate project directors, the task leader for the sampling tasks (tasks 4 and 5), the chief sampling statistician, and the task leader for data collection (task 11). Any changes or substitutions of these key personnel requires advance approval by the Contracting Officer in consultation with the COTR (see Key Personnel Clause). A.1.7 Related corporate experience The Related Corporate Experience section describes the offeror's capability and experience in the following areas: design and conduct of large-scale national studies; design and conduct of large-scale longitudinal studies; design and conduct of studies of children and their families and child care and education arrangements/programs; design and selection of national samples and developing weights for complex sample designs; development and use of computer technology and software systems in support of large-scale data collection; design and development of large data bases; design and use of systems for processing, documenting, and maintaining large data bases; design of survey instruments; and the development of assessment batteries for measuring children's growth in cognitive and noncognitive domains. Offerors should include in their proposal a matrix that clearly identifies which of its prior and ongoing corporate projects are demonstrative of its expertise in each of the above areas. The Corporate Experience section contains a description of the approach that the offeror will use to provide corporate oversight for the ECLS-B. This section includes detailed information on how project expenditures will be monitored and controlled. The specific steps that the offeror will take to insure the quality of the work and products of its staff and to identify problems in performance should be clearly defined. The Corporate Experience section also describes the offeror's past experience in conducting studies of a similar nature and magnitude. One-page abstracts of related work should be included which clearly identify the topics or issues addressed, the study design, the sample size and sample design, data collection methodologies, the time frame of the study and its current status (complete, ongoing, etc.). The name, current affiliation, and current telephone number of the Page 119 of 139 RFP 98-003 sponsor's COTR should be specified. These COTRs may be asked to report their experience on the project (size, problems, overruns, responsiveness, flexibility, and product quality). Use of Subcontractors Proposals may include plans to subcontract parts of the work, provided that evidence is presented that any proposed subcontractor has agreed to perform and is fully capable of performing the assigned tasks, and that the offeror has effective control of the subcontractor's work in the project. Offerors are encouraged to make use of subcontractors for specialized tasks where subcontractor expertise would strengthen the offeror's proposal. L.5 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: (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 Page 120 of 139 RFP 98-003 (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 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 Page 121 of 139 RFP 98-003 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.6 BUSINESS PROPOSAL INSTRUCTIONS (ED 311-4A) (JUL 1996) The offeror(s) business proposal must contain the following information. This RFP may contain additional RFP-specific business proposal instructions elsewhere in Section L or in Section J. 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 Page 122 of 139 RFP 98-003 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 90 calendar days from the date of receipt of offers specified by the Government. 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; Page 123 of 139 RFP 98-003 (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.7 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 reasonableness of the proposed price and assess cost realism. The offeror should include at least the following information: The estimated cost and fee (if any) for the base contract 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 Page 124 of 139 RFP 98-003 Sheet (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 or pricing data if the contracting officer subsequently determines that none of the exceptions under FAR l5.804-l apply and that the contract amount exceeds the threshold at FAR l5.804-2(a)(l). (End of provision) L.8 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. "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 Page 125 of 139 RFP 98-003 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 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. Page 126 of 139 RFP 98-003 (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. (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, Page 127 of 139 RFP 98-003 (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 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 Page 128 of 139 RFP 98-003 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 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. Page 129 of 139 RFP 98-003 L.9 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.10 EXPLANATION TO PROSPECTIVE OFFERORS (FAR 52.215-14) (APRIL 1984) Any prospective offeror desiring an explanation or interpretation of the solicitation, drawings, specification, etc., must request it in writing soon enough to allow a reply to reach all prospective offerors before the submission of their offers. Oral explanations or instructions given before the award of the contract will not be binding. Any information given to a prospective 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. L.11 LATE SUBMISSIONS, MODIFICATIONS, AND WITHDRAWALS OF PROPOSALS (FAR 52.215-10) (MAY 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 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 Page 130 of 139 RFP 98-003 commerce method authorized by the solicitation and was received at the initial point of entry to the Government infrastructure 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 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 Page 131 of 139 RFP 98-003 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.12 FAILURE TO SUBMIT OFFER (FAR 52.215-15) (MAY 1997) Recipients of this solicitation not responding with an offer should not return this solicitation, unless it specifies otherwise. Instead, for paper transactions, they should advise the issuing office by letter, postcard, or established electronic commerce methods, whether they want to receive future solicitations for similar requirements. Electronic solicitations do not require notification of desire to receive future solicitations, since these solicitations will be openly available to any interested party. 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 applicable mailing list. (End of Provision) L.13 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. (D) The Government may accept any item or combination of items, unless doing so is precluded by a restrictive limitation in the Page 132 of 139 RFP 98-003 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.14 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.15 APPLICATION OF PATENT RIGHTS CLAUSE (ED 311-13) (MARCH 1987) A patent rights clause will be incorporated with the resulting contract. Designation will be among the clauses in FAR 52.227-11, -12, and -13. Designation will be made under the provisions in FAR 27.303. Page 133 of 139 RFP 98-003 L.16 FORMS CLEARANCE PROCESS (ED 311-5) (MARCH 1986) Reference is made to the General Provision entitled "Paperwork 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) (AUG 1996) ^ (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), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from the Contracting Officer specified in block l0 of SF-33. (B) The copy of any protest shall be received in the office designated above within one day of filing a protest with GAO. (End of Provision) L.18 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.19 REQUEST FOR CLARIFICATION a) All requests for clarification are due by July 31, 1997. Page 134 of 139 RFP 98-003 1) Written requests shall be submitted to the address listed below: ATTN: MICHELLE A. RINGO U.S. DEPARTMENT OF EDUCATION CONTRACTS AND PURCHASING OPERATIONS ROOM 3616; MAIL STOP 4447 7TH AND D STREETS, SW WASHINGTON, DC 20202-4447 2) Requests transmitted via facsimilie (fax) are acceptable at (202) 708-9817. 3) Electronic submission of requests are encouraged and should be sent Michelle_Ringo@ed.gov. b) 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 importance, the Government may provide written responses to all offerors. c) The Government will not provide any information concerning requests for clarfication in response to telephone calls from Offerors. Written, faxed and/or electronic inquiries will be answered in writing and provided to all offerors. Page 135 of 139 RFP 98-003 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 136 of 139 RFP 98-003 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. Quality and credibility of the General Approach and Page 137 of 139 RFP 98-003 Statement of Work (60 points) -- Approach to accomplishing each task and the tasks as a whole is complete and feasible within the proposed time frames (35 points) -- Demonstrates an understanding of the challenges facing the project and proposes creative, innovative, and affordable solutions to these challenges (15 points) -- Demonstrates a familiarity with the issues in education that are to be addressed through the proposed study (10 points) 2. Qualifications, technical and managerial, and experience of the proposed project director (15 points) -- Demonstrated experience supervising the work of many professionals and the overall quality of their work on many tasks simultaneously (5 points) -- Demonstrated ability to adhere to project schedules, keep costs within budget, and manage the work of contractor staff and any subcontractors (5 points) -- Expertise in the design and conduct of large-scale national studies (3 points) -- Expertise in early childhood development and education policy and research (2 points) 3. Soundness of the management plan and task/time commitments of staff (15 points) -- Proposed project organization demonstrates an efficient use of staff with clearly defined lines of authority and responsibilities, and staff assignments match their expertise (5 points) -- Demonstrates effective control of tasks and resource allocations that will ensure the timely completion of tasks/deliverables within the proposed budget (5 points) -- Proposes a sound and feasible approach to controlling the quality of project work and products (5 points) 4. Qualifications of the project staff (15 points) -- Collectively possess the technical expertise, knowledge, and experience in all areas related to the study, including: child assessment, test development and the development of longitudinal measures of children's growth, measurement of children's social skills and physical development, field operations, questionnaire design, CATI/CAPI data collection, field staff and CATI/CAPI interviewer training, data processing and computer applications, research methodology, statistics, sampling and psychometrics. (10 Page 138 of 139 RFP 98-003 points) -- Subject matter expertise in the research and policy areas of concern to the ECLS-B (5 points) 5. Corporate expertise, capability, and oversight (5 points) -- Demonstrated corporate expertise in the following areas: design and conduct of large-scale national studies; design and conduct of large-scale longitudinal studies; design and conduct of studies of children and their families and child care and education arrangements/programs; design and selection of national samples and developing weights for complex sample designs; development and use of computer technology and software systems in support of large-scale data collection; design and development of large data bases; design and use of systems for processing, docu- menting, and maintaining large data bases; design of survey instruments; and the development of assessment batteries for measuring children's growth in cognitive and noncognitive domains. (3 points) -- Evidence of strong corporate commitment and oversight as evidence by a clear and effective approach to problem identification and resolution (2 points) M.2 EVALUATION OF OPTIONS (FAR 52.217-5) (JULY 1990) Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interests, the Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation options will not obligate the Government to exercise the option(s). Page 139 of 139