Solicitation_No._13-233-SOL-00405.pdf

Solicitation No. 13-233-SOL-00405

Low Income Home Energy Assistance Program (LIHEAP)

Grantee Compliance Reviews and Administrative Support

SECTION 1 - Supplies or Services/Prices

1.1 BRIEF DESCRIPTION OF SERVICES

The purpose of this contract is to enhance the financial reviews of grantees under the Low Income

Home Energy Assistance Program (LIHEAP).

1.2 TYPE OF CONTRACT

The contract type awarded is a Firm Fixed Price contract.

1.3 SEVERABLE SERVICES

The services acquired under this contract are severable services.

1.4 CONSIDERATION AND PAYMENT SCHEDULE (FFP)

The total fixed price of this contract/order is $______________. Payments shall be made upon the delivery and acceptance of each item listed in Section 2 in accordance with the following payment schedule:

Base Period: September 30, 2013 – September 29, 2014

Payment Invoice Date FFP Invoice Amount

1 10/31/2013

2 11/30/2013

3 12/31/2013

4 01/31/2014

5 02/28/2014

6 03/31/2014

7 04/30/2014

8 05/31/2014

9 06/30/2014

10 07/31/2014

11 08/31/2014

12 09/29/2014

Travel: NTE

Total Firm Fixed Price:

SECTION 2 - Description/Specifications

2.1 STATEMENT OF WORK

The Contractor shall furnish all of the necessary personnel, materials, services, facilities, (except as otherwise specified herein), and otherwise do all the things necessary for or incident to the performance of the work as set forth below:

2.2 BACKGROUND

The Low Income Home Energy Assistance Program (LIHEAP) is a block grant authorized by the

Omnibus Reconciliation Act of 1981 (OBRA), as amended, and administered within the U.S.

Department of Health and Human Services (DHHS). In DHHS, LIHEAP is administered by the

Division of Energy Assistance (DEA) within the Office of Community Services (OCS), which is a part of the Administration for Children and Families (ACF). The purpose of LIHEAP is to provide grants to LIHEAP grantees (States, Territories, and approximately 150 Indian Tribes and

Tribal organizations) to assist low income households in meeting the costs of home energy.

Section 2609A(a) of the Low Income Home Energy Assistance Act of 1981 (title XXVI of Public

Law 97-35, the Omnibus Reconciliation Act of 1981, 42 U.S.C. § 8621, as amended), authorizes the Secretary of DHHS to set aside up to $300,000 each Federal fiscal year to make grants, contracts or jointly financed cooperative arrangements to State and public agencies and private nonprofit organizations to provide training and technical assistance related to LIHEAP.

The Consolidated and Further Continuing Appropriations Act, 2013 (P.L. 113-6) appropriated

$3.4 billion for the FY 2013 LIHEAP program and included the following additional provision:

Provided further, That notwithstanding section 2609A(a), of the amounts appropriated under section 2602(b), not more than $3,000,000 of such amounts may be reserved by the Secretary for technical assistance, training, and monitoring of program activities for compliance with internal controls, policies and procedures.

The overall mission, goals and objectives of OCS are as follows:

(1) Mission: To work in partnership with states, communities, and other agencies to provide a range of human and economic development services and activities which ameliorate the causes and characteristics of poverty and otherwise assist persons in need.

(2) Goals: To increase the capacity of individuals and families to become self-sufficient, to revitalize communities, and to build the stability and capacity of children, youth, and families so that they become able to create their own opportunities.

(3) Objectives:

To provide financial resources through block grant initiatives for planning, coordination, management, provision of services and physical renovation;

To provide related instructional materials to support planning, program development, resource identification and coordination as well as the deployment and management of economic development efforts and social service support activities;

To leverage Federal, State and local resources through inter-agency agreements and public/private partnerships; and

To disseminate information regarding the results and effectiveness of the discretionary and block grant activities.

2.3 PURPOSE

ACF is soliciting a contract to support and enhance the financial and programmatic compliance reviews of LIHEAP grantees identified by OCS. The Contractor shall be responsible for providing a team of qualified staff (to include, but not limited to, auditors and financial management analysts) to assist OCS in conducting on-site compliance reviews of grantee programs under the LIHEAP block grant.

The objective of this contract is to acquire the necessary staffing resources and fiscal expertise to conduct approximately 16 LIHEAP site visit compliance reviews to ensure that grantees’ programs are implemented in accordance with Federal requirements. Contractor staff shall provide fiscal expertise, both verbally and in writing, to work as part of a team of Federal program staff assigned to each site visit.

a. The objective of such compliance reviews shall be to:

(1) monitor and identify any programmatic and financial weaknesses, including but not limited to personnel, procurement, travel, budget/accounting, monitoring and property systems, to ensure the intended outcome of which the LIHEAP grant is awarded;

(2) assess the program integrity of the grantee in the course of such monitoring, including systems, internal controls and procedures to deter, detect and resolve waste, fraud and abuse; and

(3) identify training and technical assistance needs of selected grantees based on findings from the reviews.

b. Successful completion of this contract shall improve the ACF’s administration of the

LIHEAP block grant, thereby enhancing ACF’s stewardship of taxpayer money.

Outcomes include issuance by OCS of compliance review reports that contain findings and recommendations to provide financial and programmatic assistance to help grantees in the corrective action process, as well as provide adequate support for decisions to disallow funds or withhold funding of existing grants in those instances where the grantee has not clearly and convincingly demonstrated satisfactory progress in accomplishing stated goals and objectives in its annual LIHEAP plan for funding.

c. It is expected that the reviews will help ACF to establish internal controls that ensure grantees and sub-grantees are effectively and efficiently compliant with applicable laws, regulations and policies, and are able to effectively implement the LIHEAP block grant.

2.4 STATEMENT OF WORK

The Contractor shall be directly responsible for ensuring the accuracy, timeliness and completion of all tasks under this effort. The Contractor shall be required to maintain confidentiality of all matters discussed and documents prepared under, and related to, the contract. The Contractor shall ensure that all assigned staff presents no conflict of interest with the substantive work of this contract, i.e., monitoring State, Tribal, and Territory governments’ LIHEAP programs to ensure compliance with all relevant laws, regulations and policies. The Contractor shall promptly notify the OCS COR in writing should such a conflict arise after assigning staff. The Contractor shall further ensure that the deliverables specified comply with Section 508 of the Rehabilitation Act of

1973 (29 U.S.C. 794d), as amended (Section 508 compliant), as specified in SCHEDULE OF

DELIVERABLES. Section 508 standards are further described and referenced in SECTION

508 COMPLIANCE STANDARDS:

Specifically, the Contractor shall engage in the following:

Task 1 Contract Administration

Task 1.1. Kick-Off Meeting

The Contractor shall participate in a project kick-off meeting to be convened by OCS within two weeks of contract award at the ACF Central Headquarters office in

Washington, D.C. Participants shall include all key personnel and relevant representatives of the Contractor (and subcontractor, if applicable) organization(s). The meeting shall be a forum for commencing communication between OCS and the

Contractor, introducing key personnel, establishing communication and project ground rules, and clarifying project deliverables. At the meeting, the Contractor and OCS shall discuss how personnel will be supervised and monitored to assure efficient, accurate, integrated and effective work outcomes and team dynamics.

No later than one (1) week prior to the Kick-Off Meeting, the Contractor shall submit a proposed annotated agenda, list of questions the Contractor has developed about the contract, and copies of all exhibits and other materials it will present at the meeting.

Following the meeting, the Contractor shall develop a memorandum to OCS that documents major issues discussed at the meeting, all decisions made, any open or pending issues, and all other relevant information. The memorandum shall be submitted to the

COR for review and approval no later than one (1) week after the meeting date.

Task 1.2. Workplan Submission and Tracking

The Contractor shall submit a Workplan to the COR within two (2) weeks after the

Kick-Off Meeting that includes specific descriptions of all tasks, required deliverables, due date of deliverables, assigned/responsible contractor staff and format of documents for submission.

The Contractor shall be responsible for tracking each deliverable and providing a timely update on the progress or non-progress of the deliverables. Updates shall be included in the monthly written progress reports to be submitted to the COR by the 10 th working day of each month.

Task 1.3. Contract Administrative Meetings and Report Submission

The Contractor shall submit progress reports to the COR by the 10 th day of each month that includes a detailed description of the status of work progress for each of the tasks in this

Statement of Work, including explanations of any issues, concerns, or challenges faced or anticipated in completing work timely and on budget. These reports shall serve as supporting documents for each payment request (invoice).

The Contractor shall meet with the COR to discuss work progress and other topics related to the management of the contract. At a minimum, monthly meetings will be held for no more than two (2) hours per meeting. Administrative meetings may also be requested with the PSC when needed and coursed through the COR. The Contractor shall be responsible for developing an agenda for approval by the COR two (2) days prior to each meeting.

After each meeting, contractor shall be responsible for submitting a brief memorandum to

OCS summarizing the key discussion topics, decisions and action steps agreed to at each meeting. The memo shall be submitted to the COR in an agreed upon format within three

(3) working days after each meeting.

The Contractor shall finalize its Quality Control Plan (QCP) within two (2) weeks of the

Kick-Off Meeting described in Task 1.1. The QCP shall document the aspects of performance to be inspected; the contractor personnel, and position title(s), that will perform inspections; inspection procedures, including frequency; and results of such regular inspections. The QCP shall be made available within two (2) business days of request by the COR.

Task 1.4. Hire and Assign Staff

The Contractor shall recruit (if needed) and assign one (1) part-time Program Manager, meeting the position requirements discussed further below. This position must available at least three (3) days per week to provide administrative oversight (e.g., prepare progress reports, invoices, review draft deliverables from Contractor staff, etc.) of the Contractor’s grant monitoring team and to participate in on-site meetings with the COR.

The Contractor shall also recruit (if needed) and assign a minimum of four (4) full-time fiscal positions required under this contract, as described below.

All five (5) positions shall be required to be located on-site with the OCS staff at the ACF

Central Headquarters office in Washington, D.C.

The Contractor shall submit to the COR descriptions of how such people meet the position requirements specified below.

The Contractor may use a subcontractor(s) to fill such positions, with the exception of the

Program Manager.

The requirements of the key positions for this contract are as follows:

(1) Financial Auditor - Two (2) individuals shall have the following credentials:

(a) A certificate as Certified Public Accountant or a Certified Internal Auditor, or equivalent, obtained through written examination; and

(b) One or more of the following:

i. A degree in accounting; or a degree in a related field such as business administration, finance, or public administration that included or was supplemented by 24 semester hours in accounting. The 24 hours may include up to six (6) hours of credit in business law. (The term “accounting” refers to both, accounting and auditing); or

ii. A combination of education and experience that includes at least four (4) years of experience in accounting and at least 36 semester hours of college level course work in accounting or auditing courses of appropriate type and quality, including up to six (6) hours of business law. Priority will be given to those having experience in auditing and monitoring nonprofit organizations that receive

Federal grants.

(2) Financial Analyst - Two (2) individuals shall have the following credentials:

(a) A degree in accounting; or a degree in business administration, finance, or public administration that included or was supplemented by 24 semester hours in accounting, financial management, or financial analysis; or

(b) The following combination of education and experience:

i. One or more of the following types of education:

A. Twenty-four (24) semester hours in financial management courses of appropriate type and quality, including up to six (6) hours of business law; or

B. A certificate as Certified Public Accountant or a Certified Internal Auditor, obtained through written examination; and

ii. At least four (4) years of experience in financial management or financial analysis; or

iii. A combination of financial management or financial analysis experience, college-level education, and training that provided professional financial management or financial analysis knowledge equivalent to that of four (4) years of experience in financial management or financial analysis.

(3) Program Manager - One (1) Individual shall have the following credentials:

(a) A degree in management, public administration or related disciplines appropriate to the position; or

(b) Combination of education and experience that provided the applicant with knowledge of one or more of the management or public administration equivalent to a major in the field; or

(c) Four years of appropriate experience that demonstrated that the applicant has acquired knowledge of one or more of the management, and/or public administration equivalent to a major in the field; and

The Contractor’s fiscal audit and analyst personnel shall comply with GAO’s Government auditing standards for continuing education and training requirements. Contractor shall maintain a copy of the Certificates of continuing education units which shall be readily accessible to the COR upon request.

The Contractor’s Program Manager shall communicate assignments of the four fiscal staff for each site visit (16 total visits). For each site visit, the Contractor shall assign one (1) Financial Auditor and one (1) Financial Analyst to work as the fiscal team in coordination with the OCS staff also assigned to the site visit.

All key personnel are subject to prior approval by the COR. Any replacements of key personnel require prompt notification by the Contractor to the COR and prior approval in writing by the COR before the replacement begins work on the contract. Labor and related rates charged for personnel for work on this contract shall not be changed or impact the budget for this contract.

The Contractor’s Proposal in response to this Request for Proposals shall include resumes for all staff anticipated to be assigned to the project and, if needed, a copy of any memorandum of understanding concerning potential new hires.

Task 2 Planning and Pre-Review Preparations

The Contractor shall review the grantee fiscal data in the LIHEAP Risk Analysis Tool and develop a Site Visit Planning Memorandum to OCS that briefly outlines the recommendations for grantees to be selected for site visits based on the review of the Tool’s data. OCS staff shall notify the

Contractor regarding the schedule of site visits and selected grantees. OCS and the Contractor shall agree upon contractor staff assigned to each site visit team comprised of both Contractor and

Federal staff.

The Contractor staff shall participate in regular programmatic meetings with OCS staff regarding the status of compliance reviews, as well as in small teams in preparation for each site visit. Each team will use established criteria to assess and select the sample of subgrantees and relevant sub-entities (e.g., interagency agreements with other state agencies to provide weatherization assistance with LIHEAP funding) to include during each review. The team shall select a sample of subgrantees to review and visit during each site visit. The Contractor shall review and analyze financial and programmatic documents provided by the grantees and selected subgrantees in advance of each of the 16 compliance reviews.

Prior to each site visit, the Contractor shall engage in planning and pre-review preparation activities which must include the following:

(a) Review and analyze all fiscal documentation provided by the grantee and subgrantees in advance of each compliance review. Such documentation will include, but is not limited to, grantee and sub-grantee audits (A-133, etc.), general ledgers, fiscal policy and operations documents, LIHEAP Carryover and Re-allotment Reports, LIHEAP

Federal Financial Reports (SF-425), grantee monitoring reports of subgrantees, and other related documents;

(b) Select sample transactions from general ledgers of grantee and selected subgrantees for further testing. Issue requests of grantees and selected subgrantees for back-up documentation of the selected transactions for review and analysis;

(c) Track receipt of all requested fiscal documentation due prior to the site visits from grantee(s) and selected subgrantees, follow-up with grantees and subgrantees (or OCS, as directed) on outstanding materials, and post materials to the OCS Basecamp monitoring web-based tool for the whole site visit team to access;

(d) Complete the fiscal section of the LIHEAP compliance review questionnaire and review team responses to programmatic sections of the questionnaire;

(e) Participate in compliance review team meetings to provide updates on the fiscal review and discuss logistical planning, agenda compilation, selection of subgrantee sample to review, and any other issues that may arise from the review of fiscal and programmatic documentation;

(f) Develop a Site Visit Planning Memorandum to OCS that briefly outlines the

Contractor’s review of fiscal materials submitted prior to the site visit, recommends the sample of subgrantees to visit, and includes additional questions to ask grantee and sub-grantees beyond those in the compliance review questionnaire based on information learned from document review and team meetings; and

(g) Develop a brief Travel Cost Breakdown Memorandum for each site visit to the OCS

COR which outlines the anticipated travel-related costs of the assigned key personnel for that visit. Such costs must be reasonable, i.e., coach class airfare, per diems that do not exceed the Federal per diem rates for the locality, best available lodging rates, etc.

The Contractor is responsible for ensuring that the total travel costs for the 16 site visits do not exceed the total travel budget available for this contract.

Task 3 Fiscal Compliance Reviews

One (1) Financial Auditor and one (1) Financial Analyst from the Contractor shall be assigned to and travel with the OCS team for each site visit. The Federal/Contractor team shall coordinate the review jointly. The two Contractor staff assigned to each team shall focus primarily on monitoring LIHEAP grantees’ and selected subgrantees’ fiscal performance and compliance with applicable laws and policies.

The reviews shall be conducted via site visits to the grantees’ LIHEAP offices and other related offices (including a sample of sub-grantees and partners). Each site visit typically lasts approximately one week, beginning with an entrance conference on Monday morning and ending with an exit conference on Friday morning. Staff typically travel to the location the day before, i.e., Sunday, and travel back from the site visit on Friday afternoon, if feasible. The timeline and agenda are subject to change based on the unique aspects of a grantee’s program. Therefore, some site visits may be shorter in duration, such as for Grantees’ with very little funding or with no subgrantees.

The reviews shall cover all funding streams the grantees received from LIHEAP, e.g., regular block grant, contingency, leveraging, and REACH, where applicable. The reviews shall also cover all aspects of how the grantees obligated the Federal LIHEAP funding, e.g., administrative costs, heating assistance, cooling assistance, crisis assistance, weatherization assistance, equipment repair/replacement, etc.

The purpose of the reviews shall be:

to identify any programmatic, financial, personnel, procurement, travel, budget, property systems and other weaknesses that may prevent such grantees and subgrantees from ensuring appropriate accounting and disbursement of the Federal LIHEAP funding;

to sample client files for review on-site to determine the accuracy and timeliness of eligibility and benefit determinations and notices to applicants of such decisions;

to review grantees’ policies and procedures for responding to and mitigating unexpected changes affecting their LIHEAP programs, e.g., fraud investigations, significant personnel and/or leadership changes, major changes in capacity to administer the program, etc.

to assess the grantees’ program integrity protocols and outcomes, including systems, internal controls and procedures to detect and deter waste, fraud and abuse; and to evaluate compliance with the LIHEAP statute [42 U.S.C. § 8621-8630), the block grant regulations (45 C.F.R. Part 96), the terms and conditions of the LIHEAP grant award(s), applicable OMB Circulars, Federal LIHEAP policies, and other Federal requirements.

to evaluate the adequacy of the grantees’ own LIHEAP policies and procedures that supplement the Federal rules, and the consistency in the administration of the LIHEAP rules throughout each grantees’ service area; and to identify issues that need corrective action or clarification by the grantees’; and to identify training and technical assistance needs related to the results of each site visit.

The Contractor shall conduct fiscal compliance reviews that encompass a wide variety of objectives, including to assess:

The effectiveness and efficiency of grantee project operations;

The reliability of financial reporting, including reports on budget execution and other reports for internal and external use;

Compliance with applicable laws and regulations, contracts, interagency agreements, and subgrant agreements;

The safeguarding of assets and client data confidentiality; and

The accuracy, quality, and timeliness of the data that the grantees report to OCS.

The reviewers will engage in the following activities with grantees and selected subgrantees during the on-site compliance reviews:

Participate in the programmatic portion of compliance review with grantee;

Lead the fiscal portion of the compliance review with the grantee, according to the

LIHEAP compliance review questionnaire and any additionally developed questions;

Review financial oversight and systems, payment processes, vendor agreements, draw down procedures, use of funds, compliance with statutory limits, internal controls procedures and systems, and other relevant topics; and

Ensure that grantee and selected sub-grantee staff understand and can provide the required back-up documentation for selected general ledger transactions.

The Contractor shall consider the results of previous reviews and evaluations and follow up on known significant findings and recommendations.

The Contractor shall also document and report to OCS staff suspected fraud, illegal acts, and violations of the provisions of grant agreements by grantees and subgrantees.

Task 4 Post-Review Analysis and Documentation/Working Papers

Conduct post-review analysis and documentation in accordance with OCS protocols and any other requirements that OCS specifies.

Post-review analysis shall include a full review of back-up documentation provided for selected general ledger transactions of grantees and sub-grantees. This analysis, along with analysis of previously provided documentation and information learned during the review, shall be documented through: (1) succinct and accurate notes from the site visit, (2) the completed fiscal portion of the LIHEAP compliance review questionnaire, and (3) adequate working papers that are consistent with those used by OCS personnel and Federal Government standards for performance reviews published by the U.S. Government Accountability Office (GAO), unless otherwise specified. Working papers, including attachments, shall be stored as professionally-indexed electronic copies.

The documentation related to planning, conducting, and reporting on the review shall contain sufficient information to enable an experienced auditor, who has had no previous connection with the review, to ascertain from the review the documentation of evidence that supports the auditors’ significant judgments and conclusions. Sufficient competent, evidential matter shall be obtained through inspection, observation, inquiries and confirmations to afford a reasonable basis for any recommendations made in the final report.

Working papers shall document:

The objectives, scope, methodology and results of the evaluation, including any sampling and other selection criteria used;

The work performed to support significant judgments and conclusions, including descriptions of transactions and records examined.

Working papers shall support and be indexed and cross-referenced to the draft report

(task 5).

Task 5 Compliance Review Findings and Recommendations

Prepare succinct and accurate fiscal sections of the compliance review reports for each selected grantee. The fiscal section shall include all fiscal findings and recommendations and describe for each finding what is the issue, relevant law/policy, and the proposed resolution, i.e., corrective action. The Contractor’s findings and recommendations must be fair, complete, and objective.

The Contractor shall use a report format prescribed by OCS and submit the fiscal portion electronically to OCS. The OCS compliance review template is in a letter format from OCS to the grantee and averages five to 15 pages in length for the entire report.

The Contractor shall provide draft fiscal findings and recommendations for each compliance review within two (2) weeks after the site visit. OCS shall review and provide comments on the draft, if needed. The Contractor shall revise and provide final fiscal findings and recommendations within two (2) weeks of receiving the OCS comments. The draft and final findings and recommendations shall be subject to OCS approval. The Contractor’s written work shall be succinct, clear, accurate, complete and free of grammatical errors.

The draft reports shall address (but not be limited to) the following:

(1) The effectiveness and efficiency of operations; the reliability and usefulness of financial reporting; the degree of compliance with applicable laws, regulations, policies, Federal grant award terms and conditions, provisions of contracts and grant agreements;

(2) Whether or not assets have been safeguarded;

(3) whether or not the grant is compliant with the Federal LIHEAP assurances, particularly regarding administrative costs, carryover costs, the weatherization cost cap, and fiscal control and accounting procedures to ensure LIHEAP funds are properly obligated and monitored;; and

(4) Any fiscal related best practices and lessons learned identified by the

Contractor.

The Contractor’s written work shall provide enough detail to provide a clear understanding of the source and rationale for the conclusions the auditors reached.

OCS will consolidate the fiscal and programmatic findings and recommendations and be responsible for issuing the final report. Any changes made to the Contractor’s draft fiscal section of the report shall be supported by appropriate references and links in the corresponding working papers from task 4.

2.5 LEVEL OF EFFORT

Estimates listed below are for the level of effort required to carry out the work described herein for the total of the contract period of one (1) year. The Government presents this description of the levels of effort only as an example. Contractors may propose any staffing pattern that they believe shall best be able to accomplish the tasks described in the Statement of Work.

The person hours listed below are for the entire Contract period.

Base Year (September 30, 2013 – September 29, 2014)

Position FTE Hours

Financial Auditor 2 4160

Financial Analyst 2 4160

Program Manager .75 1560

Total Hours 9880

ESTIMATED HOURS PER TASK:

Tasks Number of Hours

Task 1 – Kick-Off Meeting/Administrative

Tasks/Logistical Support/Memo & Agenda

Preparation

(30 hours onsite X 52 weeks/for 1 Program

Manager, plus 32 hours for four fiscal staff to participate in and prepare for Kick-Off )

1,580

Task 2 – Pre-visit Preparation/Review of

Documents/Standing Meetings (2 staff at a time X

16 site visits X 80 hours/per site visit)

Task 3 – Compliance Review (2 staff per visit X

16 site visits X 60 hours/per site visit)

1,920

Task 4 – Post-Review Analysis and

Documentation/Working Papers (2 staff X 16 site visits X 59 hours/per site visit)

Task 5 - Compliance Review Report (2 staff X 16 site visits X 60 hours/per site visit

Total Hours 9880

2.6 HHS SECTION 508 ACCESSIBILITY STANDARDS NOTICE (SEPTEMBER 2009)

This contract is subject to Section 508 of the Rehabilitation Act (the Act) of 1973 (29 U.S.C.

794d), as amended by the Workforce Investment Act of 1998, and the Architectural and

Transportation Barriers Compliance Board (Access Board) Electronic and Information

Accessibility Provisions (36 CFR Part 1194). Section 508 of the Act requires that, unless an exception applies, all communications products and services that require a contractor or consultant to produce content in any format that is specifically intended for publication on, or delivery via, a federally owned or federally funded website permit the following:

(1) Federal employees with disabilities to have access to and use information and data that is comparable to the access and use of information and data by federal employees who are not individuals with disabilities.

(2) Members of the public with disabilities seeking information or services from a federal agency to have access to and use of information and data that is comparable to the access and use of information and data by members of the public who are not individuals with disabilities.

(Note: Information about Section 508 of the Act is available at http://www.section508.gov/. The complete text of Section 508 can be accessed at http://www.access-board.gov/sec508/provisions.htm.)

Accordingly, regardless of format, all web content or communications materials specifically produced for publication on, or delivery via, HHS websites, including text, audio, or video, under this contract shall conform to applicable Section 508 accessibility standards. Remediation of any materials that do not comply with the applicable accessibility standards of 36 CFR Part 1194 as set forth herein shall be the responsibility of the Contractor.

The following Section 508 accessibility standards apply to the content or communications material identified in this SOW or PWS:

● Section 11.94.22

● Section 11.94.23

● Section 11.94.31

2.7 HHS-CONTROLLED FACILITIES AND INFORMATION SYSTEMS SECURITY

(a) To perform the work specified herein, Contractor personnel are expected to have routine (1) physical access to an HHS-controlled facility; (2) logical access to an HHS-controlled information system; (3) access to sensitive HHS data or information, whether in an HHS-controlled information system or in hard copy; or (4) any combination of circumstances (1) through (3).

(b) To gain routine physical access to an HHS facility, logical access to an HHS-controlled information system, and/or access to sensitive data or information, the Contractor and its employees shall comply with Homeland Security Presidential Directive (HSPD)-12, Policy for a

Common Identification Standard for Federal Employees and Contractors; Office of Management and Budget memorandum (M-05-24); and Federal Information Processing Standards Publication

(FIPS PUB) Number 201; and with the personal identity verification and investigation procedures contained in the following documents:

(1) HHS Information Security Program Policy http://www.hhs.gov/ocio/policy/policydocs/ociosummaries.html http://www.hhs.gov/ocio/securityprivacy/index.html

(2) HHS Office of Security and Drug Testing, Personnel Security/Suitability Handbook, dated February 1, 2005.

http://www.hhs.gov/ohr/manual/pssh.pdf

(3) HHS HSPD-12 Policy Document, v. 2.0.

http://www.hhs.gov/asfr/og/acquisition/policies/hspd12contractguide.doc

(4)

(c) This contract/order will entail the following position sensitivity level(s): Level 5

(d) The personnel investigation procedures for Contractor personnel require that the Contractor prepare and submit background check/investigation forms based on the type of investigation required. The minimum Government investigation for a non-sensitive position is a National

Agency Check and Inquiries (NACI) with fingerprinting. More restricted positions--i.e., those above non-sensitive, require more extensive documentation and investigation. The Contractor shall notify the Contracting Officer in advance when any new personnel, who are subject to a background check/investigation, will work under the contract and if they have previously been the subject of national agency checks or background investigations.

(e) Investigations are expensive and may delay performance, regardless of the outcome of the investigation. Delays associated with rejections and consequent re-investigations may not be excusable in accordance with the FAR clause, Excusable Delays--see FAR 52.249-14.

Accordingly, the Contractor shall ensure that any additional employees whose names it submits for work under this contract have a reasonable chance for approval.

(f) Typically, the Government investigates personnel at no cost to the Contractor. However, multiple investigations for the same position may, at the Contracting Officer's discretion, justify reduction(s) in the contract price of no more than the cost of the additional investigation(s).

(g) The Contractor shall include language similar to this ``HHS-Controlled Facilities and

Information Systems Security'' language in all subcontracts that require subcontractor personnel to have the same frequency and duration of (1) physical access to an HHS-controlled facility; (2) logical access to an HHS-controlled information system; (3) access to sensitive HHS data/information, whether in an HHS-controlled information system or in hard copy; or (4) any combination of circumstances (1) through (3).

(h) The Contractor shall direct inquiries, including requests for forms and assistance, to the

Contracting Officer or designee.

(i) Within 7 calendar days after the Government's final acceptance of the work under this contract, or upon termination of the contract, the Contractor shall return all identification badges to the

Contracting Officer or designee.''

SECTION 3 - Packaging and Marking

3.1 PACKAGING AND MARKING

All information and deliverables shall be delivered to the address shown in Section 4 entitled -

Place of Delivery - and shall be marked as follows:

1. Name and address of the Contractor;

2. Contract Number;

3. Description of item contained therein; and

4. Consignee's name and address.

SECTION 4 - Inspection and Acceptance

4.1 INSPECTION AND ACCEPTANCE (COMMERCIAL)

Pursuant to 52.212-4, all work described in the SOW/PWS/SOO to be delivered under this contract is subject to final inspection and acceptance by an authorized representative of the

Government. The authorized representative of the Government is the Government's COR, who is responsible for inspection and acceptance of all services, materials, or supplies to be provided by the Contractor.

All deliverables shall be sent electronically in a Microsoft Word or Excel format to the COR and

Alternate COR. Deliverables shall be provided in hard copy upon request only. Inspection of the items called for by the contract shall be performed by the designated COR. The COR shall have time, as specified above in the descriptions of the specific tasks, to inspect and accept the deliverables.

SECTION 5 - Deliveries or Performance

5.1 PERIOD OF PERFORMANCE

The period of performance shall be for a base period of twelve (12) months as follows:

Base Period: September 30, 2013 – September 29, 2014

5.2 REPORT(S)/DELIVERABLES AND DELIVERY SCHEDULE

The contractor shall submit all required report(s)/deliverables in accordance with the following schedule: All reports shall reference and cite the contract/order number.

Unless otherwise agreed, the Contractor shall provide the following deliverables, identified on the task/deliverable table, to the COR by the due dates. The COR shall review the deliverable and provide comments and suggestions to the Contractor, or approve or disapprove the deliverable(s), within 21 calendar days from the day each draft deliverable is received. The Contractor shall have no more than five (5) working days from the day comments are received from OCS to incorporate all changes and submit the final deliverable back to the COR.

The Contractor shall provide the following services and deliverables in the timeframes specified below:

Task Deliverable Description Due Date Format

Task 1

Contract

Administration

Deliverable

1.1.1

A Pre-Kick Off Meeting Annotated

Agenda that provides the items specified in Task 1.1. (1 total submission).

Within one week of contract award

Microsoft

(MS)Word®

Deliverable

1.1.2

Participation at the Kick-Off

Meeting, at which all Contractor key personnel will participate, and that achieves the outcomes specified in

Task 1.1.

Within two weeks of contract award

N/A

Deliverable

1.1.3

A Post-Meeting Memorandum that documents the items specified in

Task 1.1. (1 total submission).

One week after the Kick-Off

Meeting

MS Word®

Deliverable

1.2.1

A detailed Workplan submitted to the COR that includes specific descriptions of all tasks, required deliverables, due dates of deliverables, and assigned and lead designation of contractor staff. (1 total submission).

Two weeks after the Kick Off

Meeting

MS Excel

Format®

Deliverable

1.2.2

Monthly Progress Reports submitted to the COR that include detailed descriptions of the accomplishments, status, and challenges experienced or anticipated for each task. The reports shall support the request for payment of services rendered or deliverables submitted. (12 total submissions).

Every 10 th working day of the month

MS Word®

Deliverable

1.3.1

Participation at monthly Contract

Administrative Meetings between the Contractor and COR for up to two (2) hours at each meeting.

Once a month—a specific date shall be agreed upon during the

Kick-Off

Meeting

N/A

Deliverable

1.3.2

The Contractor shall be responsible for developing an agenda for administrative meeting and which will be subject to approval by the

COR. (A minimum of 12 total submissions).

Once a month, no later than two

(2) days prior to each administrative meeting

MS Word®

Deliverable

1.3.3

After each meeting, the contractor shall be responsible for developing a brief Post-Meeting Memorandum that summarizes the key decisions made, pending issues, and next action steps discussed in each meeting. The Memo shall be submitted to the COR in a prescribed format to be furnished by the COR. (1 total submission).

Once a month, within three working days after the administrative meeting

MS Word®

Deliverable

1.3.4

The final Quality Control Plan

(QCP).

Results of inspections conducted under the QCP shall be updated.

Such QCP results shall be made available to the COR within two (2) business days of a request for it.

Within two (2) weeks of the

Kick-Off

Meeting, and then within two

(2) business days of a request by the COR.

MS Word® or PDF

Deliverable

1.4

Hire and assign (4) full-time fiscal staff and (1) program manager. If no changes to staff identified in the

Contractor’s Proposal, then a brief memorandum shall be submitted to the COR confirming the assigned staff.

Submit all résumés showing that assigned individuals possess the credentials specified in Task 1.4.

Three weeks after contract award

MS Word® or PDF

Task 2

2.1

A brief (1-2 page) Site Visit

Planning Memorandum that outlines the Contractor’s review of grantee fiscal data in the LIHEAP

Risk Analysis Tool (access to be provided by COR) and provides recommendations for the grantees to be selected for site visit reviews. (1 total submission).

Two months after the contract award date.

2.2

A brief (1-2 page) Site Visit

Planning Memorandum for each grantee selected for a site visit.

Each memo shall outline the

Contractor’s review of grantee fiscal data in the LIHEAP Risk Analysis

Tool (access to be provided by

COR) and recommendations for the sample selection of subgrantees subgrantees to be visited. (16 total submissions).

Two months prior to each site visit.

MS Word®

Deliverable

2.3

A Travel Cost Breakdown

Memorandum to the COR that shows the travel-related costs that the contractor expects to incur for each site visit. (16 total submissions).

30 calendar days prior to the first day of each site visit.

Deliverable

2.4

Draft responses to the fiscal section(s) of the LIHEAP

Compliance Review Questionnaire

(template to be provided by the

COR) for each selected grantee and subgrantee. The draft responses shall be based on the review and analysis of all documentation sought and provided by the grantee and sample of subgrantees prior to the site visit. The fiscal section of the questionnaire covers areas related to: eligibility requirements; funds tracking; program management;

vendor agreements; grantee systems to detect fraud, waste and abuse;

policies and procedures for resolving claims of fraud, waste, or abuse; funds drawdown process;

benefit payment process and documentation; and, overpayments or erroneous payments and handling refunds. The list is not exhaustive and other items may be identified upon receipt of documents from grantees.

An addendum to the questionnaire that lists any additional questions that shall be asked during the review, based on the document review conducted prior to each visit.

Note: 16 submissions are expected—one for each site visit.

Two weeks prior to each scheduled compliance review.

Task 3

Compliance

Reviews

3.1

Participation on 16 LIHEAP

Compliance Monitoring Reviews

(site visits), for the grantees selected by OCS, that meet the requirements specified in Task 3.

Schedule to be discussed at the

Kick-Off

Meeting. Site visits to be scheduled from approximately

January to

August.

N/A

Task 4

Post Review

Analysis and

Documentation/

Working Papers

Deliverable

4.1

Contractor’s notes from each site visit that meet the requirements of

Task 4. (16 total submissions).

Within one week of the last day of each site visit.

4.2

Final completed fiscal portion of the

LIHEAP Compliance Review

Questionnaire with any updates from each site visit. (16 total submissions).

Within one (1) week of the last day of each site visit.

4.3

Working Papers for each site visit documenting the fiscal review. (16 total submissions).

Within 45 calendar days of the completion of each site visit.

MS Word®

Task 5

Compliance

Review

Reporting

Deliverable

5.1

Draft fiscal section of the LIHAEP

Compliance Review Report for each site visit that meets the requirements of Task 5. (16 total submissions).

Within two (2) weeks of the last day of each site visit.

MS Word®

Deliverable

5.2

Final fiscal section of the LIHEAP

Compliance Review Report for each site visit that is Section 508 compliant and meets the requirements of Task 5. (16 total submissions).

Within two (2) weeks of receipt of comments from OCS staff.

5.3 DELIVERY REQUIREMENTS

Pickup and delivery of items under this contract/order shall be accomplished between the hours of

[***8:30 a.m. and ***4:00 p.m.], Monday through Friday unless changed by mutual agreement between the COR and the contractor. No deliveries shall be made on Saturdays, Sundays, and days of government closure or Federal legal holidays found at:

http://www.opm.gov/operating_status_schedules.

SECTION 6 - Contract Administration Data

6.1 CONTRACTING OFFICER'S REPRESENTATIVE (COR) AUTHORITY

(a) Performance of work under this contract must be subject to the technical direction of the

Contracting Officer's Representative identified above, or a representative designated in writing.

The term "technical direction" includes, without limitation, direction to the contractor that directs or redirects the labor effort, shifts the work between work areas or locations, fills in details and otherwise serves to ensure that tasks outlined in the work statement are accomplished satisfactorily.

(b) Technical direction must be within the scope of the specification(s)/work statement.

The Contracting Officer's Representative does not have authority to issue technical direction that:

(1) Constitutes a change of assignment or additional work outside the specification(s)/statement of work;

(2) Constitutes a change as defined in the clause entitled "Changes";

(3) In any manner causes an increase or decrease in the contract price, or the time required for contract performance;

(4) Changes any of the terms, conditions, or specification(s)/work statement of the contract;

(5) Interferes with the contractor's right to perform under the terms and conditions of the contract; or

(6) Directs, supervises or otherwise controls the actions of the contractor's employees.

(c) Technical direction may be oral or in writing. The Contracting Officer's Representative shall confirm oral direction in writing within five work days, with a copy to the Contracting Officer.

(d) The contractor shall proceed promptly with performance resulting from the technical direction issued by the Contracting Officers, Representative. If, in the opinion of the contractor, any direction of the Contracting Officers, Representative, or his/her designee, falls within the limitations in (b), above, the contractor shall immediately notify the Contracting Officer no later than the beginning of the next Government work day.

(e) Failure of the contractor and the Contracting Officer to agree that technical direction is within the scope of the contract shall be subject to the terms of the clause entitled "Disputes."

6.2 INVOICE SUBMISSION - COMMERCIAL

The Contractor shall submit invoices once per month. A complete invoice with all required back-up documentation shall be sent electronically, via email, to:

1. Contract Specialist via DAM mailbox: pscsas.invoices@psc.hhs.gov.

2. Contracting Officer's Representative (COR): TBD at time of award.

3. Financial Management Service (FMS): psc_invoices@psc.hhs.gov.

* No other non-invoice related documents (i.e. deliverables, reports, balance statements) shall be sent to the DAM and FMS mailboxes. Invoices Only.

The subject line of your email invoice submission shall contain the contract number, contract line item number, the order number, if applicable, and the number of invoices. The Contractor shall send one email per contract per month. The email may have multiple invoices for the contract.

Invoices must be in the following formats: PDF, TIFF, or Word. No Excel formats will be accepted. The electronic file cannot contain multiple invoices; example, 10 invoices requires 10 separate files (PDF or TIFF or Word).

Invoices shall be submitted in accordance with the contract terms, i.e. payment schedule, progress payments, partial payments, deliverables, etc.

All calls concerning contract payment shall be directed to the COR.

In accordance with FAR 52.212-4, Contract Terms and Conditions-Commercial Items, a proper invoice must include the following items:

FAR 52.212-4(g) Invoice.

(1) The Contractor shall submit an original invoice and three copies (or electronic invoice, if authorized) to the address designated in the contract to receive invoices. An invoice must include:

(i) Name and address of the Contractor;

(ii) Invoice date and number;

(iii) Contract number, contract line item number and, if applicable, the order number;

(iv) Description, quantity, unit of measure, unit price and extended price of the items delivered;

(v) Shipping number and date of shipment, including the bill of lading number and weight of shipment if shipped on Government bill of lading;

(vi) Terms of any discount for prompt payment offered;

(vii) Name and address of official to whom payment is to be sent;

(viii) Name, title, and phone number of person to notify in event of defective invoice; and

(ix) Taxpayer Identification Number (TIN). The Contractor shall include its TIN on the invoice only if required elsewhere in this contract.

(x) Electronic funds transfer (EFT) banking information.

(A) The Contractor shall include EFT banking information on the invoice only if required elsewhere in this contract.

(B) If EFT banking information is not required to be on the invoice, in order for the invoice to be a proper invoice, the Contractor shall have submitted correct

EFT banking information in accordance with the applicable solicitation provision, contract clause (e.g., 52.232-33, Payment by Electronic Funds Transfer, Central

Contractor Registration, or 52.232-34, Payment by Electronic Funds Transfer, Other Than Central Contractor…