15JPSS22R00000039.pdf

15JPSS22R00000039 Page 1 of 115

SOLICITATION, OFFER, AND AWARD 1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR 700)

RATING

2. CONTRACT NUMBER 3. SOLICITATION NUMBER

15JPSS22R00000039

SEALED BID (IFB)

NEGOTIATED (RFP)

4. TYPE OF SOLICITATION 5. DATE

ISSUED

05/24/2022

6. REQUISITION/PURCHASE

NUMBER

CODE 15JPSS

U.S. Department of Justice Procurement Services Staff 145 N St., NE, 8E.300 Washington, DC 20530

7. ISSUED BY 8. ADDRESS OFFER TO (If other than Item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

SOLICITATION

(Hour) (Date) CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

9. Sealed offers in original and ____________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in item 8, or if hand carried, in the depository located in ______________________________________________________ until ________________ local time _________________

10. FOR

INFORMATION

CALL:

A. NAME

AREA CODE NUMBER EXTENSION

B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

11. TABLE OF CONTENTS

(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1 X I CONTRACT CLAUSES 70

X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 6 X J LIST OF ATTACHMENTS 76

X D PACKAGING AND MARKING 24 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 25

X K REPRESENTATIONS CERTIFICATIONS AND OTHER STATEMENTS

OF OFFERORS

X F DELIVERIES OR PERFORMANCE 26

X L INSTRSRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS 91X G CONTRACT ADMINISTRATION DATA 30

X M EVALUATION FACTORS FOR AWARD 112X H SPECIAL CONTRACT REQUIREMENTS 37

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.

In compliance with the above, the undersigned agrees, if this offer is accepted within _______________________ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

12.

13. DISCOUNT FOR PROMPT PAYMENT

(See Section I, Clause No. 52.232-8)

10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) 0 CALENDAR DAYS (%)

14. ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated):

AMENDMENT NO. DATE AMENDMENT NO. DATE

15A. NAME AND

ADDRESS OF

OFFEROR

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN

OFFER (Type or Print)

15B. TELEPHONE NUMBER

AREA CODE NUMBER EXTENSION

15C. CHECK IF REMITTANCE ADDRESS IS

DIFFERENT FROM ABOVE - ENTER SUCH

ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

10 U.S.C. 2304(c) ( ) 41 U.S.C. 3304(a) ( )

22. AUTHORITY FOR USING OTHER THAN FULL OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN (4 copies unless otherwise specified)

ITEM

CODE24. ADMINISTERED BY (if other than Item 7) CODE25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA 28. AWARD DATE

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (REV. 6/2014)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

Andrew S. Martin 307-1928202 andrew.s.martin@usdoj.gov x

15JPSS22R00000039 Federal Forfeiture Claims Administration

SECTION B - SUPPLIES/SERVICES/PRICES

B.1 General

(a) The Contractor shall provide, in accordance with the requirements specified herein, all labor, management, supervision, and other resources necessary to furnish Federal Forfeiture Claims Administration services to the Department of Justice (DOJ) and other Federal Agencies. All requirements will be fulfilled on an Indefinite Delivery / Indefinite Quantity (IDIQ) task order basis for all services. Individual task orders placed under this contract may be issued on a firm fixed-price (FFP), labor hour (LH), time-and-materials (T&M), cost only basis, or any combination thereof. The process for task order placement is described in Sections H.3 and H.26.

(b) The principal purpose of this contract is to provide non-personal, labor hour, professional services which cover a wide range of Federal Forfeiture Claims Administration related tasks and processes as described in Section C herein. DOJ considers the principal purpose of this contract to be for the furnishing of hourly-based, specialized, Claims Administration services through the use of professional employees exempted from the Service Contract Labor Standards statute (SCL)). Therefore, ALL labor categories and hours published herein are considered exempt from SCL unless otherwise explained by the Offeror in its proposal and accepted by the Government at the time of award. This contract also allows for, as a secondary purpose, tasks incidental to Federal Forfeiture Claims Administration that under circumstances outside of this contract could be considered non-exempt labor but for purposes of this contract shall be considered exempt.

(c) The proposed contract is expected to include a base period and four (4) option periods as described below:

Base Period 08/31/22 through 08/30/23 Option Period I 08/31/23 through 08/30/24 Option Period II 08/31/24 through 08/30/25 Option Period III 08/31/25 through 08/30/26 Option Period IV 08/31/26 through 08/30/27

(d) The anticipated award date August 31, 2022. The actual start date for the Base Period will be inserted at contract award. See Section F for complete contract term and option information.

B.2 Minimum and Maximum Amounts

(a) The Government will order a minimum amount of $100,000 under this contract. The Government will have the entire term of the contract (to include all options) to fulfill the contract minimum. The specific Contract Line Item Numbers (CLINs) and quantities will be identified in the task order(s) issued under the contract.

The exercise of the renewal options (see Sections F.3 and F.6) does not re-establish the contract minimum. During the life of this contract, the Government may order items in any quantity up to the maximum amount specified in paragraph (b) below. If the minimum amount has not been ordered then the Government will exercise the option for the next year.

(b) There are no maximum quantities or amounts for each individual CLIN, task order, or contract period. The maximum aggregate amount of all task orders issued under this contract shall not exceed $50,000,000 for the entire term of the contract, including all options which may be exercised.

B.3 Reserved

B.4 Unit Prices

(a) All contract unit prices and multipliers (applied to other direct cost items) shall be as specified in the pricing tables contained in Attachment (2). The basic contract line item number (CLIN) structure includes individual pricing tables segregated by contract period and the type of service. Each CLIN includes a one-digit prefix, a four-digit core number, and a two character suffix. The first digit represents the contract period, i.e., for the Base Period, the first digit for all CLINs is "0"; for Option Period 1, the first digit for all CLINs is "1", etc. The first digit of the core number represents the Unit Price Table category, i.e., “1" indicates a Labor Category; “2" indicates Other Direct Cost. The remaining three digits represent the specific labor category. The two character suffix is either “RT” for regular time, or “OC” for other direct cost. For example, a Senior Claims Analyst, regular time, during the base period of the contract would be under CLIN 0-1002-RT.

(b) The following definitions apply to the pricing tables:

1. Hourly Rates. Services obtained on a LH or T&M basis at the hourly rates (fixed unit prices) specified in Attachment (2) for a given task order. All prices must be fixed unit prices that include all costs (fringe benefits, overhead, and general and administrative (G&A)) and profit necessary to provide the level of service specified in the contract and/or task order.

2. Regular Time (RT). The billable rate for hourly personnel acquired via task order, or the billable hourly rate for salaried personnel acquired via task order. A normal schedule will consist of five (5) eight (8) hour work days excluding, where practical, Saturday, Sunday, and the Federal holidays listed in Section H.15.

3. Other Direct Costs (ODC). Allowable classes or categories of supplies and services as detailed in the pricing table, Attachment (2), which are not included in the hourly rate unit prices but are required to complete a given task order that is issued on a T&M basis or to price a fixed-price task order issued on a per lot basis.

4. Multiplier. The decimal factor (fixed multiplier) to be applied against the actual cost of an "other direct cost" item to cover administrative handling expenses.

(c) Most work performed under this contract will be at Contractor sites. Under certain circumstances, some work might require Contractor personnel to gather information, perform research, and travel off-site in performance of their duties. These unusual and special circumstances will be included in individual task orders.

(d) The appropriate fixed hourly rates and the ODC multipliers shall apply for the duration of the task, except when the period of performance of a task crosses a contract year and the Government has exercised its option to extend the overall contract. In these cases the then current year contract rates/multipliers shall apply for the balance of the task order performance, effective at the beginning of the then current contract year.

(e) A task order may include any combination of unit pricing to appropriately reflect the requirements, conditions and constraints.

B.5 Other Direct Costs

B.5.1 Materials and Training

(a) Materials and training procured on behalf of the Government under this contract will generally be exempt from State and local taxes. The Contracting Officer will provide a completed Standard Form 1094, U.S. Tax Exemption Certificate where appropriate (see Federal Acquisition Regulation (FAR) Part 29).

(b) If in the Government's interest, the Contracting Officer may issue a letter(s) to the Contractor authorizing the Contractor to utilize Government sources of supply (e.g., General Services Administration supply schedules) for materials and training procured on behalf of the Government under this contract (see FAR Part 51).

B.5.2 Travel

(a) As a general rule, local travel will not be reimbursed under this contract.

Examples of local travel which will not be subject to reimbursement are: travel to and from normal job site; supervisory personnel traveling to a Government site or alternative facility to oversee operations. Personnel temporarily working at a Government site or alternative facility shall consider such facility his/her normal job site.

(b) All reimbursable long distance travel shall be part of the task proposal, with specific trips approved in advance by the COR. Reimbursement for actual (approved) travel costs incurred during the performance of support services shall be in accordance with Part 31 of the FAR. Travel requirements under this contract shall be met using the most economical form of transportation available. If economy class transportation is not available, the Contractor shall submit to the COR a request for advance approval to utilize higher class travel. All travel shall be scheduled sufficiently in advance to be able to take advantage of offered discount rates. Individual ‘travel authorization letters’ may be provided to the Contractor (for all Contractor personnel who are required to travel) which may allow Contractor personnel to receive Government rates when on long distance travel. The current Federal Travel Regulations and per diem rates can be accessed at www.gsa.gov/federaltravelregulation.

(c) The Government encourages advance airfare purchases to take advantage of supersaver discounts. If the trip is canceled or travel dates are changed due to the Government’s actions, the Government will, absent special circumstances, pay airline cancellation charges or airline charges for changes in the travel dates.

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SECTION C - STATEMENT OF WORK

C. SOW CONTENTS

This Statement of Work (SOW) is structured as follows:

• C.1: Introduction

• C.2: Purpose

• C.3: Scope

• C.4: Specific Tasks

• C.5: Performance and Quality

• C.6: Contractor-Furnished Property and Services

• C.7: Records and Document Management

• C.8: Deliverables

• C.9: Publications and Forms

A list of the acronyms and definitions used throughout this SOW is provided in Attachment (9).

C.1 Introduction

1. The Department of Justice (DOJ or Department or Government) has a need for an integrated claims administration support contract due to the dramatic increase in recent years in the number and complexity of securities fraud, Ponzi schemes, mortgage fraud, and other crimes or civil actions involving large numbers and groups of victims or claimants.

C.1.1 Background

1. The DOJ Criminal Division’s Money Laundering and Asset Recovery Section (Section), provides centralized management for the Department's Asset Forfeiture Program to ensure its integrity and maximize its law enforcement potential, while also providing managerial direction to the Department's components in prosecuting money laundering. The Section initiates, coordinates, and reviews legislative and policy proposals impacting on the asset forfeiture program and money laundering enforcement agencies.

2. The Section works with the entire spectrum of law enforcement and regulatory agencies using an interagency, interdisciplinary, and international approach. The Section is mandated to: coordinate multi-district investigations and prosecutions; provide guidance, legal advice, and assistance with respect to asset forfeiture and money laundering investigations and prosecutions; develop regulatory and legislative initiatives;

ensure the uniform application of forfeiture and money laundering statutes; litigate complex, sensitive, and multi-district cases; and provide litigation assistance to U.S.

Attorneys' Offices and Criminal Division components.

3. The Section adjudicates all petitions for remission or mitigation of forfeited assets in judicial forfeiture cases, including petitions pertaining to United States Department of the Treasury (Treasury) and Homeland Security agencies.

4. Claims administration support for federal forfeiture for Petitions for Remission, Restoration, and other claims arising from seizures and forfeitures have been accomplished through separate procurement actions as each case presents itself. The Government seeks to reduce duplicative procurements, achieve cost savings through Fair Opportunity competitions, and streamline the procurement process through multiple award IDIQ contracts with highly experienced and expert firms.

C.1.2 Types of Claims

1. DOJ is involved in varying instances where claims administration support for federal forfeiture is necessary. These are: i) Petitions for Remission, ii) Restoration, and iii) Class Action Claims arising from seizures and forfeitures.

2. The U.S. Government has the authority to obtain judicial forfeiture of assets under specific statutes. After assets have been forfeited to the U.S., the Attorney General has authority to distribute the funds, after deduction of Government expenses and satisfaction of third-party claims, to victims of crime pursuant to the regulations governing remission at 28 Code of Federal Regulations (CFR) Part 9, Regulations Governing the Remission or Mitigation of Civil and Criminal Forfeitures. The authority to decide Petitions for Remission has been delegated from the Attorney General to the Chief of the MLARS pursuant to 28 CFR §9.1(b)(2). These regulations are applied to determine who is a victim and whether and to what extent distribution of forfeited property is to be made to victims.

C.2 Purpose

1. The purpose of this Statement of Work (SOW) is to provide specified claims administration services and support to the United States (U.S.) Department of Justice’s (DOJ) Money Laundering and Asset Recovery Section of the Criminal Division.

C.3 Scope

1. The Contractor shall provide claims processing and associated administrative, technical, and management services for victims and claimants located both within and outside the U.S. in support of the Criminal Division as well as other DOJ entities, Treasury, Homeland Security, and other agencies involved in federal seizure and forfeiture activities. The Contractor shall service claims for all judicial districts, Puerto Rico, and other U.S. territories. Although the majority of communications and interactions with claimants and victims will be within the U.S., there are often claimants and victims located outside the U.S., which will be noted in individual task orders, as applicable.

2. Contractor services will be required to identify and contact potential claimants and victims and inform them of the opportunity to file a petition, receive and evaluate the claims, make recommendations to Government officials regarding claim validity, inform potential claimants of the claims decisions, review requests for reconsideration and make recommendations regarding these requests, and, in certain cases, make final disbursements to awarded claimants.

C.4 Specific Tasks

The following tasks shall be performed under task orders issued under this contract:

C.4.1 Introduction This SOW requires timely and responsive services and technical excellence. The Contractor shall provide all personnel, equipment, materials, supervision, and other items and services necessary to perform Claims Administration as defined herein.

C.4.2 Task #1 – Money Management

C.4.2.1 Establishment of Bank Accounts

1. The Contractor shall open a bank account for claims cases for which disbursements are made by the Contractor.

2. All such bank accounts shall be listed in the name of the claims case (e.g., “Benefit of XYZ Victims” or “Benefit of XYZ Class Action”) and shall be in a Federal Deposit Insurance Corporation (FDIC)-insured domestic financial institution. Funds will be transferred to the Contractor by the Government via electronic wire for deposit into the case-specific bank accounts.

3. For each bank account established, the Contractor shall:

(a) Provide the Contracting Officer’s Technical Representative (COR) with read only access to the account balance and transaction activity.

(b) Provide the COR details concerning the account, including the name of the account, the account number, the account type, physical location of the account, and signature cards. The Contractor shall provide this information to the COR within one (1) work day of establishing the account.

(c) Prepare and maintain a transaction register accounting for all electronic transactions or checks printed. The register shall include, at a minimum, the electronic transaction trace number, check number, date issued, payee, payee tax identification number, recipient bank routing and account number, disbursement amount, and date cashed (if applicable).

(d) Not maintain an inventory of unused check stock pre-printed with Magnetic Ink Character Recognition (MICR) account numbers and routing information.

(e) Maintain the originals or images of all checks which were not voided or otherwise spoiled and all checks that were returned by the Post Office and remained undeliverable. The Contractor shall also maintain records of all checks issued but not cashed prior to the expiration date of the check. The Contractor shall ensure that the financial institution returns to the Contractor all original cancelled checks or clearly legible images of all original cancelled checks and/or bank drafts and bank statements.

(f) Ensure that the account has payee name and check amount based positive pay or similar services to combat check fraud.

(g) Ensure that the financial institution sends a duplicate original bank statement via express mail or as a PDF file to the COR within ten calendar days after the end of the month.

(h) Prepare and provide the COR with reconciliation of the prior month’s activity of each bank account. Reconciliations shall be provided on or before the fifth work day after the end of the month.

(i) Upon request, provide to the Contracting Officer CO, COR, General Counsel, and/or Inspector General information pertaining to the bank records and activities.

(j) Ensure that appropriate corrections are made immediately upon receipt of any notification of a needed correction to bank and/or financial statements.

C.4.2.2 Bank Account Disbursements and Transfers

The Contractor shall obtain the COR’s written approval and authorization of claims distribution in accordance with policy or the court or administrative order prior to any disbursements and transfers of claims funds, including the payment of all invoices for work performed under this SOW and transfers to and from approved investments and the claims bank account.

C.4.2.3 Tax Requirements For each claims case task order awarded to the Contractor, the Contractor shall obtain a tax identification number (TIN) which shall be protected in accordance with the requirements of Clauses H.18 and H.19. As instructed by the COR, the Contractor shall prepare and file all necessary tax returns, forms, or reports with the appropriate state and federal tax authorities.

C.4.3 Task #2 – Assistance Services

1. In accordance with task order instructions, the Contractor shall provide assistance services for the days and times of operations as indicated in each task order (up to 24 hours per day) to assist potential claimants in obtaining information relating to the claims fund (claims qualification and check distribution) and requirements for participation in the claims distribution.

2. At a minimum, assistance services shall include responding to requests and inquiries received via an established website, the interactive voice response (IVR) system, e-mail, or written mail. The Contractor shall have the ability to respond in English and/or Spanish (as applicable and as directed in each task order). If required, other language capabilities will be indicated in each task order.

C.4.3.1 Claims Information and Forms Website

1. The Contractor shall develop and maintain an internet website for potential claimants to access, download, and file petitions and supporting documentation.

As such, the Contractor shall create, develop, and host a Section 508 compliant website that provides claims and case information to actual and potential claimants, which includes forms for filing a petition. This website shall be maintained, and as necessary, updated regularly ensuring the information, data, and forms are accurate and up-to-date. The website shall, at a minimum, provide the following information and documents:

• Overview and status (for both the case and the claims process)

• Web links to the DOJ’s case-specific URL (as applicable)

• Responses to frequently asked questions (developed and delivered by the Government in each task order)

• Downloadable petitions or applications and instructions for submission

• Relevant notifications and details for potential petitioners and claimants

• Class member or claimant rights

• Contact information

2. For all web-based features, the system shall be compatible with and have complete functionality using the latest version of the industry standard browsers and two previous versions (e.g., Chrome and Edge) and also be compatible with mobile devices. See Section H.17 for Data Security requirements, Section H.18 for Security of Systems and Data and Personally Identifiable Data requirements, and Section H.19 for Additional Contract Specific Security and Data Requirements. The Contractor shall notify the Government if any security certifications or standards change.

3. The Contractor is not required to accept online claims filing at this time.

Although automated data collection is not a current requirement, DOJ may choose to move towards this approach in the future and requirements for online filing will be outlined in the task order.

C.4.3.2 Interactive Voice Response (IVR) System

1. The Contractor shall provide and maintain a toll-free IVR service for claimants seeking information on the status of the claims distribution. This toll-free system shall be available 24 hours per day, seven days per week, 365 days per year. This system shall be regularly updated to ensure the case information and status is up-to-date and claimants are provided with accurate information. The volume of calls will be dependent upon the size and specifics of each case. IVR services shall include DOJ “approved/scripted” responses to:

• Requests for information

• Frequently asked questions (FAQs) (developed and delivered by the

Government in each task order)

• Claimant registration

• Claim form fulfillment

• Claim status

2. If requested per the task order, the Contractor shall also provide the ability for callers to opt out of the IVR and interact with a live operator for a Government-determined period of time, up to 24-hours per day. With each task order, the Government will provide applicable frequently asked questions to be used by the live operator. The Government considers the recording of incoming calls for quality control desirable but not mandatory.

3. Occasionally, DOJ staff receives claims-related calls which, in turn, may be directed to the Contractor for official processing. The Contractor shall notify the COR or other DOJ case-specific contact to whom these calls will be routed.

4. In special cases, the task order may request the Contractor to set up the IVR but reroute calls to the DOJ for official response. The anticipated volume and duration of such rerouting will be specified in the task order.

5. Additionally, in some special cases, the DOJ will establish an internal hotline to answer questions on a specific claims matter, which may include a claims case already assigned to a Contractor. Some of these special cases include active ongoing participation in a case, active collection of consumer contact data, or active status updates about a claims case not yet assigned to a Contractor. These calls may also be directed to the Contractor for processing if applicable and as stated within the task order.

6. If applicable, and if specified in the task order, DOJ will provide a decision tree to the Contractor to identify how calls shall be routed and issues escalated.

C.4.3.3 E-mail and Mail As requested, the Contractor shall create an e-mail address and mailing address for potential claimants and victims to obtain additional information or ask questions. The Contractor shall ensure the security of the e-mail account and mailbox to prevent disclosure of confidential or personal information, and shall monitor both regularly to ensure a response to all inquiries within one (1) work day of their receipt.

C.4.4 Task #3 – Claims Processing and Eligibility Determination

The Contractor shall establish and finalize a claimant list. This task may include one or more of the following items.

C.4.4.1 Contractor’s Receipt of Initial Claims Data

1. The COR will provide the Contractor all existing claimant information in the DOJ’s possession. The COR shall be the sole source of the initial existing claimant information and the Contractor shall not accept initial existing claimant information from any other internal or external source. All changes to claimant data are subject to approval or audit by the DOJ. Upon request by the COR, the Contractor will contact brokerage and clearing firms to obtain names and addresses of customers who may not be identified in the materials provided by the

COR.

2. All electronic claimant data shall be encrypted before transmission between the DOJ and the Contractor. Hard copy claimant data will be transmitted by the COR to the Contractor via overnight delivery and will be insured and tracked by the delivery company. The DOJ will incur shipping costs of transporting case-specific material.

C.4.4.2 Data Reconciliation

1. The Contractor shall use the initial existing claimant data to establish a preliminary list of potential claimants for each assigned case. The Contractor shall prepare and submit notification letters, claims forms, and other case-related information for claimants to the COR for approval. The notification letter shall set forth a summary of the case and state the availability of the claims fund and the requirements necessary for participation in the claims plan, as determined by the COR. The COR shall approve the content and format of the notification letters, claims forms, any additional documentation or information to be mailed with the notification, and the list of recipients. Upon approval, the Contractor shall mail the letters, forms, and information to potential claimants and victims.

As needed, and depending on the format and extent of the initial claimant information provided by the COR, the Contractor shall revise the claimant list for mailing. The tasks required may include data entry, conversion of existing electronic data, or the use of electronic data without any conversion. The Contractor shall also eliminate duplicate entries or claims so that the eligible recipients receive only one notification and reimbursement amount from the claims fund.

2. As requested, the Contractor shall obtain corrected names, mailing addresses, and email addresses using the U.S. Postal Service (USPS), Internet, and other directory searches. As requested, the Contractor shall perform additional specialized searches. The Contractor shall provide the COR with a list of any updated addresses and contract information obtained throughout the claims administration process.

C.4.4.3 Initial Correspondence/Verification of Claim Data

1. The Contractor shall develop an initial notification to potential claimants. The notification shall be developed using legally correct, but easily understood, language and shall include any required information specified in the task order.

2. The Contractor shall analyze all claims forms submitted by potential claimants, assess the sufficiency of supporting documentation, and develop and maintain a list of potential claimants who appear to meet all requirements for participation in the claims distribution. The Contractor shall also calculate the net pecuniary loss incurred by the victim in accordance with the remission regulations and/or the applicable Distribution Plan. When required, the Contractor shall also calculate the actual projected dollar amount each claimant is to receive from the claims fund. The method of calculation of victim loss may vary according to the case and will be established in each task order.

3. As appropriate, the Contractor shall re-mail claims forms to potential claimants whose correspondence was returned with an address correction/notification. In addition, the Contractor shall contact potential claimants who appear to qualify for participation in the claims fund but whose documentation is lacking in some respect, and request they supply corrected documentation within a timeframe specified by the COR.

4. The Contractor shall prepare and provide to the COR a list of persons whose claim forms are deficient. The Contractor may be instructed to notify the potential claimants in writing that their claim is deficient and afford the claimant a reasonable opportunity to cure the deficiency. The COR shall approve the form and content of the deficiency notice.

5. Upon completion of the claims analysis and verification procedures, the Contractor shall prepare and provide to the COR a proposed claims distribution list containing contact information along with the verified pecuniary loss amount of each qualified claimant. The Contractor shall also prepare and provide to the COR a proposed list of any persons who have filed a petition against the claim fund but who the Contractor proposes will not receive a distribution. The Contractor shall provide specific reason or reasons for the proposed denial of a claim. At the time of delivery of the lists of recommended grants and denials to the COR, the Contractor shall prepare and submit an affidavit summarizing the procedures followed in processing and evaluation the claims.

C.4.4.4 Treasury Offset Program As directed by the Government, the Contractor shall coordinate with the COR to ensure the Government is provided with the applicable claimant name and SSN or TIN data to verify outstanding liens and debts. Each task order will include the specific data that must be captured to allow the Government to implement the Treasury Offset program as applicable to each case. The Government believes that this information is a by-product of processing claims and will not allow additional costs for providing this information.

C.4.4.5 Claim Finalization

1. The COR will review the proposed claims distribution list and, if found acceptable, will provide written approval for the Contractor to proceed with the distribution. If necessary, the Contractor shall revise and update the claims distribution list as directed by the COR. If the amount of the available forfeited funds is less than the total amount of losses incurred by the claimants, each claimant will receive a pro-rated share of the net forfeiture proceeds. The Contractor shall generate pro-rata allocations for all claims to reflect the specific distribution amount for each eligible claimant and shall provide this data to the COR. The Contractor shall ensure that the eligible recipients receive only their entitled portion of the claims funds.

2. If requested, the Contractor shall also notify all persons filing a petition who are not selected to receive a distribution. The process for requesting reconsideration of a remission decision will be described in the task order.

3. The Contractor shall prepare and maintain listings of the following, where applicable or as specified in each task order:

(a) Potential claimants who inform the Contractor in writing of their desire not to participate in the claims fund distribution.

(b) Potential claimants whose notification letters remain undeliverable even after attempts to obtain corrected name and address information.

(c) Potential claimants who do not respond to the notification letter within the time period specified for filing claims.

(d) Duplicate entries and claims not eligible to participate in the claims fund.

(e) Potential claimants whose claims forms remain insufficient.

(f) Number of valid claims submitted.

(g) Total number of claims submitted (and the method by which they were received).

(h) Number of calls received from claimants and response times .

(i) Number of unique visits to the claim website.

(j) Number of address changes submitted and updated.

C.4.5 Task #4 – Distribution of Funds After Government approval of the claims distribution list, the Contractor shall distribute funds in the claims account to qualified claimants. The Contractor shall be solely responsible for the accuracy of each distribution (based on the COR-approved lists).

Prior written approval by the COR is required before the Contractor can proceed with any distribution, and the Contractor will be held accountable for correcting errors at the Contractor’s own expense.

C.4.5.1 Preparation and Distribution of Claims Payments

1. As specified by the COR, the Contractor shall provide checks, bank drafts, purchase cards, debit cards, coupons, or any other financial distribution instrument, including electronic fund transfers, using available commercial means and as appropriate to the claims fund distribution requirements. At a minimum, the instrument shall contain the case name, expiration date, claimant name, or any other condition which must be complied with to receive money from the claims fund. Checks shall be issued with a stale date of 90 calendar days.

2. The Contractor shall prepare and distribute claims funds and include any accompanying email, cover letter, brochures, or other documents as requested by the COR up to the USPS “one ounce” rate charge for first class mail. Any additional postage expense (including the cost of international postage, if required), will be paid at cost (without mark-up).

3. The Contractor shall make additional rounds of distributions to claimants as required to exhaust claims funds if a significant amount of funds are unclaimed from the first distribution . In addition, the COR may request subsequent distributions of uncashed checks and/or returned checks. Subsequent distribution shall follow the pricing schedule set forth in the original distribution.

C.4.5.2 Tax Forms In limited situations which require claimants to receive a tax form necessary for tax preparation, the Contractor shall mail the appropriate IRS form (e.g., IRS Form 1099) and a cover letter to the claimants within 30 calendar days of expiration of the claims fund check. When directed by the COR, the Contractor shall provide claimants’ social security numbers and/or taxpayer identification numbers to the appropriate federal disbursing officials in accordance with 31 USC §3716, the Debt Collection Improvement Act of 1996.

C.4.6 Task #5 – Associated Services

1. The Contractor may be requested to provide associated services to include, but not be limited to: asset management, liquidation, storage, and audit. Use of this task will be based on the court or administrative order approving that the asset be used in whole or in part to fund a claims distribution and/or consumer education program. All requests for this task will be pre-approved in writing by the COR.

2. Testimony When requested by the CO or COR, the Contractor shall provide written or oral testimony regarding claims processing actions performed by the Contractor.

C.4.7 Task #6 – Final Accounting

C.4.7.1 Preparation of Affidavit

Upon completion of all activities required to administer and disburse the claims fund money, the Contractor shall prepare and provide to the COR an affidavit containing an accounting for all claims funds, including principal, additions to principal, expenses, distributions to claimants and/or for authorized consumer education, the amount of the residual funds remaining in the claims account to disburse, and any other information requested by the COR, in order to close all bank accounts for the particular case. The COR will review and approve in writing (if found acceptable) this affidavit and use it to file any required final report with the court or administrative body ordering the claims distribution. If the affidavit is found unacceptable by the COR or court or administrative body, the Contractor shall make the appropriate corrections and resubmit it to the COR.

C.4.7.2 Preparation of Closing Package Within 30 calendar days of direction from the COR to close the case, the Contractor shall prepare and forward a closing package to the COR for approval.

This closing package shall include an affidavit, final accounting, and final invoice detailing the work performed under the task order. Upon obtaining the COR’s written approval, the Contractor shall disburse the remaining funds to either the DOJ Forfeiture Fund or the Treasury Forfeiture Fund and close the bank account(s). The Contractor shall provide all final closing documents to the COR.

C.5 Performance and Quality The Contractor shall perform to the standards specified in this SOW as follows:

C.5.1 Performance Standards

The Contractor shall ensure that all work meets the specifications defined in the Performance Requirements Summary (PRS) provided in Attachment (4) and as described herein. The Contractor’s Project Manager (or alternate) shall personally contact the CO or COR within two working hours of events or occurrences within the scope of this SOW that negatively affect satisfactory performance of this SOW including any instructions about the performance of work that is not communicated through the CO or COR. In addition, the Contractor shall follow up with a detailed written report within two (2) work days of the discovery of the events or occurrence.

C.5.2 Quality Control Program

1. The Contractor shall be responsible for the quality of products and services provided under this SOW. The Contractor shall develop and implement a proactive Quality Control Program to include procedures that the Contractor will use to ensure that the services/products being provided are meeting the internal controls for, quality, quantity, timeliness, responsiveness, customer satisfaction, and other requirements of the SOW.

2. The Contractor shall re-perform work that does not meet Contract requirements, unless otherwise directed by the CO. Re-performance of work shall not constitute an excusable cause to miss any timeliness standards or deadlines.

The Contractor shall absorb the cost of any required rework, and such rework shall not be charged back to the Government.

3. The Contractor shall maintain its Quality Control Plan (QCP) which was submitted as part of its Technical Proposal. Any subsequently proposed changes to the QCP shall be submitted to the CO and COR for review and approval before implementation of these changes occurs.

C.5.3 Quality Assurance

C.5.3.1 Inspections by the Government

1. The COR will inspect the Contractor’s compliance with Contract terms and conditions throughout the performance periods. Evaluation will be based on the Contractor’s compliance with the requirements set forth in the PRS (Attachment (4)).

2. The Contractor shall participate in Government quality assurance by providing data and information as requested.

C.5.3.2 Contract Discrepancy Reports The Government will record oversight inspections and issue a Contract Discrepancy Report when the Contractor’s performance is unsatisfactory as defined by the PRS. The Contractor shall reply in writing to the COR within ten

(10) work days from the date the Contract Discrepancy Report was received, giving the reasons for the unsatisfactory performance, corrective action(s) taken, and procedures to preclude recurrence.

C.5.3.3 Performance Evaluation Meetings

1. The Contractor’s Project Manager (or alternate) shall meet with the COR and other applicable Government personnel to review Contract performance on a monthly basis. These meetings may be conducted via conference call or in person. Performance evaluation meeting topics shall include, but are not limited to, review and analyses of key performance indicators, analyses of process or internal control deficiencies, problem discussion and resolution, reinforcement of quality and timely performance of Contract requirements, accountability reporting, and invoicing issues. At these meetings, the Government and the Contractor will discuss the Contractor’s performance as viewed by the Government and any problems being experienced. The Contractor shall take appropriate actions to resolve outstanding issues.

2. The Contractor shall take minutes during performance evaluation meetings which highlight the topics of discussion and shall provide an electronic copy to the COR within five (5) work days of the meeting. The COR reserves the right to approve the minutes.

C.6 Contractor-Furnished Property and Services

C.6.1 General The Contractor shall furnish all facilities, property, equipment, materials, and services necessary to perform this contract that are not specifically identified as Government-furnished in Section H.35 or elsewhere in this SOW. Such property includes, but is not limited to, furnishings, supplies, tools, vehicles, office automation equipment (to include computers and peripherals), and telecommunication instruments. The Government will not take responsibility for any Contractor-Furnished Property.

C.6.2 Claims Information Website As required in Section C.4.3.1.

C.6.3 Claims Tracking System

1. The Contractor shall operate and maintain a Government-approved system for tracking claims. This system shall be used to track, at a minimum, the following:

• Case Identifier

• Unique Claim Identifier

• Date Claim was Opened

• Current Status of Claim

• Date Claim was Closed

• Specific Claim Information

2. The proposed system shall be used to record and report all aspects of claim processing and shall provide all information necessary to meet the requirements outlined in Section C.4.4 for claims processing and eligibility determination and the requirements outlined in Section C.5 for performance and quality. The system shall be capable of generating an export file in Microsoft Excel. Finally, the system shall meet the data and system security requirements detailed in the clauses at Section H.17 and H.18.

3. The Contractor shall ensure continuity of services during system unavailability. The Contractor shall input manually processed transactions upon availability of the system.

C.6.4 Interactive Voice Response (IVR) System As required in Section C.4.3.2.

C.6.5 Contractor-Furnished Equipment The Contractor shall furnish equipment necessary to perform the requirements of this contract. Equipment condition shall not relieve the Contractor of any responsibility to provide services as required in this contract. Equipment acquired by the Contractor, at Contractor cost, shall remain the property of the Contractor at the expiration or termination of this Contract, or as otherwise specified in the Contract. Any allowable costs associated with Contractor-Furnished Equipment shall be included in the appropriate Contract Line Item Numbers (CLINs).

C.6.6 Contractor-Furnished Supplies and Materials The Contractor shall furnish all supplies and materials necessary to meet the requirements of the Contract. This shall include supplies and materials required to accept and process claimant information and to ensure safe and secure storage of all personal and sensitive information. Any failure on the part of the Contractor to provide sufficient quantities and quality of supplies and materials shall not be cause for reduction in any service or performance.

C.6.7 Contractor-Furnished Facilities The Contractor shall provide sufficient secured work space to meet the workload and performance standards in this contract.

C.7 Records and Document Management The Contractor shall maintain records as described herein.

C.7.1 Access to Records Upon request of the COR, the Contractor shall provide to the CO, COR, or any other designated Government representative, access to the records required to be maintained under this contract. As necessary, such access shall be at the Contractor’s work site or by delivery of the requested materials to the COR or other designated Government representative. Such access shall include the right to examine and copy documents as deemed necessary by the COR. When feasible, the Contractor should consider Web-hosted COR access to records.

C.7.2 Recordkeeping

1. The Contractor shall maintain and store, in an indexed and readily retrievable form, the following records and documentation for a period of one year following the transfer of residual funds to the DOJ or the closing of the account from which the funds were disbursed, whichever is earlier:

• All records relating to bank or financial accounts used for claims funds. Such records include, but are not limited to, hard copies of all checks, correspondence, memoranda, signature cards, documents showing deposits to and withdrawals from the claims fund, and monthly bank reconciliation reports.

• Copies of all records relating to insurance policies or bonds, and the costs thereof, secured to guarantee the claims fund and the integrity of all persons dealing with the claims fund. Such records include, but are not limited to, correspondence, invoices, and memoranda.

• All records detailing the expenses incurred in maintaining and distributing the claims fund. Such records include, but are not limited to, invoices, mailing costs, search costs, and all other documents used to obtain reimbursement from the claims fund by the Contractor.

• All reports prepared at the COR’s request, including reports concerning any matter related to fund disbursement, administration, or the Contractor’s performance of the requirements of this SOW.

2. After the one-year retention period expires, the Contractor shall forward the records described above to the COR.

C.8 Deliverables

C.8.1 Weekly Status Reports

1. The Contractor shall submit a weekly written status report to the COR. The weekly status report shall be brief, factual, broken down by open task order, and shall include, but not be limited to, the following:

• The status of all ongoing work pertaining to specific tasks listed in the

SOW.

• Quantitative data for each task order, including the total number of claims received, duplicate, mailed, delivered, returned (i.e., non-deliverable), processed, evaluated, denied, and granted.

• Number of unique visits to the website.

• Number of call handled from claimants.

• An estimate of the percent complete for each task.

• A brief description of the work performed during the reporting period just ended.

• Work to be performed during the next reporting period.

• Any problems encountered with corrective action proposed or taken and a statement about the potential impact of the problem.

• Any Government action requested.

2. The weekly status report shall be submitted on or before the fifth work day after the end of the month. A sample monthly status report is provided in Attachment (5).

C.8.2 Distribution Plan The Contractor shall revise its Distribution Plan, delivered as part of its proposal, upon…