Solicitation_for_Premium_Operation_Services_FBO_Posting.pdf

RFQ IFB RFP

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

1. REQUISITION NUMBER PAGE OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

LOCAL TIME

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODEFACILITY

CODE

CODE

TELEPHONE NO.

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

29. AWARD OF CONTRACT: REF.

DATED . YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

OFFER

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

17a CONTRACTOR/

OFFEROR.

CODE

8 (A)

SIZE STANDARD:

NAICS:

% FOR:SET ASIDE:UNRESTRICTED OR

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

10. THIS ACQUISITION IS

EDWOSB

SMALL BUSINESS PROGRAM

RQ-22-20-000018

16PBGC20R0005

Debra Trott trott.debra@pbgc.gov 202-326-4000 x 6396

9:00 AM ET

PD

PENSION BENEFIT GUARANTY CORP

PROCUREMENT DEPARTMENT

1200 K ST NW

WASHINGTON DC 20005-4026 541219

WSD

SEE SCHEDULE

DC

see continuation page for line item details.

See Schedule

NOV 21, 2019

Please

STANDARD FORM 1449 (REV. 2/2012) BACK

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

40. PAID BY

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELPHONE NUMBER OF AUTHORZED GOVERNMENT REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

PARTIAL FINAL

37. CHECK NUMBER

38. S/R ACCOUNT NO. 39. S/R VOUCHER NUMBER

36. PAYMENT

COMPLETE PARTIAL FINAL

16PBGC20R0005

SCHEDULE Continued

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

The Contractor(s) shall provide the personnel and services necessary to perform the effort described in Section C, PERFORMANCE WORK STATEMENT (PWS) resulting from this Request for Proposal.

0001 Solicitation of Premium Operations Support Services

PR NUMBER: RQ-22-20-000018

Period of Performance: 02/15/2020 to 02/14/2021

1.00 EA

PAGE 3 OF 182 16PBGC20R0005

Table of Contents

SECTION B SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 Supplies or Services and Cost

SECTION C DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C.1 Performance Work Statement

SECTION H SPECIAL CONTRACT REQUIREMENTS

H.1 Special Contract Requirements

SECTION I CONTRACT CLAUSES

I.1 52.202-1 DEFINITIONS (NOV 2013)

I.2 52.222-54 EMPLOYMENT ELIGIBILITY VERIFICATION (OCT 2015)

I.3 52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL BUSINESS SUBCONTRACTORS (DEC 2013)

I.4 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (OCT 2018)

I.5 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (OCT 2018)

I.6 52.212-4 I CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (OCT 2018)--ALTERNATE I (JAN 2017).69

I.7 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--

COMMERCIAL ITEMS (OCT 2019)

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

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

I.10 52.232-18 AVAILABILITY OF FUNDS (APR 1984)

I.11 52.233-2 SERVICE OF PROTEST (SEP 2006)

I.12 52.233-3 PROTEST AFTER AWARD (AUG 1996)

I.13 52.242-15 STOP-WORK ORDER (AUG 1989)

I.14 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

I.15 PBGC 52.201-7000 CONTRACTING OFFICER'S REPRESENTATIVE (JAN 2012)

I.16 PBGC 52.204-7000 RECORDS MANAGEMENT (SEP 2017)

I.17 PBGC 52.209-7001 ORGANIZATIONAL CONFLICTS OF INTEREST (AUG 2017)

I.18 PBGC 52.209-7002 HANDLING PBGC DATA (MAY 2017)

I.19 PBGC 52.212-1Instructions to Offerors -- Commercial Items (DEVIATION 18-01) (MAR 2018)

I.20 PBGC 52.215-7004 QUESTIONS CONCERNING THE SOLICITATION (OCT 2004)

I.21 PBGC 52.216-7003 CEILING PRICE (FEB 2013)

I.22 PBGC 52.231-7000 OTHER DIRECT COSTS (MAY 2012)

I.23 PBGC 52.232-7000 SUBMISSION OF INVOICES (FIXED-PRICE) (SEPT 2017)

I.24 PBGC 52.237-7000 KEY PERSONNEL (APR 2018)

I.25 PBGC 52.237-7002 FITNESS DETERMINATION (APR 2019)

I.26 PBGC 52.237-7004 TRAINING (MAR 2016)

I.27 PBGC 52.237-7005 INFORMATION SECURITY TRAINING (MAR 2016)

I.28 PBGC 52.237-7007 DISPLAY OF PBGC IDENTIFICATION BADGES (FEB 2013)

I.29 PBGC 52.237-7008 OBSERVANCE OF LEGAL HOLIDAYS (OCT 2018)

I.30 PBGC 52.242-7000 POSTAWARD CONFERENCE (MAR 2016)

I.31 PBGC 52.246-7000 INSPECTION AND ACCEPTANCE OF DELIVERABLES (JAN 2012)

I.32 PBGC 52.247-7000 PACKAGING AND MARKING (JAN 2012)

I.33 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (SEP 2006)

I.34 52.203-13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (OCT 2015)

I.35 52.204-10 REPORTING EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT AWARDS (OCT 2018)

I.36 52.204-14 SERVICE CONTRACT REPORTING REQUIREMENTS (OCT 2016)

I.37 52.209-6 PROTECTING THE GOVERNMENT`S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (OCT 2015)

I.38 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY MATTERS (OCT 2018) 95

I.39 52.219-28 POST-AWARD SMALL BUSINESS PROGRAM REPRESENTATION (OCT 2014)

PAGE 4 OF 182 16PBGC20R0005

Table of Contents

I.40 52.222-3 CONVICT LABOR (JUN 2003)

I.41 52.222-36 EQUAL OPPORTUNITY FOR WORKERS WITH DISABILITIES (JUL 2014)

I.42 52.222-35 EQUAL OPPORTUNITY FOR VETERANS. [OCT 2015]

I.43 52.222-37 EMPLOYMENT REPORTS ON VETERANS (FEB 2016)

I.44 52.222-26 EQUAL OPPORTUNITY (SEPT 2016)

I.45 52.222-21 PROHIBITION OF SEGREGATED FACILITIES (APR 2015)

I.46 52.222-40 NOTIFICATION OF EMPLOYEE RIGHTS UNDER THE NATIONAL LABOR RELATIONS ACT (DEC 2010). 95

I.47 52.222-50 COMBATING TRAFFICKING IN PERSONS (JAN 2019)

I.48 52.223-18 ENCOURAGING CONTRACTOR POLICIES TO BAN TEXT MESSAGING WHILE DRIVING (AUG 2011)

I.49 52.224-3 PRIVACY TRAINING (JAN 2017)

I.50 52.225-13 RESTRICTIONS ON CERTAIN FOREIGN PURCHASES (JUN 2008)

I.51 52.232-33 PAYMENT BY ELECTRONIC FUNDS TRANSFER--SYSTEM FOR AWARD MANAGEMENT (OCT 2018)

I.52 52.222-17 {52.222-17} NONDISPLACEMENT OF QUALIFIED WORKERS (MAY 2014)

SECTION J LIST OF ATTACHMENTS

J.1 Section J - Summary

J.2 Section J - Attachment A QASP Final Draft

J.3 Section J - Attachment B Deliverables

J.4 Section J - Attachment C PremOps Acronyms

J.5 Section J - Attachment D Pricing Workbook

SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 Instructions to Offerors

SECTION M EVALUATION FACTORS FOR AWARD

M.1 Evaluation Factors

PAGE 5 OF 182 16PBGC20R0005

SECTION B

SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 Supplies or Services and Cost

PAGE 6 OF 182 16PBGC20R0005

SECTION B –SERVICES AND PRICE

1. DESCRIPTION OF SERVICES

The Contractor(s) shall provide the personnel and services necessary to perform the effort described in Section C, PERFORMANCE WORK STATEMENT (PWS) resulting from this

Request for Proposal.

This contract is to provide the Pension Benefit Guaranty Corporation’s (PBGC's) Financial

Operations Department (FOD), Collection and Compliance Division (CCD), with professional services in support of its premium operations programs including technical, financial, accounting, and auditing support. These support services are required to enable PBGC to: 1) ensure an unqualified audit opinion is received for the Corporation’s annual financial statements; 2) maintain PBGC's premium enforcement and debt collection program activities; 3) to maintain critical accounting programs that include: i) financial reporting, ii) premium operations, iii) accounts receivable (AR), iv) accounts payable (AP), v) PBGC’s premium enforcement activities, and vi) debt collection programs, vii) to sustain the implementation, integration and maintenance of all current and new financial management and accounting systems, viii) and to provide quality customer service to premium payers and plan practitioners by providing prompt, accurate up to date and reliable premium information and account status.

2. PRICING SCHEDULE

The contractor shall perform services in accordance with Section C, Performance Work

Statement. The offeror must provide firm fixed price for CLINs listed below and described in the

Statement of Objectives.

Pricing Schedule:

Base Year:

ITEM SUPPLIES/SERVICES QTY UNIT TOTAL

AMOUNT

CLIN 0001 The Contractor shall perform services in accordance with the Work

Statement, Section 2.

12 MO $

Option Year One:

ITEM SUPPLIES/SERVICES QTY UNIT TOTAL

AMOUNT

CLIN 1001 The Contractor shall perform services in accordance with the Work

PAGE 7 OF 182 16PBGC20R0005

Option Year Two:

AMOUNT

CLIN 2001 The Contractor shall perform services in accordance with the Work

Option Year Three:

AMOUNT

CLIN 3001 The Contractor shall perform services in accordance with the Work

Option Year Four:

AMOUNT

CLIN 4001 The Contractor shall perform services in accordance with the Work

PAGE 8 OF 182 16PBGC20R0005

SECTION C

DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C.1 Performance Work Statement

PAGE 9 OF 182 16PBGC20R0005

SECTION C: PERFORMANCE WORK STATEMENT

C.1 PROJECT TITLE – PREMIUM OPERATIONS SUPPORT SERVICES

This contract is to provide the Pension Benefit Guaranty Corporation’s (PBGC's) Financial Operations

Department (FOD), Collection and Compliance Division (CCD), with professional services in support of its premium operations programs including technical, financial, accounting, and auditing support.

These support services are required to enable PBGC to: 1) ensure an unqualified audit opinion is received for the Corporation’s annual financial statements; 2) maintain PBGC's premium enforcement and debt collection program activities; 3) to maintain critical accounting programs that include: i) financial reporting, ii) premium operations, iii) accounts receivable (AR), iv) accounts payable (AP),

v) PBGC’s premium enforcement activities, and vi) debt collection programs, vii) to sustain the implementation, integration and maintenance of all current and new financial management and accounting systems, viii) and to provide quality customer service to premium payers and plan practitioners by providing prompt, accurate up to date and reliable premium information and account status.

C.2 BACKGROUND

C.2.1 The PBGC is a Government-owned corporation established under Title IV of the Employee

Retirement Income Security Act (ERISA) of 1974 to protect the retirement income of individuals and their beneficiaries who are covered under private sector defined benefit pension plans. PBGC insures basic benefits for approximately 27,000 such plans (customers) including about 1,400 multiemployer plans (MP). The PBGC protects the retirement benefits of about 44 million workers and retirees.

PBGC's revenue is derived from insurance premiums paid by insured pension plans, investment income, and recoveries from employers responsible for terminated underfunded defined benefit plans.

Premiums are based on a flat rate per participant and a variable rate (VR) for underfunded plans.

All defined benefit pension plans covered by Title IV of ERISA are subject to PBGC premium payment requirements. Plan Administrators (PA) calculate their premiums in accordance with PBGC instructions, file electronically, and pay premiums to PBGC by a specified due date. PBGC is required by statute to accrue interest on late past due premiums and assess penalties when premiums are unpaid or paid late.

Two types of plans are required to file PBGC Premiums: single-employer (SE) pension plans and multiemployer pension plans. In accordance with ERISA, the PBGC assesses a flat rate per participant per year for both single-employer and multiemployer plans. In addition, a single-employer plan may also pay a variable rate premium (VRP) if the present value of immediate and deferred vested benefits exceeds the plans assets.

All plans have mandated due dates for filing forms. The peak month for receiving filings is October.

It is mandatory for all post 2008 filings to be filed electronically through My Plan Administrator

Account (My PAA), PBGC’s online premium filing system which integrates e-filing data with the

PPS and PBGC's Image Processing System (IPS). My PAA also allows e-payment options for

PAGE 10 OF 182 16PBGC20R0005

Automatic Clearing House (ACH) and pay.gov allows for payment by internet checks PBGC may grant an exemption to the electronic filing requirement.

C.2.2 PBGC uses the PPS, a web-based real-time service request (SR) application designed to capture, maintain and house the data. PPS includes several jobs that run to process the data. The ERISA job within PPS processes all premium data, calculates the premium, interest and penalty revenue due from each pension plan; applies cash received against amounts due to the PBGC; and when appropriate the jobs automatically generate letters. (see Section J – Attachment A PPS System Interfaces). The

Service Request web-service provides the CCD a way to manage and improve day-to-day the premium filing process, approval processes and provide timely responses to customer inquiries and correspondence and provides management better insight regarding customer service performance.

PPS automatically creates service requests via numerous background jobs which process based on different data trigger points. The majority of these automated SRs are based on the processing of an incoming premium filing. Service requests such as refunds, credit balances (CB), disaster relief, failed claimed credits and envelope correction all occur at this point. PPS is subject to the processing and reporting rules in Title IV of the ERISA of 1974 and Pension Protection Act of 2006, which may be modified at any time through Congressional legislation. The policies and procedures followed by PPS

Operations and Premium Operations may be modified by changes in legislation, regulations, or PBGC policies and procedures.

C.2.3 The CCD administers programs for the receipt, accounting, collection, and internal review of receivables, including: PBGC insurance premiums, termination premium, interest and penalties, ERISA Section 4071 penalties, and Due and Unpaid Employer Contributions (DUEC's), and employer liability under ERISA Section 4062; and to review pension plan information to ensure full compliance with laws and regulations providing for payment of premiums.

C.2.4 The following chart displays volumes for each type of document as well as customer contact volume by the premium operations staff.

Table 1 - Documents and Volumes

Documents/Forms Annual

Volume

Peak Volume Peak Time Frame

Incoming

Comprehensive Premium

Filing (CPF)

27,000 5,000/13,000/2,00

Sept/October/April

Statement of Account

(SOA)

(Levels 00, 01, 02, 03)

5,500 2,600 October

Past Due Filing Notice

(PDFN)

(PD, 55, VP, PW, CL)

6,000 1,500 October

CPF Confirmation Letter

(AC, RM, NB, PB)

27,000 5,000/13,000/2,00

Sept/October/April

Normal Letter -

Outgoing

3,500 600 October

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(NFE & all other notices)

Refund 375 150/50 November/December

Request for

Reconsideration (RFR)

150 75 November/December

Phone Calls 9,800 1,000/2,300/1,000 Sept/Oct/Nov

Suspended Payments 500 300 September/October

Suspended Filings 2,000 1,200 September/October

Incoming

Correspondence

2,500 225/600 September/October

C.2.5 PPS Interfaces

PPS interfaces with several other systems that transfer data to PPS for processing.

C.2.5.1 Internal Interfaces

My Plan Administration Account (My PAA) - Online Premium Filing and payment submission.

• Two-way data transfer with PPS: My PAA receives filings from practitioners and transmits those filings to PPS for further processing. PPS transfers plan information to My PAA through a web-service.

• Primary data source of filings for PPS

• PPS transfers plan information to My PAA through web services

My PAA Interfaces:

PPS

Pay.gov

IPS

PBGC Consolidated Financial System (CFS) in the Oracle Financial System (OFS) – the financial system of record to produce PBGC financial statements.

• Data is sent from PPS

• PPS transfers refund information to CFS through a database link (in both directions)

Customer Correspondence System (CCS) – Provides ability to retrieve and process all types of pending letters in PPS, including all required flex field data, and submit the data to CCS for printing, mailing, and imaging.

Case Management System (CMS) - PBGC Case Management System supporting Standard

Termination and Compliance Division (STCD) – CMS enables processing of information related to

Coverage Determination, Plan Terminations, Trusteeships and Bankruptcy cases. Data is received by

PPS

• CMS transfers plan termination, trusteeship, bankruptcy, and coverage information to PPS through database links

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Corporate Data Management System (CDMS) – An automated warehouse that provides historical premium and filing information and plan termination information for reporting, research and analysis.

• PPS sends data

Image Processing System (IPS) - PBGC imaging system.

• Data is sent to and from PPS (in both directions)

• PPS prepares and transfers filing images to IPS through web services

• Images are retrieved by users using the IPS web application

• IPS automatically creates SRs within PPS based upon the Re-indexing process

C.2.5.2 External Interfaces

Pay.gov - Operated by the U.S. Department of the Treasury and is a web-based application that allows online payments to government agencies by electronic check, credit card or by debit from a checking or savings account.

EFAST2 - Form 5500 processing – 5500 details are provided form DOL for data matching purposes.

• Data is received by PPS

• Filings are sent from DOL through a FTP process

• PPS loads and reconciles 5500 data with Premium filings

Banking -

• Source systems for PPS

• Payment data is sent through a FTP process

• Daily download of the wire transfers

Treasury –

• Enables referral of pre-delinquent receivables to US Treasury for collection

• Enables referral of delinquent for uncollectable receivables to Treasury for further collection action.

C.3 GENERAL SCOPE

The scope of this effort includes services necessary to provide a full range of technical, financial and accounting support to administer the FOD/CCDs premium operations program for the receipt, accounting, collection, and internal review of receivables. The services provided will focus on CCD’s premium operations to ensure full compliance with laws and regulations providing for payment of premiums.

PAGE 13 OF 182 16PBGC20R0005

The services provided will encompass the requirements below to assure the continuation of a fully functional premium accounting system capable of generating financial information to provide auditable annual financial statements; prompt, accurate and reliable premium information; and up-to-date account balances and statuses. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the contractor who, in turn is responsible to the Government.

C.4 PREMIUM OPERATIONS SUPPORT SERVICES PERFORMANCE

REQUIREMENTS

The contractor shall provide professional services for the PBGC’s FOD/CCD’s premium operations program including technical, financial, and accounting support as directed by the Contracting Officer’s

Representative (COR) and in accordance with: 1) Attachment A – Quality Assurance Surveillance

Plan for performance standards, measurements, and government surveillance methods; and 2)

Attachment B - Deliverables Schedule for required deliverables and due dates. The contractor shall obtain assignments and receive approval for all work to be performed relating to the requirements outlined below.

Reports, report requirements, deliverables, and due dates are subject to change throughout the duration of the contract.

C.4.1 PREMIUM FILING PROCESSING

C.4.1.1 Scope

The premium accounting process begins when premium filing and payment data is received and transferred to PPS for processing, maintenance and housing from the My PAA application (PBGC’s online premium filing website). The data from My PAA is transferred to PPS through a web service, which stages the information as an XML format into the Data Loader program and is then parsed downstream. Once this occurs, the cash receipts module is automatically triggered using the core transactional processing jobs called ERISA and mini-ERISA. All documentation (i.e., checks, filings, correspondence) received for premium purposes are uploaded into the IPS.

These ERISA jobs process all premium data and calculates the premium, interest and penalty revenue due from each pension plan after applying incoming cash received against amounts due to the PBGC.

Business rule validations (i.e., calculates premium interest and penalty based on filing data, posts adjustments to revenue, calculates filing due dates, calculates safe harbor, moves overpayments when a credit carry forward is requested, recalculates plan year account balances when a transaction posts, confirms other plan year level validations, etc.) are also applied during the cash receipts process. If an incoming filing does not contain any relevant filing errors, PPS will automatically save the filing record to the database and post the associated filing information to the plan’s account history (AH) report. Section C.4.2 Suspense Processing explains the operational requirement for what occurs when a premium filing does not post automatically.

C.4.1.2 Performance Requirements

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The contractor shall:

C.4.1.2.1 Monitor system processing, including the interfaces.

C.4.1.2.2 Notify PBGC of problems/issues and either resolve the problem/issue, work with

PBGC to resolve the problem/issue, and/or open a problem ticket Reconcile incoming daily filing and payment batches.

C.4.1.2.3 Identify batch processing issues and/or mini-ERISA transaction processing issues, report the issue and open a problem ticket. Follow-up until the issue is resolved

(batches/transactions successfully load/post, etc.) or the ticket is closed.

C.4.1.2.4 Provide explanations, justifications, and recommendations.

C.4.1.2.5Run the PPS IPS Reconciliation and pull the Data Loader Report to view the IPS load column; ensure that images uploaded into IPS during system processing.

C.4.1.2.6 Manually roll the system date; provide notification when the date is rolled to the next month or if there are changes to the schedule.

C.4.1.2.7 As needed, manually initiate system processing (this rarely happens).

C.4.1.2.8 Provide a Contractor representative to attend the weekly combined PPS/MyPAA IPT meetings to provide up to date feedback on the status of relevant outstanding tickets.

C.4.2 SUSPENSE PROCESSING

C.4.2.1 Scope

During cash receipts processing, PPS performs business rule validations on the data received from the various system interfaces. If certain validation errors are triggered, corrections may be required prior to the posting of the filing or payment in question, therefore the will item suspend, and PPS will automatically open an Envelope SR. Suspense processing enables PPS users to review invalid filing or payment data in order to provide corrected data and submit the data for processing (post). This process may potentially impact the financial transactions and the customer profile. The information pertaining to the error detected is included as data in the service request (i.e., plan name, plan address, plan contact information, dollar amounts, and error codes, etc.). The cause of the error is analyzed for resolution, often by contacting the Plan Administrator or actuary. After analysis, a determination is made whether to correct and submit/post the transaction, delete the transaction, or contact the Plan

Administrator to complete an amended filing. If the transaction is submitted and passes the business rule validations at that point, it should successfully post. Both the original and altered versions of the filing data are saved to history.

Envelope Correction SRs are associated with a Notice of Filing Error (NFE), which are currently configured to automatically stage as described in Section C.4.1 Premium Filing Processing. However, the functionality exists giving users the ability to decide whether to stage NFEs from the service request. It has been years since this functionality has been utilized, but it does exist. The NFE letter informs the plan their filing contained an error and includes instructions for correcting the invalid information. In addition, performing services required in the other premium operations processes may require the manual creation of service requests and cause the item to suspend. These other service requests are processed through the corrections processing process.

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Envelope Correction SR: The purpose of the Envelope Correction SR is to ensure the PBGC accurately identifies the plan in question and inconsistent data is not posted to a plan’s account.

Envelope Correction SRs could result in deleting a filing, rollbacks, contacting the Plan

Administrator/Practitioner or other departments to obtain additional information or verify information, account analysis and validation, or creating other service requests to correct plan year commencement

(PYC) balances or general account information. For example, the creation of a manual letter service request or a Transaction Rollback SR (see Section C.4.2 Suspense Processing).

Account Review SR – The Account Review SR is a multipurpose service request that is used when there is no other service request for the purpose.

Identify, for review, Comprehensive Premium Filings (CPFs) that report a reduction in the market value of assets when the reduction is not because of other modifications in the filing, such as, an amended filing before the due date; if the filing reports a change in the VRP small employer cap; if the filing reports an estimate in the funding target on the original filing; and if VRP information is not reported. These filings are identified through the Suspense Process when Envelope SRs are reviewed, and via query.

An Account Review SR is required if there is a reduction in the market value of assets because of one of the reasons listed above. The errors identified in the Envelope SR that are not the result of other modifications (as listed above) require correction before an Account Review SR is opened. Once the corrections from the Envelope SR are resolved, the reason for the reduction in market value is reviewed and a determination is made whether to open an Account Review SR. A reduction in the market value of assets could result in an overpayment of premium. The service request is updated with the supporting documentation and clarifying notes then assigned to CCD staff for review to determine if the filing will be accepted. Account Review SRs are tracked in a spreadsheet that is approved by CCD. Depending on the determination (approval or denial), PBGC may or may not mail a letter to the plan.

C.4.2.2 Contractor Performance Requirements

C.4.2.2.1 Identify suspense inventory and assign to PremOps Contractor staff within 24 business hours after the SR is opened (this includes failed filings and payments).

C.4.2.2.2 Analyze and validate the errors that are triggered; determine if the transaction should be corrected, posted or deleted.

C.4.2.2.3 Make the required corrections to the Envelope SR.

C.4.2.2.4 Continually monitor service request inventory.

C.4.2.2.5 Provide an Envelope Aging SR report.

C.4.2.2.6 Open, process and close other SRs as needed; and link the other SRs associated with the Suspense SR to the Suspense SR.

C.4.2.2.7 During suspense processing, identify CPFs that report a reduction in the market value of assets

C.4.2.2.7.1 Make the required corrections to the Envelope SR

C.4.2.2.7.2 Contact the Plan Administrator/Practitioner for clarifying information

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C.4.2.2.7.3 Notify CCD staff that a credit balance review is required

C.4.2.2.7.4 Prepare and submit reports or run reports required and requested by PBGC.

C.4.2.2.8 Identify electronic payments and post them to the account.

C.4.2.2.9 Notify plans when they fail to provide correct payment information.

C.4.2.2.10 Contact customers and answer customer inquiries and questions; follow-up with customers and record the communication.

C.4.2.2.11 Communicate with customers (plan practitioners, other departments within PBGC, other divisions within FOD, and CCD Fed Staff, etc.) to obtain additional information, to clarify information and/or obtain approval to perform account balance or plan information updates; record the communication.

C.4.2.2.12 Provide explanations, justifications, and recommendations.

C.4.2.2.13 Compile supporting documentation.

C.4.2.2.14 Notify PBGC of problems/issues and either resolve the problem/issue, work with

PBGC to resolve the problem/issue, and/or open a problem ticket.

C.4.2.2.15 Provide a Contractor representative to attend the weekly combined PPS/MyPAA

IPT meetings to provide up to date feedback on the status of relevant outstanding tickets

C.4.2.2.16 Prepare and submit reports or run reports required and requested by PBGC.

C.4.3 CORRESPONDENCE PROCESSING AND DOCUMENT RE-INDEXING

C.4.3.1 Scope

Premium data is received through multiple interfaces and sources including filings and payments submitted through My PAA; premium payment checks and correspondence mailed to the PBGC’s bank financial or correspondence lockbox; correspondence mailed directly to PBGC headquarters;

correspondence received via email or fax; payments received through Pay.gov; payments made in the form of wire transfers or ACH through Pay.gov, and eFast and information received via the Case

Management System (CMS) (see Section J – Attachment A PPS System Interfaces).

PBGC receives correspondence at the PBGC lockbox; electronically via email or fax; by written correspondence sent directly to PBGC offices (via United States Postal Service (USPS), Federal

Express (FedEx), etc.); and the My PAA "Submit a Request" Quick Link. All documentation (i.e., checks, filings, correspondence) received for premium purposes are uploaded into the IPS. When correspondence is received by PBGC an image of the correspondence is captured and transferred electronically to PPS and automatically uploaded to the IPS. When communication is received via email or fax, or by written correspondence sent directly to PBGC offices, the images are manually uploaded into IPS. The PPS/IPS interface enables the retrieval of the information from PPS into IPS.

The process includes uploading images to IPS and opening service requests for actionable document types. This process allows an easier way to track, monitor, and close service requests for specific correspondence deemed as actionable. IPS is the official record for premium documents used to house premium related images, received by PBGC, of premium filings, checks and plan related correspondence sent from PPS , and is used as a research tool to validate account balances and to assist with customer inquiries, as well as other reasons.

All items loaded into the IPS are automatically assigned a Universal Identification number (UID).

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The first 2 characters of the UID indicate how the document was received and uploaded into IPS. If the UID begins with:

• CR – the item was received at one of PBGC’s lockboxes and automatically uploaded to IPS.

• IM – the item was manually imported (uploaded) into IPS,

• SR – the item was uploaded through a My PAA “Submit a Request” Quick Link and automatically transferred to IPS.

• LG – a letter was generated and mailed to the plan.

The last 2 digits of the CR and SR UID’s indicate the document type (i.e., check, Comprehensive

Premium Filing (CPF), correspondence, etc.).

Document types are assigned based on the data received in the file that is uploaded. Document types may be actionable document types or non-actionable document types. All correspondence uploaded into IPS, whether it is uploaded manually or automatically, are automatically assigned a non-actionable document type of 99 – Correspondence or 10 – Financial Correspondence. Actionable items must be identified and re-indexed for immediate resolution. Document types 10 and 99 are queried, read to identify actionable items, those items are then re-indexed appropriately with an actionable document type, and if during research, a document identified that is not correctly indexed, re-index those items to the appropriate document type. When a request for reconsideration (RFR) or refund quest is submitted through the My PAA Submit a Request link, the image is transferred to the

IPS and automatically assigned the appropriate actionable document type. When an item is indexed as a specific “actionable” document type, PPS automatically identifies the items through data validation and automatically creates a service request. A significant volume of correspondence to the bank lockbox (i.e., cover letters, copies of check stubs, etc.) is not actionable. The IPS is used as a research tool to analyze and validate PYC balances and general plan information, and for other reasons, therefore it is important for items to be properly indexed.

C.4.3.2 Performance Requirements

C.4.3.2.1 Query the IPS for document types 10 and 99, read the correspondence to identify actionable items, and re-index actionable items to the appropriate document type.

C.4.3.2.2 Contact customers and answer customer inquiries and questions; follow-up with customers and record the communication.

C.4.3.2.3 Communicate with customers (plan practitioners, other departments within PBGC, other divisions within FOD, and CCD Fed Staff, etc.) to obtain additional information, to clarify information and/or obtain approval to perform account balance or plan information updates; record the communication.

C.4.3.2.4 Provide explanations, justifications, and recommendations.

C.4.3.2.5 Compile supporting documentation.

C.4.3.2.6 Notify PBGC of problems/issues and either resolve the problem/issue, work with

PBGC to resolve the problem/issue, and/or open a problem ticket.

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C.4.3.2.7 Provide a PremOps Contractor representative to attend the weekly combined

PPS/MyPAA IPT meetings to provide up to date feedback on the status of relevant outstanding tickets

C.4.3.2.8 Prepare and submit reports or run reports required and requested by PBGC.

C.4.4 LETTER GENERATION

C.4.4.1 Scope

PPS has three types of outgoing letter categories (Statement of Account (SOA), Past Due Filing Notice

(PDFN), NORMAL letter), and numerous individual letter templates, which are involved in different areas of the operational premium filing process.

SOA/CPF letters: Automatically staged based on predetermined logic that occurs during the SOA/CPF staging job. Includes SOA letters (late premium payments) and numerous other confirmation letters triggered based on filing receipt.

PDFN letters: Automatically staged based on predetermined logic that occurs during the PDFN staging job. Includes PDFNs (late premium filing) and numerous other letters associated with filing compliance.

Normal letters: Automatically triggered via the filing validation process in cash receipts, or manually triggered based on user service request input. Includes NFEs, and all other service request-based determination or notice letters (refunds, penalty RFRs, etc.).

The SOA/CPF and PDFN staging jobs are configured to automatically run once daily (staging the specified notice types). Once the letter records are created and staged in the database, the automated version of all three groups of letter generation (SOA/PDFN/NORMAL) is also configured to pick up once daily. The actual Letter Generation job picks up the staged letters and transfers them to the

Customer Communication System (CCS) application, which captures specific letter data, provides a callback status to PPS and finally packages the letter requests for mailing via fulfillment center. Any failed letters are communicated via this callback status, which will require action from the operations contractor.

While both the staging jobs and the actual Letter Generation pieces are automated, any of those processes can also be manually generated at any point, on a case by case basis.

Letters may also be manually staged for mailing on demand (outside of the automated staging jobs described above) via the manual letter service request based on user need. In addition, certain service requests require users to generate (stage) "normal" letters within the Gen Letter tab of the service request. Once this occurs, the automated Letter Generation job will still automatically process such letters as described above.

Daily, PPS generates exception emails for letters that failed to print and images that failed to upload to IPS.

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C.4.4.2 Performance Requirements

C.4.4.2.1 Track the overall processing and mailing of the letters from actual letter generation within PPS to the mailing of the letter by the GPO Fulfillment Center via the Letter Generation

Tracking Report.

C.4.4.2.2 Identify failed letters (the letter processed but was not mailed) and open a problem ticket.

C.4.4.2.4 Confirm the letters were actually mailed by the Government Printing Office (GPO)

Fulfillment Center. If not actually mailed, follow up with the GPO Fulfillment Center to determine why and perform the necessary actions to correct the issue).

C.4.4.2.5 Ensure that images of letters that failed were not uploaded to PPS (this very rarely happens). If they were, assist CCD staff with resolving the issue (i.e., removing the image from

IPS).

C.4.4.2.6 Contact customers and answer customer inquiries and questions; follow-up with customers and record the communication.

C.4.4.2.7 Communicate with customers (plan practitioners, other departments within PBGC, other divisions within FOD, and CCD Fed Staff, etc.) to obtain additional information, to clarify information and/or obtain approval to perform account balance or plan information updates; record the communication.

C.4.4.2.8 Provide explanations, justifications, and recommendations.

C.4.4.2.9 Compile supporting documentation.

C.4.4.2.10 Notify PBGC of problems/issues and either resolve the problem/issue, work with

PBGC to resolve the problem/issue, and/or open a problem ticket.

C.4.4.2.11 Provide a PremOps Contractor representative to attend the weekly combined

PPS/MyPAA IPT meetings to provide up to date feedback on the status of relevant outstanding

C.4.4.2.12 Prepare and submit reports or run reports required and requested by PBGC.

C.4.5 SERVICE REQUEST (SR) TRANSACTIONS

C.4.5.1 Scope

Service requests allow CCD to facilitate capturing premium information and maintaining, storing and sharing the information, and allows CCD to track and manage workload and interactions with customers. Service requests may be automatically opened by PPS. For example, if PPS identifies a refund request or a request for reconsideration (RFR) PPS will automatically create a Refund SR or

Penalty RFR SR. Service requests may also be manually opened by a user. Specific types of service requests will close automatically upon approval and others require manual closure. The service request provides comprehensive details of the current status of an action by allowing PPS users the ability to: correct premium filing data which affects PYC balances and general plan information, upload and save attachments viewable by all users, link images from IPS to the service request, document transaction status using mandatory status transitions and optional notes, record a Problem

Code and Resolution Code to the service request, view transaction details from the service request

Zoom form, view plan contact details, and create links to related service requests. Specific types of

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service requests require the entry of data into a Zoom form. The Zoom form provides details of the transaction (i.e., dollar amounts). Not all service requests require data entry into the Zoom form.

Service requests are designed to handle a specific action. More than one service request may be required to resolve an issue and close the service request(s). Service requests require a specific time frame in which to be completed. Completion includes, but is not limited to, analysis and validation of account balances, communicating with the plan (including documenting the communication);

compiling the supporting documentation to justify the approval or denial of the action and clarify information, attaching the documentation to the service request, processing corrections to the account balances or plan information, and taking other actions as necessary. Service requests that require approval follow a pre-defined workflow based on an approval hierarchy. When a service request is opened or changes status a workflow notification is generated to notify users there is an action required. Service requests begin in the contractor’s group which is referred to as the “Analyst” or

“Auto Analyst” group in the service request.

C.4.5.2 Performance Requirements

C.4.5.2.1 Identify workload and assign SRs for processing to the PremOps Contractor

C.4.5.2.2 Assign SRs to Fed Staff for final processing.

C.4.5.2.3 If the SR is not assigned timely to the Fed Staff, provide a justification to explain why.

C.4.5.2.4 Continually monitor PremOps Contractor outstanding SR inventory to ensure SRs are assigned for processing and to ensure they are processed timely.

C.4.5.2.5 Follow-up on aging SRs.

C.4.5.2.6 Open and update SRs as needed.

C.4.5.2.7 Provide an explanation and justification for the action being taken.

C.4.5.2.8 Choose Problem Codes and Resolution Codes.

C.4.5.2.9 If SRs that the PremOps Contractor is responsible for are not closed timely, provide a justification.

C.4.5.2.10 Perform corrections as necessary to account balances and general plan information;

follow-up to ensure transactions processed as expected (i.e. Post Mark dates change to the correct date, a filing posts to the correct plan and plan year, etc.).

C.4.5.2.11Analyze and validate the service request information; make corrections as necessary

(this may require creating other SRs, i.e., correction type SRs, etc.); link related SRs.

C.4.5.2.12 If at any point the SR is rejected or denied, take the appropriate action to ensure the

SR is closed timely.

C.4.5.2.13 Enter data into the different SR forms (i.e., plan information, zoom parameters, resolution codes, etc.).

C.4.5.2.14 If the contractor is working on one SR (i.e., Penalty RFR SR) and creates other SRs in relation to the SR being worked, for example to correct information or because they make contact with the plan (i.e., Rollback SR or Communication SR) ensure all SRs are closed so the initial SR shall be closed timely, if not, provide a technically accurate and clearly stated justification why the initial SR was not closed timely; and link the other SRs to the initial SR.

C.4.5.2.15 Perform follow-up corrections to the account as requested by Fed Staff (Fed staff is not authorized to make corrections to the account or general plan information in PPS).

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C.4.5.2.16 Contact customers and answer customer inquiries and questions; follow-up with customers and record the communication.

C.4.5.2.17 Communicate with customers (plan practitioners, other departments within PBGC, other divisions within FOD, and CCD Fed Staff, etc.) to obtain additional information, to clarify information and/or obtain approval to perform account balance or plan information updates; record the communication.

C.4.5.2.18 Provide explanations, justifications, and recommendations.

C.4.5.2.19 Compile supporting documentation.

C.4.5.2.20 Notify PBGC of problems/issues and either resolve the problem/issue, work with

PBGC to resolve the problem/issue, and/or open a problem ticket.

C.4.5.2.21 Provide a PremOps Contractor representative to attend the weekly combined

PPS/MyPAA IPT meetings to provide up to date feedback on the status of relevant outstanding

C.4.5.2.22 Prepare and submit reports or run reports required and requested by PBGC.

C.4.6 ACCOUNT ANALYSIS AND VALIDATION AND SUPPORTING

DOCUMENTATION

C.4.6.1 Scope

Account analysis and validation is performed to ensure that data is properly posted to the plan’s account, the balances for those accounts is accurate, and other plan data is accurate. Supporting documentation is compiled during account analysis and validation, and notes are included on the account history and/or in the SR(s). Supporting documentation and notes are used to aid in the clarification and justification of the data posted to the account and to justify the actions being taken.

Generally, the documentation is the same for the different processes, although there will be differences depending on the circumstances, the process and action being taken. Documentation is included as needed and required. Documentation is attached to the service request, and, at CCD request, a physical package may be required. Typically, a physical package is required if an approval at the FOD Director or Chief Financial Officer (CFO) level is required. Examples of processes that require packages are write‐offs, refunds and requests for reconsideration.

There are several types of "Stop" SRs, including the Stop Customer Communication SR (at the plan level), and the Stop SOA/PDFN SR (plan or PYC level). Multiple stops are allowed for the same

Employee Identification Number (EIN)/Plan Number (PN) PYC. The Stop Customer Communication

SR and Stop SOA/PDFN SR is removed (service request closed) when the issue is resolved.:

Stop Customer Communication (SCC) SRs – Stop Customer Communication SRs are manually opened to prevent the generation and mailing of letters to a plan at the plan level while PYC balances and account information are under review. When this type of service request is opened a Stop

Customer Communication flag is placed on the plan so that letters for this plan are excluded from processing. SCC SRs do not require approval.

Stop SOA/PDFN SR - The Stop SOA/PDFN SRs are opened to prevent the generation and mailing of letters to a plan at the PYC level.

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Account Review SR – The Account Review SR is a multipurpose service request that is used when there is no other service request for the purpose.

When the contractor requires an action by CCD staff (i.e., the contractor has a question regarding an issue raised by a Plan Administrator/Practitioner), an Account Review SR is opened and assigned appropriately.

C.4.6.2 Performance Requirements

The Contractor shall:

C.4.6.2.1 Perform account analysis of account balances and general plan information to validate the plan filing data and general plan information and compare that data to information posted to the plan’s account history and plan information in TCA.

C.4.6.2.2 Include clarifying notes on the account history in each plan year when applicable for the plan year.

C.4.6.2.3 When required, submit physical packages.

C.4.6.2.4 Perform corrections to invalid account balances and general plan information; follow up to ensure the transaction(s) posted correctly and that general plan information updated correctly; provide justification for the action.

C.4.6.2.5 Perform follow-up corrections to the account as requested by Fed Staff (Fed staff is not authorized to make corrections to the account or general plan information in PPS).

C.4.6.2.6 Open and update service requests as needed (i.e., Account Review SRs, correction type SRs, etc.), validate service request information, link service requests when appropriate, attach supporting documentation to the service request.

C.4.6.2.7 When a credit balance review is required in order for the PremOps Contractor to complete another SR, make a request to Fed Staff to expedite a credit balance review; follow-up on the request.

C.4.6.2.8 Open an Account Review SR and assign it to Fed Staff when the PremOps Contractor needs to obtain approval or clarification from Fed Staff; follow-up on the request.

C.4.6.2.9 Routinely run queries for account analysis and validation (i.e., S query, AR Balance query, Good PPS Check query, Plan Name query (1&2), Sponsor Name query, System Query

Finder, History query (All Plan status), Mailed & Pending Plan Notice query, Who Did It query, EIN/PN Change query; and PPS account history).

C.4.6.2.10 Apply and remove Stop SRs.

C.4.6.2.11 Confirm there are no unposted filings and cash in suspense, and if so process them.

C.4.6.2.12 During research, if an item in the IPS…