ATTACHMENT C -Risk Management FINAL PWS 2026 09 18.pdf

U.S. SMALL BUSINESS ADMINISTRATION

OFFICE OF CAPITAL ACCESS

OFFICE OF CREDIT RISK MANAGEMENT

RISK MANAGEMENT, FINANCIAL ANALYSIS, AND ADMINISTRATIVE SUPPORT SERVICES

PERFORMANCE WORK STATEMENT (PWS)

1. Purpose

This Performance Work Statement (PWS) describes the non-personal services required by the U.S. Small Business Administration (SBA). The services required under this PWS are non-personal services, as defined by the Federal Acquisition Regulation (FAR).

This PWS sets forth the requirements for Risk Management, Financial Analysis, and Administrative Support Services for the Office of Capital Access (OCA), Office of Credit Risk Management (OCRM).

Task Orders issued under this PWS will be placed against the single-award indefinite-delivery, indefinite-quantity (IDIQ) contract. All services will be obtained through the issuance of labor-hour (LH) Task Orders.

The required services of this PWS shall be provided in accordance with the requirements specified in the IDIQ contract incorporated in Appendix A – Position Description and any issued Task Orders. The Contractor shall not begin performance prior to the issuance of a Task Order.

2. Background

The U.S. Small Business Administration (SBA) was created in 1953 as an independent agency of the federal government to aid, counsel, assist, and protect the interests of small business concerns, to preserve free competitive enterprise, and to maintain and strengthen the overall economy of our nation. The SBA's mission is to help Americans start, build, and grow businesses.

The mission of the Office of Capital Access (OCA) is to help make capital available through banks and other lending partners (SBA Lenders). One of the financial vehicles used by OCA in making capital available is the guarantee of individual loans originated by participating SBA Lenders under the 7(a) Loan Program. Loan guarantees are provided when the SBA Lender can substantiate that SBA Loan Program Requirements have been met.

To remain a viable program, Lender activities are monitored by the Office of Credit Risk Management (OCRM), a department within OCA. OCRM is tasked with various oversight activities including, but not limited to, conducting risk-based reviews.

These oversight activities are led by OCRM staff. However, to accomplish its goals, OCRM utilizes contractors for support activities.

3. Scope

The Contractor shall provide personnel with the ability to augment the SBA's workforce and support OCRM at its Headquarters office in Washington, D.C. Personnel provided shall support OCRM's activities, to include:

● Collection, inspection, and analysis for delegated authority renewals, nominations, add-ons, and re-delegations

● Documented analysis of quarterly condition reports and annual reports for SBA Supervised 7(a) Lenders

● Desktop Reviews and other diagnostic activities to assess 7(a) Lender risk

● Assistance in the preparation of information for provision to internal and external stakeholders

● Assistance with 7(a) loan transfers

● Assistance with invoice resolution

● Maintenance of protocols and generation of deliverables to identify SBA Lenders that are, or should be, subject to increased supervision and/or enforcement actions

● Assistance with ad hoc efforts to mitigate risk and ensure 7(a) Loan Program integrity

4. Contract Type and Structure

Contract Vehicle

This procurement is for a single-award indefinite delivery, indefinite quantity (IDIQ) contract to obtain non-personal services.

The contract is for a base year and four option years. Task Orders will be issued on a labor-hours (LH) basis using the Contractor’s fully loaded labor-hour rates, applicable labor categories, and required level of effort.

The Government anticipates procuring this service as a competitive set-aside restricted to responsible Small Business Administration (SBA)-certified Women-Owned Small Businesses (WOSBs) participating in the WOSB Federal Contract Program, under an appropriate North American Industry Classification System (NAICS) code authorized for WOSB set-asides in accordance with 13 CFR 127 and FAR Subpart 19.15. This requirement is classified under NAICS code 541611, Administrative Management and General Management Consulting Services, for purposes of small business and WOSB eligibility. Offerors must be currently certified as WOSBs by SBA (or an SBA-approved third-party certifier recognized under the WOSB Federal Contract Program) and eligible in the SBA WOSB certification system at the time of proposal submission and at time of award.

In accordance with FAR 16.602, a labor-hour contract is a variation of the time-and-materials contract, differing only in that materials are not supplied by the Contractor. The Contracting Officer has executed a determination and findings (D&F) pursuant to FAR 16.601(d) that no other contract type is suitable. Each Task Order shall include a ceiling price that the Contractor exceeds at its own risk, as required by FAR 16.601(d)(2).

4.1 Ordering Procedures

● When a Task Order is issued to the Contractor, Contractor shall confirm the terms of the Task Order within 10 working days and sign the Task Order provided by GSA.

● If any clarifications or corrections are required to a Task Order, Contractor shall provide the clarifications/corrections within five working days

● Each Task Order will be issued on a labor-hours basis with a ceiling price that serves as a not-to-exceed amount, based on Contractor’s fully loaded labor-hour rates and required labor categories. Payment shall be made in accordance with FAR 52.232-7, Payments under Time-and-Materials and Labor-Hour Contracts

● A Task Order is binding when signed by both parties, using a GSA 300 Orders for Supplies and Services

● Only an GSA Contracting Officer (CO) can issue, negotiate, and obligate Task Orders

● No agreements by the Government to place future orders are stated or implied

● Terms and conditions will be stated in each Task Order. The basic IDIQ contract also contains terms and conditions.

In the event of conflict, the terms and conditions of the Task Order will have priority

● Each Task Order will have the relevant Department of Labor Wage Determination for the locations where work is to be performed both attached and incorporated

The Contractor is not obligated to accept orders below the contract minimum order amount or above the contract maximum order limitation stated in the contract.

4.2 Maximum and Minimum Task Order and Contract Amounts

The minimum amount for a Task Order is $5,000.00. The maximum amount for a Task Order is $1.5 million. Task Orders may be proposed that are for less than the minimum or more than the maximum, and the Contractor may choose (but is not required) to accept them.

For all Task Orders placed pursuant to this IDIQ Contract, the maximum total amount that will be ordered for the entire period of performance (base year and any exercised option years) is estimated to be $9.5 million.

5. Overall Performance Requirements

The Contractor shall provide staffing augmentation in support of risk management, financial analysis, special project management and support, and other key functions supporting the Office of Credit Risk Management. The Contractor's services shall focus on achieving the following performance outcomes:

5.1 Required Outcomes

• Contractor employees occupying each position shall demonstrate proficiency in written English (grammar, punctuation, and formatting) and shall be familiar with financial concepts and principles applicable to SBA 7(a) delegated lender authority nominations, renewals, and related processing

• The Contractor shall perform the administrative research necessary, to include but not be limited to, collecting all required information and certification from the SBA Lender and internal partners, such as the District Office, to assist the SBA in determining eligibility and qualification for the specific status being sought

• Contractor shall complete risk-based reviews, including Desktop Reviews, utilizing the Lender Portal, SBA’s Capital Access Financial System, and other resources that may be provided to perform data and diagnostic analysis in the generation of work papers and a finished report detailing the results of the analysis

• Contractor shall perform documented analysis of quarterly condition reports and annual reports for SBA Supervised 7(a) Lenders, identifying trends, risks, and areas of concern to support OCRM’s ongoing monitoring and oversight activities

• Contractor shall assist in the preparation of information for provision to internal and external stakeholders, including the compilation, formatting, and quality review of data, reports, and correspondence as directed by OCRM

• Contractor shall assist with 7(a) loan transfers, including the collection, review, and processing of transfer documentation and coordination with relevant parties to ensure timely and accurate completion

• Contractor shall assist with invoice resolution

• Contractor shall maintain protocols and generate deliverables to identify SBA Lenders that are, or should be, subject to increased supervision and/or enforcement actions, including tracking, documenting, and reporting findings in accordance with OCRM procedures

• Contractor shall assist with ad hoc efforts to mitigate risk and ensure 7(a) Loan Program integrity, including special projects, data analysis, and other tasks as directed by OCRM to address emerging risks or program concerns

• Contractor shall provide on-site supervision of its employees in accordance with Section 7.2

Position descriptions associated with these outcomes are provided in Appendix A.

6. Required Personnel Labor Categories

Contractor shall have access to the following listed labor categories which are more fully described in Attachment A. Since work is to be performed in SBA's listed offices, Contractor shall have access to workers within these labor categories who can perform the work in physical areas listed in this Performance Work Statement (PWS). The labor categories are as follows:

● On-Site Supervisor

● Administrative Assistant

● Financial Analyst

● Program Analyst I, II, and III

Contractor agrees that, for the benefit of the Government and center workload needs, the Government may elect not to backfill immediately when a contractor employee leaves Contractor for any reason during a Task Order period of performance (POP).

In the event of the Contractor providing fewer positions than originally stated in the Task Order, the parties will bilaterally modify the Task Order to reduce the corresponding price accordingly.

7. Key Personnel Requirements

7.1 Project Manager

The Contractor shall provide a Project Manager who shall be responsible for all Contractor work performed under this PWS.

The Project Manager is a Key Personnel position subject to replacement approval by the CO in accordance with the contract’s Key Personnel clause.

The contractor shall not bill SBA directly for the time and services of the Project Manager. The services of the Project Manager shall be considered a management function of the Contractor and shall be absorbed in the overall cost of general and administrative expenses. It is expressly understood that the Project Manager costs are part of the fully loaded labor rates for the designated labor categories and shall not be separately charged to the SBA.

The Project Manager shall have demonstrated experience managing multiple concurrent Task Orders involving risk management, financial analysis, or administrative support services, including contract administration and customer relations.

Contractor's Project Manager shall ensure that the requirements of this contract are fully met.

The Project Manager shall be a single point of contact for the Contracting Officer (CO) and the Contracting Officer's Representative (COR). It is anticipated that the Project Manager shall be one of the senior level employees provided by the Contractor for this work effort. During any absence of the Project Manager, one Government-authorized alternate shall have full authority to act for the Contractor on matters relating to work performed under the contract. The Project Manager and all designated alternates shall be able to read, write, speak, and understand English.

The Project Manager shall be available to the CO and COR via telephone between the hours of 0800 and 1700 EST/EDT, Monday through Friday, and shall respond to a request for discussion or resolution of technical problems within 24 hours of notification.

Minimum Qualifications:

● Bachelor's degree or a minimum of 10 years of relevant experience managing contracts of similar scope and complexity across multiple locations

● Experience with successful contractor personnel transition planning and execution for three or more contractor employees

Preferred Qualifications:

● Knowledge of OCRM's risk management protocols; knowledge of SBA Loan Program Requirements for the 7(a) Loan Program; and knowledge of risk management policies, procedures, and systems.

7.2 On-Site Supervisor

Contractor shall designate an On-Site Supervisor for each SBA site on which the Contractor has placed three or more Contractor employees. The On-Site Supervisor serves as a full-time on-site supervisor who shall also hold one of the positions described in the PWS as a labor category. The On-Site Supervisor responsibilities shall be a collateral duty of individuals encumbering one of the positions.

The Contractor may bill for the On-Site Supervisor only to the extent such hours are included in an awarded labor category and authorized under the applicable Task Order.

The On-Site Supervisor shall serve as the primary point of contact with the Contractor's Project Manager and the SBA's COR for the specific SBA office to which the supervisor is assigned.

The Government's intended construct is as follows. (a) The On-Site Supervisor is a separately priced, separately billable labor category (CLIN 0001/1001/2001/3001/4001) and is one of the eight positions reflected in Section B.6. The individual filling it is a working, full-time on-site employee who performs substantive labor-category work for OCRM and performs the supervisory duties in PWS Section 7.2 and Appendix A as a collateral duty. All hours for that individual are billed under the On-Site Supervisor CLIN at the awarded On-Site Supervisor rate; that individual shall not also be counted or billed under another CLIN, so there is no double counting. (b) The Project Manager is a separate, non-billable management function whose cost is absorbed in the fully loaded rates in accordance with PWS Section 7.1 and is not one of the eight positions in Section B.6.

(c) Because more than three contractor employees will be placed at SBA Headquarters, the Project Manager is not required to serve as the On-Site Supervisor; consistent with Appendix A, the Project Manager serves as On-Site Supervisor only where fewer than three contractor employees are placed at an SBA site. The sentence in PWS Section 7.2 stating "The Project Manager shall serve as the On-Site Supervisor" will be revised by amendment to align with Appendix A. The same individual may serve in both roles at the offeror's option, but in that case only the On-Site Supervisor labor-category hours are billable and Project Manager duties remain non-billable.

All work under this requirement is performed at SBA Headquarters, 409 3rd Street SW, Washington, DC 20416. The Government does not anticipate performance at any other location, and accordingly a single On-Site Supervisor is required.

Section F.2 permits a different location only if specified in an individual Task Order; none is anticipated.

Responsibilities:

• Responsible for the supervision of the Contractor's personnel for the specific SBA office to which they are assigned

• Bringing Contractor employees into compliance with SBA Suitability Office requirements for employment

• Reviewing all paperwork and certifying the accuracy and 100 percent completion of the Security Package

• Certification of Contractor employee's timecards and all other attendance records

• Timely delivery of attendance, hours worked, and other payroll information to the Contractor's headquarters for invoice processing

• Tracking of leave requests and approvals

• In conjunction with the Contractor management, resolve time/wage/benefit disputes with on-site Contractor employees

• Resolve all Contractor employee disciplinary actions, including termination of employment, if required

• Reporting disciplinary actions to the Contractor's Project Manager and the SBA's CO and COR

• Maintaining all other Contractor employee records for required training and other matters that may be required by SBA specific to their respective work locations

• Working closely with the Contract Project Manager and the SBA's CO and COR to resolve all Contractor/SBA problems that may arise at their respective work location

Minimum Qualifications:

• Bachelor's degree or a minimum of 10 years of relevant experience managing contracts of similar scope and complexity Experience with successful contractor personnel transition planning and execution with three or more contractor employees

Preferred Qualifications:

● Knowledge of OCRM's risk management protocols; knowledge of SBA Loan Program Requirements for the 7(a) Loan Program; and knowledge of risk management policies, procedures, and systems.

8. General Personnel Requirements

8.1 Training

The Contractor shall furnish fully trained employees throughout the life of this contract. Additional on-site training may be necessary for Contractor employees to perform certain SBA tasks. The SBA, at its expense, shall provide training for Contractor employees who perform tasks unique to the SBA/OCRM.

8.2 Language

All Contractor employees shall be able to read, write, speak, and have a business-level understanding of the English language sufficient to perform their required tasks accurately. In order to support SBA’s language access and civil rights obligations and to facilitate accurate handling of Spanish-language documentation from SBA lenders or borrowers, the Contractor shall ensure that at least one employee assigned under this contract has sufficient Spanish-language proficiency to read, write, speak, and understand business-level Spanish, when such tasks are required.

Note: It is not a dedicated position and is not tied to a specific labor category; it may be satisfied by any qualified assigned team member in any labor category. The Government expects the capability to be available at the start of performance and to be maintained throughout

8.3 Health Requirements

Contractor Personnel who are placed in positions requiring the lifting of files, boxes of files, boxes of copy paper, supplies, and other bulky items (often weighing in excess of twenty-five pounds) shall be physically able to perform these functions, with or without reasonable accommodation in accordance with the Americans with Disabilities Act (ADA), as amended.

8.4 Personal Appearance

All personnel working under this Contract shall maintain a neat, well-groomed appearance and be dressed in a manner that is appropriate for the function being performed. Apparel must be in accordance with the local requirements of the SBA office site where the Contractor personnel are assigned for work.

8.5 Standards of Conduct

The Contractor shall not assign any individual whose employment would create an actual or apparent conflict of interest unless the Contractor has disclosed the matter to the CO in writing and the CO has provided written direction.

8.6 Bonding and Insurance

All Contractor personnel working on this contract shall be bonded and insured in accordance with usual practices at the location where the individual contract employee is working. Specifically, Contractor shall carry workers' compensation insurance on each of its employees performing work pursuant to this contract.

9. Performance Period and Location

9.1 Period of Performance

The contract period of performance shall be for a base year, with the availability of four option years. Actual dates may vary depending on completion of required acquisition processes.

For specific Task Orders issued under this contract, the period of performance shall be stated in each individual Task Order.

9.2 Locations of Performance

Contractor shall be able to provide staffing for the listed labor categories (Attachment A) in SBA offices in Washington, DC.

9.3 Hours of Operation

Contractor personnel shall perform the requested services between 0630 and 1800 EST/EDT, Monday through Friday.

Contractor personnel shall work eight-hour days and a forty-hour workweek. Alternative Work Schedules, flextime, or other scheduling benefits provided to Government employees do not apply to Contractor personnel. The Government will identify required coverage hours and operational priorities, and the Contractor shall schedule its personnel to meet those requirements while maintaining contractor supervision consistent with the non-personal services nature of the contract. Work time lost by Contractor personnel may not be recovered unless authorized under the applicable Task Order.

Contractor personnel shall maintain weekly time sheets that are reviewed and approved by the Contractor's On-Site Supervisor. The Government may verify hours worked for contract administration and invoice review purposes. A copy of the approved Contractor personnel summary time sheet shall be provided to the CO or COR with the related invoice support.

Contractor personnel shall not work at SBA on Federal holidays or when the office is officially closed during unscheduled closings, such as hazardous weather conditions or SBA administrative leave, unless otherwise authorized. The Government will provide Contractor personnel with official SBA policy concerning office closure due to inclement weather or other conditions. The Contractor shall not be paid for time not worked unless payment is otherwise authorized under the contract.

9.4 Contact Hours and Recognized Federal Holidays

The Contractor understands that the ceiling price in each Task Order is a not-to-exceed amount based on fully loaded labor-hour rates and level of effort. The Government shall be responsible only for paying the Contractor for direct labor hours performed and accepted under the applicable Task Order at the fully loaded labor-hour rate for the applicable labor category.

The Government will not be liable for hours not scheduled in advance when Contractor employees cannot work, such as early dismissal of Federal employees and any special time-off given to Federal employees for any reason.

Contractor employees shall not work any day or any time the Government office is closed for any reason. Contractor employees shall not work on Federal Government Holidays, including the following:

• New Year's Day

• Martin Luther King Jr.'s Birthday

• Washington's Birthday

• Memorial Day

• Juneteenth National Independence Day

• Independence Day

• Labor Day

• Columbus Day

• Veterans Day

• Thanksgiving Day

• Christmas Day

9.5 Overtime and Additional Hours

Additional hours worked beyond the normal forty hours within the same workweek are considered overtime. Overtime is not a normal practice under this contract. Contractor personnel shall not perform overtime unless authorized in advance in writing by the CO, or by COR who is delegated such authority in writing by the CO.

Any authorized overtime shall be billed and paid in accordance with the contract's pricing terms and applicable labor-hour rates.

10. Specific Tasks to be Performed

The Contractor shall perform the following tasks in accordance with the performance standards established in Section 12 of this PWS:

Task One: Each Task Order will state the Labor Categories and number of hours to be worked during the performance period of the Task Order. The Task Order will also state the ceiling price, based on the Contractor's fully loaded labor-hour rate. The ceiling price will be a not-to-exceed amount, based on actual contract hours of Contractor’s employees. Payment shall be computed by multiplying the appropriate hourly rates by the number of direct labor hours performed, in accordance with FAR 52.232-7.

Task Orders will be issued solely on a labor-hours basis, consistent with Section 4.1.

Task Two: For each Task Order, the Contractor shall submit accurate and complete invoices in accordance with Contract instructions and no more often than monthly.

Task Three: Twice-monthly reports shall be submitted to the COR in accordance with this PWS.

Task Four: Monthly Status Reports shall be submitted to the COR in accordance with this PWS.

Task Five: Monthly Burn Rate Reports shall be submitted to the COR in accordance with this PWS.

Task Six: Contractor shall submit required security documents and information to the COR for its employees and in accordance with this PWS.

Task Seven: Throughout the life of this Contract, Contractor shall provide a Project Manager who fulfills Contract duties as stated herein.

Task Eight: Contractor shall provide supervision for its employees as required in this PWS.

Task Nine: Contractor shall provide performance metrics, as defined in the PWS or Task Order PWS, in a timely and complete fashion.

11. Deliverables and Reporting Requirements

11.1 Contract Employee Report

The Contractor shall provide a twice-monthly report of Contractor employees assigned to the SBA’s Office of Credit Risk Management. The report should be provided electronically to the SBA COR on the 1st and 16th day of each month. At a minimum, the report shall contain all additions and deletions of employees by name, position description, date of employment/termination, SBA office assigned and wage rate category.

11.2 Monthly Invoices

The contractor shall invoice no more often than once per month. Each invoice shall be submitted in accordance with the invoice instructions identified in the contract or applicable Task Order. At a minimum, each invoice shall include the employee’s name, position description, wage rate, number of hours worked, total amount billed per employee, and total amount billed.

Each invoice shall also include the contract number, Task Order number, and associated requisition number for the Task Order.

11.3 Monthly Status Report

The Contractor shall provide a monthly status report summarizing activities completed, activities delayed, problem areas determined, and problems resolved. The report should provide a general summary of the Contractor's work for the month.

The report shall be submitted to the SBA COR within 15 calendar days following the last day of the month reported.

The monthly status report shall include:

• A clear and complete account of the work performed on each task

• Notification of any changes in key personnel associated with the contract

• Projected schedule of the work to be accomplished during the next reporting period and until contract completion

• Description of the approach taken, progress in achieving contract objectives, and estimate of percentage of technical work completed

• Description of any problems encountered or anticipated that will affect the completion of the contract within the time and fiscal constraints set forth in the contract, together with recommended solutions, or a statement that no problems were encountered

• Summary of any problems or concerns requiring U.S. Government guidance or assistance

11.4 Monthly Burn Rate Report

The Contractor shall provide a monthly burn rate report summarizing the remaining funds for all active Task Orders. At a minimum, the report shall identify each active Task Order, its corresponding requisition number, period of performance, funded amount, billed amount to date, remaining balance, current burn rate, projected hours remaining, and any projected funding shortfall or surplus at the end of the performance period. The report shall also include a comments section that details any activity for each Task Order that might affect the burn rate or overall funds remaining. The report shall be submitted to the SBA COR within 10 calendar days following the last day of the month reported.

11.5 Performance Metrics

The contractor shall collect metrics data as outlined and, in the format provided by SBA's Office of Credit Risk Management.

SBA will collect data related to actions completed by contract personnel (input, output, and in process). Metrics requests may change during the duration of the contract. SBA will provide these changes in data requests 30 days prior to collection. Any major changes in performance metrics shall be stated in the relevant Task Order.

12. Performance Standards and Quality Assurance

12.1 Performance Standards for All Task Orders

Performance Standard Acceptable Quality Level (AQL) Method of Monitoring

Contractor conforms to Contract and Task Order PWS, and to the attached Quality Assurance Surveillance Plan (QASP)

Acceptable quality levels are stated in the attached

QASP

Direct SBA contact through the SBA COR assigned to this contract and through SBA personnel in the workplaces

Contractor performance will be monitored in accordance with the attached QASP (Appendix B). Any Government remedies for nonconforming performance shall be exercised in accordance with the contract and applicable law.

12.2 Quality Assurance Plan

The Contractor shall develop, implement, and execute a detailed Quality Assurance Plan (QAP) that provides for inspection of all services and deliverables to verify conformance to acceptability standards specified in the Task Order. The Contractor shall submit a draft QAP with its proposal and shall submit an initial post-award QAP to the COR via email no later than seven calendar days after the post-award conference.

The QAP is a living document and shall be revised by the Contractor as conditions change. The QAP shall include the techniques to be employed for producing and validating services and deliverables conforming to the acceptable quality standards in the contract, and a description of the quality control mechanisms that will be used to ensure the Government receives quality services. Nothing in this section authorizes the COR to change the contract scope, price, terms, or schedule.

Within 30 calendar days after contract award, the Contractor shall provide a final QAP incorporating any Government comments and providing for complete quality control for all reports, letters, and agreements to be issued. The QAP shall include a defined process and personnel identification by title. The QAP shall also include a Communication Plan to ensure effective communication between SBA Personnel and Contract staff, to ensure the objectives of the contract are being met.

The QAP shall address the following concerns:

Development and Implementation of:

• Procedures to identify and bring to the attention of SBA any potential conflicts of interest that exist as a result of providing risk oversight services

• Information control policy that includes confidentiality requirements

Confidentiality Obligations:

The Contractor is obligated by the terms of its contract (including any corresponding confidentiality agreement) to:

1. Safeguard the Confidential Information as set forth in this Agreement

2. Return, or certify to the SBA the destruction of, all copies of the Confidential Information at the conclusion of its engagement with the SBA

3. Not use the Confidential Information for any purpose other than in connection with its engagement with the SBA

4. Not disclose the Confidential Information outside of the Contractor without the prior written approval of the SBA

13. Transition in plan The transition plan is a comprehensive document that outlines the specific steps, timelines, and dependencies involved in the transition process. It is designed to ensure a smooth and efficient transition from the current state to the desired future state. To achieve this, the plan breaks down the entire process allowing for focused implementation and resource allocation.

Throughout the plan, careful consideration is given to potential bottlenecks that may arise and appropriate contingencies are devised to minimize downtime and disruptions.

Deliverables: The Contractor must provide a transition in plan to Contracting Officer and COR. This plan must address the Contractor’s plan for minimizing impact such that continuity of services will be maintained without disruption. The Contractor must describe how it will achieve full staff support levels within 15 days of award of the IDIQ via electronically. A transition-in plan may be identified at the Task Order level.

14. Transition out Plan

In accordance with FAR clause 52.237-3, the Contractor recognizes that the services under this agreement/order are vital to the Government and must be continued without interruption, and that, upon agreement/order expiration, a successor may continue the effort. The Contractor agrees to furnish transition-in-training, and to exercise its best efforts and cooperation to affect an orderly and efficient transition to a successor.

The plan must address but not limited to:

1) The Contractor’s plan for minimizing impact such that continuity of services will be maintained without disruption,

2) The return, delivery, or destruction of SBA proprietary and non-proprietary data and other non-licensed data first created for this Agreement and the respective Task Orders and Government furnished equipment,

3) The delivery of all documentation created under the Agreement and respective Task Orders, including the delivery of all reports and performance metric, and

4) How the Contractor will transition work to a successor, if necessary.

The Contractor must negotiate in good faith a plan with a successor to determine the nature and extent of phase-in and phase-out services required. The plan must cover all facets of the Contractor’s requirements under the expired

Agreement/task orders, including the identification and utilization of all system software, code, data, procedures, policies, and protocols developed. The plan must be in a written format.

The plan must also specify a training program for employees of the new contractor and a timeline for transferring responsibilities for each task described in the plan. The timeline included in the plan must be subject to the approval of the COR prior to full implementation.

The Contractor must be required to provide sufficient experienced personnel during the transition-in, transition-out period to ensure that the services called for by this contract/order are maintained at the required level of acceptance as detailed in the agreement/order.

The Contractor must provide a transition out plan to the Contracting Officer and COR. The final plan must be provided electronically within 90 days before the expiration of the IDIQ and respective Task Orders.

15. Government Furnished Property and Services

15.1 Government Furnished Property

The Government will furnish the following:

• Workspace as assigned

• Personal computers

• Telephones

• Other equipment or supplies as needed to properly perform job tasks

16. Government Furnished Property and Services

16.1 Government Furnished Property

The Government will furnish the following:

• Workspace as assigned

• Personal computers

• Telephones

• Other equipment or supplies as needed to properly perform job tasks

16.2 Use of Government Property

All equipment, furniture, and supplies furnished by the SBA shall be used by the Contractor only in support of the requirements of this PWS. Use of privately owned computers at SBA offices is prohibited without prior written approval from the CO or from another Government official expressly delegated such authority in writing by the CO.

17. Safety and Security Requirements

17.1 Personal Identity Verification of Contractor Personnel

Contractor shall comply with Agency personal identity verification (PIV) procedures (identified in the contract attachment to the clauses) that implement Homeland Security Presidential Directive-12 (HSPD-12), Office of Management and Budget (OMB) guidance M-05-24, and Federal Information Processing Standards Publication (FIPS PUB) Number 201.

Contractor shall insert this clause in all subcontracts when the subcontractor is required to have physical access to a federally-controlled facility and/or access to a federally controlled information system.

17.2 Contractor Personnel Security Clearance

Unless otherwise specified, all Contractor personnel shall submit to the COR, one (1) fully completed Security Package consisting of the following items and SBA forms:

• OF306, Declaration for Federal Employment

• SBA Form 2044, U.S. Small Business Administration Credit Report Release for Employment

• Qualifications

• Citizenship documentation for foreign nationals and/or naturalized citizens

SBA COR will complete the following for the Security Package:

• Contractor E-QIP Checklist

• OPM Position Risk Designation Summary

• Digital SBA Form 1228, Computer Access Clearance/Security Form

• Job Description

Except as otherwise authorized in writing under SBA security procedures, Contractor personnel shall not report for duty until the required suitability or access determination has been favorably adjudicated or temporary access has been approved by the appropriate SBA security authority. If the COR receives an unsuitable report on any of Contractor's on-site staff after processing the Security Package, or if the COR finds any of Contractor's on-site staff to be unsuitable or unfit for assignment, the Contractor shall be advised that the individual cannot continue to work or be assigned to work under the Contract. The Contractor shall immediately remove any such individual from SBA premises.

17.3 Temporary Security Clearance

SBA shall have, and exercise full and complete control over granting, denying, withholding, or terminating clearance for Contractor personnel. The SBA's Suitability Office may, as it deems appropriate, authorize and grant temporary clearance to Contractor personnel upon request from the SBA program office. The COR's role is limited to initiating requests and coordinating with the Suitability Office. The granting of temporary clearance to any Contractor personnel shall not be considered assurance that full clearance will follow, and the granting of either temporary or full clearance shall in no way prevent, preclude, or bar the withdrawal or termination of any such clearance by the SBA.

18. Contract Personnel Conduct

The CO may direct the Contractor to remove an individual from duty for misconduct, delinquency, or other contractually supportable cause, including, but not limited to, the behaviors listed below. The COR may recommend such removal to the CO. The Contractor shall promptly remove any such employee upon written direction from the CO, or as otherwise authorized by contract terms or urgent security procedures.

18.1 Neglect of Duty

The following acts or omissions shall be sufficient cause for the dismissal of any Contractor on-site personnel while on duty:

improper use of computer; sleeping; smoking on premises; eating at a work desk resulting in SBA property damage or damage of files; reading unauthorized materials; drinking alcoholic beverages; loitering; use of offensive language; unreasonable delay; failure to carry out assigned tasks; conducting personal affairs; unauthorized presence at SBA during non-working hours; carrying weapons or any other device that can endanger the safety of others; appearing inattentive to duties; refusing to render assistance; and being uncooperative in upholding the integrity of the SBA security program.

18.2 Disorderly Conduct

Use of abusive or offensive language, quarrelling, intimidation by words or actions, fighting or participation in disruptive activities that interfere with normal and efficient operation shall not be tolerated and may be cause for immediate removal of Contractor's employee.

18.3 Criminal Acts

Theft, vandalism, immoral conduct, and involvement in any criminal activity shall not be tolerated and may be cause for immediate removal of Contractor's employee.

18.4 Involvement with Illegal or Controlled Substances

Selling, consuming, or being under the influence of intoxicants, drugs, or substances that produce similar effects, while on duty, shall not be tolerated, and may be cause for immediate removal of Contractor's employee.

18.5 Misuse of SBA Property

Unauthorized or improper use of SBA communications equipment, Personal Computer, computer networks, or property shall not be tolerated, and may be cause for immediate removal of Contractor's employee.

18.6 Breach of Confidence

Contractor personnel assigned to work on an SBA site will be required to sign a Confidentiality Agreement. Contractor personnel may deal with sensitive, personal, and confidential information in the performance of their duties. Contractor personnel shall not discuss the information they obtain in the course of duty with other individuals (including SBA employees, other contractors, and the public).

18.7 Derogatory Information

Derogatory information received as a result of a background investigation conducted by SBA may result in immediate dismissal of Contractor's employee from this contract. Derogatory information includes:

• Falsification of Information - Falsification of information entered on suitability, background, or employment forms

• Conviction - Conviction of a felony, crime of violence or serious misdemeanor

• Arrests - Possession of an arrest record for continuing offenses

19. Safety

19.1 Work Methods

All work performed in delivering the services specified in this contract shall comply with applicable federal, state, and local safety regulations.

19.2 Accident Reporting

The Contractor shall report all accidents to the SBA OCRM Director, CO, and the COR within 24 hours of their occurrence.

The COR, or designated representative, may require the Contractor to complete certain forms to document accidents. The Contractor shall complete these forms promptly, at no additional cost to the SBA.

20. Physical Security

20.1 Property, Equipment and Supplies

Contractor personnel shall be responsible for safeguarding all SBA property, equipment, and supplies in his/her work area.

At the close of each work period, facilities and equipment shall be secured.

20.2 SBA Badges, Access and Control and Keys

Contractor personnel must obtain a special SBA Identification badge for entry into their assigned office. The badge must be worn by all Contractor employees at the location for which they are assigned and be visibly displayed while on premises at all times.

Contractor shall, in cooperation with the SBA office, establish and implement methods of ensuring that all keys and access badges issued to Contractor employees by the SBA are not lost or misplaced. No keys or badges issued to the Contractor may be duplicated.

The SBA may require the Contractor to replace, re-key, or reimburse the SBA for replacement of locks or re-keying resulting from the loss of keys by Contractor personnel, in accordance with the contract and applicable law. In the event a master key is lost or duplicated, the Government may pursue recovery of resulting costs in accordance with the contract and applicable law.

The Contractor shall immediately report the occurrence of a lost key or access card/badge to the CO, COR, and the SBA Office/Center Director.

It is the responsibility of the Contractor to prohibit the use of keys and access card/badges issued by the SBA by any persons other than the Contractor's employees. It is also the responsibility of the Contractor to prohibit the opening of locked areas by the Contractor's employees to permit the entrance of persons other than the Contractor's employees engaged in the performance of assigned work in those areas.

21. Contracting Officer's Authority

The CO shall be the only individual authorized to direct and/or redirect the efforts, or in any way amend, any of the items of this contract.

22. Functions and Limitations of the Contracting Officer's Representative (COR)

The designated COR will represent the CO in the administration of technical details within the scope of this contract. Guidance and possibly surveillance will be furnished by the CO when it is deemed to be necessary and proper.

The COR is not otherwise authorized to make any representation or commitments of any kind on behalf of the CO or the Government. Furthermore, neither the COR nor third parties have the authority to alter the Contractor's obligations or change the specifications in the contract. Changes must be issued in writing and signed by the CO.

23. Travel Requirements

Travel is not anticipated. Contractor employees are responsible for commuting to and from the workplace at their own expense. If special travel is required, it must be authorized in advance in writing by the CO, or by another Government official expressly delegated such authority in writing by the CO. Government travel rules and regulations shall apply to any authorized travel, as applicable.

24. Non-Personal Services Statement

Contractor employees performing services under this requirement will be controlled and supervised at all times by management personnel of the Contractor. Contractor management will ensure that its employees properly comply with the performance work standards, and that they perform their duties independently and without the supervision of Government personnel.

The tasks, duties, and responsibilities set forth in the requirement may not be interpreted or implemented in any manner that results in any Contractor employee creating or modifying Federal policy, obligating funds of the Government, overseeing the work of Federal employees, providing direct personal services to any Federal employee or otherwise violating Government prohibitions. Inherently Governmental functions are not to be assigned to or performed by Contractor employees. The Government will perform inspection and acceptance of completed work.

25. Organizational Conflict of Interest (OCI)

In accordance with Federal Acquisition Regulation (FAR) Subpart 9.5, the Contractor shall identify and disclose to the Contracting Officer any actual or potential organizational conflicts of interest (OCI) that may arise during performance of this contract. Given the sensitive, oversight-related nature of the services, the Contractor shall identify and disclose any actual or potential organizational conflict of interest (OCI) arising from work performed under this contract. The CO, in consultation with agency counsel, will determine whether an OCI exists and whether avoidance, mitigation, neutralization, or exclusion of personnel is required.

The Contractor shall submit an initial OCI disclosure statement and mitigation plan with its proposal and shall update the disclosure within five (5) business days of any change in circumstances that may create a new or modified OCI. The Contracting Officer, in coordination with the Contracting Officer's Representative (COR) and agency legal counsel, retains the authority to determine whether an OCI exists and to direct avoidance, mitigation, or neutralization measures, including reassignment of work or exclusion of personnel.

26. Privacy Act and PII Training

Contractor personnel performing under this contract will handle personally identifiable information (PII) and sensitive but unclassified SBA information, including information from SBA systems of records. The Contractor shall comply with the Privacy Act of 1974 (5 U.S.C. 552a), OMB Circular A-130, and FAR 52.224-3, Privacy Training.

All covered Contractor employees shall complete initial privacy training prior to being granted access to any SBA system of records or PII and shall complete annual refresher training thereafter. The Contractor shall maintain documentation of training completion and shall provide such documentation to the COR upon request. No Contractor employee shall be permitted access to PII or a system of records until the privacy training requirement has been satisfied.

27. Section 508 Accessibility Compliance

All electronic and information technology (EIT) deliverables produced under this contract, including reports, dashboards, spreadsheets, presentations, and web-based content, shall comply with Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794d), and the accessibility standards published at 36 CFR Part 1194 (the Revised 508 Standards).

Where any deliverable cannot meet a specific 508 requirement, the Contractor shall document the exception and provide an accessible alternative acceptable to the COR.

28. Prohibition on Covered Telecommunications Equipment and Services

The Contractor shall comply with Section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232) as implemented in FAR 52.204-24, 52.204-25, and 52.204-26. The Contractor shall not provide or use any "covered telecommunications equipment or services" (as defined in FAR 52.204-25) as a substantial or essential component of any system, or as critical technology, in the performance of this contract. The Contractor shall notify the Contracting Officer within one (1) business day of identifying any such equipment or service in its supply chain and shall submit a mitigation plan within ten (10) business days. This prohibition shall flow down to all subcontractors at any tier.

29. GSA/SBA Contact Personnel

Points of contact for this contract are:

CO: Bertha Russell General Services Administration (GSA) Email: bertha.russell@gsa.gov Phone: (404)989-6124

COR: Nikita Alexander U.S. Small Business Administration (SBA) Email: Nikita.Alexander@sba.gov Phone: (202) 205-7493

Alternate COR: Nichole Hinds U.S. Small Business Administration (SBA) Email: Nichole.Hinds@sba.gov Phone: (202) 205-6866

30. Attachments

The following documents are attached and incorporated in this PWS:

Appendix A - Position Descriptions

Appendix B - Quality Assurance Surveillance Plan (QASP) mailto:bertha.russell@gsa.gov mailto:Nikita.Alexander@sba.gov mailto:Nichole.Hinds@sba.gov

Appendix A

POSITION DESCRIPTIONS

OFFICE OF CREDIT RISK MANAGEMENT

STAFF AUGMENTATION - SUPPORT SERVICES

OVERALL POTENTIAL…