3-LenderDataFeed-SOW.doc

Lender Data Feed SOW

PERFORMANCE-BASED STATEMENT OF WORK (SOW)

Continuous Lender (Financial Institution) Data Feed SBA Office of Capital Access (OCA) 1 - Executive Summary

The US Small Business Administration (SBA) seeks a continuous, scheduled feed of financial institution data in support of a repository. The data represents each institution’s primary and branch locations including: unique identification numbers, street, mailing addresses, and points of contact.

2 - Background

The mission of the SBA is to support the Nation’s economy by enabling the establishment and visibility of new and existing small businesses and by assisting in the economic recovery of the communities during national disasters. Since 1953, SBA has carried out this mission by implementing targeted loan programs for small businesses, assisting businesses in obtaining government contracts, and providing loans during disasters.

The SBA’s Office of Capital Access (OCA) is responsible implementing programs to assist small businesses in obtaining loans to take advantage of growth opportunities. SBA offers a range of guaranty loan programs with the support of its lender community of large and small banks, and credit unions. To date, SBA has a $202 billion loan portfolio whose borrowers include small businesses, homeowners, and lending intermediaries.

Under SBA guaranty loan programs, borrowers deal directly with the lender to obtain loans, receive loan distributions, and make loan payments. The SBA provides a default guaranty to the lender for a percentage of the loan amount.

OCA operates the Partner Information Management System (PIMS) containing a database of all US financial institutions. The PIMS database is used to establish SBA lender agreements, identify loans associated to each institution, and maintain lender contact information.

The mission-critical PIMS financial institution data is obtained under contract with a Contractor that specializes in providing the latest lender information utilizing daily feeds of new financial institution data and updates to existing data.

3 - Overview of Environment & Scope of Work The OCA loan systems operate in a Century Link data center in Herndon, VA with a backup site in Irvine CA. The Contractor will provide OCA assistance in updating and maintaining data on US Banks; US Holding Companies; US Savings Institutions and US Credit Unions; and Community Development Corporations. The Contractor shall also provide the following data for US Banks; US Holding Companies; US Savings Institutions and US Credit Unions; and Community Development Corporations:

· Legal Name;

· Address;

· Phone Number;

· Fax Number;

· Email Address;

· Web Site URL;

· DUNS Number;

· Tax Identifier;

· Date Institution was established;

· Date Institution legally ceases to exist;

· Source of the information;

· Legal structure/tax status of the Institution;

· Location types (head office, branch, loan servicing center, loan processing center, operations center, check processing center, international operations);

· Relationship between locations;

· Primary contacts (CEO, President, and Commercial Lending);

· Phone/fax/email address for primary contacts;

· Regulatory or other identifying numbers of information (FDIC, NCUA, OCC, OTS, TIN);

· Ownership Information;

· Subsidiary Information; and

· History of all changes affecting data names in bullet points above.

The Contractor shall continuously and actively provide updates to the data provided OCA including:

· Correct lending institution names;

· Identity of lending institution holding companies;

· Location of branches of lending institutions; and

· Changes to lending institutions including name changes, mergers, acquisitions, charter changes, closings, and failures.

As part of the update, Contractor shall have in place an ongoing investigation of changes taking place in US Banks, US Holding Companies, US Saving Institutions, and US Credit Unions. Any and all changes shall be accurately updated on a timely basis, checked for accuracy, and provided to OCA.

The Contractor shall provide 24x7 help desk support to research new and changed institutions as well as technical issues with the OCA feed.

4 - Performance Requirements

Contractor shall:

· Provide the methods and procedures used to collect financial institution data, identifying new institutions and changes in existing institution’s data. The vendor’s proposal shall state the average lag time between lending institution published data change and delivery to OCA;

· Confirm availability of all required financial institution data identified listed above;

· Define data delivery methodology(s) available: flat file, Web service, and database replication to OCA’s Oracle database. Define data delivery methodology(s) available: flat file, Web service, and database replication to OCA’s Oracle database;

· Define data delivery frequency. Different frequencies may be specified for different classes of data; however all institution changes shall be provided to OCA within 24 hours of Vendor’s publishing;

· Propose methods of securely transmitting data from Contractor’s facility to the SBA datacenter. Indicate the ability to establish a Virtual Private Network (VPN) between SBA and the vendor facility;

· Based on the proposed data delivery method, propose methods of ensuring data quality;

· Address methods and specific procedures for correcting data that results in PIMS database update errors when applying vendor data;

· Propose methods of verifying the SBA PIMS financial institution data for accuracy. Procedures shall be provided for correcting missing or inaccurate data identified in this process;

· Confirm daily updates are provided daily;

· Carry out assignments and duties competently and within established timeframes. The Contractor shall establish and maintain professional working relationships with SBA clients. The Contractor shall plan, organize, and complete assignments without supervision;

· Meet NIST 800-53 system requirements;

· Meet SBA SOP 90 47 requirements; and

· Provide 24-7 customer support.

5 - Contractor Reporting and Deliverables

The Contractor shall provide periodic reporting and support to the Contracting Officer’s Representative (COR) as requested. The Contractor shall regularly keep the COR Informed of all significant developments.

6 - Past Performance Contractor shall present Past Performance – Project Profiles of Federal Government Contracts (current contracts or contracts closed within 3 years of the proposal submission date) of similar requirements, size and scope. Contractor shall indicate if it was the prime contractor on the contracts.

7 - Requirements for Option Years

Contractor shall provide firm-fixed pricing for a base year and four option years.

8 - Contract Administration

· Contracting Officer (CO) - The CO is the only person authorized to make or approve any changes in any of the requirements of this SOW and not withstanding any clauses contained elsewhere in this contract, the authority remains solely with the CO.

· Contracting Officer’s Representative (COR) – The COR will represent the CO in administration of the technical details within the scope of this SOW. The COR is responsible for final inspection and acceptance of all reports and such other responsibilities as may be specified in the commitments of any kind on behalf of the CO or the Government. The COR does not have authority to alter the Contractor’s obligations or change the SOW; changes will be issued in writing and signed by the CO.

· A COR will be appointed for this contract. The COR assignment for this contract may be changed at any time by the Government without prior notice to the Contractor. However, the Contractor will be notified of the change in writing.

9 - Place of Performance

Contractor shall perform the services at its offices. Contractor shall be able to electronically submit changes to the SBA loan system.

10 - Public Laws and Statutes Contractor shall comply with the following statues and laws in performing this SOW:

· Privacy Act of 1974 (5 U.S.C. § 552a);

· Freedom of Information Act (5 U.S.C. § 522b);

· Federal Managers Financial Integrity Act of 1982 (31 U.S.C. § 1352);

· Paperwork Reduction Act of 1986 (44 U.S.C. 35);

· Electronic Communications Privacy Act of 1986 (P.L. 99-508, as amended; codified in 18 U.S.C. chapters 119, 121 and 206);

· Computer Fraud and Abuse Act of 1986 (P.L. 99-474, as amended; codified at 18 U.S.C. § 1030);

· Information Technology Management Reform Act of 1996 (Clinger-Cohen Act) (Division E of P.L. 104-106, as amended; codified in part in 44 U.S.C. chapters 111, 113, 115 and 117);

· Title III of the E-Government Act of 2002 (P.L. 107-347) and Federal Information Security Management Act of 2002 (FISMA) (P.L. 107-296; codified in part in 44 U.S.C. chapters 35 and 36); and

· Computer Security Act of 1987 (P.L. 100-235, as amended).

11 - Office of Management and Budget (OMB) Circulars and Bulletins Contractor shall comply with the following OMB Circulars and Bulletins in the performing the SOW:

· Office of Management and Budget (OMB) Circular A-123, Management’s Responsibility for Internal Control, Dec. 21, 2004, OMB Circular A-127, Financial Management Systems, revised July 23, 1993;

· OMB Circular A-130, Management of Federal Information Resources, Appendix III, Transmittal #4, Security of Federal Automated Information Resources, Nov. 28, 2000;

· Executive Order (EO) 12656, Assignment of Emergency Preparedness Responsibilities (COOP Plans), Nov. 18, 1988, as amended by EO 13074, Feb. 9, 1998;

· EO 13011, Federal Information Technology, July 16, 1996;

· OMB Circular No. A-130, Appendix III establishes a minimum set of controls to be included in the Federal automated information security programs and links agency automated information security programs and agency management control systems established in accordance with OMB Circular No. A-123; OMB Bulletin 90-08,

· Guidance for Preparation and Submission of Security Plans for Federal Computer Systems that Contain Sensitive Information, July 9, 1990;

· Homeland Security Presidential Directive (HSPD-7), Critical Infrastructure Identification, Prioritization and Protection;

· HSPD-12, Policy for a Common Identification Standard for Federal Employees and Contractors;

· Presidential Decision Directive (PDD) 67, Continuity of Government (COG) and Continuity of Operations (COOP) Plans Practices for Securing Critical Information and Information Systems and Networks, 1988;

· M-03-22 – OMB Guidance for Implementing the Privacy Provisions of the

· E-Government Act of 2002;

· M-05-16 – Regulation on Maintaining Telecommunication Services during a Crisis or Emergency in Federally-owned Buildings;

· M-06-16 – Protection of Sensitive Agency Information;

· M-06-20 – FY 2006 Reporting Instructions for the Federal Information Security Management Act and Agency Privacy Management;

· (15) M-06-15 – Safeguarding Personally Identifiable Information;

· (16) M-06-19 – Reporting Incidents Involving Personally Identifiable Information and Incorporating the Cost for Security in Agency Information Technology Investments; and

· (17) M-07-11 – Implementation of commonly Accepted Security Configurations for Windows Operating Systems, March 22, 2007.

12 - Conflicts of Interest

The Contractor shall take appropriate steps to avoid or mitigate any potential conflicts of interest. Additionally, the Contractor shall disclose any affiliation it may have with the OCA. If any conflict of interest exists, the Contractor must properly identify the conflict and the steps the firm will take to reduce the potential for a conflict of interest to arise.

13 – Non-Personal Services

This contract is for non-personal services. Contractor is responsible for all direction and supervision of its employees.

14 – Performance-Based Contract

The following table described the performance-based methodology the COR will use for monitoring Contractor’s performance:

Each SOW requirement will have periodic evaluations by SBA’s COR to monitor OCA satisfaction as to Contractor’s overall performance and business relations, and as to the quality and timeliness of its work pursuant to this SOW.

There are no disincentives or incentives to this contract other than potential past performance ratings and references.

15 – Phase-in & Phase-out Plan – Continuity of Services

The services under this contract are vital to the Government and must be continued without interruption. Upon contract expiration, a successor, either the Government or another Contractor, may continue them. The Contractor agrees to (1) furnish phase-in training, and (2) exercise its best efforts and cooperation to effect an orderly and efficient transition to a successor. Any costs for transition shall be built into Contractor’s fully loaded firm-fixed pricing.

16– Invoicing

Each Period of Performance (POP) will have a firm-fixed price (FFP). The FFP will be broken into equal monthly amounts. Contractor may invoice one a month, in arrears. The last monthly payment for each POP may not be invoiced until the COR determines that Contractor has performed all tasks, provided all deliverables, and is in good-standing with the SOW requirements.

SBA OCA – Lender (Financial Institution) Data Feed