B04_73351018R0010_RFP_SF-1449_SOW-TERMS-Loan_Recommendation.pdf

RFP 73351018R0010 – SBA Office of Disaster Assistance Data Analysis and Loan Recommendation Services

Solicitation 73351018R0010

U.S. Small Business Administration (SBA)

Office of Disaster Assistance (ODA)

Data Analysis and Loan Recommendation Services

This solicitation consists of the following sections and attachments:

Request for Proposal (RFP):

Page 1: SF-1449

Page 4: Section 1 – Introduction

Page 7: Section 2 – Statement of Work (SOW)

Page 13: Section 3 – Terms and Conditions

Page 36: Section 4 – Proposal Preparation Instructions

Page 40: Section 5 - Evaluation of Quotations and Basis for Award

Attachments are as follows:

Attachment 1 – Past Performance Questionnaire

Attachment 2 – Pricing Sample

Attachment 3 – Confidentiality and Non-Disclosure Agreement

Attachment 4 – Conflict of Interest

Attachment 5 – SOP 50 30 9

Attachment 6 – SBA Form 5C Loan Application

All correspondences will be sent to the Contracting Specialist (CS):

The Contracting Specialist (CS) for this effort is as follows:

Small Business Administration, Acquisition Division

ATTN: Tracy Lambert, 13221 Woodland Park Road, 5 th floor

Herndon, Virginia 20171

Office: 703-487-8100 ext. 6714 email Tracy.Lambert@sba.gov

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

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

OFFEROR

208050

SUITE 301

721 19TH STREET

DENVER FINANCE CENTER

DENVER ACQUISITION OFFICE FOR SBA

CODE 16. ADMINISTERED BYCODE

X

X

X

541611

SIZE STANDARD:

100.00 % FOR:SET ASIDE:UNRESTRICTED OR208050

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

NAICS:

SMALL BUSINESS

10/04/2018 1300 ET

09/07/2018

Tracy Lambert (No collect calls)

INFORMATION CALL:

FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIMEb. TELEPHONE NUMBER a. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

73351018R0010

5. SOLICITATION NUMBER

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 1. REQUISITION NUMBER PAGE OF

1 44 OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

DENVER CO 80202

TELEPHONE NO.

17a. CONTRACTOR/

15. DELIVER TO

DENVER CO 80202

SUITE 301

721 19TH STREET

DENVER FINANCE CENTER

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$15.0

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

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULE

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

DENVER ACQUISITION OFFICE FOR SBA

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

SBA-ODA Data Analysis and Loan Recommendation Services

This RFP is to set up an IDIQ and for the 1st order against it to procure Data Analysis and Loan Recommendation Services for the Small Business Administration, Office of Disaster Assistance

Questions should be submitted via email no later than September 18, 2018.

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

HEREIN, IS ACCEPTED AS TO ITEMS:

X

XX

DATED

Kip Sheppard

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

ARE

31c. DATE SIGNED

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

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

30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (Type or print)

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

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

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

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

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

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32c. DATE 32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

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

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

40. PAID BY39. S/R VOUCHER NUMBER38. S/R ACCOUNT NUMBER

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

42d. TOTAL CONTAINERS42c. DATE REC'D (YY/MM/DD)

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

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

STANDARD FORM 1449 (REV. 2/2012) BACK

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

Quotes are due via email no later than October

04, 2018 at 1:00 pm ET.

The period of performance for the IDIQ contract is anticipated to be as follows:

Base 11/1/18 – 10/31/19

OY1 11/1/19 – 10/31/20

OY2 11/1/20 – 10/31/21

OY3 11/1/21 – 10/31/22

OY4 11/1/22 – 10/31/23

The period of performance for the first task order is anticipated to be for one year from date of award.

Period of Performance: 11/01/2018 to 10/31/2023

0001 IDIQ Base Year

Data Analysis and Loan Recommendation Services

Period of Performance: 11/01/2018 to 10/31/2019

1001 IDIQ Option Year 1

Data Analysis and Loan Recommendation Services

(Option Line Item)

Anticipated Exercise Date10/31/2019

Period of Performance: 11/01/2019 to 10/31/2020

Continued ...

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

44 2 of

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

3 44

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

(A) (B) (C) (D) (E) (F)

73351018R0010

2001 IDIQ Option Year 2

Data Analysis and Loan Recommendation Services

(Option Line Item)

Anticipated Exercise Date10/31/2020

Period of Performance: 11/01/2020 to 10/31/2021

3001 IDIQ Option Year 3

Data Analysis and Loan Recommendation Services

(Option Line Item)

Anticipated Exercise Date10/31/2021

Period of Performance: 11/01/2021 to 10/31/2022

4001 IDIQ Option Year 4

Data Analysis and Loan Recommendation Services

(Option Line Item)

Anticipated Exercise Date10/31/2022

Period of Performance: 11/01/2022 to 10/31/2023

Please contact the Contract Specialist with any questions.

Contract Specialist:

Ms. Tracy Lambert

703-487-8100 ext. 6714

Tracy.Lambert@sba.gov

NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

Solicitation Number

73351018R0010 Document Title

Data Analysis and Loan Recommendation Services Page

SECTION 1 – INTRODUCTION

1.1 GENERAL INFORMATION

The U.S. Small Business Administration (SBA) is issuing this competitive solicitation (SOL) #

73351018R0010 as a Request for Proposal (RFP) to solicit contractors for the purpose of entering into a Single Award Indefinite Delivery/Indefinite Quantity (IDIQ) contract for Data Analysis and Loan

Recommendation Services. This RFP is issued pursuant to Federal Acquisition Regulation (FAR) Part

12—Commercial Items and FAR Part 16.5 Indefinite Delivery Contract. This IDIQ is in support of

SBA Office of Disaster Assistance.

This is a notice that the resultant contract is for a 100% Total Small Businesses set-aside requirement.

Only proposals submitted by Small Businesses will be accepted by the Government. Any proposal that is submitted by an Offeror that is NOT a Small Businesses will not be accepted.

Contractors are requested to notify the Contracting Specialist via email at

Tracy.Lambert@sba.gov of their intent to propose immediately.

If your firm is interested in this acquisition, you may participate by submitting your response in accordance with the requirements and instructions contained herein.

The NAICS for this acquisition is 541611 Administrative Management and General Management

Consulting Services with a small business size standard of $15 million. The Product Service Code is

R710 Financial Service.

1.2 QUESTIONS DUE DATE:

Offeror must submit all technical questions regarding this requirement, or the preparation of your proposal, in writing via e-mail to the Contracting Specialist, Tracy.Lambert@sba.gov. All questions must be submitted via e-mail and must contain RFP number 73351018R0010 and Title “Data Analysis and Loan Recommendation Services” and they must be received no later than 1:00 PM Eastern Time

(ET) on September 18, 2018. Please be advised that the Government reserves the right to transmit those questions and answers of a common interest to all prospective contractors. ONLY EMAILED

QUESTIONS WILL BE ANSWERED.

Questions received after the specified deadline date/time WILL NOT be accepted. It is the responsibility of the offeror to get their submission in on time and ensure successful delivery to the

Government facility.

1.3 PROPOSAL DUE DATE:

Proposals must be submitted via electronic copy directly to the Contracting Specialist at

Tracy.Lambert@sba.gov no later than 1:00 PM ET October 04, 2018. Each volume shall be clearly marked by Volume Number and Title. The Government reserves the right to not accept proposals received after the closing date and time. It is the responsibility of the offeror to get their submission in on time and ensure successful delivery to the Government. If you do NOT receive a confirmation email, it is the offeror’s responsibility to follow-up with the contracting Specialist to ensure successful delivery. ONLY EMAIL SUBMISSIONS WILL BE ACCEPTED. A facsimile proposal or proposal received through the mail will not be accepted.

1.4 INSTRUCTIONS & SUBMISSION REQUIREMENTS

mailto:Tracy.Lambert@sba.gov

Document Title

Data Analysis and Loan Recommendation Services

Offeror are required to submit the following documents for the IDIQ contract and for the first task order. At a minimum the offeror will submit a total of 6 documents (Numbers 1-3 for the IDIQ contract and 1-3 for the First Task Order). Number 4 below is required but they must be submitted directly from the person filling them out.

1. Written Technical Proposal (Contractor’s Format), sent in by the contractor

2. Assumption, Conditions, or Exceptions (Contractor’s Format), sent in by the contractor

3. Price Proposal (Contractor’s Format), sent in by the contractor

4. Past Performance Questionnaire (Attachment 1) must be sent to the government directly from the person filling them out.

Your Proposal MUST include the following information on the title page of each volume:

A. Tax identification number (TIN) F. Contact email address

B. Dun & Bradstreet Number (DUNS) G. RFP Number: 73351018R0010

C. Name & Complete Business Mailing Address H. Project Title

D. Contact Name I. Proposal Number (contractor's format: this

E. Contact Phone is a unique identified by your office, it could be the date)

1.5 SAM REGISTRATION

Offerors must be registered in and have a completed copy of their representations and certifications in

SAM (https://www.sam.gov) and shall indicate as such in their offer.

1.6 CONTRACT CEILING

The estimated contract ceiling for this entire period of performance for this IDIQ is $100,000,000.00.

The guaranteed minimum order amount will be $10,000.00.

1.7 PERIOD OF PERFORMANCE

The result of this acquisition for the IDIQ contract will be for a period of performance (POP) for a base period of 1 year with 4 option periods of 12 months each. The First Task order will be for a period of performance of 1 year.

1.8 ANTICIPATED AWARD TYPE

This requirement is for small business set aside for a Single Award Indefinite Delivery Indefinite

Quantity contract. The actual work will be done under task orders that define the work and period of performance that is needed. Task order type may be either Firm-Fixed Price or Time-and-

Materials/Labor Hour, depending on task order requirements. The IDIQ contract will have fully loaded fixed price labor rates and fixed price rates for each individual loan recommendation or a fixed price tiered pricing.

1.9 ASSUMPTIONS, CONDITIONS, OR EXCEPTIONS

Contractors must submit, under separate cover, all (if any) assumptions, conditions, or exceptions with any of the terms and conditions of this solicitation including the SOW. If not noted in this section of your proposal, it will be assumed that the contractor proposes no assumptions for award, and agrees to comply with all of the terms and conditions as set forth herein.

Document Title

Data Analysis and Loan Recommendation Services

1.10 DISCUSSIONS/AWARD WITHOUT DISCUSSIONS

The Government reserves the right to award without discussions, so it is in your best interest to include your most favorable terms in your initial submission. However, the Government reserves the right to permit offerors to revise their submissions.

As stated above the Government reserves the right to make an award without discussions, except for clarifications as described herein. Any exceptions or deviations by the offeror to the terms and conditions stated in this solicitation for inclusion in the resulting contract may make the offer unacceptable for award without discussions. If an offeror proposes exceptions to the terms and conditions of these requirements, the Government may make an award, without discussions, to another

Offeror that did not take exception to the terms and conditions, if such offeror is determined to be the best overall value for this effort. The Government also reserves the right to conduct discussions if it decides to establish a competitive range of the most highly rated, acceptable offers received.

1.11 OTHER INFORMATION

Failure to submit any of the information required herein will deem your proposal technically unacceptable and removed from further consideration.

1.12 POINTS OF CONTACT

1.12.1 Contracting Officer’s Representative (COR)

Small Business Administration, Office of Disaster Assistance

ATTN: To be determined after award

Washington, DC

1.12.2 Contracting Specialist (CS)

Small Business Administration, Acquisition Division

ATTN: Tracy Lambert, 13221 Woodland Park Road, 5 th floor

Herndon, Virginia 20171

1.12.3 Contracting Officer

The Contracting Officer (CO) for this effort is as follows:

Small Business Administration

Denver Finance Center, Acquisition Division

ATTN: Kip Sheppard, 721 19th Street, Suite 365

Denver, CO 80202

Office: 303-844-7217 email Kip.Sheppard@sba.gov

Document Title

Data Analysis and Loan Recommendation Services

SECTION 2 – STATEMENT OF WORK

Statement of Work

Office of Disaster Assistance

Data Analysis and Loan Recommendation Services

September 6, 2018

1.0 BACKGROUND

The Small Business Act (ACT) authorizes the Small Business Administration (SBA) to make loans to eligible survivors of declared disasters. The Office of Disaster Assistance (ODA) plans, directs, and administers the SBA’s responsibilities under the ACT. The mission of ODA is to help people recover from disasters and rebuild their lives by providing affordable, timely and accessible financial assistance to homeowners, renters, businesses of all sizes and nonprofit organizations.

Responding to the needs of the disaster survivors in an efficient manner is a primary goal. ODA strives to meet this efficiency goal, regardless of loan volume.

Although not all disaster situations are large-scale, the greatest need is often in the larger disasters.

The recent (2017) hurricane disasters have prompted surge operations on a large scale where SBA required rapid data analysis and loan recommendations so that loan decisions could be finalized in an efficient manner. The contractor must be prepared to respond as needed to disaster situations.

The need for such services fluctuates according to disaster activity.

To meet this critical business need, ODA is seeking a contractor to analyze data and provide loan recommendations based on industry standard loan making practices. The contractor will provide a recommendation of “Approve” or “Decline” with the accompanying information used to support that recommendation.

The ODA volume requirement for this contract is variable and is estimated to be about 65,000 per year, on average. Catastrophic events may generate in excess of 300,000 recommendation requests.

Data analysis and loan recommendation needs are dependent upon disaster activity that results in a disaster declaration that triggers the Disaster Loan Program. Current agencies goals are to decision

1,000,000 loans in 60 days.

* It is important to note that ODA is NOT seeking a contractor to build or customize a system or the purchase of software/hardware. The service provider awarded this contract will analyze data and provide recommendations on loan actions utilizing the service provider’s system(s)/methods in accordance with ODA policies and procedures. The contractor will begin providing recommendations after the documenting and implementing business rules, system integration, system testing is completed and ready to go live. This should take no more than six months from the date of contract award

2.0 SCOPE

The mission of the SBA’s Office of Disaster Assistance is to help people recover from disasters and rebuild their lives by providing affordable, timely and accessible financial assistance to homeowners, renters, businesses of all sizes and nonprofit organizations. Thus, the Offeror’s must show a history of performance similar to ODA’s stated needs.

Document Title

Data Analysis and Loan Recommendation Services

2.1 SPECIFIC REQUIREMENTS

Contractor must provide recommendations on loan decisions, as needed. The service should be fungible to ODA’s Standard Operating Procedures without a change in service level from small agency declarations to large presidential declarations. The contractor must provide a loan recommendation as “approve” or “decline” along with a copy of all information (in an electronic documentation format) that the contractor used to make its recommendation, submitted to ODA for technical/final review. Once the data has been analyzed and the recommendation provided to

ODA through its Disaster Credit Management System (DCMS) an individual within ODA will review the documentation analyzed by the contractor and will make the final determination of whether to approve or deny any particular loan.

The first task order is for a one-year period of performance. The services that must be provided under the first task order include: documenting and implementing business rules, system integration, system testing, and change impact analysis, which should take no more than 6 months to complete. The change impact analysis must include a description of how the service will impact

ODA people, processes and technology, with recommendations to fully integrate the service within the ODA environment. Once the business rules, system integration and testing is complete, the remainder of the first task order is for data analysis and loan recommendations for the first 1-

15,000 disaster loan applications received. Note that SBA will be adding optional CLINs to the first task order to cover additional quantities of loan recommendation based on the pricing in the

IDIQ pricing structure (see attachment 2 Pricing Sample).

Future task orders will be for additional amounts of data analysis and loan recommendations and may also require updates to the contractor’s system/methods that are necessary based on a number of things like changes to SBA’s business rules, policies, laws and regulations, systems updates or changes that are required based on industry. ODA expects the contractor to fully incorporate any changes identified by ODA into its system within 30 days of when notified by the COR or CO of the changes. All changes must be pre-approved by the CO and the COR. No changes can be made that will incur or change costs without the CO’s approval and a modification or new task order issued to adjust the cost as applicable.

The offeror shall include in its technical approach a detailed description of how its system will ensure that its loan decision recommendations will be generated without any bias for a loan applicant that has received a consumer or commercial loan from the offeror, any subcontractors, or any affiliate of the offeror or subcontractors. Alternatively, each offeror shall affirmatively state that neither it, subcontractors, nor any affiliate of the offeror or subcontractors, makes or has purchased any consumer or commercial loans to any individual or legal entity. If the offeror is a joint venture, the use of the term “offeror” in this paragraph refers to each partner of the joint venture individually as well as the joint venture itself.

The offeror must identify if the key personnel proposed are an employee of the prime contractor or a subcontractor. Offerors are require to identify all proposed subcontractors, identify whether each subcontractor is similarly situated or not, describe the tasks to be performed by each subcontractor, the number of the subcontractor’s personnel and the prime’s personnel who will perform each task and the amount of the proposed price that will be spent on non-similarly situated subcontractors.

Document Title

Data Analysis and Loan Recommendation Services

The contractor must provide data analysis and a loan recommendation within 10 minutes of

ODA’s request for such services, and the recommendation will be made through DCMS.

Recommendations must be made based on a standardized process in accordance with ODA policies and procedures. The recommendations must be made with minimal errors and when requested, the contractor must consult with ODA to lower disbursement times. Contractor will be provided an industry standard loan application to provide an idea of the kind of data it will receive from SBA when a request is made for data analysis and loan recommendation services (attachment

6).

Contractor will be provided information via Application Programming Interface (API) interface.

The interface will include select fields from an industry standard loan application. The Contractor shall assist the government in building an API with SBA’s existing IT system (DCMS) in order to facilitate the transfer of data into the Contractor’s IT system.

All objects, within the Salesforce platform used for DCMS, whether standard objects or custom, are accessible via Application Program Interfaces (APIs). There are many methods of accessing these APIs, but the most common method is to use Representational State Transfer (REST) web services. This API access may be augmented further via the creation of custom API endpoints, but by default, all objects have API access without any programming work. DCMS will utilize these standard interfaces in order to retrieve and compile single object datasets while custom APIs will be built for more complex, multi-object datasets. For more information, please see the Salesforce

API website: https://developer.salesforce.com/page/Salesforce_APIs. After award, the awardee shall enter a Memorandum of Understanding (MOU) with the Government to outline the specific parameters, roles and responsibilities, points of contact, and other details, which facilitate the API.

This MOU will be incorporated into the contract and will supplement the contract terms and conditions, through a modification to the contract.

In addition to data analysis and loan recommendations, the contractor shall provide the following information when its recommendation is transmitted to ODA through DCMS, as well as identifying in its offer, all specific sources of the information analyzed and used to support its recommendation and a copy of the information analyzed. The following is a list of the general types of information that the contractor must analyze in making a loan recommendation:

Property specific characteristics such as: location of disaster damaged property; ownership of disaster damaged property; square footage of disaster damaged property; value of disaster damaged property; flood zone determination of disaster damaged property; whether disaster damaged property is located over a body of water; whether property is owner-occupied or rented.

Applicant specific characteristics such as: primary residency of applicant; character of applicant;

creditworthiness of applicant; income of applicant; business activity of applicant; size standard of applicant based on SBA size determination; fraud detection on applicant.

The Contractor shall return or destroy and permanently eliminate from its possession all data provided by SBA and used in its analysis and generation of the loan recommendation. This data must be returned or destroyed immediately by the Contractor after the loan recommendation is provided. This contract does not contemplate that the Contractor will store or maintain any SBA data or records. The offer must detail how the Contractor will return or destroy this data and how quickly this information can be removed from its possession.

https://developer.salesforce.com/page/Salesforce_APIs

Document Title

Data Analysis and Loan Recommendation Services

ODA will utilize the contractor recommendation to finalize its own loan decision. The contractor’s loan recommendation and data collection efforts will facilitate the loan making process, increasing

ODA bandwidth, enabling ODA to meet agency goals. ODA will use this service as a tool when

ODA makes its final decision on loan applications.

The contractor must discuss in its offer, in detail a breach prevention plan, all safeguards that they have in place to prevent any breach of information in its systems. This contract contemplates that the contractor will have access to personally identifiable information and therefore may need to engage in a privacy impact assessment and system of record notice process prior to gaining access to any personally identifiable information in SBA systems.

All recommendations must follow ODA policies and procedures included in SOP 50 30 9

(Attachment 5). The contractor will consult with ODA staff regarding any interpretation of policy issues. Any update to these policies or procedures will be communicated to the contractor with one month notice. The contractor shall not sort or search any data received from SBA by personally identifiable information. This contract does not contemplate the creation, design, or operation of a system of record.

The contractor should be aware that ODA will submit information on disaster loan applicants to the contractor, as it is received. There is a potential for information to be provided at all hours of the day and any day of the week, including weekends.

The following is a ten year history of loan decisions made by ODA. The contractor should be prepared to make recommendations, based on a 10 year history (removing top 2 and bottom 2 outliers), for 65,034 loans per year, on average.

2009 – 96,643 2012 – 46,356 2015 – 33,743

2010 – 42,465 2013 – 122,798 2016 – 66,135

2011 – 45,760 2014 – 15,211 2017 – 92,845

*From October 1, 2017 to May 31, 2018 there have been 311,565 loan decisions made. This number will increase by the end of the fiscal year (September 30).

Offeror must ensure a business liaison is available for emergency questions/needs. The Offeror shall provide a weekly report detailing the number of loan recommendations made by the service provider.

The requirements identified have been developed in a clear, understandable way to ensure that the

Contractor is provided sufficient information for the offeror to formulate its proposal. The services being requested are considered to be commercially available and the requirement has been structured as a commercial acquisition.

2.2 SERVICE DELIVERY SUMMARY

SBA will evaluate the contractor’s performance via random sampling of services performed.

Performance Objective Performance Requirement

Timely delivery of loan 90% of all recommendations must be provided to ODA within 10

Document Title

Data Analysis and Loan Recommendation Services recommendation mins of receiving the data from the application. Service level is not expected to change for weekend activity.

Accuracy of Recommendation 95% of all loan recommendations must be formulated in accordance with SBA policies and procedures. Contractor will be notified upon change of policies or procedures.

Accuracy of Information 95% of applicant specific information submitted to ODA by the contractor must be relevant to the applicant submitted to the contractor

*The inability to meet these requirements may result in a reduction of loan recommendation requests or suspension of service or ultimate cancellation of service.

2.3 BREACHES AND CREDIT MONITORING

The Contractor must report ALL incidents involving PII breaches according to notification requirements for data classification to the Contracting Officer and the Contracting Officers

Representative within one (1) hour of the initial discovery (see section 3.19 for additional information). The Contractor is required to provide formal notification and credit monitoring for all affected SBA customers for a period of one year, at no cost to the government, in the event of an IT security breach associated with the Contractor’s IT system(s), irrespective of the root cause(s) of the IT security breach.

3.0 Deliverables

This requirement has the following deliverables

Deliverable Deliverables Due

Data Analysis and Loan Recommendation Within 10 minutes of receiving the data from the application

Weekly Report detailing the number of loan recommendations made Once a week

Data Breach Notification Within 1 hour of initial discovery

Data Breach Reports (see 3.19) Post Award Data

Incident Reporting Within 24 hours of initial discovery

Change Impact Analysis Within 120 days of task order award

Project Management Plan Within 30 days of task order award

Quality Assurance Surveillance Plan Within 30 days of task order award

Integrated Master Schedule and Work Breakdown

Structure Within 30 days of task order award

Risk Register Once a week

4.0 GOVERNMENT FURNISHED PROPERTY AND SERVICES:

ODA will provide industry standard loan application information to the contractor.

5.0 SECURITY

ODA has determined that the information and data that the Offeror will be provided during the performance of the contract is of a sensitive and confidential nature. Offeror shall provide as part of its offer a plan to safeguard any information deemed by ODA as personally identifiable (e.g.

Document Title

Data Analysis and Loan Recommendation Services

Social Security Number).

The IT system(s) proposed by the Contractor is considered a Nonfederal IT system that processes controlled unclassified information. The Contractor shall provide as part of their technical proposal an IT Security Plan detailing how the Contractor’s IT system(s) meet, exceed, and maintain all security requirements in the National Institute of Standards and Technology (NIST)

Special Publication (SP) 800-171, Revision 1 (or successor document), “Protecting Controlled

Unclassified Information in Nonfederal Systems and Organizations.” The aforementioned plan shall be submitted at the time of proposal and annually for review by the government. ODA requires that this plan will go beyond just a description of how the NIST requirements are met, and shall detail all IT security features that will be implemented at the start of performance on this award and which will be maintained throughout performance. The offeror shall describe in detail how these security measures prevent IT breaches or weaknesses in the IT system in which the solution resides. The plan shall also describe how the offeror will notify SBA of any breach or weakness in its IT system and shall describe what services or compensation will be offered to any individuals or entities affected by a breach or weakness in the offeror’s IT system. ODA must have high confidence in the plan provided by the offeror that receives this award, and this IT security plan will be a separate, and important, evaluation factor.

ODA and the offeror will work together to ensure a secure data transfer is in place at the commencement of the recommendation requests.

6.0 PLACE OF PERFORMANCE

The work shall be performed at the contractor’s offices or in the contractor’s systems. Loan recommendation information will then be provided to ODA electronically through the DCMS system.

7.0 PERIOD OF PERFORMANCE

IDIQ Contract: The result of this acquisition for the IDIQ contract will be for a period of performance (POP) for a base period of 1 year with 4 option periods of 12 months each as shown below: The POP can change based on the date of award.

Base Year November 1, 2018 – October 31, 2019 (1 Year)

Option Year 1 November 1, 2019 – October 31, 2020 (1 Year)

Option Year 2 November 1, 2020 – October 31, 2021 (1 Year)

Option Year 3 November 1, 2021 – October 31, 2022 (1 Year)

Option Year 4 November 1, 2022 – October 31, 2023 (1 Year)

FAR 52.217-8 November 1, 2018 – April 31, 2024 (6 Months)

First Task Order: The result of this acquisition for the first task order will be for a period of performance (POP) of one (1) year from date of award. The documenting and implementing business rules, system integration, and system testing should take no more than 6 months to complete and then the remainder of the first task order is for data analysis and loan recommendations for the disaster loan applications received.

End of Statement of Work

Document Title

Data Analysis and Loan Recommendation Services

SECTION 3 - GENERAL TASK ORDER TERMS AND CONDITIONS

3.1 PLACE(S) OF PERFORMANCE

U.S. Small Business Administration – ODA

409 3rd Street, SW, Washington, DC 20416

3.2 INVOICE INSTRUCTIONS:

As of October 1st, 2018, the Small Business Administration is using the Invoice Processing Platform

(IPP) to facilitate the electronic exchange of invoices and payment information to its suppliers of goods and services. IPP is a service provided by the US Treasury’s Bureau of the Fiscal Service designed to help your organization streamline the order-to-pay process.

As a vendor to the Small Business Administration, IPP is available for you to use at no cost to your company.

The contract resulting from this solicitation will require invoices submitted via IPP.

**Invoices for this contract will only be accepted via IPP. Vendors must enroll at https://www.ipp.gov/. **

Contractors are solely responsible for ensuring invoices are received by the SBA. In addition, it is recommended Contractors notify the Contracting Specialist and Technical POC or COR when invoicing.

Do not submit invoice(s) prior to start date of period of performance.

Failure to cite the following information may result in non-payment/rejection of invoice.

When submitting invoice(s) the following information (if applicable) is required on every invoice:

A. Vendor Name and address

B. Invoice Date

C. Invoice Number

D. Contract/Purchase Order Number:

E. Task Order Number:

F. Requisition Number:

G. Description, quantity, unit of measure, unit price, and extended price of items delivered (For time and Material/Labor Hour you shall provide the names of the individuals, the hours worked, the hourly rate, and a description of the services performed during those hours.)

H. Shipping number and date of shipment, including bill of lading number and weight of shipment IF shipped on Government bill of lading

I. Terms of any discount for prompt payment offered

J. Name, title, and phone number of person to notify in event of rejected invoice

K. Any other information requested by the Contracting Officer on the Award document https://www.ipp.gov/

Document Title

Data Analysis and Loan Recommendation Services

For registration questions contact the IPP Customer Support at 866-973-3131 or the SBA Agency

Point of Contact, Cortney Boyce, at cortney.boyce@sba.gov.

3.3 PRODUCTIVE DIRECT LABOR HOURS

The Contractor can only charge the Government for productive direct labor hours which are defined as those hours expended by Contractor personnel in performing work under this contract. This does not include sick leave, vacation, Government or contractor holidays, jury duty, military leave, or any other kind of administrative leave such as acts of God (i.e. hurricanes, snow storms, tornadoes, etc.) or

Presidential funerals or any other unexpected Government closures.

3.4 GOVERNMENT HOLIDAYS

The following holidays and situations are normally observed by Government personnel and result in closure of Government buildings, facilities and offices: New Year’s Day, Martin Luther King’s

Birthday, Presidential Inauguration Day (metropolitan DC area only), President’s Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, Christmas Day, and any other day designated by Federal Statute, Executive Order, and/or Presidential Proclamation such as Presidential funerals, any other unexpected Government closures, or any kind of administrative leave such as acts of God (i.e. hurricanes, snow storms, tornadoes, etc.) During these times contractor personnel are not allowed to charge direct labor hours unless specifically authorized.

3.5 TRAVEL

Travel is not required for this requirement. Any travel is at the cost of the contractor. All correspondence will utilize technology to communicate. If an onsite is required by contractor, those costs are assumed by contractor.

3.6 PAYMENT FOR UNAUTHORIZED WORK

No payments will be made for any unauthorized supplies and/or services or for any unauthorized changes to the work specified herein. This includes any services performed by the Contractor of their own volition or at the request of an individual other than a duly appointed Contracting Officer. Only a duly appointed Contracting Officer is authorized to change the specifications, terms, and conditions under this effort. The contractor shall not react to requests for changes nor shall it be paid for any work performed or expenses incurred that are not the subject of either a contracting officer’s notice to proceed or a formal written modification to the order. The COR may provide technical direction only.

Changes to the requirement and obligation can only be authorized and made by the Contracting

Officer.

3.7 AUTHORITY TO OBLIGATE THE GOVERNMENT

The Contracting Officer is the only individual who can legally commit or obligate the Government to the expenditure of public funds. No cost chargeable to the proposed contract can be incurred before receipt of a fully executed contract or specific authorization from the Contracting Officer.

All contractual questions and concerns will be directed to the Government Contracting Officer. The

Government Contracting Officer is the only individual with the authority to financially obligate the government and to make changes to original terms and conditions of this requirement. The contractor is responsible for notifying the contracting officer of any potential issues or concerns – technical, scope or financial, concerning this requirement.

mailto:cortney.boyce@sba.gov

Document Title

Data Analysis and Loan Recommendation Services

The Contracting Officer (CO) is the exclusive agent of the Government with authority to enter into and administer contracts. The CO must therefore ensure that all requirements of law and regulation are followed. As the CO's representative (COR), the COR is authorized to act in the stead of the CO to monitor the technical effort being performed under this requirement to the extent authorized by the CO in the CO’s letter of appointment of the COR. A copy of appointment letters will be provided to the

Contractor at the time of award.

Contracting Officer’s Representative: Upon contract award, the Contracting Officer will appoint a

Contracting Officer’s Representative (COR) in writing, and will either incorporate the COR appointment letter in the attachments to this order or supply a copy of the appointment letter to the contractor by email. As the CO's representative, the COR is authorized to monitor the technical effort being performed under this requirement to the extent authorized by the CO in the CO’s letter of appointment of the COR.

3.8 AUTHORITIES AND DELEGATIONS

(a) The Contracting Officer is the only individual authorized to enter into or terminate this contract, modify any term or condition of this contract, waive any requirement of this contract, or accept nonconforming work. The Contracting Officer for the IDIQ contract will be: Kip Sheppard and the

Tracy Lambert will be the Contracting Officer for the first task order.

(b) The Contracting Officer will designate a Contracting Officer’s Representative (COR) at time of award. The COR will be responsible for technical monitoring of the contractor’s performance and deliveries. The COR will be appointed in writing, and a copy of the appointment will be furnished to the Contractor. Changes to this delegation will be made by written changes to the existing appointment or by issuance of a new appointment. The COR for this contract will be:

Small Business Administration

Point of Contract: To be determined at the Task Order level.

(c) The COR is not authorized to perform, formally or informally, any of the following actions:

(1) Promise, award, agree to award, or execute any contract, contract modification, or notice of intent that changes or may change this contract;

(2) Waive or agree to modification of the delivery schedule;

(3) Make any final decision on any contract matter subject to the disputes Clause;

(4) Terminate, for any reason, the Contractor’s right to proceed;

(5) Obligate in any way, the payment of money by the Government.

(d) The Contractor shall comply with the written or oral direction of the Contracting Officer or authorized representative(s) acting within the scope and authority of the appointment memorandum.

The Contractor need not proceed with direction that it considers to have been issued without proper authority. The Contractor shall notify the Contracting Officer in writing, with as much detail as possible, when the COR has taken an action or has issued direction (written or oral) that the Contractor considers to exceed the COR’s appointment, within 3 days of the occurrence. Unless otherwise provided in this contract, the Contractor assumes all costs, risks, liabilities, and consequences of performing any work it is directed to perform that falls within any of the categories defined in paragraph (c) prior to receipt of the Contracting Officer’s response issued under paragraph (e) of this clause.

Document Title

Data Analysis and Loan Recommendation Services

(e) The Contracting Officer shall respond in writing within 30 days to any notice made under paragraph (d) of this clause. A failure of the parties to agree upon the nature of a direction, or upon the contract action to be taken with respect thereto, shall be subject to the provisions of the Disputes clause of this contract.

(f) The Contractor shall provide copies of all correspondence to the Contracting Officer and the COR.

(g) Any action(s) taken by the Contractor, in response to any direction given by any person acting on behalf of the Government or any Government official other than the Contracting Officer or the COR acting within his or her appointment, shall be at the Contractor’s risk.

3.9 ADMINISTRATIVE CONSIDERATIONS

3.9.1 Correspondence

To promote timely and effective administration, correspondence shall be subject to the following procedures:

a) Technical correspondence (where technical issues relating to compliance with the requirements herein) shall be addressed to the Contracting Officer’s Representative (COR) with an information copy to the Contracting Officer (CO) and the Contract Specialist (CS).

b) All other correspondence, including invoices, (that which proposes or otherwise involves waivers, deviations or modifications to the requirements, terms or conditions of this SOW) shall be addressed to the Contracting Officer with an information copy to the COR.

3.9.2 Points of Contact

3.9.2.1 Contracting Officer’s Representative (COR)

Small Business Administration, Office of Disaster Assistance

ATTN: To be determined after award

Washington, DC

3.9.2.2 Contracting Specialist (CS)

Small Business Administration, Acquisition Division

ATTN: Tracy Lambert, 13221 Woodland Park Road, 5 th floor

Herndon, Virginia 20171

3.9.2.2 Contracting Officer

The Contracting Officer (CO) for this effort is as follows:

Small Business Administration

Denver Finance Center, Acquisition Division

ATTN: Kip Sheppard, 721 19th Street, Suite 365

Denver, CO 80202

Office: 303-844-7217 email Kip.Sheppard@sba.gov

Document Title

Data Analysis and Loan Recommendation Services

3.10 DISPOSITION OF MATERIAL

Upon termination or completion of all work under this contract, the Contractor shall prepare for shipment, deliver f.o.b. destination, or dispose of all materials received from the Government and all residual materials produced in connection with the performance of this contract as may be directed by the Contracting Officer, or as specified in other provisions of this contract. All materials produced or required to be delivered under this contract become and remain the property of the Government.

3.11 CONTRACTOR INTERFACES

The Contractor and/or his subcontractors may be required as part of the performance of this contract to work with other Contractors supporting the Government. Such other Contractors shall not direct this

Contractor and/or their subcontractors in any manner. Also, the Contractor and/or their subcontractors shall not direct the work of other Contractors in any manner.

The Government shall establish an initial contact between the Contractor and other Contractors and shall participate in an initial meeting at which the conventions for the scheduling and conduct of future meetings/contacts will be established. Any CORs of other efforts shall be included in any establishment of conventions.

3.12 KEY PERSONNEL

(a) The Contractor agrees to assign to the IDIQ contract and Task Orders against it those key persons whose resumes were submitted as required to fill the requirements of the IDIQ contract and Task

Orders. No substitution or addition of personnel will be made except in accordance with this clause.

(b) The Contractor agrees that during the performance of the IDIQ contract and Task Orders, no personnel substitutions will be permitted, unless such substitutions are necessitated by an individual's sudden illness, death, or termination of employment. In any of these events, the Contractor must promptly notify the Contracting Officer/COR and provide the information required by paragraph (d) below.

(c) If key personnel, for whatever reason, become unavailable for work under this IDIQ contract and

Task Orders for a continuous period exceeding thirty (30) working days, or are expected to devote substantially less effort to the work than indicated in its Proposal, the Contractor must propose a substitution of such personnel, in accordance with paragraph (d) below.

(d) The Contractor shall not substitute key personnel without written prior consent from the

Contracting Officer. Requests for key personnel substitutions, regardless of the circumstances, shall be submitted via written notice and within 30 calendar days of when the Contractor would like the substitution to be effective, to the Contracting Officer. The notice shall provide a detailed explanation of the circumstances necessitating the proposed substitution, a complete resume for the proposed substitute, and any other information requested by the Contracting Officer to support the approval or disapproval of the proposed substitution. The Contracting Officer will evaluate requests for substitution of key personnel and promptly notify the Contractor of approval or disapproval.

(e) In the event the Contractor designates additional key personnel as deemed appropriate for the requirement, the Contractor must submit to the Contracting Officer for approval the information required in paragraph (d) above.

Document Title

Data Analysis and Loan Recommendation Services

(f) The Contracting Officer will evaluate requests for substitution and addition of personnel and promptly notify the Contractor, in writing, whether a request is approved or disapproved.

(g) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable to perform under the IDIQ contract and Task Orders is not reasonably forthcoming, or that a resultant reduction of productive effort would impair the successful completion of the IDIQ contract and Task Orders, the IDIQ contract and Task Orders may be terminated by the Contracting Officer for default or for the convenience of the

Government, as appropriate. Alternatively, at the Contracting Officer's discretion, if the Contracting

Officer finds the Contractor to be at fault for the condition, she may equitably adjust (downward) the

IDIQ contract and Task Orders price to compensate the Government for any delay, loss or damage as a result of the Contractor's action.

3.13 COMMITMENT TO PROTECT NON-PUBLIC DEPARTMENTAL INFORMATION

SYSTEMS AND DATA

3.13.1 CONTRACTOR AGREEMENT

The Contractor and its subcontractors performing under this requirement shall not release, publish, or disclose non-public information to unauthorized personnel, and shall protect such information in accordance with provisions of the following laws and any other pertinent laws and regulations governing the confidentiality of such information:

-18 U.S.C. 641 (Criminal Code: Public Money, Property or Records)

-18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information)

-Public Law 96-511 (Paperwork Reduction Act)

In addition, each contractor, subcontractor, and employees of any contractor or subcontractor must sign a Confidentiality and Non-Disclosure Agreement (see Attachment 3) prior to the start of any performance of work under this contract.

3.13.2 DATE, USE, DISCLOSURE OF INFORMATION AND HANDLING OF SENSITIVE

INFORMATION

The contractor will maintain, transmit, retain in strictest confidence, and prevent the unauthorized duplication, use, and disclosure of personnel information.