PWS_Draft.pdf

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PERFORMANCE WORK STATEMENT

U.S. Small Business Administration

Office of Investment and Innovation, Investment Division, SBIC Licensing Unit Acquisition for Third Party SBIC Due Diligence Vendor

PERIOD OF PERFORMANCE: 07/05/2019-07/04/2020, 12 months with four option years

I. INTRODUCTION

Overview/Background

The U.S. Small Business Administration’s Office of Investment and Innovation, Investment Division, SBIC Licensing Unit, hereinafter referred to as SBA/OII, is seeking a vendor to provide top-tier due diligence investigations with extensive national capabilities and, as warranted by the Government, international capabilities.

II. PURPOSE OF THE PROCUREMENT

SBA/OII is seeking a vendor to provide top-tier due diligence investigations with both national and international capabilities to complement an increased workload and applications received as a part of the Small Business Investment Companies program (“SBIC” or “the program”) - while maintaining the depth, reliability and capabilities of the program and SBA/OII, in whole.

III. GENERAL INFORMATION

1.1 General

This is a non-personal services contract to provide SBA/OII Due Diligence SBIC Support for SBA’s SBIC program. The Government shall not exercise any supervision or control over the contract service provider performing the services herein. The contract service provider shall be accountable solely to the Contractor who, in turn, is responsible to the Government.

1.2 Description of Services/Introduction

Through this procurement request, SBA/OII will provide the awarded vendor information necessary to conduct top-tier due diligence; the successful vendor will be responsible for, but not limited to conducting/performing/executing:

Background Investigations – provide a comprehensive analysis of a potential business partner, entity, investor, employee or individual, both domestically and abroad. This includes discovery of past criminal or civil litigation, SEC and NASD filings, tax and bankruptcy filings, commercial liens, and intelligence from a network of international law-enforcement associates;

Financial Due Diligence –verify financial structures and ownership; validate and review underlying assets and confirm vendor/supplier relationships;

Forensic Accounting – employ top experts in the investigative and due diligence field who can and will “follow money trails,” uncover hidden assets and unravel strings of shell corporations;

Sarbanes-Oxley/Patriot Act Compliance/SBIC Compliance and SBA Regulatory Compliance – understand compliance with new federal regulations to prevent businesses from unknowingly partnering with organizations or individuals that have ties to terrorism, money laundering, fraud or other criminal activities;

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Fiduciary Compliance – be able to uncover and identify improper transfers or transactions and meet regulatory mandates that protect the interests of outside parties, such as shareholders;

vendor must also be certified to conduct IAIPSIG-approved corporate monitoring of potential fraud and compliance cases;

Moreover, the contractor shall provide all equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform Due Diligence SBIC Support for SBIC program services as defined in this Performance Work Statement except for those items specified as government furnished property and services.

The contractor shall perform to the standards in this contract.

The services called for under this acquisition will be performed in accordance with the terms and conditions stated herein until such time as said services are completed to the satisfaction of the Government. In the event the delivery date(s) must be changed, due to construction or other causes, the Government may modify the terms of the acquisition.

This is a Professional Services Schedule contract to provide SBA/OII due diligence and operational support as it relates to the SBIC program.

The Government shall not exercise any supervision or control over the contract service provider performing the services herein. The contract service provider shall be accountable solely to the Contractor who, in turn, is responsible to the Government.

The awarded vendor will be sought by the Government on an as needed basis during the timeframe set forth within this PWS; delivery of the required services should be received by the Government within a two-to-three week timeframe, as requested by the Government.

IV. AWARDED CONTRACTOR

The awarded vendor will be required to execute Non-Disclosure Agreements and Conflict of Interest agreements with the Government as a condition of this award.

The successful vendor will be able to conduct background investigations, surveillance, asset inquiries, link analysis, interview, forensic accounting, digital forensics, technical surveillance countermeasures sweep, communication analysis, cyber and social media monitoring, and more - as deemed appropriate by the government. The successful vendor will be able to provide services on call and with a turn-around time of two-to-three weeks. Should more time be required, the Government will need to provide written approval to the vendor permitting an extension.

The successful vendor will provide an increased level of infrastructure required by a nationwide field network of investment professionals. The adoption and implementation of this proposal for a third-party due diligence provided will ensure that SBA can effectively and efficiently review and recommend licensing decisions on behalf of the SBIC program.

The awarded Vendor is required to attend a kick-off meeting and familiarize themselves with the conditions of the contract and the SBIC program, in general.

Awarded Vendor will also send comments to the contracting officer based on this kick-off and coordination meeting. The meeting will take place within two (2) business days of the award. The Vendor receiving the award will provide to the Government a list of personnel who will be at the job site for the kick-off meeting within 24 hours of the award.

V. OTHER REQUIREMENT(S)

1.1 General

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This will be a task order award with four option years.

1.2 Objectives

The objective is to provide operations and management support for the mandatory SBIC training held in Washington, DC at least two times and year and up to six times a year.

1.3 Period of Performance

The period of performance shall be for one 12-month Base Period and four 12-month Option Periods.

1.4 Recognized Holidays

The Contractor is not required to perform service on the following Federal holidays:

New Year’s Day Labor Day Martin Luther King Jr.’s Birthday Columbus Day President’s Day Veteran’s Day Memorial Day Thanksgiving Day Independence Day Christmas Day

1.5 Hours of Operation

The Contractor is responsible for conducting business starting not earlier than 6:30 A.M. and ending not later than 6:00 P.M., Monday thru Friday except Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings. A work week will be no more than 40 hours. During the Base and Option Periods the contractor shall work 1,840 hours or the equivalent of 40 hours per week for 46 weeks. The Contractor must at all times maintain an adequate workforce for the uninterrupted performance of all tasks defined within this PWS when the Government facility is not closed for the above reasons. When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce are essential.

1.6 Type of Contract

The government will award a firm fixed price contract.

VI. GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

1.1 Services

Reserved.

1.2 Equipment

The Government will provide the basic necessary equipment for the Contractor staff to provide support outlined in the PWS, to include electronic copies of all SBIC training materials and contact lists for prospective attendees.

1.3 Materials

The contractor will be responsible for furnishing all materials necessary including printing paper, ink, toner, binders, pens, pencils, highlighters and all other office supplies necessary and pertaining to the task.

VII. ATTACHMENT/TECHNICAL EXHIBIT LISTING

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The data provided is an estimate of what it may take to perform the major categories of requirements listed in the Performance Work Statement.

1.1 Attachment 1/Technical Exhibit 1 – Performance Requirements Summary

1.2 Attachment 2/Technical Exhibit 2 – Deliverables Schedule

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1.1 TECHNICAL EXHIBIT 1

PERFORMANCE REQUIREMENTS SUMMARY

The contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. These thresholds are critical to mission success.

Performance Objective Standard Performance Threshold Method of Surveillance

PRS #1

Contractor shall meet all the requirements as outlined in Section III, 1.2

Provide reporting, receipts and confirmation of actions taken as required by Government

100% delivery of all requirements

Validated as required by the government

PRS # 2

Contractor shall be responsible for execute Non-Disclosure Agreements and Conflict of Interest agreements with the Government as a condition of this award as outlined in Section IV.

Provide reporting, receipts and confirmation of actions taken as required by Government

100% delivery of all requirements

Validated as required by the government

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1.2 TECHNICAL EXHIBIT 2

DELIVERABLES SCHEDULE

Deliverable Frequency # of Copies Medium/Format Submit To Provide reporting, receipts and confirmation of actions taken as required by Government

On-going 1 MS Word or Adobe .pdf

Delivered to COR via email at rikki.jones@sba.gov

Provide reporting, receipts and confirmation of actions taken as required by Government

On-going 1 MS Word or Adobe .pdf

Delivered to COR via email at rikki.jones@sba.gov