Attachment 10-TO1-Task 9 Special Purpose Define Risk Assessments 9.1.23.docx
DOCX document 15 KB Posted
- Attached to
- SBA Independent Valuation Consulting Services Federal contract opportunity
- Solicitation number
- 73351023R0027
- Issued by
- Small Business Administration
About this file
This task order statement of work outlines requirements for risk assessments of Small Business Investment Company Clustered Technology funds under a Small Business Administration independent valuation consulting services contract. It defines expectations and deliverables for creating templates for base, intermediate, and high risk assessments similar to an existing operational risk assessment. The templates must include agreed upon tables of contents, summary sections describing due diligence and findings for each core area, and risk ratings. Requirements include identifying additional functions for applicant funds seeking SBIC licenses and SBIC Clustered Technology licenses as accrued debenture SBICs, such as critical technology requirements of the Department of Defense. Sample reports are to be created for the high, base, and intermediate risk assessments using up to 40 hours each of subject matter expert, senior subject matter expert, junior staff, and senior staff labor categories.
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Task Order 1 Independent Valuation Consulting Servics Statement of Work – Risk Assessments Define Base, Intermediate and High Risk Assessments of SBICCTs
The purpose of this first Task Order under the above referenced contract is to ensure there is a mutual understanding between SBA’s Office of Investment and Innovation (OII) and the Awardee(s) for Task 8 – High Risk Assessment. After we establish a mutually agreed upon High Risk Assessment template, this Task Order will create a similar template for Task 6 and Task 7 for Base and Intermediate Risk Assessments respectively.
1. Create a clear written definition of expectations and deliverables of Task 9. Up to 40 hours of blend of Subject Matter Expert (SME), up to 20 hours of a Senior SME and up to 40 hours each of a Junior and Senior Staff labor category. The SMEs must have experience performing Task 8 High Risk Assessments on private equity funds.
a. It is assumed, the base documentation and effort will be similar to Mercer Sentinel’s Operational Risk Assessment (ORA).
b. Identify additional core functions due to the applicant seeking an SBIC license, and specifically an SBICCT license as an Accrued Debenture SBIC. For example, what requirements must be vetted to ensure Critical Technology the Department of Defense (DoD) requires.
2. Create a sample report for Task 8, Risk Assessment. If acceptable to SBA and approved in writing by SBA, then create sample reports for both the Base Risk Assessment and Intermediate Risk Assessment, i.e. Task 6 and 7 respectively in the solicitation.
3. These sample reports as well as all final reports must have an agreed upon table of contents, a summary section and description of the due diligence and findings for each core area used to support the summary section. Each core area should have a rating applied to it as well.
4. A list of documents expected to be requested of the fund, documentation of conversations with key personnel and third-party validation of information provided must be clearly defined and documented.
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