Attachment_2_Professional_Accounting_Services_Draft_SOW.docx

Attachment 1 Statement of Work (SOW) Office of Historical Trust Accounting Professional Accounting Services Contents

1 General Information Background The Department of the Interior (Interior) currently oversees approximately 55 million surface acres of land, 57 million acres of subsurface mineral interests, and $3.6 billion in assets that are held in trust or restricted status by the Federal Government on behalf of individual American Indians, Alaskan Natives, and federally recognized Indian tribes. Trust revenues are derived from the sale of Indian trust or restricted lands and from leasing surface and subsurface rights for farming and grazing activities, harvesting of timber, extraction and sale of oil and gas and other leased minerals, generation of hydroelectric power, and granting of rights-of-way and utility easements. Trust revenue is subsequently credited to Individual Indian Monies (IIM) and Tribal accounts based on Interior’s records of tracts of trust lands. Interior has the fiduciary responsibility on behalf of the United States Government to manage both IIM and Tribal trust funds. Interior’s Bureau of Indian Affairs (BIA) and the Office of the Special Trustee for American Indians (OST) currently manage these funds.

The American Indian Trust Fund Management Reform Act of 1994 (Reform Act) requires, in part, the Secretary of the Interior to “account for the daily and annual balance of all funds held in trust by the United States for the benefit of an Indian tribe or an individual Indian which are deposited or invested pursuant to the Act of June 24, 1938” (25 U.S.C. § 4011 (a)). In July 2001, the Office of Historical Trust Accounting (OHTA) was created by Secretarial Order No. 3231 to plan, organize, direct, and execute the historical accounting of IIM accounts. The Secretarial Order was amended on June 27, 2002, to extend the same responsibilities to the historical accounting of Tribal accounts. OHTA was re-aligned to report to OST on July 1, 2007.

Interior is currently involved in lawsuits filed by or on behalf of approximately 20 Indian tribes or tribal entities in various Federal District Courts and the Court of Federal Claims. OHTA also assists the OST, BIA, Interior’s Office of the Solicitor (SOL), and other Interior offices and bureaus by preparing historical accountings and other analyses and compilations related to non-litigation inquiries. Working closely with the SOL and the U.S. Department of Justice (DOJ), OHTA satisfies the critical information needs of the various parties through research document production, organization, and analysis of IIM and Tribal accounts. Given the litigation and various laws regarding the confidentiality and privileges of certain information (e.g., the Privacy Act), the work of the Contractor shall be subject to confidentiality requirements – protected attorney work product, and/or confidential settlement materials and the Contractor must protect and maintain data and work products as such.

Objective The objective of this Statement of Work (SOW) is for the Contractor to provide OHTA with accounting resources, expertise, and professional judgment that allows OHTA to accomplish all aspects of the historical accounting mission, including developing litigation and settlement evaluation analyses that could be used to quantify potential liability or settlement amounts and other historical accounting-related work.

Period of performance The period of performance shall be for a one (1) Base period of 11 months, 28 days and four (4) 12 month options periods.

Place of performance Services may be provided at any one of the following locations:

· Department of the Interior (DOI), Main Interior Building (MIB), located at 1849 C Street NW, Washington DC 20240; or

· DOI, OST, 4400 Masthead Street NE, Albuquerque NM 87109; or

· At the contractor’s facility.

At the time of call order issuance, the locations of all labor categories and corresponding hours required will be identified. However, it is anticipated that the government will require two (2) teams, one (1) team in DC and one team in Albuquerque for the first call order requirement, and possibly call orders in the future on a yearly basis that are similar in size and scope to the first call order. The only position that is anticipated to be mostly or completely offsite is the labor category of Director/Partner. However, the government reserves the right to require onsite performance of this labor category as well.

Anticipated Travel Out-of-town travel shall rarely occur, but it is possible and may be required as requested by the COR for any of the awarded call orders. All travel shall be in accordance with Federal Travel Regulations (FTR) and FAR 31.205-46 Travel. The Government COR and/or CO must pre-approve all travel. Local travel, within a 50-mile radius, is not reimbursed.

All travel requests shall be submitted on a REQUEST FOR TRAVEL/APPROVAL FORM to the COR for approval. The request for travel form shall be developed by the contractor (unless otherwise agreed to) and must include the following when applicable: a narrative explaining why the travel method suggested is the most cost effective method, and a breakdown that includes the following information (to be included when applicable): Flight Cost Comparison, Transportation Costs To/From Airport (POV/Parking vs taxi Shuttle), Terminal Parking if required, Baggage Expenses, Rental Car Expense, Rental Car Gas, Tolls, Mileage; POV vs Rental Car if in driving distance, Meal Estimates). Reimbursement is based on actual receipts, not to exceed the travel location’s per diem rate. The templates shall be submitted to the COR within ten (10) days after contract award for approval. A signed and dated copy must be sent to the CO to be placed in the file for invoice verification and approval by the contracting officer. Travel costs with proper documentation (e.g., receipts, copy of credit card statement, etc.) shall be submitted for contractor reimbursement with the applicable invoice. Invoices for travel shall include the name of the traveler, travel itinerary, purpose of travel (event, exercise, workshop, etc.), and any other documentation requested by the COR for a copy of the approved trace; request form.

Government furnished equipment Office space will be provided for the senior consultants’ contractor employees only at the Main Interior Building (MIB), 1849 C Street NW, Washington DC 20240, or 4400 Masthead Street NE, Albuquerque NM 87109, including access to a government-furnished telephone, fax machine, computer, modem, networks, and other installed software. The Government will provide documents or access to electronic records necessary to carry out the designated requirements of this task order.

2 Scope of Work The scope of this SOW is for the Contractor to perform work to support OHTA’s litigation support duties and other historical accounting-related work. The OHTA accounting services contract researches documents that shall allow the contractor to prove or calculate a particular balance or value in a tribal or individual’s account. In general, historical accounting work may consist of researching, compiling, analyzing, reporting, and explaining tribal trust-related historical account information. The Accounting Contractor shall be required to work in a communal environment characterized by teamwork and extensive interaction with possibly other professional accounting firm contractors, historical research contractors, imaging and coding contractor, and other technical contractors from various disciplines. The SOW includes:

a. Preparing written reports, research, analyses, and testing that apply expert knowledge of fund accounting and Government policies and procedures to address historical accounting issues.

b. Documenting procedures performed as part of historical accounting work.

c. Identifying data and documents to address historical accounting issues.

d. Analyzing electronic account data and conducting database queries.

e. Conducting quality control reviews of electronic data, databases, and deliverables.

Specific Tasks

a. Provide Historical Accounting Expertise.

· Address accounting issues that arise in the course of performing historical accounting in a tribal trust context. The Contractor, as requested, shall provide expert knowledge on governmental and private accounting and investment functions, procedures, and practices. Knowledge of historical and current Indian Trust accounting practices and fixed income investment, management, and accounting is required.

· Develop and recommend historical accounting and reconciliation standards. For example, the Contractor may be asked to recommend standards (new or revised) for OHTA’s Accounting Standards Manual.

· The Contractor may be asked to provide testimony in court proceedings, participate in court status conferences, and/or communicate with and/or provide information to a DOJ expert consultant.

b. Historical Accounting Research.

· Research, identify, compile, analyze, and explain historical accounting documents and Federal Government (e.g., Interior, Treasury, etc.) policies and procedures related to the Indian trust fund and accounting thereof.

· The Contractor shall determine appropriate record repositories and information sources (e.g., NARA regional archives) for further research.

c. Account Research and Identification. The Contractor must perform work to research and identify specific accounts and/or accounts for a specific tribe or tribal- entity. The Contractor shall help OHTA determine which trust accounts relate to a tribe and the manner by which they are related.

· Research, compile, document, and explain tribe- IIM and account-specific background information to inform account identification efforts (e.g., identification of search terms).

· Research, design, implement, and report on database queries. Query reports and results often include lists of identified accounts and query terms used (e.g., tribe IIM name variations, codes, account names, etc.)

· Search for, locate, review, and analyze electronic data and documents to identify accounts, improve understanding of accounts, and to facilitate further research. Analysis of transfer transactions between accounts shall likely be necessary.

· Search for and submit requests for documents necessary to further the account research and identification efforts.

· Update and maintain procedures related to account identification.

d. Analysis and Testing. The Contractor shall perform various analyses and tests of historical accounting data and records. Some important historical accounting data sources are listed below. Following are potential tasks the Contractor may be asked to perform.

· Historical accounting data sources include but are not limited to the following.

i. Paper Era. Paper reports and ledgers, some of which have been digitized and/or imaged and coded.

ii. Tribal Trust accounts: Pre-July 1, 1972.

1. Individual Indian Money accounts: approximately pre-mid-1980s.

iii. Electronic Era. Electronically available account records (e.g., transactions, balances, etc.).

1. Arthur Andersen LLP Tribal Trust Funds Reconciliation Project (“TRP”): July 1, 1972 – September 30, 1993.

2. Integrated Records Management System (“IRMS”): approximately mid-1980s – approximately late-1990s/early 2000.

3. Trust Funds Management System (“TFMS” or “Finance”): October 1, 1993 – March 31, 1995.

4. Omni Trust ES (“OMNI”): April 1, 1995 – February 28, 1999.

5. Trust Funds Accounting System (“TFAS”): approximately late-1990s/early 2000 – present.

· Potential analyses and testing tasks:

i. Account analyses, for example: categorizing accounts by account type, linking an account with multiple account numbers across multiple datasets (e.g., from TFMS to OMNI).

ii. Transaction Classification and Categorization (e.g., assignment of a revenue category to a transaction based on attributes of the transaction). Transactions may be classified and/or categorized as transfer, reversal, non-investment, investment, credit, debit, receipt, disbursement, and/or reconciled or un-reconciled.

iii. Identify certain types of related transactions (e.g., transfers, reversals, unconfirmed/confirmed disbursements) and assign a unique identifier for the given related transactions.

iv. Data Completeness Validation: Data Completeness Validation (“DCV”) is several analyses to assess the completeness of the Tribal Trust and IIM system transaction data as well as to support account identification and data compilation efforts. Potential DCV tasks include but are not limited to the following.

1. Verify that transactional balance rolls between datasets for each account.

2. Compare balances to a control source (e.g., account statements, OST/BIA reports).

3. Identify transactional data gaps (e.g., incomplete datasets).

4. Identify missing transactional data elements (e.g., cash transactions with null (zero) dollar amounts).

5. Map transactions electronically within and across accounting systems to trace the movement of funds to confirm the accuracy of the systems and recorded transactions.

6. Assign or consolidate Native American Account Numbers (NAANs) and Native American Beneficiary Numbers (NABN)

v. Investment Profiles, which accumulate, analyze, and summarize documents and data concerning investment: reports, instructions, characteristics, returns, comparables, needs/objectives, etc.

vi. Develop and implement expedited settlement evaluation methods concerning claims involving trust fund accounting and investment management. Using historical data develop and perform calculations, regression analysis, investment benchmark comparisons, statistical evaluations and time value of money computations, data modeling, and other analysis to quantify potential settlement amounts. The Contractor shall have staff that is proficient in R programming language and software environment for statistical computing and graphics.

vii. Compiling annual land revenue summaries from existing data and source documents, which summaries are annual reports on the revenue generated/deposited in a tribe’s account(s) from land resources and/or leases (excluding transfers among related accounts).

viii. “Documents to Dollars,” “Land to dollars,” or “Completeness”

ix. Dollars to Documents, including assessment of tribal disbursement transactions

x. Reconciliation of Transactions to original documents

xi. TRP results such as reconciliation codes and proposed adjustments

xii. Revenue Type Analysis

xiii. Interest Recalculation

xiv. Lag or Processing Time

xv. Investment Rate Calculations and Comparisons

· Perform data analysis and validation of accounts in the IIM system and/or IIM account activity. The IIM system was designed to administer individual Indian trust accounts. However, accounts related to tribes and other non-individual Indian entities have existed and do exist in the IIM system. There are a variety of reasons why accounts related to tribes have been maintained in the IIM system. Some accounts were established for the sole benefit of a tribe and other accounts were used as temporary holding accounts to facilitate distribution of lease revenues due to both tribes and individuals. IIM account historical transactions exist in at least three sources:

· Pre-February 1985 – Hard copy reports and ledgers

· February 1985 – March 2000 – Integrated Records Management System (“IRMS”)

· March 2000 to present – TFAS (Trust Fund Accounting System)

i. The Contractor must perform data analyses and related work on the three IIM datasets. (Note that the Data completeness validation has been performed for IIM Electronic Ledger Era transactions (IRMS and TFAS) and the data format for a TAD has also been initially defined.) These analyses may, among other work or steps, consist of:

1. Identifying all of the Tribe’s accounts, based on account number, account name, and account activity (e.g., majority of the monies in the account transfer to/from a known tribal trust account)

2. Linking accounts across the datasets (e.g., from the Paper Ledger Era to IRMS) due to a change in account number format

3. Identifying and collecting, as necessary, paper ledgers and financial or other documents to support classification of account for an IIM/SDA account

4. Reviewing digitized account ledger transactions for accuracy and completeness

5. Working with the coding and imaging contractor regarding specific instructions for document coding requirements. All data transferred must be encrypted.

ii. Perform accounting and reconciliation tasks using the Accounting Reconciliation Tool (ART) to standardize the documentation for reconciled transactions.

e. Database Development and Creation. OHTA may direct the Contractor to create a Trust Account Database (“TAD”) and/or develop other types of databases. OHTA currently has a defined format for the TAD but it is subject to change.

· Tasks necessary to create a TAD include but are not limited to the following:

i. Identify format and scope needed in the TAD

ii. Map historical dataset revenue codes to the Common Dataset (also known as the “TRAN table”) revenue codes.

iii. Map the historical dataset fields to the appropriate corresponding Common Dataset fields.

iv. Integrate the historical datasets

v. Draft, finalize and integrate reference and look-up tables in the TAD.

vi. Include the receipt classification results in the TAD and update the transaction type field in the TRAN table for the affected transactions

vii. Draft and finalize user manuals, data queries, and documentation to facilitate use of the TADs.

· Other tasks related generally to database development may include:

i. If requested, develop and propose modifications and/or functionality for a new or existing database (e.g., OHTA’s Accounting Reconciliation Tool).

ii. Create databases containing a subset of the data for the TAD. This may include identifying disbursements for given accounts or other key pieces of information.

iii. Create databases of keyed data from paper records.

f. ART Database Analysis and Updates. OHTA may direct the contractor to analyze and/or update a database or portions of a database. Tasks in this area may include:

· Provide expert Structured Query Language (“SQL”) analysis and queries to fulfill OHTA requests

· Evaluate the documents and data contained within the ART and determine if any clean-up efforts should be undertaken. This task could include reducing duplicate images or proposing coding additions or changes.

· Review and analyze data tables and database updates to assess the quality, accuracy, and completeness of specific data tables or database updates.

g. Document Search, Collection, Imaging, and Coding. In an extremely rare circumstance, OHTA may ask the contractor to perform document search, collection, imaging, and/or coding. (Note: OHTA has Contractors for document search and document imaging and coding work.) Therefore, below are the expectations, if the government requests the contractor to:

· Make staff available for travel to record repositories or other locations to search for relevant documents. The Contractor must coordinate with OHTA and the other interested party (ies) to ensure that the Contractor’s staff adhere to the site-specific search protocols.

· The Contractor must provide equipment to electronically image/scan documents at record repositories or other locations. The Contractor must coordinate with OHTA and the other interested party(ies) to ensure that the Contractor’s imaging equipment meets the requirements of the given record repository/record custodian (e.g., use of flatbed scanners that do not include document feeders).

· Technical aspects of the Contractor’s document imaging and coding must meet the specifications described in OHTA’s Coding and Imaging Manual (“CIM”).

· Develop and propose coding specifications for the CIM. Proposed coding specifications must pertain to historical accounting documents.

h. Account Transaction Histories. Compile account transaction histories for an individual tribe/tribal entity and/or specific accounts.

i. Administrative Records.

· Assist OHTA in compiling administrative records for use in Tribal litigation and settlement discussions along with a cover report describing the records and compilation efforts in order to document the activities performed by OHTA and its contractors.

j. Meetings and Presentations.

· The contractor shall coordinate a postaward meeting with the COR within 14 days of award, unless otherwise mutually agreed upon. The postaward meeting shall take place virtually or onsite at MIB in Washington DC. The proposed kickoff meeting shall be identified in the phase-in plan, and any associated costs shall be included in the phase-in CLIN.

· In coordination with OHTA staff and Government attorneys, the Contractor must attend and participate in briefings and negotiations with Tribes. In addition, travel to BIA Regional Offices and Agency Offices may be necessary in order to gain useful background information such as, the financial process, revenue process, realty information, and record keeping.

· As directed, compile and present the results of the 1972-1992 TRP to various groups including Tribal representatives and their attorneys in the form of a briefing. The Contractor must generate the presentation in its entirety seven (7) days preceding the trip unless otherwise directed by OHTA. The presentation must be approved by OHTA at least the day prior to the Contractor visiting any sites.

· Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation (FAR) Subpart 42.5.

k. Reporting.

· Reporting to CO/COR. The Contractor must provide the CO/COR via email a weekly report that addresses the following topics, at a minimum: (1) a summary of the current week’s work, (2) tasks completed, (3) tasks still in progress, (4) estimated and actual completion dates, (5) staff allocation by task, (6) task priorities, (7) upcoming tasks, and (8) issues requiring the COR’s attention. All requested suggested changes made to report be by mutual agreement between the contractor and COR. OHTA may request changes to the format and topics covered by the weekly report.

· Ad-hoc Reports. The Contractor shall prepare ad-hoc reports as requested by OHTA senior management, the Tribal Division PM, the Program Analysts, or other parties, as assigned by its COR. This happens infrequently.

l. Contractor Work and Deliverable Documentation.

· For each project, the COR and OHTA project lead will require detailed source programs, detailed work flow and processing programs, and documentation in performing the work and issuing deliverables under the contract, including, without limit, those for document and data search, digitization, validation, testing, mapping, summaries, compilations, and analysis.

· Results of testing, reconciliation, and analyses performed regarding Tribal transactions and accounts.

m. Training.

· Internal Firm Training that the contractor may provide at their discretion.

· Infrequently, the COR or OHTA Management will request the Contractor to lead training sessions on Tribal matters for OHTA, other OHTA contractors, and other parties (e.g., other Government agencies, tribes, tribes’ consultants, etc.).

n. Compliance

· Design a comprehensive strategy to compile, analyze, report, and improve historical account information as it relates to OHTA’s ongoing compliance responsibilities, including the Freedom of Information Act.

· Identify and collect documents and electronic account data to address historical accounting issues related to compliance.

· Analyze documents and electronic account data.

· Document procedures performed as part of historical accounting work related to compliance.

· Prepare written reports, research, analyses, and testing that apply expert knowledge of fund accounting and Government policies and procedures to address historical accounting issues related to compliance.

· Recommend modifications to current procedures to ensure ongoing compliance with Government policies and procedures.

· Conduct quality control reviews of electronic data, databases, and deliverables.

3 Background Investigations

a. Security Requirements and Data Restrictions.

A security background check is required for all Contractor staff in performance of this contract, unless waived by the Security Officer for OST. The security background check level shall be for a “Public Trust Position” and shall be conducted by Interior, FBI, and Office of Personnel Management (OPM) staff.

Within each Call Order under this BPA, the following will apply:

Within seven (7) days of issuance of each call order, the Contractor will identify all contractor and subcontractor personnel who will require (physical and/or logical) access for performance of work under this contract. The Contractor must make their personnel available at the place and time specified by the COR in order to initiate screening and background investigations.

The following forms, or their equivalent, may be used to initiate the credentialing process:

· Office of Personnel Management (OPM) Standard Form 85 or 85P

· Optional Form (OF) 306

· Fingerprint card (local procedures may require the fingerprinting to done at a police station; in this case, any charges are to be borne by the contractor)

· Release to Obtain Credit Information

· Personal Identification Verification (PIV) card application (web-based) The Contractor must maintain, transmit, retain in strictest confidence, and prevent the unauthorized duplication, use, and disclosure of sensitive information. In the addition to the Government, the Contractor must provide such information only to their own employees, other OHTA contractors, and subcontractors having a need to know such information in the performance of their duties for this project. Information made available to the Contractor by the Government for the performance of this effort shall be used only for those purposes and shall not be used in any other way without the written approval of the CO.

If the Government provides information to the Contractor for use in performance or administration of this effort, the Contractor shall not use such information for any other purpose, except with the written permission of the CO. If the Contractor is uncertain about the availability or proposed use of information provided for the performance or administration of this effort, the Contractor shall consult with the COR and/or CO regarding use of that information for other purposes.

The Contractor must assume responsibility of protecting the confidentiality of Government records which are not public information. Each Contractor or employee of the Contractor, to whom information may be disclosed, may use the information only to the extent authorized herein.

All data received, processed, evaluated, loaded, and created as a result of this contract shall remain the sole property of the Government unless specific exception is granted by the CO.

The work performed under this contract shall only be performed by individuals who are employed by the Contractor or a subcontractor, whose conduct and behavior is consistent with the requirements of this contract and OHTA-established workplace rules. New or replacement staff shall not be permitted by the Contractor to have access to contract related data or paperwork, or perform work under the contract prior to receipt of notice the Government has completed a background check and approved the individual as suitable to have access and perform the work. The Government shall conduct the required background investigation on each individual prior to that individual performing work under this contract, and shall give the Contractor prompt notice of either a rejection of the individuals or an affirmative determination that such individuals meet the Government’s minimum standards of acceptability for a “Public Trust Position.’

If OHTA receives disqualifying information, such as updated police, illegal drugs, or financial records, on a Contractor’s employee, the Contractor, upon receipt of this written notification shall immediately remove the employee from duties which require access to government facilities and Government-furnished equipment and data. Failure on the part of the Contractor to comply with the requirements of this provision shall constitute grounds for termination.

In the event of a disagreement between the Contractor and the Government concerning the disapproval of an individual for suitability reasons or cancellation of a previously successful suitability determination, the Government shall have the right of final determination.

The Contractor shall notify the COR immediately when an employee working on this contract agreement is reassigned or leaves the Contractor’s employ. For adversarial terminations, the contractor shall immediately notify the CO, COR, OST CIO, and Security Officer prior to the termination, as is practicable.

The Contractor employees shall annually complete various IT, security-related, and other training furnished by the Government.

b. Contractor-to-Contractor Interface.

The Contractor and/or its subcontractors shall, as part of the performance of this contract, work closely with other contractors working for the Government. Such other contractors shall not direct the Contractor and/or its subcontractors in any manner. Also, this Contractor and/or its 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 shall be established. CORs for other affected contractors shall be included in any establishment of conventions.4 Additional Requirements 4 Personnel Requirements

a. Personnel The individuals involved in performance of this statement of work must include at least one senior manager/project manager to coordinate the project as well as other experienced managers with significant senior-level experience in Federal compliance and program development.

b. Key Personnel The Director/Partner and Senior Manager/Project Manager are considered key personnel. Once key personnel are identified, they shall not be replaced without prior Government approval. All proposed substitutions shall meet or exceed the qualifications of the person to be replaced. The CO and COR shall be notified in writing of any proposed substitution at least 30 days in advance of the proposed substitution. Such notification shall include:

· An explanation of the circumstances necessitating the substitution.

· A complete resume of the proposed substitute personnel.

· Any other information requested by the CO to enable judgment as to whether or not the Contractor is maintaining the same high quality of personnel that provided the basis for award.

c. Minimum Personnel Qualifications The personnel qualifications of all individuals shall meet or exceed the qualification standards in the applicable GSA contract, as well as the following:

· Director/Partner. (Key Personnel) –Masters in business or other related field that would assist in qualifying the individual for the position and/or is a Certified Public Accountant. At a minimum has five (5) years acting in a managerial capacity. Skilled knowledge of GAAP, GAAS, federal regulation and guidelines. Has overall responsibility for the project and serves as liaison to the Government.

· Senior Manager/Project Manager (Key Personnel) - Bachelor’s degree in business or other related field that would assist in qualifying the individual for the position. Has at a minimum of five (5) years of experience in directing the work of other staff with two (2) of those years were at the supervisory/ managerial level. Skilled knowledge of General Accepted Accounting Principles (GAAP), General Accepted Auditing Standards (GAAS), federal regulation and guidelines. Reviews work papers (including electronic versions on ART), and provides technical assistance to Interior, DOJ, other federal agencies and other staff. Contractor shall back fill PM position with a qualified replacement within 10 work days of a vacancy.

· Experienced Manager – Bachelor’s degree in business or other related field that would assist in qualifying the individual for the position. Directs the work of other staff. Skilled knowledge of GAAP, GAAS, federal regulation and guidelines. Shall have a minimum of five (5) years’ experience in planning, organizing, setting goals, managing budgets, leading people, and juggling multiple priorities.

· Experienced Senior Consultant – Bachelor’s degree in business or other related field that would assist in qualifying the individual for the position. Proficient knowledge of GAAP, GAAS, federal regulation and guidelines. Shall have a minimum of five (5) years’ experience for responsibility for decision-making, ranging from staffing and preparation of deliverables to application of methodologies.

Identification of Contractor Personnel: All Contractor personnel attending meetings, answering government telephones, and working in other situations where their Contractor status is not obvious to third parties, are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are government officials.

Contractor Personnel Appearance and Performance: It is essential that all Contractor personnel meet the highest standards of professionalism and personal integrity. The Contractor shall ensure their personnel do not perform work under the influence of alcohol, illegal prescribed drugs or any other incapacitating agents. Contractor personnel shall be neatly groomed and dressed in business casual attire to present a professional appearance at all times.

Data Rights The government has unlimited rights to all documents/material produced under this contract to the extent permitted by the data rights clauses. The parties mutually acknowledge their understanding that this is the government’s intent. All documents and materials, to include the source codes of any software, produced under this task order shall be government owned and are the property of the government with all rights and privileges of ownership/copyright belonging exclusively to the government. These documents and materials may not be used or sold by the contractor without written permission from the contracting officer. All materials supplied to the government shall be the sole property of the government and may not be used for any other purpose. This right does not abrogate any other government rights.

Phase-In/Phase-Out Phase-In/Phase-Out Periods: Coordinate incumbent and new Contractor’s Phase-In/Phase-Out Plan. The incumbent Contractor is typically required to be performing the contracted services, whereas the new Contractor is using the phase-in period to get prepared to take over the contract, once the base period of performance commences.

Phase-In: To minimize any decreases in productivity and to prevent possible negative impact on additional services, the Contractor shall have all key personnel on board, during the phase-in period. During the phase-in period, the Contractor shall become familiar with performance requirements, in order to commence full performance of services on the start of the base period of performance. The Government is anticipating reserving 88 days (September 3, 2019 – November 30, 2019) for phase-in activities, with the first 30 days being set-aside for security clearances. The incumbent contractor is anticipated to be reduced by 25% of full performance during the month of October and 50% of full performance during the month of November to allow for the incoming contractor to begin to phase-in personnel. The government reserves the right to incorporate into the BPA the Phase-in plan submitted by the successful contractor during the RFQ stage.

Phase-Out: Prior to the completion of this contract, an observation period shall occur, at which time team management personnel of the incoming Contractor may observe operations. This will allow for orderly turnover of facilities, equipment, and records and will help to ensure continuity of services. The outgoing Contractor is ultimately responsible for performing full services IAW the contract, during the phase-out period, and shall not defer any requirements for the purpose of avoiding responsibility or of transferring, such responsibility to the succeeding Contractor. The outgoing Contractor shall fully cooperate with the succeeding Contractor and the Government, so as not to interfere with their work or duties.

To minimize any decreases in productivity and to prevent possible negative impacts on additional services, the outgoing Contractor shall have all personnel on board during the phase-out period. The outgoing Contractor shall be prepared to transition the work load to the newly selected Contractor during the sixty (60) day phase-out period, which will occur at the end of the period of performance of the contractual effort.

Phase-Out Plan. The incoming Contractor shall develop a phase-out plan to affect a smooth and orderly transfer of contract responsibility to a successor. The plan shall fully describe the Contractor’s approach to the following issues, at a minimum: Inventories and turn-over of government property; removal of Contractor property; reconciliation of all property accounts; turn-in of excess property; data and information transfer; clean-up of Contractor work areas; and security debriefings for incumbent personnel holding security clearances; and any other actions required to ensure continuity of operations. The Contractor shall provide the plan to the COR ninety (90) days before the end of the period of performance.

Contracting Officer Representative (COR) The Contracting Officer will designate, in writing, a COR. The COR will have authority to take certain actions specifically provided and within the limitations prescribed in the designation. A copy of the designation will be furnished to the Contractor. In no event will the COR, by virtue only of his/her designation as such, empowered to execute or agree to any contract modification thereof. The Contracting Officer will retain the ultimate responsibility for the administration of the contract. Any discrepancy resulting from coordination with or advisement from the COR shall be addressed, in writing, to the Contracting Officer. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: Assures that the Contractor performs the technical requirements of the contract; performs inspections necessary in connection with contract performance; maintains written and oral communications with the Contractor concerning technical aspects of the contract; issues written interpretations of technical requirements, including government drawings, designs, specifications; monitors Contractor's performance and notifies both the KO and Contractor of any deficiencies; coordinates availability of government furnished property, and provides site entry of Contractor personnel.

5 Technical Exhibit List Technical Exhibit 1 Deliverables

a. Deliverable inspection and acceptance The Contractor shall submit all deliverables to the COR with a notification to the CO. The Government will provide written notification of acceptance or rejection of all deliverables within fifteen (15) calendar days of the Scheduled delivery date or actual delivery date, whichever is later. Absent written notification of acceptance or rejection within fifteen (15) calendar days, it is the responsibility of the Contractor to confirm receipt and acceptance of the deliverable(s). All rejection notifications will include an explanation of the specific deficiencies causing the rejection. If requested, by either the Contractor or Government, a meeting will occur to discuss the deliverable in detail.

b. Deliverable general acceptance criteria General quality measures, as set forth below, will be applied to each work product received from the Contractor under this Statement of Work (SOW).

i. Accuracy - Work Products shall be accurate in presentation, technical content, and adherence to accepted elements of style.

ii. Clarity - Work Products shall be clear and concise. Any/All diagrams shall be easy to understand and be relevant to the supporting narrative.

iii. Consistency Requirements – All work products must satisfy the requirements of this SOW.

iv. Time-Lines – Work products shall be submitted on or before the due date specified in the Approved Project Management plan.

v. File Editing – All text and diagrammatic files shall be editable by the Government.

vi. Format – Work products shall be submitted in hard copy (where applicable) and in media mutually agreed upon prior to submission. Hard copy formats shall follow any specified Directives or Manuals.

c. Deliverables table

Ad-hoc Reports. The Contractor shall prepare ad-hoc reports as requested by OHTA senior management, the Tribal Division PM, the Program Analysts, or other parties, as assigned by its COR. This happens infrequently.

The Weekly Status Report shall include a narrative section describing the progress achieved during the reporting period, plans for the forth-coming reporting period(s), and any anticipated problems, including any required Government action. This report may be combined with the weekly status report provided for other task orders under this contract.

Technical Exhibit 2 Anticipated Level of Effort NOTE: BPA’s are not contracts and the Government makes no guarantees that orders will be placed under this BPA.

The Government estimates this BPA will require a level of effort of approximately between 35,100 and 46,800 hours per year. The Contractor should demonstrate an ability to surge resources if necessary to address Government litigation requirements. All call orders issued under the BPA will either be Time and Materials (T&M), Firm Fixed Price (FFP) or a hybrid of the two types.

Please note that the Government estimate is only communicated to describe the approximate or estimated level of effort for future orders and is not to be construed as either a maximum and minimum level. The Government is seeking the best level of effort and labor mix that the contractor believes is right to accomplish the mission as described in this SOW. Be advised that the estimated data being provided is inclusive of anticipated requirements as outlined in the SOW, which is subject to increases and decreases in workload, and SHOULD NOT be considered as absolute or a guarantee in terms of present or future requirements. RESPONDERS ARE CAUTIONED TO USE AT OWN RISK.

Technical Exhibit 3 Wage Determination Washington DC: Wage Rate Determination 2015-4281, Revision 12, 12/26/2018 Albuquerque, NM: Wage Rate Determination 2015-5443, Revision 7, 12/26/2018 Contractor Facility: Wage Rate Determination 2015-4281, Revision 12, 12/26/2018