TIB-2019-C-0003_-_Redacted.pdf

PAGE 1 OF 1. REQUISITION NO.

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NO. 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE DATE

a. NAME b. TELEPHONE NO. (No Collect Calls) 8. OFFER DUE DATE/LOCAL

TIME

9. ISSUED BY CODE 10. THIS ACQUISITION IS UNRESTRICTED OR SET ASIDE: % FOR:

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS:

SIZE STANDARD:

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13b. RATING

14. METHOD OF SOLICITATION

RFQ IFB RFP

15. DELIVER TO CODE 16. ADMINISTERED BY CODE

17a. CONTRACTOR/OFFEROR CODE FACILITY CODE 18a. PAYMENT WILL BE MADE BY CODE

TELEPHONE NO. DUNS: DUNS+4:

PHONE: FAX:

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

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

SEE ADDENDUM

19. 20. 21. 22. 23. 24.

ITEM NO. SCHEDULE OF SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

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

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA ARE ARE NOT ATTACHED.

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN _______________ 29. AWARD OF CONTRACT: REF. ___________________________________ OFFER

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DATED ________________________________. YOUR OFFER ON SOLICITATION

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY (BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED SET FORTH HEREIN IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (TYPE OR PRINT) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION (REV. 2/2012)

PREVIOUS EDITION IS NOT USABLE Prescribed by GSA - FAR (48 CFR) 53.212

7. FOR SOLICITATION

INFORMATION CALL:

STANDARD FORM 1449

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

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 66

PR-2019-STD-0641

TIB-2019-C-0003

05-16-2019

FRTIB

77 K Street NE, Suite 1000

Washington DC 20002

541990

Net 30

X

N/A

X

FRTIB

77 K Street, NE Suite 1000

Washington DC 20002

FRTIB

77 K Street, NE Suite 1000

Washington DC 20002

022Q2

Serco Inc.

12930 Worldgate Drive, Suite 600

Herndon VA 20170

928859149

FRTIB

77 K Street, NE Suite 1000

Washington DC 20002

202-942-1600

Service Bureau

See attached pages 2-66

SUBTOTAL $0.00

$3,241,819.00 NTE

32-2019-Admin-315-001-005 - $3,241,819.00

X 1

Executive Director

David Allen Gitlin, Jr - Contracts Representative

5/15/2019

TIB-2019-C-0003

Part I – The Schedule

Section B - Supplies or Services and Prices/Costs

B.1. COST OF BASE YEAR AND 3 OPTION PERIODS.

Base Year

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT EST AMOUNT

0001 221,568 HRS NTE $8,309,815.09

0001A 1 YR NTE $559,639.09

Labor (Prime) - Time and Material (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2019 – 15 May 2020

FOB: Destination

PR: TBD

0001B 1 YR NTE $7,750,176.00

Labor (Sub-Contractor) – (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2019 – 15 May 2020

FOB: Destination

PR: TBD

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT EST PRICE EST AMOUNT

0002 1 Lot $87,755.76 $87,755.76 Cost Reimbursable (CR)

Travel & ODC (See Section B.4 for Subcontract Labor Categories and associated rates)

Period of Performance: 16 May 2019 – 15 May 2020

0003 1 Lot $ TBD $ TBD ODC Labor Overtime (T&M)

Period of Performance: 16 May 2019 – 15 May 2020

BASE YEAR

ESTIMATED COST

NTE $8,397,570.85

Option Period 1

1001 233,319 HRS NTE $8,790,144.65

1001A 1 YR NTE $987,178.25

Labor (Prime) - Time and Material (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2020 – 15 May 2021

FOB: Destination

PR: TBD

1001B 1 YR NTE $7,802,966.40

Labor (Sub-Contractor) – (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2020 – 15 May 2021

1002 1 Lot $87,672.37 $87,672.37 Cost Reimbursable (CR)

Travel & ODC (See Section B.4 for Subcontract Labor Categories and associated rates)

Period of Performance: 16 May 2020 – 15 May 2021

1003 1 Lot $ TBD $ TBD ODC Labor Overtime (T&M)

Period of Performance: 16 May 2020 – 15 May 2021

OPTION PERIOD 1

NTE $8,877,817.02

Option Period 2

2001 239,193 HRS NTE $9,067,594.87

2001A 1 YR NTE $1,210,359.67

Labor (Prime) - Time and Material (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2021 – 15 May 2022

FOB: Destination

PR: TBD

2001B 1 YR NTE $7,857,235.20

Labor (Sub-Contractor) – (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2021 – 15 May 2022

2002 1 Lot $87,625.13 $87,625.13 Cost Reimbursable (CR)

Travel & ODC (See Section B.4 for Subcontract Labor Categories and associated rates)

Period of Performance: 16 May 2021 – 15 May 2022

2003 1 Lot $ TBD $ TBD ODC Labor Overtime (T&M)

Period of Performance: 16 May 2021 – 15 May 2022

OPTION PERIOD 2

NTE $9,155,220.00

Option Period 3

3001 89,697 HRS NTE $3,423,787.99

3001A 4.5 MO NTE $456,329.59

Labor (Prime) - Time and Material (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2022 – 30 Sep 2022

FOB: Destination

PR: TBD

3001B 4.5 MO NTE $2,967,458.40

Labor (Sub-Contractor) – (T&M)

T&M for non-personal services to operate and manage the Federal Retirement

Thrift Investment Board (FRTIB) Service Bureau in accordance with the

Performance Work Statement (PWS) inserted in Section C. See Section B.4 for

Labor Categories and associated rates.

Period of Performance: 16 May 2022 – 30 Sep 2022

3002 1 Lot $58,956.87 $58,956.87 Cost Reimbursable (CR)

Travel & ODC (See Section B.4 for Subcontract Labor Categories and associated rates)

Period of Performance: 16 May 2022 – 30 Sep 2022

3003 1 Lot $ TBD $ TBD ODC Labor Overtime (T&M)

Period of Performance: 16 May 2022 – 30 Sep 2022

OPTION PERIOD 3

NTE $3,482,744.86

TOTAL EST CONTRACT COST EST $29,913,352.73

B.2. TRANSITION COSTS. Estimated transition costs for Agency employees providing training and information technology support changes will be added to proposed costs and fees for evaluation purposes. These costs will consist of employees' hourly rates for each hour worked on the transition and travel costs associated with the transition. Travel costs will be calculated in accordance with Section G.7 Agency Travel.

B.3. OVERTIME (OT). OT means hours worked in excess of an average of 40 hours per week by direct charge employees with non-exempt status under the Fair Labor Standards Act. Contractors shall perform all contract requirements, so far as practicable, without using OT, particularly as a regular employment practice. Exceptions shall only be made when lower overall costs to the government will result or when it is necessary to meet urgent program needs. Overtime may be allowed when there is 1) a compelling reason for over-time, and 2) the

Contracting Officer’s Representative’s approval. Contractor is required to provide an estimated NTE amount in hours for OT funding. In addition, contractor shall submit a written guideline detailing 1) how OT may be avoided, such as a backfill staffing plan, 2) under what circumstance would OT be considered, 3) an OT submission and approval process that includes FRTIB decision making, and 4) how OT is to be invoiced.

B.4. LABOR RATES.

Labor Category Base Year Option

Period 1 Option

Period 2 Option

Period 3

Senior Manager

PMO Staff

Data Entry Operator II

Data Entry Operator I

Data Entry Operator II-OT

Data Entry Operator I-OT

The Data Entry Operator II and

Data Entry Operator I are SCA positions.

No Escalation applied to SCA positions.

OT rate is at 1.5 times base rate

WAGE DETERMINATIONS USED

WD 2015-4281 rev 12 dated 12/26/2018

Fairfax County, VA

Subcontractor Labor Category Base Year Option

Period 1 Option

Period 2 Option

Period 3

FIS - Manager/Supervisor

FIS - Supervisor - Data Analytics Lead

FIS - Supervisor - IT/IA Lead

FIS - Technical Instructor/Trainer

FIS - Deputy Supervisor/Team Lead

FIS - Data Entry Operator II

FIS - Data Entry Operator I

FIS - Deputy Supervisor/Team Lead-OT

FIS - Data Entry Operator II-OT

FIS - Data Entry Operator I-OT

The Data Entry Operator II and

Data Entry Operator I are SCA positions.

No Escalation applied to SCA positions.

OT rate is at 1.5 times base rate

WD 2015-4591 rev 9 dated 12/26/2018

Bibb County, AL

(End of Section B)

Section C – Description / Specifications / Work Statement

C.1 INTRODUCTION

The Federal Retirement Thrift Investment Board (Agency) seeks the services of a provider capable of the following services and support: receiving, opening, date-stamping, sorting, and forwarding incoming mail

(including returned mail) and facsimile documents and forms; scanning incoming documents and forms, indexing, data entry, and quality control; reviewing and determining appropriate action for selected benefit requests; and maintaining electronic archives of all scanned documents.

The Agency uses the FIS (formerly Sungard) OMNI DocXP data capture and EXP AG document management application, in conjunction with RightFax (for facsimile functionality) and OCR (for data processing functionality). The workflow solution is integrated into the Agency’s recordkeeping system as well as peripheral systems (e.g., the application used by the Agency’s call centers).

C.2 BACKGROUND

The Federal Retirement Thrift Investment Board administers the Thrift Savings Plan (TSP) for Federal employees.

The TSP was created by the Federal Employees' Retirement System Act of 1986, codified primarily at 5

U.S.C.§8351 and §§ 8401-8479. The TSP is a retirement savings and investment plan for Federal civilian employees and members of the uniformed services that offers its participants the same type of savings and tax benefits that are offered under private sector 401(k) plans. The TSP currently has over 5.5 million participants located in the United

States and around the world, and TSP assets are currently valued at over $500 billion.

The Agency currently processes (on average) approximately 21,000 pieces of incoming mail and approximately

56,000 incoming fax images each month. Contents of incoming mail may range from routine correspondence and benefit request forms to important legal documents and checks.

Returned mail volume is currently approximately 25,000 pieces per month, but can increase up to 150,000 pieces per month in the three months after the annual statement mailing in February of each year. The return mail process includes scanning the barcoded return mail into the system and sending back any piece of mail (e.g., notices and statements) where a forwarding address is provided by the Postal Service. These should be placed in an envelope with a postcard requesting that the participant update his/her address.

The Agency has an existing toll-free fax number for participants to use and has established a separate fax capability for overseas participants who may not be able to use the toll-free service. In general, faxes are first triaged in EXP

AG and then moved into the DocXP data capture and document management application for review and distributed electronically. Specific volumes associated with scanning and data entry activities will be discussed later in this document.

C.3 PURPOSE

This initiative is intended to achieve the following Agency technical, management, cost, and risk mitigation objective s:

(a) Improved mailroom, imaging, and data entry throughput;

(b) Improved workflow management;

(c) Increased efficiency;

(d) Reduced mailroom, imaging, data entry, and associated costs;

(e) Common (documented) workflow methodologies and process controls;

(f) Establish management and technical expertise;

(g) Ensure security and privacy of Agency and participant data;

(h) Robust facility and equipment capacities in support of requirements;

(i) Effective management reporting capabilities;

(j) Business continuity and disaster recovery capabilities, and

(k) Implementation of uniform, established quality control procedures.

(l) Provide training and knowledge management.

C.4 SCOPE

The contractor shall provide services for the Thrift Savings Plan in accordance with the requirements stated herein.

(1) Facility: All services shall be performed at the contractor' s facility. The contractor shall provide a modern state-of-the-art facility, and shall maintain, or have access to at least one other geographically distinct facility capable of supporting the requirements of this SOW in the event of a disaster or major outage that disables all or part of the primary site.

(2) Mail and Facsimile (“fax”) Handling Services

a. The Agency currently receives approximately 21,000 pieces of incoming mail and approximately

56,000 faxes each month from TSP participants, their beneficiaries, or other third parties. Incoming mail and faxes generally consist of documents relating to the administration of the Plan by Federal agencies and components of the uniformed services, and requests for benefits or services from plan participants, beneficiaries, and others. Incoming mail and faxes include, but are not limited to:

i. Requests to change names, addresses, and other personal information;

ii. Applications for loans, including subsequent documentation such as loan agreements and supporting documentation;

iii. Correspondence;

iv. Requests for rollovers and transfers of funds into the TSP;

v. Withdrawal requests and associated documentation;

vi. Legal documents, e.g., retirement benefit court orders, legal process orders, guardianship/conservatorships, powers of attorney, requests for spousal consent waivers, tax levies, and bankruptcy notices;

vii. Account information requests;

viii. Designations of beneficiaries, and applications for death benefits and related documentation;

ix. Requests for TSP forms and publications;

x. Agency notifications of participant status; and

xi. Other business transactions that are necessary to administer and maintain individual TSP accounts.

b. No minimum piece count will be required, as amounts may vary on a daily basis.

c. Services required for this component of the statement of work include, but are not limited to:

i. Receive, open, and sort incoming mail and facsimile documents.

1. To ensure proper receipt of mail, the Contractor will, at the Agency' s discretion, be responsible for coordinating the establishment of new and/or renewal of existing post office boxes in accordance with the needs of the Agency.

2. The contractor shall be responsible for reporting issues noticed/discovered with the facsimile system during business hours that impact the ability to maintain operations.

3. The contractor shall be responsible for envelope opening, content extraction (removing documents from the envelopes), extraction verification (verifying that no contents remain in the envelopes after initial extraction), and content reunite (ensures accurate processing by reuniting the contents of the envelope should there be an unsuccessful extraction due to excess glue or contents stuck under the envelope flap, or pieces taped to the envelope) . All incoming mail must be date stamped on the first page upon receipt.

4. Sorting and disposition of opened mail, including:

a. Forwarding of contents to appropriate location/department

(e.g. Special Processing Unit, Ops Center, Written

Correspondence Unit); and

b. Returned mail processing.

5. The contractor shall be responsible for sorting and forwarding faxes to the appropriate work queues. This may entail disposition of partial or incomplete faxes or splitting faxes into multiple queues depending upon content. The contractor will handle as mail (above) those faxes that are not electronically entered into the workflow system.

6. The contractor shall be responsible for processing all barcoded returned, misdirected and trash mail (currently approximately 552,000 annually). Any returns that can be processed with a systematic note in PSR should be handled as such.

7. The contractor shall be responsible for processing all withdrawal forms

(currently approximately 405,000 annually).

8. The contractor shall be responsible for the data entry of all TSP-3

(Designation of Beneficiary) forms (currently approximately 101,000 annually).

9. The contractor shall be responsible for the processing of all loan forms

(currently approximately 262,000 annually).

10. The contractor shall be responsible for processing other TSP participant "non-money-out"(e.g., address change, name change, request to combine accounts) forms (currently approximately 60,000 annually).

(3) Outgoing Mail

a. As required, the contractor shall process the return of original legal documents after imaging.

These are documents that are received from participants that include birth certificates, driver’s licenses, credit and debit cards, and checkbooks. Per standard operating procedures, this type of documentation should be sent back to the participant’s address on the envelope via next day delivery, and the tracking number should be recorded in a PSR note.

b. All documents to be returned shall be imaged within two (2) business days of receipt

(excluding Saturdays, Sundays, and Federal holidays). Documents to be returned shall be postmarked and mailed to the originator (dropped at mailing facility) no later than three (3) business days after imaging (excluding Saturdays, Sundays, and Federal holidays). The tracking number for the returned document shall be recorded in a PSR note no later than one

(1) business day of the document being mailed to the originator.

c. Outgoing mail will include both domestic and foreign addressees.

(4) Document Management (See Attachment J.1 – Agency incoming mail and data entry sample process flow)

a. Scanning and Indexing - The Agency receives, on average, approximately 21,000 documents per month that require imaging (unless they were received via fax), indexing, and processing. As indicated above, these documents vary in nature. All documents must be electronically imaged, indexed, and stored in an electronic database such that they can be stored safely and retrieved readily. In some cases, original documents must be returned to the originator after processing.

i. To accomplish the tasks of scanning, indexing, and data entry, as well as overall workflow management, the Agency uses DocXP, EXP AG, and EXP AG Scan. Use of this architecture is mandatory.

ii. The Agency will provide local and wide area network connectivity and support and hold software licensing and maintenance agreements to support DocXP, EXP AG, and EXP AG Scan, and provide necessary front-end hardware (servers, workstations, scanners, printers, fax machines, etc.). The contractor shall provide personnel skilled in its use, and any necessary training. The contractor shall coordinate with the Agency to ensure all hardware and software is both secure and maintained at the appropriate service and release levels. Software and hardware support for any equipment located at the contractor’s location shall be the responsibility of the Agency.

iii. Storage/Destruction: The contractor shall securely store (non-returnable) paper documents in a retrievable fashion for a period of 60 days after receipt and then shred and dispose of the documents in a secure manner.

(5) Data Entry - The EXP AG data entry process enters task data using OCR that the operators can verify/correct or directly key the information from the image. TSP uses the DocXP application for data entry (See Attachment J.1).

a. Some forms require only one data entry step. However, other forms require one data entry step, then a second quality control (QC) step to ensure acceptability based on criteria provided by the

Agency (e.g., residential loans require the review of participant-submitted documentation to ensure that the money will be used for the purchase of a primary residence) or a review of the form if the data entry operator cannot process it (i.e., review data entry). Additional forms may require a QC step be added at the COR’s discretion. The workflow application also includes other processing steps that may apply (e.g., a form may be suspended after data entry awaiting further documentation).

i. The general workflow process for data entry includes:

1. Scan documents into system and sort into appropriate work queues.

2. Index with the participant' s TSP account number (procedures exist for situations where the TSP account number is not provided – e.g., Form TSP-41, transfer checks, etc.).

3. The system imports the images into DocXP system for data entry.

ii. Data entry is performed by queue; appropriate review steps must be completed. The system provides for online edits, which prompt the data entry person to ensure correct keying as well as indicate erroneous data on the form.

iii. If the form passes the online edits, the data is used to construct transactions to be posted to OMNIPlus (the Agency' s record keeping system), i.e., the request is processed. The transaction is automatically closed Completed) in EXP AG after it is processed in OMNIPlus.

iv. If the task cannot be completed because the form fails the edit process, a reject notice is automatically generated by the EXP AG application, and the task is closed

(completed). (These notes will be mailed by another vendor as part of the overall outgoing mail process for the Plan.)

b. Once a document has been stored in an image format, it cannot be changed or modified, but new or subsequent documents or notes may need to be appended to the original document, with the ID of the operator adding it.

c. The contractor shall complete scanning, indexing, data entry, and quality control for 95% of all forms no later than five (5) business days of initial receipt. Turnaround time does not include weekends and Federal holidays.

(6) Associate Services

a. Special action queues

i. In some cases, the form or request cannot be processed or may need special handling

(e.g., a designation of beneficiary form may be received before an account is established, a civilian participant may have submitted the form to be used only by uniformed services personnel, or the person scanning the item may identify it as needing special review) . In other cases, using elect ronic e-forms, the TSP call center participant service representatives may request that a form be reprocessed.

ii. Work queues (e.g., Review Data Entry) have been established for these special action situations. The contractor will be expected to review the forms in question and take the appropriate action to complete the task. This may result in the re-routing of the task to another queue for processing or the manual preparation of a notice to the participant explaining why the form cannot be processed. (The Agency will provide guidance for these work queues and templates for notices.)

b. Research

i. In addition to the EXP AG application, the contractor will also have access to the

TSP's Participant Service Representative application which provides additional information that may be of assistance in researching problems and determining the appropriate action to be taken.

(7) Application Oversight

a. The contractor will be responsible for the oversight of the EXP AG system. Tasks include providing access rights to the queues to ensure proper work load balancing, reviewing the queues to ensure that work is being processed timely, developing queries and reports at the request of the Agency to address processing concerns, etc.

b. The contractor shall also be responsible for participating in projects and activities that might require changes to the EXP AG application with the TSP record keeping system (OMNIPlus) and its peripheral systems. This may include ensuring that data flowing between the systems is accurate and timely, testing and acceptance of new releases, the addition of new forms, edits, notices, and processes, and the integration of new technology to improve the overall functionality of the applications .

(8) Security

a. Protection of participants' personal information is of paramount importance, and a central element of the Agency 's mission. Accordingly, the contractor shall prepare and deliver (no later than 45 calendar days after contract award) a comprehensive physical and data security plan that ensures the technical and physical safeguarding of both Agency and participant/beneficiary information, and identifies precautions to be taken to protect against the misuse of information. At a minimum, issues addressed by this plan shall include:

i. Physical security,

ii. Data security,

iii. Insider threats, and

iv. Identity theft.

(9) Metrics and Reporting – The Contractor shall report metrics and performance objectives on a regular basis that demonstrate the quality and efficiency with which all elements/services of the statement of work are delivered. A list of required reports is as follows:

a) Service Bureau Daily Operations Performance Report

Report ID: Report - 01

Report Title: Service Bureau Daily Operations Performance Report

Frequency: Daily (by 12:00 pm, EST)

Copies: Electronic

Distribution: COR and other recipients as directed by the COR

Purpose/Use: To assess daily operational activities performed at the Service Bureau

Scope: The report will include all requested data regarding the Service Bureau’s daily operations at the discretion of the COR.

Content: The report shall provide detailed and summarized data and metrics of daily volumes, activities, and tasks of Service Bureau operations. Data and metrics elements should include

(but are not limited to): the number of tasks in the form queues; the number of forms processed the previous day; the current number of business days it is taking to complete reprocess requests, rescans, fax/index, and mailroom. All data should be sorted by the number of days the forms have been in the queues and organized by money-in and money-out forms with a clear indication of the Service Bureau’s compliance to its SLAs.

The COR will request the contractor to remove or add data elements to the report at his/her discretion and in collaboration with the Contractor.

Format: The report shall be in an Adobe PDF or Microsoft Office compatible format. The Contractor shall collaborate with the COR on the desired look and feel of the report.

b) Service Bureau Monthly Performance Review

Report ID: Report - 02

Report Title: Service Bureau Monthly Performance Review

Frequency: Monthly – by 10th business day of the month

Copies: Electronic

Distribution: COR and other recipients as directed by the COR

Purpose/Use: To summarize and present an overview of the Service Bureau’s activities and performance for the month

Scope: The report will include all requested data regarding Service Bureau operations at the discretion of the COR.

Content: This report shall summarize all the activities conducted at the Service Bureau (e.g., incoming forms volume, process and acceptance rates and volumes, turnaround times and adherence to service level agreements, top rejection reasons for the month, accuracy statistics, and any procedural, personnel, or technological issues the Service Bureau may have encountered during the month that may have affected performance.)

The report shall highlight any significant accomplishments, statistics, and explanations of deviations from normal trends in Service Bureau operations.

c) Service Bureau Annual Performance Review

Report ID: Report - 03

Report Title: Service Bureau Annual Performance Review

Frequency: Annually – by 10th business day of January

Copies: Electronic

Distribution: COR and other recipients as directed by the COR

Purpose/Use: To summarize and present an overview of the Service Bureau’s activities and performance for the previous year

Scope: The report will include all requested data regarding Service Bureau operations at the discretion of the COR.

Content: This report shall summarize all the activities conducted at the Service Bureau (e.g., incoming forms volume, process and acceptance rates and volumes, turnaround times and adherence to service level agreements, top rejection reasons for the month, accuracy statistics, and any procedural, personnel, or technological issues the Service Bureau may have encountered during the month that may have affected performance.)

The report shall highlight any significant accomplishments, statistics, and explanations of deviations from normal trends in Service Bureau operations.

d) Loan and Withdrawal Metrics Report

Report ID: Report - 04

Report Title: Loan and Withdrawal Metrics Report

Frequency: Monthly – by 5th business day of the month

Copies: Electronic

Distribution: COR and other recipients as directed by the COR

Purpose/Use: To provide evidence of the Service Bureau’s adherence to meeting its SLA for processing loan and withdrawal forms

Scope: The report will include all requested data regarding the Service Bureau’s processing of loan and withdrawal forms at the discretion of the COR.

Content: This report shall provide data surrounding the processing of loan with withdrawal forms for the previous month. The report shall provide the list of forms, the total number of forms processed, the number of days it took to process the forms, and a summarized indicator of the

Service Bureau’s adherence to its SLA.

Format: The report shall be in Microsoft Excel or Microsoft Office compatible format. The Contractor

e) TSP-21-R Monthly Report

Report ID: Report - 05

Report Title: TSP-21-R Monthly Report

Frequency: Monthly – by 5th business day of the month

Copies: Electronic

Distribution: COR and other recipients as directed by the COR

Purpose/Use: To provide a summary and evidence of the acceptance and rejection rate for Form TSP-21-R, Loan Agreement (Residential Loan)

Scope: The report will include data regarding the acceptance and rejection of TSP-21-R forms at the discretion of the COR.

Content: This report shall include a summary of the number of forms that were accepted and rejected during the previous month (including the total number of forms processed), and the list of all task IDs for the forms that were accepted and rejected.

Format: The report shall be in Microsoft Excel or Microsoft Office compatible format. The Contractor

f) Ad-Hoc Reports

Report ID: Report - 06

Report Title: Ad Hoc Reports

Frequency: Ad Hoc

Copies: Electronic (unless otherwise directed)

Distribution: COR and other recipients as directed by the COR

Purpose/Use: Ad Hoc

Scope: These reports will include data regarding various aspects of the Service Bureau program at the discretion of the COR.

Content: The contractor shall provide ad hoc performance, workload, or other reports at the request of the COR. For example, the COR may ask the Contractor to track specific volumes, trends, and other data for a period of time in conjunction with the introduction of a new program, activity, or form.

Format: The report shall be in a format appropriate for the type of report requested. The Contractor

(10) Quality Assurance/Quality Control

a. The contractor shall be responsible for developing and documenting a Quality

Assurance/Quality Control (QA/QC) program covering all elements of this statement of work.

The purposes of the QA/QC program are to:

i. Generate high levels of customer satisfaction from our participants, thereby increasing satisfaction with our service (e.g., by ensuring timely processing of forms and minimal data entry keying errors) ;

ii. Ensure consistent service delivery through the establishment and publication of Standard Operating Procedures (SOP);

iii. Identify participant needs and how to best fulfill those need (e.g., suggestions for forms redesign to reduce the errors participants make in completing a form); and

iv. Identify ways to continuously improve the service being provided.

b. The documented QA/QC plan (and associated SOPs) shall be delivered to the COR no later than 60 calendar days from contract definitization and shall be reviewed and updated annually or as otherwise needed to support the introduction of new process and procedures. The QA/QC plan should include a combination of:

i. Walkthroughs - Formal or informal structured procedure walkthroughs used for orientation, examining promising ideas, identifying defects or errors, and improving products at any stage in the process.

ii. Reviews – An independent evaluation of an activity or process to assess compliance with established criteria or guidance or to examine products or processes against quality factors. The review may use checklists, interviews, and meetings as well as review of operator performance, error rates, or other operational metrics.

iii. Audits - An independent examination of a work product or process to determine compliance with specifications, standards, contractual agreements, or other pre-established criteria.

iv. Evaluations - An evaluation activity that examines products/services to determine compliance with the Agency's requirements.

v. Process improvement - A process improvement program designed to reduce the error rate in a process, to improve timeliness, to reduce the need for forms reprocessing, etc.

vi. Desk/Operating Procedures - Standard Operating Procedures (SOP) manual (i.e., including workflows for all queues, special cases, Plan rules, etc.) that details the practices, methods, processes, and techniques used for all components and aspects of services provided to FRTIB as defined in the contract. The contractor shall continually maintain and update these procedures and submit them to the COR for review and approval as requested. The contractor shall make and document updates in a timely manner, provide version control and track changes in a user-friendly manner with guidance from the COR, as well as ensure on-demand availability to the procedures.

(11) Accountability

a) Contractor shall ensure that proper levels of security are maintained in all processes. As incoming mail and documents generally contain personal information, the contractor shall have a plan and procedures in place to safeguard participant information and protect against identity theft. The contractor shall keep Agency data and materials physically separated from that of other clients. The contractor shall include appropriate background checks to ensure personnel involved in handling mail and participant documents have no criminal history or history of financial problems. The contractor shall immediately advise the Agency COR of any actual or potential breach of security or compromise of participant account or identity information.

b) The contractor will ensure that all checks, money orders, drafts, or cash are protected from theft, including the use of a safe for storage. Although the Agency has established a lockbox for the receipt of loan payments and a special post office box for the handling of rollover checks into the TSP (the handling of which is not covered by this contract) , the contractor may receive money or checks in the general mail. Accordingly, the contractor should establish specific procedures for handling these situations.

c) The contractor shall identify an account manager and/or account management team, along with processes for ensuring open and regular communication between the Agency and the contractor to ensure prompt reporting of anomalies and other contract activities.

(12) Business Continuity Plan

a. The Contractor shall prepare and deliver (no later than 60 calendar days from contract award) a Business Continuity Plan (BCP) that ensures minimal disruption (less than 24 hours) to

Agency services in the event of a disaster or power outage . At a minimum, the BCP shall:

i. Define what systems/processes are critical to Agency support,

ii. Outline responsibilities related to business continuity planning and implementation, and

iii. Provide guidelines for the development, testing, maintenance, and implementation of specific business resumption plans (BRPs).

(13) Information Technology

a. The Agency will provide all necessary information technology and support for the Contractor to perform the services detailed in this Contract via its enterprise technology contractor.

b. The Contractor shall collaborate with the Agency and its information technology contractor at the

Agency’s discretion and direction, to ensure seamless technological support including but not limited to upgrades, maintenance, replacement actions, asset inventory, etc.

c. The Contractor shall provide the technology necessary for its own business activities (e.g., e-mail, time and attendance, security badging, etc.).

d. Testing Support

i. The Contractor shall assist the Agency and its information technology contractor at the

Agency’s discretion and direction with any testing needed to ensure the seamless operation of information technology used to perform the services detailed in this contract. This may include but is not limited to implementing enhancements and resolving errors/problems/bugs.

ii. The Contractor shall incorporate the experience gained through testing, materials review, etc.

into the Contractor training program for operators and knowledge management process with the intent to facilitate the adoption of a new process, benefit, application change, etc. into the daily operating environment for the services detailed in this contract. Generally, the workload associated with this activity is minimal.

(14) Facilities and Workspace

a. The Contractor shall provide all necessary facilities and workspace in order for the Contractor to provide services as detailed in this contract.

b. The Contractor shall manage the facility, workspace, all fixtures appertaining thereto, ground maintenance, and utilities in order for the Contractor to provide services as detailed in this contract.

c. The Contractor shall provide and maintain a separate physical space for the performance of all work performed under this contract. This space should be secured in such a way as to ensure that only staff assigned to work on the contract has access to the physical space and view of Agency/TSP data and materials. Entry and exit from the physical space should be controlled in such a manner as to ensure ingress and egress by only authorized personnel.

d. Contractor personnel shall wear or prominently display contractor-furnished access badges while performing work in the Agency/TSP physical space. All non-FRTIB visitors must prominently display identification badge and have an escort at all times while on premises.

e. Access to the Agency/TSP physical space shall be limited to the personnel required for the performance of the contract, maintenance of the facilities, etc. The Agency must approve any visitors not associated with the contract’s performance (e.g., potential client of the contractor who wishes to tour the facility).

f. The Contractor shall provide dedicated and secure physical space for equipment (e.g. servers, racks, etc.) managed by the Agency’s information technology contractor staff with access to the Contractor facility’s dedicated Agency/TSP physical space and any other areas where technology supporting this contract is performed or located.

g. The Agency will have access to the Contractor facility to perform site visits, audit reviews, and any other business related function in the oversight of the services detailed in this contract. Most visits will be scheduled in advance; however, the Agency may arrive unannounced for oversight and quality assurance purposes.

h. The Contractor shall support on-site tours of the facility for the Agency and its guests.

i. The Contractor shall provide all supplies necessary for normal office and workspace maintenance (i.e.

paper, pens, desks, chairs, etc.).

(End of Section C)

Section D - Packaging and Marking

D.1 The Contractor's packaging, handling, and transportation procedures may be used, in whole or in part, subject to the written approval of the Contracting Officer, provided (1) the Contractor's procedures are not in conflict with any requirements of this contract, and (2) the requirements of this contract shall take precedence in the event of any conflict with the Contractor's procedures.

D.2 The Contractor must place the requirements of this clause in all subcontracts, if applicable.

(End of Section D)

Section E - Inspection and Acceptance

E.1 The basis for acceptance shall be compliance with the requirements set forth in this contract. The Contracting

Officer Representatives (CORs) will have the right to reject or require correction of any deficiencies found in deliverables. In the event of rejection of any deliverable, the Contractor will be notified in writing by the COR of the specific reasons why the deliverable was rejected. If no comments from the COR are provided within 20 business days of receipt, the deliverable will be deemed to have been accepted by the FRTIB.

E.2 INSPECTION AND ACCEPTANCE TERMS

Supplies/services will be inspected/accepted at:

CLIN INSPECT AT INSPECT BY ACCEPT AT ACCEPT BY

0001 Destination FRTIB Destination FRTIB

0002 Destination FRTIB Destination FRTIB

0003 Destination FRTIB Destination FRTIB

1001 Destination FRTIB Destination FRTIB

1002 Destination FRTIB Destination FRTIB

1003 Destination FRTIB Destination FRTIB

2001 Destination FRTIB Destination FRTIB

2002 Destination FRTIB Destination FRTIB

2003 Destination FRTIB Destination FRTIB

3001 Destination FRTIB Destination FRTIB

3002 Destination FRTIB Destination FRTIB

3003 Destination FRTIB Destination FRTIB

(End of Section E)

Section F – Deliveries or Performance

F.1. REPORTING

The contractor shall provide the reports required in the various sections of this contract in particular the Contractor should note the reporting deliverable requirements in Section C. and H.

F.2. PERIOD OF PERFORMANCE. Period of performance and delivery information is as follows:

CLIN PERIOD OF PERFORMANCE QUANTITY SHIP TO ADDRESS

0001 16 MAY 2019 TO 15 MAY 2020 12 Months N/A - FOB: Destination

0002 16 MAY 2019 TO 15 MAY 2020 1 Lot N/A - FOB: Destination

0003 16 MAY 2019 TO 15 MAY 2020 1 Lot N/A - FOB: Destination

1001 16 MAY 2020 TO 15 MAY 2021 12 Months N/A - FOB: Destination

1002 16 MAY 2020 TO 15 MAY 2021 1 Lot N/A - FOB: Destination

1003 16 MAY 2020 TO 15 MAY 2021 1 Lot N/A - FOB: Destination

2001 16 MAY 2021 TO 15 MAY 2022 12 Months N/A - FOB: Destination

2002 16 MAY 2021 TO 15 MAY 2022 1 Lot N/A - FOB: Destination

2003 16 MAY 2021 TO 15 MAY 2022 1 Lot N/A - FOB: Destination

3001 16 MAY 2022 TO 30 SEP 2022 4.5 Months N/A - FOB: Destination

3002 16 MAY 2022 TO 30 SEP 2022 1 Lot N/A - FOB: Destination

3003 16 MAY 2022 TO 30 SEP 2022 1 Lot N/A - FOB: Destination

F.3. LANGUAGE. English is the only language required to be supported for this program at this time.

F.4. HOURS OF OPERATION.. Under normal conditions, the contractor will be expected to operate the Service

Bureau from 6:30 a.m. eastern time to 7:00 p.m. eastern time, Monday through Friday, except on those holidays designated in Section C.4. However, at any time the Contractor may perform any contract task so long as it does not negatively impact business operations or the participant experience.

F.5. RIGHT TO SURVEIL. The FRTIB reserves the right to surveil all services and requirements called for in

Section C in accordance with the intent of FAR Part 46 to determine whether the Contractor is meeting performance requirements.

F.6. CONTRACT DATA REQUIREMENTS LIST (CDRL) (See Section C.4.9)

Report – 01: Service Bureau Daily Operations Performance Report

Report – 02: Service Bureau Monthly Performance Review Report – 03: Service Bureau Annual Performance Review

Report – 04: Loan and Withdrawal Metrics Report Report – 05: TSP-21-R Monthly Report

Report – 06: Ad-Hoc Reports

F.7. MANAGEMENT OF CDRLs. The Contractor shall submit electronic CDRL(s) as specified herein. The

Contractor shall encrypt all electronic CDRLs using the latest FRTIB encryption standard. If the CDRL due date falls on a weekend or holiday, the Contractor shall submit the deliverable on the last business day prior to the due date. CDRLs shall be submitted to the COR(s) using the required versions and type of software that are compatible with the FRTIB software. (Upon request, the COR will address the required version and type of software.) If FRTIB approval is required in the CDRL description, the Contractor shall include the request for approval at the time of submission. Upon receipt of the CDRL, the COR(s) has 20 business days to inform the Contractor of rejection or request for rework. The Contractor shall make a reasonable attempt to contact the FRTIB to discuss the deliverable.

If the COR(s) has not notified the Contractor within 10 business days of receipt of the deliverable, the Contractor may assume that the CDRL is acceptable. Notwithstanding this paragraph, the Contractor may not assume, based on the absence of notification to the contrary, that a CDRL is acceptable if the CDRL pertains to a matter for which the

FRTIB has retained decisional authority per coordination with the FRTIB COR.

(End of Section F)

Section G – Contract Administration Data

G.1 POINTS OF CONTACT.

Contract Officer

Name: Linda K. Bethke-Cyr

Organization/Office Symbol: FRTIB-OCFO

NOTE: Responsibility for contracting activities rests solely with the Agency Contracting Officer. No conversation, recommendations, or direction, whether given directly by, or implied by Agency personnel, that will affect the scope, schedule, or price of this contract, shall be acted upon by the contractor unless specifically approved by the Agency Contracting Officer.

The Federal Retirement Thrift Investment Board (the Board) is a Government agency operating on non-appropriated funds whose mission is to act solely in the interests of the Thrift Savings Plan participants and beneficiaries. It is the policy of the Board to fully implement all protest decision rendered by the competent protest venues. However, the Board’s statutorily imposed fiduciary responsibilities require that all final determinations regarding the implementation of protest decisions be rendered by the Executive Director of the Board in sole consideration of the best interests of the participants in the Thrift Savings Plan.

G.2. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

G.2.1 The CO hereby designates the below-named individual(s) as the COR:

Contracting Officer Representative

Name: Maria Nunez-Gaylor

Organization/Office Symbol: FRTIB-OPS

G.2.2 The COR is responsible for administering the performance of work under this contract. In no event, however, will any understanding, agreement, modification, change order, or other matter deviating from the terms of this contract be effective or binding upon the Agency unless formalized by proper contractual documents executed by the Contracting Officer. The COR is responsible for:

(a) Monitoring the Contractor's progress, including the surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements;

(b) Interpreting the scope of work;

(c) Performing inspections and acceptances required by this contract; and,

(d) Assisting the Contractor in the resolution of technical problems encountered during the performance of the contract.

(e) Assisting the Contractor in obtaining technical and physical access to FRTIB information and FRTIB information systems; and

(f) Assisting in setting up any meetings with FRTIB technical staff

G.2.3 The Contracting Officer is responsible for directing any changes in the terms, conditions, or amounts cited in the contract.

G.2.4. In order for the Contractor to rely upon guidance from the COR, the guidance must:

(a) Be consistent with the description of work set forth in the contract;

(b) Not constitute new assignments of work or a change to the expressed terms, conditions, or specifications incorporated into the contract;

(c) Not constitute a basis for an extension to the period of performance or contract delivery schedule; and,

(d) Not constitute a basis for any increase in the contract cost.

G.2.5 The COR may be changed by the Agency at any time without prior notice to the Contractor. Written notice to the Contractor will be given by the Contracting Officer to effect any change in COR.

G.2.6 If in the opinion of the Contractor, any instruction or direction issued by the COR is not provided for in any of the provisions of the Contract, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or…