062810Solicitation.doc

SOLICITATION NUMBER: CC-10-HQ-R-0037

OCC GROUP LIFE INSURANCE

TABLE OF CONTENTS

Part I – The Schedule

A. SF 1449…………………………………………………………..………………02

B. Services and prices/costs………………………………………………………

C. Performance Work Statement………………………………………………..…..11

D. Packaging and Marking……………………………………………………….…17

E. Inspection and Acceptance…………………………………………………..…..18

F. Deliveries or Performance…………………………………………………….…19

G. Contract Administration Data…………………………………………………

H. Special Contract Requirements…………………………………………………..26

Part II – Contract Clauses

I. Contract Clauses………………………………………………………………

Part III – List of Documents, Exhibits and other Attachments

J. List of Attachments……………………………………………………………

Part IV – Representations and Instructions

K. Representations, certifications, and other statements of offerors.……………….50

L. Instructions, conditions, and notices to offerors……………………………… M. Evaluation factors for award…………………………………………..…………73

B. SERVICES AND PRICES/COSTS

The Contractor shall provide the services specified in Section C, Performance Work Statement (PWS), of the solicitation for a twelve (12) month base period and four (4) twelve month option years at the inclusive price specified in each Contract Line Item Number (CLIN). These prices shall be in effect through the base period of the Order and through the option years if exercised.

The Contractor shall underwrite and administer OCC’s group life insurance program for its active and retired employees and their eligible dependants.

B.1.

Premium Cost

B.1.1. Basic Life

The OCC and the employee share in the premium cost for Basic Life, except in the case of Basic Life for executives which OCC pays 100 percent of the premium. Currently, OCC pays 50 percent of the premium if the employee has elected basic life coverage only under the OCC Group Life Insurance Program. If the employee has elected basic life coverage under both the OCC Group Life Insurance Program and the Federal Employees Group Life Insurance Program, then OCC pays approximately 10 percent of the premium. (OCC will determine its cost sharing factor for the upcoming contract period at a later date.)

The premium is calculated based on a flat rate per $1,000 of coverage. The employee’s age is not a factor.

B.1.2. Optional Life Insurance Coverage

Employees pay 100 percent of the premium for all Optional coverage. The premium rate for all optional coverage is age based. Refer to Exhibit 7 for the schedule of rates.

B.1.3.

Premium Remittance

Biweekly premium is remitted to the Contractor via OCC’s payroll vendor, the National Finance Center (NFC) through a wire transfer process for employees. NFC deducts the employee’s share of the premium from their biweekly pay on an after-tax basis. The premium remittance includes the employees share as well OCC’s share of the premium.

Premium for retirees is currently remitted to the Contractor on a quarterly basis. OCC sends payment through its Financial Management Department for processing. Payment is sent to the Contractor via a wire transfer process.

For the years 2007, 2008 and 2009, OCC’s premium remittance for Basic Life was $497,618, $515,627 and $541,604, respectively. For the same period, OCC’s premium remittance for the optional coverage was $866,257, $565,357 and $664,643.

B.1.4.

Stabilization Reserve A Premium Stabilization Reserve (PSR) account for Basic Life premiums is maintained by the Contractor on behalf of the OCC. The purpose of the PSR is to offset future premium increases for Basic Life. As of March 2010, the balance in the PSR is $608,572. The methodology for determining credits or debits to the PSR account relates only to the costs of Basic Life insurance coverage, excluding AD&D claims experience, on retrospective premium arrangement basis.

B.2. PRICING STRUCTURE

RETIREES

CLIN X001: BASIC LIFE COVERAGE FOR RETIREES

0001: BASE PERIOD – JANUARY 1, 2011 – DECEMBER 31, 2011

MONTHLY RATE PER $1000

1001: OPTION PERIOD I – JANUARY 1, 2012 – DECEMBER 31, 2012

2001: OPTION PERIOD II – JANUARY 1, 2013 – DECEMBER 31, 2013

3001: OPTION PERIOD III – JANUARY 1, 2014 – DECEMBER 31, 2014

4001: OPTION PERIOD IV – JANUARY 1, 2015 – DECEMBER 31, 2015

ACTIVE EMPLOYEES – EMPLOYEE AND FAMILY COVERAGE

CLIN X002: BASIC LIFE COVERAGE (INCLUDING AD&D)

0002: BASE YEAR – JANUARY 1, 2011 – DECEMBER 31, 2011

(max coverage $300K)

1002: OPTION YEAR I– JANUARY 1, 2012 – DECEMBER 31, 2012

2002: OPTION YEAR II – JANUARY 1, 2013 – DECEMBER 31, 2013

3002: OPTION YEAR III – JANUARY 1, 2014 – DECEMBER 31, 2014

4002: OPTION YEAR IV – JANUARY 1, 2015 – DECEMBER 31, 2015

CLIN X003: OPTION I - EMPLOYEE COVERAGE

0003: BASE YEAR – JANUARY 1, 2011 – DECEMBER 31, 2011

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

1003: OPTION YEAR I – JANUARY 1, 2012 – DECEMBER 31, 2012

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

2003: OPTION YEAR II – JANUARY 1, 2013 – DECEMBER 31, 2013

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

3003: OPTION YEAR III – JANUARY 1, 2014 – DECEMBER 31, 2014

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

4003: OPTION YEAR IV – JANUARY 1, 2015 – DECEMBER 31, 2015

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

CLIN X004: OPTION 2 - SPOUSE COVERAGE

0004: BASE YEAR – JANUARY 1, 2011 – DECEMBER 31, 2011

PER $1000

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

1004: OPTION YEAR I – JANUARY 1, 2012 – DECEMBER 31, 2012

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

2004: OPTION YEAR II – JANUARY 1, 2013 – DECEMBER 31, 2013

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

3004: OPTION YEAR III – JANUARY 1, 2014 – DECEMBER 31, 2014

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

4004: OPTION YEAR IV – JANUARY 1, 2015 – DECEMBER 31, 2015

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

CLIN X005: OPTION 3 - FAMILY COVERAGE

0005: BASE YEAR – JANUARY 1, 2011 – DECEMBER 31, 2011

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

1005: OPTION YEAR I – JANUARY 1, 2012 – DECEMBER 31, 2012

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

2005: OPTION YEAR II – JANUARY 1, 2013 – DECEMBER 31, 2013

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

3005: OPTION YEAR III – JANUARY 1, 2014 – DECEMBER 31, 2014

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

4005: OPTION YEAR IV – JANUARY 1, 2015 – DECEMBER 31, 2015

LESS THAN 35

35 – 39

40 – 44

45 – 49

50 – 54

55 – 59

60 AND OVER

C. PERFORMANCE WORK STATEMENT

C.1.

INTRODUCTION

The Office of the Comptroller of the Currency (OCC) is a non-appropriated federal financial regulatory bureau of the Department of the Treasury. The OCC charters, regulates, and supervises national banks, including supervision of federal branches and agencies of foreign banks. The OCC is headquartered in Washington, DC with primary locations in Chicago, Dallas, Denver, Houston and New York. The OCC employs approximately 3,000 employees in 70 cities nationwide and in London, UK.

The OCC is unique from other federal government agencies because it offers its employees the opportunity to participate in the federal benefit programs and it has independent authority to provide compensation and benefit programs that are not offered by other agencies. The OCC sponsored benefit programs include, but are not limited to, dental, vision, group life insurance, Accidental Death and Dismemberment insurance (AD&D), flexible spending accounts (FSA), short and long-term disability and 401(k) programs.

OCC, as a governmental plan, is specifically exempted from Title I and ERISA.

C.2.

SCOPE OF WORK

C.2.1.

General The OCC is seeking an experienced and qualified vendor to underwrite and administer its group term life insurance for its active and retired employees and their eligible dependants. OCC has been offering its own group term life insurance program since the early 1980’s, in addition to the federal group term life program known as the Federal Employees Group Life Insurance (FEGLI). There are approximately 2,160 employees and 880 retirees enrolled in the OCC Group Life Insurance Program. Refer to Exhibit 1 and 2 for employee and retiree census data.

The OCC Group Life Insurance Program is currently being administered by Cigna, whose current 3-year term contract is scheduled to end on December 31, 2010.

C.2.2.

Plan Design

The OCC Group Life Insurance Program consists of a Basic Life and three additional options. An employee must elect Basic Life in order to elect any optional coverage. A description of Basic Life and each of the options is as follows:

C.2.2.1. Basic Life for Active Employees

Basic Life is equal to an employee’s annual pay rounded up to the next higher thousand dollars, plus $2,000. This is the calculation for the Basic Life Amount for all employees except those classified as an “executive.” The Basic Life Amount for an OCC executive is a flat $300,000. This is not determined by their actual annual salary but by their OCC grade level.

In addition to an employee’s Basic Life Amount, the coverage includes AD&D, which is computed in the same manner as the Basic Life Amount.

Also, included with Basic Life is an additional Basic Life Benefit which is age based. The additional Basic Life Benefit is applicable to employees up to age 45. Refer to Exhibit 3 and 4 for the insurance policies for Basic Life and AD&D, respectively.

C.2.2.2. Basic Life for Retirees

Basic Life for an OCC retiree continues in the same amount as it was when the retiree was an employee, with the exception of AD&D and the additional benefit becoming no longer applicable. The amount of coverage reduces to 25 percent of the Basic Life Amount once the retiree attains age 65. However, a retiree can elect to reduce, at any time, their Basic Life Amount to $50,000 to avoid imputed income. In that event, once the retiree attains age 65, the coverage will be the lesser of 25 percent of the original Basic Life Amount or $50,000.

C.2.2.3. Option 1 – Optional Employee Coverage

This is term life coverage which can be elected in an amount from $25,000 to $300,000 in units of $25,000. Optional Employee Coverage is life insurance coverage only for employees (not dependant). Refer to Exhibit 5 for the insurance policy.

C.2.2.4. Option 2 – Spouse Coverage

This is term life coverage which can be elected as 50 percent or 100 percent of the employee’s Basic Life Amount. This option provides coverage for an employee’s lawful spouse or domestic partner. Refer to Exhibit 5 for the insurance policy.

C.2.2.5. Option 3 – Family Coverage

This is term life coverage which can be elected in five different units of coverage. Each unit is in multiples of $5,000 for a spouse or domestic partner and $2,500 for children. The maximum coverage amount is $25,000 for a spouse or domestic partner and $12,500 for children. Refer to Exhibit 5 for the insurance policy.

C.2.3.

Eligibility

The following types of individuals are eligible to participate in the OCC Group Life Insurance Program. They are as follows:

· Employee – A person who is employed by the OCC in a full-time or part-time position on a permanent or temporary basis.

· Retiree – An employee who has retired from the OCC on an immediate or disability retirement. The employee had to be participating in the OCC Group Life Insurance Program for the lesser of five years or the entire period that coverage was available to the employee.

· Spouse/Domestic Partner – A spouse is lawfully married to the employee and not legally separated or divorced from, or widowed by the employee. A domestic partner is: 1) a person of the same or opposite sex of the employee; 2) who shares the same residence as the employee and who rely on one another for financial support; and 3) who executes a signed and notarized OCC Affidavit of Domestic Partnership (refer to Exhibit 6 for a copy of the OCC Affidavit of Domestic Partnership).

· Dependant Child – An unmarried child up to age 22 (the OCC is considering an increase to the child dependant age to 25 if the child is a full-time student and dependant upon the employee for support and maintenance) whose principal residence is with the employee and relies on the employee for support and maintenance. A dependant child is also a child who is 22 or more years old and incapable of self-support due to a physical or mental handicap. A dependant child includes a natural born child of the employee, a step, foster or legally adopted child of the employee, or a dependant child of the domestic partner who lives with and is financially dependant upon the employee.

C.2.4.

Enrollments and Effective Dates

C.2.4.1. New Hire Enrollments A newly hired employee must elect to participate in the OCC Group Life Insurance Program, except for a newly hired OCC executive who is automatically enrolled in Basic Life. A new hire has 31 days from their date of hire to elect to participate in the program. New hire enrollments become effective on the first day of the pay period (biweekly) on or after receipt of the enrollment form by Human Resources.

C.2.4.2. Late Enrollments Employees who fail to enroll during their new hire enrollment period can only enroll during an open enrollment period or by providing evidence of insurability (EOI). Open enrollment elections become effective on January 1st. EOI elections become effective the first day of the pay period following notification of approval from the Contractor. OCC may choose to extend a one-time open enrollment period during the fall of 2010.

C.2.4.3. Enrollment Changes

Changes in enrollment do not require EOI. If an employee is currently participating in the OCC Group Life Insurance Program, he/she can increase their coverage as a result of a qualifying life event, i.e., marriage or acquisition of a domestic partner or a child. Employees are limited on the increase to their coverage by one unit. (However, the OCC is considering allowing employees to increase their coverage by two units and to remove all current stipulation references to age.) An employee has 60 days from the date of the qualifying life event to initiate an enrollment change. The change in enrollment will become effective the first day of the pay period following receipt of the enrollment change form by Human Resources.

An employee can decrease their coverage or cancel their participation in the OCC Group Life Insurance Program at anytime. The effective date of an enrollment change or cancellation is the first day of the pay period following receipt of the form by Human Resources.

In addition to permitting a change in coverage to be made due to a qualifying life event change, OCC permits an enrollment change to Option 1 – Optional Employee Coverage, at anytime, due to an increase in the employee’s annual salary. Employees, regardless of age, who are currently enrolled in Option 1 – Optional Employee Coverage can increase their coverage to the next higher unit due to an increase in salary. This change can be made within 60 days of the effective date of the change in salary and will become effective on the first day of the pay period following receipt of the form by Human Resources.

C.2.5.

Workload Requirements

The Contractor shall provide services in accordance with this Performance Work Statement (PWS) regardless of the actual amount of services or fluctuation in services. There is no guaranteed minimum amount of services to be provided. Any information in this PWS regarding estimated or historical services is intended to aid the Contractor in understanding the requirements associated with the services and in submitting an appropriate bid/proposal.

The Contractor shall provide services to meet the PWS and anticipate serving a maximum population of 3,000+ Employees and 880+ retirees worldwide.

C.2.6. Special Plan Provisions

C.2.6.1. Dual Enrollment

An employee who is legally married to another OCC employee or whose domestic partner is an OCC employee may not elect Option 2 Spouse Coverage if the spouse or domestic partner is also insured under the OCC Group Life Insurance Program as an employee.

C.2.6.2. Terminally Ill Benefit Option An employee can apply for an Assignment of Benefit Option (ABO) which allows them to receive a portion of their Basic Life Amount if he/she is terminally ill and has a documented medical prognosis life expectancy of 12 months or less. The medical prognosis must be certified by a doctor and accepted by the Contractor. Currently, OCC has two executed and approved ABOs on file.

C.2.6.3. Conversion

When an employee’s Basic Life or optional coverage terminates, the employee has the right to convert that coverage to an individual, direct-pay policy within 31 days of termination. EOI would be applicable.

C.3. PERSONNEL REQUIREMENTS

The Contractor shall provide a single point of contact that will serve as a liaison to the OCC to address day-to-day matters. The individual must have a minimum of five years of account management experience in the insurance industry.

C.3.1. Key Personnel The following position(s) are considered essential to the work to be performed under this contract; therefore the Contractor is required to provide the following key personnel position(s):

· Account Manager (AM)

C.3.2. Substitution of Key Contractor Personnel The contractor shall submit a written request to the COTR at least 30 calendar days prior to a substitution of key personnel assigned to this order. The contractor shall include the circumstances necessitating the proposed replacement of the key personnel and shall provide the name and resume of the proposed replacement. It can be assumed that the COTR would approve any personnel replacement that possesses equal or better experience and education of the person being replaced. The Contracting Officer will decide any dispute regarding the substitution of key personnel.

C.3.3 Account Manager Responsibility The Account Manager shall maintain an automated calendar system to ensure that the OCC:

1. Receives an annual accounting (detailing the financial experience) for the contract (assumed January 1, through December 31).

2. Receives prompt and complete responses to all questions and requests from the OCC not specifically addressed above, and establish mutually agreed upon dates for responses.

C.4. CLAIMS EXPERIENCE

Refer to Exhibit 8 for a census listing of the claims experience data for a 5-year period starting with 2005.

D. PACKAGING AND MARKING

NOTICE: No Clauses included in Section D of this Document

E. INSPECTION AND ACCEPTANCE

NOTICE: No Clauses included in Section E of this Document

F. DELIVERIES OR PERFORMANCE

F.1 PERIORD OF PERFORMANCE

The OCC shall award a contract with an initial twelve-month Base Period and four twelve-month Option Year Periods. The Base Period would commence January 1, 2011.

Base Year:

January 1, 2011 – December 31, 2011

Option Year 1:

January 1, 2012 – December 31, 2012

Option Year 2:

January 1, 2013 – December 31, 2013

Option Year 3:

January 1, 2014 – December 31, 2014

Option Year 4:

January 1, 2015 – December 31, 2015

F.2. PLACE OF PERFORMANCE

The Contractor shall perform all of its duties relating to this contract at the Contractor’s work location. The OCC will inspect the Contractor’s place of performance prior to the award of this contract and annually at the OCC’s discretion. Contractor’s place of performance inspection will include a security inspection as defined in section M.2.

F.3. OPTIONS

F.3.1. FAR 52.217-8 Option to Extend Services. (Nov 1999) The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within15 days of contract expiration.

(End of clause)

F.3.2. FAR 52.217-9 Option to Extend the Term of the Contract. (Mar 2000) A. The Government may extend the term of this contract by written notice to the Contractor within 1 day of contract expiration provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.

B. If the Government exercises this option, the extended contract shall be considered to include this option clause.

C. The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 years.

(End of clause)

F.4. PERFORMANCE

F.4.1. OCC 1052.242-8000 Evaluation of Contractor Performance (NOV 2009)

A.

The OCC will evaluate the contractor’s performance after contract award. If this contract has renewal options, an evaluation will be conducted at the end of the final option period or year. If this contract does not have renewal options, an evaluation will be conducted upon completion of the contract. Notwithstanding the preceding, the Contracting Officer may conduct evaluations more or less frequently, if the Contracting Officer deems appropriate.

B.

Evaluations will be conducted using an electronic format as established by the National Institute of Health’s (NIH) Contractor Performance System (CPS), an internet-based database of contractor performance information. The OCC will enter the information, gathered from the evaluation, into the CPS. The contractor will have access to and will be able to provide comments on the evaluation through the database. The contractor must first register to gain access to the NIH database at https://cpscontractor.nih.gov/cr.asp. The contractor will have 30 days to respond to the evaluation. If a response is not entered within 30 days, the evaluation will stand as written.

C.

If the contractor responds to the evaluation, and the response rebuts any or all of the ratings, the Contracting Officer will attempt to reconcile the areas of disagreement with the contractor. If agreement cannot be reached, the evaluation and response shall be reviewed at a level higher than the Contracting Officer and a final evaluation will be issued by the reviewing official. If the reviewing official finds, either all or in part, against the contractor, the contractor’s response shall become part of the final evaluation. The reviewing official’s final decision shall not be subject to dispute under the terms and conditions of the Disputes clause or subject to resolution in accordance with the terms and conditions of the Alternative Dispute Resolution clause. The reviewing official will provide the contractor with a copy of the final evaluation.

D.

Any government agency authorized to access the NIH database will be able to view the performance information related to this contract. Any government agency may also receive a copy the contractor’s performance evaluation, and any associated comments, by contacting the OCC. The OCC will also, upon request, provide copies of any and all of the contractor’s evaluations to the contractor.

(End of Clause)

G. CONTRACT ADMINISTRATION

The Contracting Officer (CO) will administer the contract and serve as the authority on contractual matters. The COTR and CO will monitor the Contractor’s performance and ensure that performance objectives are met in accordance with the terms of the contract. The CO and COTR will ensure that incentives, negative and/or positive, are administered properly and in accordance with the requirements summary.

G.1. POST AWARD MEETING

The OCC will have a post award meeting within 10 business days of contract award. The post award meeting will be held at OCC Headquarters in Washington, DC and the awarded vendor will be required to attend.

G.2. ACCOUNT MAINTENANCE

G.2.1. Account Manager The contractor shall provide a Contract Account Manager to serve as a single point of contact for the coordination of all contract activities. The contractor shall also designate an alternative Account Manager in the event the Contract Account Manager is absent.

The contractor shall notify the COTR in writing of any intended replacement for the contract administrator or contract account manager.

G.2.2. OCC 1052.201-8000 Contracting Officer’s Technical Representative (COTR) Designation and Authority (NOV 2009)

A. The contracting officer's technical representative will be identified via separate letter to the contractor.

B. Performance of work under this contract will be subject to the technical direction of the COTR designated in writing. The term "technical direction" includes direction to the contractor that directs or redirects the labor effort, shifts the work between work areas or locations, fills in details and otherwise serves to ensure that tasks outlined in the work statement are accomplished satisfactorily.

C. Technical direction must be within the scope of the performance work statement/statement of work. The COTR does not have authority to issue technical direction that:

a) Constitutes a change of assignment or additional work outside the performance work statement/statement of work.

b) Constitutes a change as defined in the clause entitled "Changes."

c) Causes an increase or decrease in the contract price, or the time required for contract performance.

d) Changes any of the terms, conditions, or scope of work of the contract.

e) Interferes with the contractor's right to perform under the terms and conditions of the contract.

f) Directs, supervises or otherwise controls the actions of the contractor's employees.

D. Technical direction may be oral or in writing. The COTR shall confirm oral direction in writing within five work days, with a copy to the contracting officer.

E. The contractor shall proceed promptly with performance resulting from the technical direction issued by the COTR. If, in the opinion of the contractor, any direction of the COTR falls within the limitations in (c), above, the contractor shall immediately notify the contracting officer no later than the beginning of the next Government work day.

F. Failure of the contractor and the contracting officer to agree that technical direction is within the scope of the contract shall be subject to the terms of the clause entitled "Disputes."

(End of Clause)

G.3. INVOICING

G.3.1. OCC 1052.212-8001 Supplemental Invoicing Requirements – Commercial Item (NOV 2009)

In addition to the invoicing requirements specified in clause 52.212-4, Contract Terms and Conditions--Commercial Items, of this contract, the following special invoicing requirements also apply to the submission of invoices.

(a)(i) The contractor shall submit invoices in a format that replicates the line item (CLIN) and subline item (subCLIN) structure of the contract or, in the case of an order against a contract, the CLIN and subCLIN structure of the order. Each invoice shall provide, by CLIN and subCLIN, the line item number, description, quantity being invoiced, unit of measure, unit price, and current invoiced amount. Each invoice shall sequence CLINs and subCLINs in the same order in which they appear in the contract or order and shall be totaled at the bottom of the invoice.

(ii) If the contract allows for the submission of partial or periodic invoices, the contractor shall include an additional column, titled “Cumulative Amount,” to the right of the “Current Invoiced Amount” column. In the “Cumulative Amount” column, the contractor shall enter the total amount that has been billed for each contract line item and subline item through the end of the current invoice period.

(iii) The contractor shall submit invoices that conform to the requirements listed in subparagraphs (a)(i) and (ii) above. The contractor shall not deviate from this format without the expressed, written permission of the contracting officer. To further clarify the guidance provided in these paragraphs, a sample, generic invoice accompanies this clause.

(b) The contractor shall identify the point of contact (POC) or contracting officer’s technical representative (COTR) for this contract on the face sheet of all invoices submitted under the contract. The POC or COTR is identified in (b)(ii) below. The contractor shall precede the POC or COTR’s name with either a “POC” or “COTR” label, as appropriate (e.g., “POC: John E. Doe”).

(c) The contractor shall submit an original and two copies of each invoice. The contractor shall submit the original and all copies of the invoice at the same time. Submission shall be as follows:

i) The contractor shall submit original hardcopy or electronic copy of invoice(s) to the designated billing office. Hardcopy invoices shall be sent to:

Address:

Comptroller of the Currency

Accounts Payable, MS FM 2

250 E Street, SW

Washington, DC 20219-0001

Telephone:

(202) 874-5140

Electronic invoices shall be sent to OMAPVendorInvoice@occ.treas.gov

(ii) The contractor shall submit a copy of the invoice (hardcopy or electronic) to the point of contact (POC) or contracting officer’s technical representative (COTR), as designated in the contract. The POC or COTR for this contract is…

Name:

TBD

Address:

TBD

Telephone:

TBD

Electronic copy invoices shall be sent to TBD.

(iii) The contractor shall submit a copy of the invoice (hardcopy or electronic) to the contracting officer or contract specialist. The contracting officer or contract specialist is:

Name:

TBD

Title:

TBD

Address:

TBD

Telephone:

TBD

Electronic copy of invoices shall be sent to TBD.

(d) The OCC may deem any invoice that does not fully comply with the invoicing requirements specified in 52.212-4, Contract Terms and Conditions -- Commercial Items, and this clause, 2052.212-8001, Supplemental Invoicing Requirements – Commercial Item, as an improper invoice and return the invoice to the contractor.

(e) Contractors shall select one method to submit invoices, either hardcopy or electronically. Once a method is selected, Contractors must submit a request to the Contracting Officer to change the manner of submitting invoices for payment. The contract will be modified to effect the change.

(End of Clause) G.3.2. OCC 1052.232-8002 Availability of Funds ( Non-appropriated Funds (Nov 2009)

The OCC is a non-appropriated federal agency. FAR Clause 52.232-18, Availability of Funds, references appropriated funds. Because the OCC is a non-appropriated agency, the Government’s obligation under this contract is contingent upon the availability of non-appropriated funds from which payments for contract purposes can be made.

G.4. OCC 1052.243-8001 AUTHORIZED CHANGES ONLY BY THE CONTRACTING OFFICER (OCT 2008)

(a) Except as specified in paragraph (b) below, no order, statement, or conduct of Government personnel who provide technical direction or in any other manner communicates with contractor personnel during the performance of this contract shall constitute a change under the “Changes” clause of this contract.

(b) The contractor shall not comply with any order, direction or request of Government personnel unless it is issued in writing and signed by the Contracting Officer, or is pursuant to specific authority otherwise included as a part of this contract.

(c) The Contracting Officer is the only person authorized to approve changes in any of the requirements of this contract and notwithstanding provisions contained elsewhere in this contract, the said authority remains solely the Contracting Officer’s. In the event the contractor effects any change at the direction of any person other than the Contracting Officer, the change will be considered to have been made without authority and no adjustment will be made in the contract price to cover any increase in charges incurred as a result thereof. The address and telephone number of the Contracting Officer is: TBD.

H. SPECIAL CONTRACT REQUIREMENTS

H.1. INFORMATION SECURITY

The Contractor’s information security policy in effect as of the effective date of this contract is hereby incorporated by reference as a material part of this contract. The Contractor agrees to provide the OCC with at least thirty days written notice of any proposed changes to that policy. OCC shall have the right to review all technical standards or SAS 70 reviews, and conduct site visits, on an annual basis or when the notice of a significant change or event is provided.

The Contractor shall provide at least thirty calendar days advance notice of any proposed or planned change to its security policy, site location, data storage location, technical standards, and vendor contract clauses dealing with the information security.

The Contractor shall provide written notice to the Contracting Officer (CO) and Contracting Officer’s Technical Representative (COTR) as soon as possible but in no event longer than thirty calendar days after receipt of any new audits or SAS 70 reviews, or any incidents of information security compromise. If there is a breach of OCC sensitive information or data, the Contractor shall provide written or verbal notification to the CO and COTR within twenty-four hours of the breach. Verbal notification of a breach shall be followed up in writing by the end of the next business day. The Contractor further agrees to cooperate with the OCC in any inquiry or investigation for any breach of OCC sensitive information data.

This requirement is in addition to any other laws, rules and regulation to which the Contractor must comply.

H.2. OCC 1052.204-8002 REQUIRED CENTRAL CONTRACTOR REGISTRATION (NOV 2009)

The Office of the Comptroller of the Currency (OCC) uses the Central Contractor Registration database as its database for contractor information. Accordingly, the following requirements apply to this contract.

(a) Definitions. As used in this clause --

(1) "Central Contractor Registration (CCR) database" means the primary Government repository for contractor information require or the conduct of business with the Government.

(2) "Data Universal Number System (DUNS) number" means the 9-digit number assigned by Dun and Bradstreet Information Services to identify unique business entities.

(3) "Data Universal Numbering System+4 (DUNS+4) number" means the DUNS number assigned by Dun and Bradstreet plus a 4-digit suffix that may be assigned by a parent (controlling) business concern. This 4-digit suffix may be assigned at the discretion of the parent business concern for such purposes as identifying sub-units or affiliates of the parent business concern.

(4) "Registered in the CCR database" means that all mandatory information, including the DUNS number or the DUNS+4, if applicable, is in the CCR database; the DUNS number has been validated; and all edits have been successfully completed.

(b)

(1) By submission of an offer, the offeror acknowledges the requirement that a prospective awardee must be registered in the

CCR database prior to award, during performance, and through final payment of any contract resulting from this solicitation, except for awards to foreign vendors for work to be performed outside the

United States.

(2) The offeror shall provide its DUNS or, if applicable, its DUNS+4 number with its offer, which will be used by the Contracting Officer to verify that the offeror is registered in the CCR database.

(3) Failure to register in the CCR database will make an offeror ineligible for award of an OCC contract.

(4) Contractors will be registered in the CCR database within 48 hours after receipt of a complete and accurate application via the Internet. However, registration of an applicant submitting an application through a method other than the Internet may take up to 30 days. Therefore, offerors that are not registered should consider applying for registration immediately upon receipt of this solicitation.

(c) The Contractor is responsible for the accuracy and completeness of the data within the CCR, and for any liability resulting from the Government's reliance on inaccurate or incomplete data. To remain registered in the CCR database after the initial registration, the Contractor is required to confirm on an annual basis that its information in the CCR database is accurate and complete.

(d) Offerors and contractors may obtain information on registration and annual confirmation requirements by calling 1-888-227-2423, or via the Internet at http://www.ccr.gov.

H.3. CORRESPONDENCE PROCEDURES

To promote timely and effective administration, correspondence (except for invoice submitted under this contract) shall be subject to the following procedures:

A. Technical correspondence: Technical correspondence (where technical data issues relating to compliance with contract specifications are involved) shall be addressed to the COTR with an informational copy of the correspondence to the Contracting Officer.

B. Other correspondence: All other correspondence (that which proposes or otherwise involves waivers, deviations, or modifications to the requirements, terms and condition of this contract) shall be addressed to the Contracting Officer.

H.4. OCC 1052.245-8003 Confidential or Sensitive Information (NOV 2009)

The Contractor understands that work to be performed and information released to the Contractor is, because of the proprietary nature of such information, sensitive in nature and is not to be disclosed to anyone other than OCC employees assigned to the contract and other Contractor personnel authorized by the Government to receive the information. The Contractor agrees to protect all confidential and/or proprietary information received by or provided to the Contractor pursuant to this contract from unauthorized disclosure or use for as long as the information remains proprietary or confidential and further agrees that it will not use such information for any purpose other than that relating to the performance of this contract. For purposes of the contract, all information provided to or received by the Contractor is deemed confidential and proprietary.

The Contractor shall execute and is responsible for having all of its employees, subcontractor employees, and agents working under the contract and/or having access to sensitive information under this contract execute a statement entitled “Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement.” This Statement, a copy of which is appended to this contract, provides that sensitive but unclassified information provided to the Contractor or its employees or agents shall not, except as permitted in connection with the performance of the contract, be further disclosed or used without the prior written approval of the Office of the Comptroller of the Currency. Executed copies of this statement must be completed and returned to the Office of the Comptroller of the Currency and by all Contractor employees or agents who will perform work on the contract before their work begins. In the event the contractor fails to submit signed Agreements prior to beginning work, the effective date of any agreement received after work begins shall be the date of award.

Contractor employees who appear in-person for the PIV process at an OCC facility will be required to sign their Non-Disclosure Agreement and return it to the security personnel completing the in-process.

(End of Clause) H.5. OCC 1052.245-8009 CITIZENSHIP OR RESIDENCY REQUIREMENTS OF CONTRACTOR PERSONNEL (MAY 2009)

The Contractor shall ensure that all employees, agents, and subcontractors having unescorted access to OCC's facilities or access to information systems, security items, or sensitive but unclassified information are United States citizens or have lawful permanent resident status.

(End of Clause) H.6. FAR 52.216-2 Economic Price Adjustment—Standard Supplies. (Jan 1997)

(a) The Contractor warrants that the unit price stated in the Schedule for life insurance is not in excess of the Contractor’s applicable established price in effect on the contract date for like quantities of the same item. The term “unit price” excludes any part of the price directly resulting from requirements for preservation, packaging, or packing beyond standard commercial practice. The term “established price” means a price that—

(1) Is an established catalog or market price for a commercial item sold in substantial quantities to the general public; and

(2) Is the net price after applying any standard trade discounts offered by the Contractor.

(b) The Contractor shall promptly notify the Contracting Officer of the amount and effective date of each decrease in any applicable established price. Each corresponding contract unit price shall be decreased by the same percentage that the established price is decreased. The decrease shall apply to those items delivered on and after the effective date of the decrease in the Contractor’s established price, and this contract shall be modified accordingly.

(c) If the Contractor’s applicable established price is increased after the contract date, the corresponding contract unit price shall be increased, upon the Contractor’s written request to the Contracting Officer, by the same percentage that the established price is increased, and the contract shall be modified accordingly, subject to the following limitations:

(1) The aggregate of the increases in any contract unit price under this clause shall not exceed 10 percent of the original contract unit price.

(2) The increased contract unit price shall be effective—

(i) On the effective date of the increase in the applicable established price if the Contracting Officer receives the Contractor’s written request within 10 days thereafter; or

(ii) If the written request is received later, on the date the Contracting Officer receives the request.

(3) The increased contract unit price shall not apply to quantities scheduled under the contract for delivery before the effective date of the increased contract unit price, unless failure to deliver before that date results from causes beyond the control and without the fault or negligence of the Contractor, within the meaning of the Default clause.

(4) No modification increasing a contract unit price shall be executed under this paragraph (c) until the Contracting Officer verifies the increase in the applicable established price.

(5) Within 30 days after receipt of the Contractor’s written request, the Contracting Officer may cancel, without liability to either party, any undelivered portion of the contract items affected by the requested increase.

(d) During the time allowed for the cancellation provided for in paragraph (c)(5) of this clause, and thereafter if there is no cancellation, the Contractor shall continue deliveries according to the contract delivery schedule, and the Government shall pay for such deliveries at the contract unit price, increased to the extent provided by paragraph (c) of this clause.

(End of clause)

H.7. SECURITY

H.7.1. OCC 1052.222-8003 General Requirements for Personal Identity Verification (Nov 2009)

All contractor personnel, regardless of whether or not they are working in an OCC facility, must complete the personal identity verification (PIV) process before beginning work under a contract.

The PIV process is part of a larger process for initiating a background investigation, obtaining an OCC-issued security badge, and obtaining an HSPD-12-compliant security badge (referred to as a SmartID). Completing the PIV process is a prerequisite for obtaining an OCC-issued security badge and obtaining a SmartID.

The Contracting Officer’s Technical Representative (COTR) will provide contractor personnel with an electronic PIV form. Contractor personnel must enter their name, telephone number, email address, employer’s name, sponsor name, and contract number on the form and return it to the COTR.

Contractor personnel must provide additional information, including Social Security number, date of birth, and place of birth, to Critical Infrastructure Protection and Security (CIPS). CIPS will contact contractor personnel for the additional information.

Contractor personnel must appear in person to complete the PIV process, at which time they must present two acceptable forms of identification and complete the PIV form. Requirements for acceptable forms of identification can be found at http://www.fedidcard.gov/deploytrain.aspx. See OCC Clause 1052.245-8007 for requirements regarding in-person appearances for security purposes.

(End of Clause) H.7.2. OCC 1052.245.8001 Information Technology (IT) Security Awareness Training (Sep 2008)

The Contractor understands that work to be performed under this contract may require network (logical) access to OCC information resources. As used in this clause the term access means “network access to OCC information resources” regardless of location. Contractor personnel must complete initial training on their IT security responsibilities and OCC established system rules of behavior to receive network access to OCC information resources. As used herein, “contractor personnel” includes, but is not limited to, advisors, consultants, or agents to the contractor, subcontractors or their personnel, or any other persons under the auspices of the contractor. Contractor personnel requiring network access to OCC information resources must also complete security awareness training annually for the duration of this contract.

The Contractor is responsible for its personnel who require access to OCC information resources. The contractor shall provide a list of names to the COTR after award to initiate the background investigation process and identify contractor personnel who require information security awareness training. The Contractor shall update this list during contract performance to add new contractor personnel to the contract.

Contractor personnel shall complete the IT Security Awareness Training located at http://www.occ.treas.gov/training/isa.htm before receiving network access to OCC information resources, sign and date the certificate at the end of the training with their legal names, and provide electronic copies of the certificate to the Contracting Officer’s Technical Representative (COTR) at least two weeks prior to the need date for network access. The contractor shall contact the COTR to ensure timely processing of request(s) or for situations when immediate access is required due to circumstances beyond the contractor’s control. Failure to meet the requirements of this provision could negatively impact the contractor’s performance rating and/or result in a contract termination pursuant to the termination provisions of this contract.

Contractor personnel shall complete the training annually. The Contractor must verify completion of training for all personnel in a report submitted to the CO, with a copy to the COTR. The initial training must be completed before contractor personnel are granted network (logical) access. The annual training must be completed by April 30th of the fiscal year and the contractor shall submit the report no later than May 15th.

Contractor personnel will be granted access to the Treasury Learning Management System (TLMS) to complete annual IT Security Awareness refresher training. The COTR will provide instructions for completing the annual refresher training in TLMS. The Contractor is responsible for ensuring that all contractor personnel comply with the requirements of this clause.

(End of Clause) H.7.3. OCC 1052.245-8003 Confidential or Sensitive Information (NOV 2009)

The Contractor understands that work to be performed and information released to the Contractor is, because of the proprietary nature of such information, sensitive in nature and is not to be disclosed to anyone other than OCC employees assigned to the contract and other Contractor personnel authorized by the Government to receive the information. The Contractor agrees to protect all confidential and/or proprietary information received by or provided to the Contractor pursuant to this contract from unauthorized disclosure or use for as long as the information remains proprietary or confidential and further agrees that it will not use such information for any purpose other than that relating to the performance of this contract. For purposes of the contract, all information provided to or received by the Contractor is deemed confidential and proprietary.

The Contractor shall execute and is responsible for having all of its employees, subcontractor employees, and agents working under the contract and/or having access to sensitive information under this contract execute a statement entitled “Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement.” This Statement, a copy of which is appended to this contract, provides that sensitive but unclassified information provided to the Contractor or its employees or agents shall not, except as permitted in connection with the performance of the contract, be further disclosed or used without the prior written approval of the Office of the Comptroller of the Currency. Executed copies of this statement must be completed and returned to the Office of the Comptroller of the Currency and by all Contractor employees or agents who will perform work on the contract before their work begins. In the event the contractor fails to submit signed Agreements prior to beginning work, the effective date of any agreement received after work begins shall be the date of award.

Contractor employees who appear in-person for the PIV process at an OCC facility will be required to sign their Non-Disclosure Agreement and return it to the security personnel completing the in-process.

(End of Clause)

H.7.4. OCC 1052.245-8004 General Requirements for Background Investigations (Oct 2008)

All contractor personnel, regardless of…