CC15HQR0009_Disability_Insurance_RFP.pdf

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

OFFEROR

OCC

Washington DC 20219

400 7TH STREET SW

Acquisitions Management Comptroller of the Currency

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524113

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03/26/2015 1000 ET

03/03/2015

MARGARET TSE

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FOR SOLICITATION 8. OFFER DUE DATE/LOCAL TIMEb. TELEPHONE NUMBER a. NAME

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

CC15HQR0009

5. SOLICITATION NUMBER

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS 1. REQUISITION NUMBER PAGE OF

1 67 OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

TELEPHONE NO.

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Washington DC 20219

400 7TH STREET SW

Acquisitions Management

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2. CONTRACT NO.

EFFECTIVE DATE

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THIS CONTRACT IS A

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13a.

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

8(A)

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

Comptroller of the Currency

EDWOSB

NAICS:

24.

AMOUNT

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22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

Please see following pages for additional information.

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

HEREIN, IS ACCEPTED AS TO ITEMS:

XX

DATED

MARGUERITE G. RUSSELL

. YOUR OFFER ON SOLICITATION (BLOCK 5),

INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER

ARE

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40. PAID BY39. S/R VOUCHER NUMBER38. S/R ACCOUNT NUMBER

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STANDARD FORM 1449 (REV. 2/2012) BACK

24.

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32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

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67 2 of

CC15HQR0009

Disability Insurance Program

SECTION B – SERVICES AND PRICES

B.1 GENERAL

The contractor shall provide the services specified in Section C, Performance Work Statement, of this contract for a six-month base period and four one-year option periods at the rates specified in each Contract Line Item Number (CLIN). These prices shall be in effect through the base period of the contract and through all option periods, if exercised.

The contractor shall underwrite and administer the Office of the Comptroller of the Currency’s (OCC’s) Short-Term and Long-Term Disability (STD/LTD) Insurance Program for OCC employees as well as employees of the Office of Financial Research (OFR).

For STD, the OCC and OFR employees pay 100 percent of the premium via payroll deductions on a bi-weekly basis. The OCC will remit STD premium payments electronically via its payroll vendor, the National Finance Center (NFC) on a biweekly basis. For LTD, the OCC and the OFR pay 100 percent of the premium for its employees. The OCC will prepare self-billed invoices on a monthly basis.

B.2 CONTRACT LINE ITEM NUMBER (CLIN) DESCRIPTION AND ARRANGEMENT

This contract will be a firm fixed price contract. The number of eligible employees enrolled in the STD and LTD plans is estimated and used for the purposes of establishing a funding amount for each performance period. The OCC employee population may fluctuate within each performance period resulting in an increase or decrease throughout the year (i.e., there may be a variation in quantity). The OCC will remit premium payment based on actual enrollment for that month for LTD at the performance period’s fixed unit rate.

Funds for LTD will be obligated at time of award for the base period (or at the time each option period is exercised, if the Government chooses to exercise an option). The contractor shall notify the CO when 75% of these funds have been invoiced to the OCC. The contractor shall provide an estimate of additional funds required for the remainder of the period of performance.

There will be a transition period (date of award until June 30, 2015) to enroll employees into the disability plan, which will not be separately priced and will be included in the base year.

B.2.1 LTD PRICING

The total price for the base and option periods is anticipated to be $___________________ (based on covered payroll). This amount and the amount associated with the total price for each year (i.e., column 3 in the tables below) are estimates used to establish a contract value. Monthly premium payments are to be based on the actual number of employees and the monthly payroll at the time of payment. The unit rate(s) for this contract are “fixed” for each year as specified below. Rates shall not include commissions/fees to any selling agent.

0001 Transition Period (Date of award through June 30, 2015) Type of Coverage Transition Period Not separately priced

0002 Base Year (July 1, 2015 through December 31, 2015) Type of Coverage Monthly Rate Per $_____ of

Coverage Estimated Total Price for Base (based on covered payroll)

Long-Term Disability $________ $_____________________

0003 Option Year 1 (January 1, 2016 through December 31, 2016) Type of Coverage Monthly Rate Per $_____ of

Coverage Estimated Total Price for Option Year 1 (based on covered payroll)

Long-Term Disability $________ $_____________________

0004 Option Year 2 (January 1, 2017 through December 31, 2017) Type of Coverage Monthly Rate Per $_____ of

Coverage Estimated Total Price for Option Year 2 (based on covered payroll)

Long-Term Disability $________ $_____________________

0005 Option Year 3 (January 1, 2018 through December 31, 2018) Type of Coverage Monthly Rate Per $_____ of

Coverage Estimated Total Price for Option Year 3 (based on covered payroll)

Long-Term Disability $________ $_____________________

0006 Option Year 4 (January 1, 2019 through December 31, 2019) Type of Coverage Monthly Rate Per $_____ of

Coverage Estimated Total Price for Option Year 4 (based on covered payroll)

Long-Term Disability $________ $_____________________

B.2.2 STD PRICING

The total price for the base and option periods is anticipated to be $__________________ (based on covered payroll). The unit rates for this contract are fixed for each year as specified below.

Monthly premium payments are to be based on the actual number of employees and the monthly payroll at the time of payment.

0007 Base Year (July 1, 2015 through December 31, 2015) Maximum Weekly Benefit

Age Brackets Biweekly Rate Per $___ of Weekly Coverage

Annual Cost Estimate (2417 employees)

$3,462 <35 35-39

40-44 45-49 50-54 55-59 60>

0008 Option Year 1 (January 1, 2016 through December 31, 2016) Maximum Weekly Benefit

Age Brackets Biweekly Rate Per $___ of Weekly Coverage

Annual Cost Estimate (2417 employees)

$3,462 <35 35-39 40-44 45-49 50-54 55-59 60>

0009 Option Year 2 (January 1, 2017 through December 31, 2017)

Weekly Benefit

Age Brackets Biweekly Rate Per $___ of Weekly Coverage

Annual Cost Estimate (2417 employees)

$3,462 <35 35-39 40-44 45-49 50-54 55-59 60>

0010 Option Year 3 (January 1, 2018 through December 31, 2018)

Weekly Benefit

Age Brackets Biweekly Rate Per $___ of Weekly Coverage

Annual Cost Estimate (2417 employees)

$3,462 <35 35-39 40-44 45-49 50-54 55-59 60>

0011 Option Year 4 (January 1, 2019 through December 31, 2019)

Weekly Benefit

Age Brackets Biweekly Rate Per $___ of Weekly Coverage

Annual Cost Estimate (2417 employees)

$3,462 <35 35-39 40-44 45-49

50-54 55-59 60>

SECTION C – PERFORMANCE WORK STATEMENT (PWS)

C.1 INTRODUCTION

The OCC is a non-appropriated federal financial regulatory bureau of the U. S. Department of the Treasury. The OCC charters, regulates, and supervises all national banks and federal savings associations. It also supervises the federal branches and agencies of foreign banks. The OCC is headquartered in Washington, DC. It also has primary locations in Chicago, Dallas, Denver, New York, and an office in London to supervise the international activities of national banks. The OCC employs approximately 3790 employees in approximately 70 cities nationwide, including, less than 10 employees in London.

The OCC is a federal government agency that has authority to offer compensation and benefits programs outside of those offered by the federal government. The OCC sponsored benefit programs include, but are not limited to, dental, vision, life insurance, accidental death and dismemberment insurance, business travel accident insurance, flexible spending accounts, 401(k) plans, short-term disability (STD) and long-term disability (LTD) insurances.

The Office of Financial Research (OFR), which was established within Treasury as a result of Dodd-Frank, has a Memorandum of Understanding with the OCC for the provision of services related to some of the benefits that the OFR provides to its employees; therefore, the OFR became a participant in the OCC’s STD and LTD plans, in which its employees were able to enroll starting in July 2011. Currently, the OFR employs approximately 202 employees located in Washington, DC and New York.

Also due to Dodd-Frank, the Office of Thrift Supervision (OTS) merged into the OCC and effective August 2012; these employees were eligible to participate in the STD/LTD plans.

Hence, the premium history will show a spike in paid premiums.

Both the OCC and the OFR, as governmental plans, are specifically exempted from Title I of

ERISA.

C.2 SCOPE OF WORK

C.2.1 GENERAL

The OCC is seeking an experienced and qualified contractor to underwrite and administer its STD and LTD insurances program for its employees as well as the employees of the OFR. The contractor shall administer these programs from an integrated disability management approach to ease the transition from STD to LTD. This integrated approach should enhance employees’ overall experience that aids in the return to work efforts, vocational rehabilitation, claim filing process, and early social security notice. Federal employees are ineligible for state disability benefits. Both STD and LTD are fully insured plans.

The OCC and the OFR provide its employees leave that is consistent with all applicable laws and regulations. This includes sick leave, annual leave, leave without pay (LWOP), family and medical leave (FMLA), leave transfer and leave bank programs. The OCC’s policy is to administer the STD and LTD benefits in conjunction with the usage of sick leave, leave donated from the leave transfer or leave bank programs. Employees must be in a non-pay status/LWOP to receive STD/LTD benefits.

Additionally, in support of the OCC’s efforts to educate employees on healthy living and their benefit options, the successful contractor shall attend an onsite health benefits fair that is generally held in November of every year at OCC’s headquarters location at 400 7th Street, SW, Washington, DC. The contractor is to supply handouts and giveaways and be prepared to answer employee questions concerning the OCC disability insurance program.

C.2.2 ELIGIBILITY

For STD and LTD, the eligibility requirement is defined as a regular employee (full-time or part-time) or temporary employee with an appointment greater than one year who is actively at work at least 60 hours biweekly.

C.2.3 ENROLLMENT AND EFFECTIVE DATES

Enrollment Employees have two opportunities to enroll in STD:

• New Hire – Employees who enroll within 31 days of hire.

• Late Enrollment – Employees who decide not to enroll as a new hire may enroll at any time but they will be subject to a late enrollment penalty.

Late Enrollment Penalty The late enrollment penalty is applicable in lieu of medical underwriting/pre-existing clauses.

The late enrollment penalty changes the benefit-waiting period from seven calendar days to 30 calendar days. During this period, employees are required to exhaust all accrued sick leave and the time is concurrent with the 30 calendar days. The penalty will apply if employees file a claim for an illness, pregnancy or a mental disorder during the first 12 months after the employees’ effective date of coverage. After the first 12 months of coverage, the benefit-waiting period reverts to the seven calendar days. The late enrollment penalty does not apply to a disability caused by accidental injury (injury to the body).

The OCC plan provides for a late enrollment penalty in lieu of medical underwriting.

Effective Dates For STD, enrollments are effective the first of the month following the receipt of a completed enrollment form by Human Resources.

For LTD, coverage is effective on the date employees meet the eligibility requirements.

Enrollment Data The OCC maintains the STD/LTD enrollment data for its employees and the employees of OFR.

For LTD, eligible employees are covered as of the date of hire and no enrollment is necessary.

C.2.4 PREMIUM COST

For STD, OCC and OFR employees pay 100 percent of the premium via payroll deductions on a bi-weekly basis. The premium is deducted on an after-tax basis and benefit payments are non-taxable. On a biweekly basis, STD premium payments will be remitted electronically via the payroll vendor, the National Finance Center (NFC). This is applicable for the OCC and the OFR employees.

For LTD, the OCC and the OFR pay 100 percent of the premium for its employees; therefore, 100 percent of the benefit payment is subject to taxation for employees. For STD/LTD, the contractor shall be responsible for all tasks related to tax reporting. This includes the preparation and distribution of appropriate tax filing documents, e.g., 1099 and W-2 for each claimant for paid benefits in accordance with the plan.

OCC will prepare separate self-billed invoices on a monthly basis for both the OCC and the OFR.

OCC will send the vendor a copy of the invoice electronically via email on a monthly basis.

C.2.5 WORKLOAD REQUIREMENTS

The Contractor shall provide services in accordance with this PWS regardless of the actual amount of services or fluctuation in services. There is no guaranteed minimum amount of services to be covered. 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 proposal.

Table 1: Estimated Annual Population Summary for the Proposed Term of the Contract

Employees with a leave balance less than the maximum benefit period could perhaps benefit from enrolling in the STD program. These employees have sick leave balances of 13 weeks or less, which is the maximum benefit period for STD (40 hours per week times 13 weeks = 520 hours).

Refer to Technical Attachment 1 (OCC Census Data) and 2 (OFR Census Data) for additional information (Attachments 1 and 2 of this RFP).

For the OCC, the potential population is about 2,180, of which approximately 1,187 employees are enrolled in STD.

For the OFR, the potential population is about 185, of which approximately 80 employees are enrolled in STD.

Service Type Service Requirement Population Location

OCC Short-Term Disability Annually 2,180 Employees that could potentially enroll in benefit Worldwide and Continental US

OCC Long-Term Disability Annually 3,788 Employees Worldwide and

Continental US OFR Short-Term Disability Annually 185 Employees that could potentially enroll in benefit Continental US

OFR Long-Term Disability Annually 202 Employees Continental US

C.2.6 PLAN DESIGN

The STD and LTD plans shall be administer from an integrated disability management approach.

The OCC’s intent is to increase the benefit maximum amount from $275,000 (60 percent $165,000) to $300,000 (60 percent $180,000). The OCC’s policy is to administer the STD and LTD benefits in conjunction with the usage of sick leave, leave donated from the leave transfer or leave bank programs. Employees must be in a non-pay status/LWOP to receive STD/LTD benefits. Federal employees are ineligible for state disability benefits. The following tables summarize the plan design that the OCC plans to implement under this contract.

Plan Design STD LTD Benefit 60% weekly salary 60% monthly salary Benefit Max/Min*

$300,000 (60 percent $180,000)

$3,462/$25* $15,000/greater of $100 or 10% of monthly benefit*

Benefit – Waiting Period 7 calendar days plus the use of all accrued sick leave and leave donated from the leave bank or leave transfer programs

90 calendar days plus the use of all accrued sick leave and leave donated from the leave bank or leave transfer programs

Late Enrollment Penalty 30 calendar days plus the use of all accrued sick leave and leave donated from the leave bank or leave transfer programs

N/A

Benefit Period 90 calendar days Varies (age at the time of disability) *Minimum Benefit is not applicable while in a paid status from the OCC or OFR.

C.3 PERSONNEL REQUIREMENTS

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

C.4 CLAIMS EXPERIENCE

Claims experience is provided for both STD/LTD plans. Refer to Technical Attachment 3 – STD/LTD Claims Data for additional information (Attachment 3 of this RFP).

C.5 SECURITY REQUIREMENTS

C.5.1 If the contractor’s proposed solution includes an information system that will collect and store Personally Identifiable Information(PII) for OCC employees, i.e. names, phone numbers, email addresses, home addresses or other sensitive information related to the individual, this information shall be protected in accordance with the Federal Information Security Management Act of 2002 (Public Law 107-347) (FISMA). The contractor’s proposed system shall, at a minimum, include the security controls identified in the National Institute of Standards and Technology (NIST) Special Publication 800-53 Revision 4 “Security and Privacy Controls for Federal Information Systems and Organizations” for a moderate impact system.

http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r4.pdf

C.5.2 If the contractor’s proposed solution includes the collection and storage of Personally Identifiable Information (PII) for OCC employees, i.e. names, phone numbers, email addresses, home addresses or other sensitive information related to the individual, and the solution is a “cloud based” solution, the contractor shall meet all requirements of the Federal Risk and Authorization Management Program (FedRAMP). http://cloud.cio.gov/fedramp.

C.6 PERIOD OF PERFORMANCE

The OCC is seeking to award a contract with an initial nine-month base period (i.e., three-month transition period and a six-month base period) and four one-year options. (Note, the length of the transition period depends on the date of award.) Insurance coverage is expected to commence on July 1, 2015. There will be a not-separately-priced transition period from the date of award to June 30, 2015 to enroll OCC and OFR employees into the new disability plan.

C.7 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.

C.8 PERFORMANCE REQUIREMENT SUMMARY

All services under this contract will be subject, at all times to inspection by the Government.

Although the Government retains the right to specifically enforce all clauses in the contract, the http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r4.pdf http://cloud.cio.gov/fedramp

Performance Requirement Summary (PRS) identifies those contract requirements considered most important to acceptable contract performance and the Government’s intended quality assurance procedures. The PRS references the most applicable section of the PWS, the qualitative performance standards (objectives), the Government’s intended quality assurance procedures and frequency of inspection (measures), and what the Government believes is the minimum satisfactory rating (expectations) at this time. The Contracting Officer (CO) may unilaterally change the PRS provided the contractor is notified of the change at least 30 calendar days prior to the beginning of the evaluation period to which the changes apply. Please see Appendix A for the

PRS.

C.9 DELIVERABLES

See Appendix B for the list of deliverables and associated due dates.

C.9.1 ACCEPTANCE CRITERIA

The Contracting Officer’s Representative (COR) will review all draft and final deliverables to ensure accuracy, functionality, completeness, professional quality, and overall compliance with the guidelines/ requirements. The contractor shall ensure the accuracy and completeness of all deliverables. Errors, misleading or unclear statements, incomplete or irrelevant information, and/or excessive rhetoric, repetition, and/or “padding”, shall be considered deficiencies and shall be subject to correction by the contractor, at no additional cost to the Government. Unless otherwise indicated, the Government will require ten business days to review and comment on deliverables. If the deliverable does not meet the noted criteria, the Government will return it for correction.

C.9.2 REJECTION PROCEDURES

If the COR rejects any deliverable, that rejected document will be handled in the following manner:

C.9.2.1 After notification that the deliverable did not meet the acceptance criteria, the contractor shall re-submit an updated/corrected version within five business days after receipt of Government comments.

C.9.2.2 Upon re-submission by the Contractor, the Government will reapply the same acceptance criteria. If the deliverable does not meet the acceptance criteria a second time, the Government may consider the Contractor as having deficient performance with respect to the deliverable.

C.10 IT ACCESSIBILITY

All electronic documents and proposed solution, such as a web-based automated enrollment system shall comply with Section 508 of the Rehabilitation Act of 1973 as amended. The OCC has identified the following applicable standards:

36 CFR 1194.22 – Internet and Intranet Information and Applications 36 CFR 1194.31 – Functional Performance Criteria 36 CFR 1194.41 – Information, Documentation, and Support

APPENDIX A

PERFORMANCE REQUIREMENTS SUMMARY

PWS Performance Requirement

Standard (Objective)

Method of Surveillance (Measurement)

Frequency Acceptable Quality Level

(AQL)

Incentive/Disincentive

Adjudicate STD claims and all actions necessary in determining a claimant’s disability status in accordance with the plan.

Ensure that total claim process is handled within 10 days upon receipt of a completed claim.

Evaluation of the Activity Report or Claim Experience Report by the Contracting Officer’s Representative

(COR).

Quarterly 80% of STD claims for the month must be adjudicated within 10 days from receipt of a completed claim by the insurance company.

Incentive: If contractor meets or exceeds AQL, OCC will give favorable past performance.

Disincentive: If contractor fails to meet AQL, 0.5% of annual policy premium will be reimbursed directly to OCC. The insurance company will reimburse OCC via check on annual basis.

Adjudicate LTD claims and all actions necessary in determining a claimant’s disability status in accordance with the plan.

Ensure that total claim process is handled within 45 days upon receipt of a completed claim.

Evaluation of the Activity Report or Claim Experience Report by the

COR.

Quarterly 80% of LTD claims for the month must be adjudicated within 45 days of a completed claim by the insurance company.

Incentive: If contractor meets or exceeds AQL, OCC will give favorable past performance.

Disincentive: If contractor fails to meet AQL, 0.5% of annual policy premium will be reimbursed directly to OCC. The insurance company will reimburse OCC via check on annual basis.

For LTD - Prepare the appropriate tax filing documents, e.g. 1099 and W2, for each claimant for paid benefits in accordance with the plan.

Ensure timely issuance of tax filing documents annually

Evaluation of the Disability Income Report (1099 and W-2) by the COR.

Annually 100% of all 1099s and W2s will be issued in accordance with IRS deadline.

Incentive: If contractor meets or exceeds AQL, OCC will give favorable past performance.

Disincentive: If contractor fails to meet AQL, 0.5% of annual policy premium will be reimbursed directly to OCC. The insurance company will reimburse OCC via check on annual basis.

For STD and LTD – Provide staff to perform customer services duties in accordance with administering the plan.

Speed to answer calls within 30 seconds.

Call Intake Report.

Quarterly 90% of all calls are answered within 30 seconds.

Incentive: If contractor meets or exceeds AQL, OCC will give favorable past performance.

If contractor fails to meet AQL, 2% of annual policy premium will be reimbursed directly to OCC. The insurance company will reimburse OCC via check on annual basis.

1. Respond to COR and CO emails, phone calls, and faxes.

2. Coordinate attendance of a contractor’s representative at OCC’s annual benefits fair held at its headquarters location.

3. Coordinate site visit to the claim office and/or home office.

1. Response is within 24 hours.

2. Ensure availability of representative.

3. Ensure that the arrangements are made within 2 weeks of the request to meet by the COR.

1. Log maintained by

COR.

2. Monitored by COR day of the event.

3. Monitored by

COR.

1. Quarterly

2. Annually

3. Annually

1. 90% of all emails, phone calls, and faxes are responded to within 24 hours.

2. Standard is met 100%.

3. Standard is met 100%.

Incentive: If contractor meets or exceeds AQL, OCC will give favorable past performance.

Disincentive: If contractor fails to meet AQL, 0.5% of annual policy premium will be reimbursed directly to OCC. The insurance company will reimburse OCC via check on annual basis.

APPENDIX B

REQUIRED REPORTS/LETTERS/DOCUMENTS LISTING

Reports/ Letters/ Deliverables Submission Date

Insurance Policies and Certificates (Electronic) Six weeks after date of contract award

Forms and Brochures (Electronic) Six weeks after date of contract award

Implementation Project Plan As agreed upon between the OCC and the Contractor

Create Reporting Structures for the OCC and the OFR Six weeks after date of contract award

STD/LTD At-a-Glance As agreed upon between the OCC and the Contractor

Claim Filing Instructions (Electronic and Hardcopy) Six weeks after date of contract award

Disability Income Report (1099 and W-2) Annually

Call In-take Report Quarterly Experience Report – reflect paid claims, active claims, reserves IBNR, Employer FICA, commissions, premium taxes, other expense and risk charges

Annually

Activity Report – (includes receive date for a completed claim, date of claim decision, date of notification letter, date first payment issued, deductions, adjusted net benefits, benefits withheld, offsets etc.)

Monthly

Claims Experience Report (active and closed claims) As agreed upon between the OCC and the Contractor

SECTION D – PACKAGING AND MARKING

D.1 PAYMENT OF POSTAGE AND FEES

All postage and fees related to submitting information, including forms, reports, etc., to the Contracting Officer (CO) or the Contracting Officer’s Representative (COR) shall be paid by the Contractor.

D.2 MARKING

All information submitted to the CO or the COR shall be clearly marked to show the following:

1. Name of the Contractor

2. Contract Number

3. Consignee’s name and address

4. Date of Submission

D.3 REPORT COVER SHEET

Each report submitted by the Contractor shall have a cover sheet containing the following information:

1. Title of report

2. Report number or type

3. Period covered by the report

4. Contract number

5. Name and address of the Contractor

6. Name of the COR

7. Date of Submission

SECTION E – INSPECTION AND ACCEPTANCE

See Section C.9.1, Acceptance Criteria, of this RFP.

SECTION F – DELIVERIES OR PERFORMANCE

F.1 FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address: http://www.acquisition.gov/far/.

FAR

Clause

Title Date

52.242-15 Stop-Work Order Aug 1989

(End of Clause)

F.2 DELIVERABLES

The list of deliverables for this contract can be found in Appendix B (Required Reports/Letters/Documents Listing) of Section C, Performance Work Statement, of this

RFP.

F.3 OCC 1052.242-8002 PERIOD OF PERFORMANCE (SEP 2012)

The base period of performance of this contract is from July 1, 2015 through December 31, 2015.

If exercised, the first option period/year will extend the contract period of performance from January 1, 2016 through December 31, 2016.

If exercised, the second option period/year will extend the contract period of performance from January 1, 2017 through 1 December 31, 2017.

If exercised, the third option period/year will extend the contract period of performance from January 1, 2018 through December 31, 2018.

If exercised, the fourth option period/year will extend the contract period of performance from January 1, 2019 through December 31, 2019.

*There will be a not-separately-priced transition period from date of award through June 30, 2015 included in the base year.

F.4 BUSINESS HOURS AND COVERAGE

The contractor shall provide customer service between the hours of 7:00 AM - 6:00 PM ET, Monday through Friday.

F.5 LEGAL HOLIDAYS

The following legal holidays are observed:

http://www.acquisition.gov/far/

New Year’s Day* January 1 Martin L. King’s Birthday Third Monday in January President’s Day Third Monday in February Memorial Day Last Monday in May Independence Day* July 4 Labor Day First Monday in September Columbus Day Second Monday in October Veteran’s Day* November 11 Thanksgiving Day Fourth Thursday in November Christmas Day* December 25

*Holidays that fall on Saturday are observed on Friday and holidays that fall on Sunday are observed on Monday.

SECTION G – CONTRACT ADMINISTRATION DATA

G.1 OCC 1052.201-8000 CONTRACTING OFFICER'S REPRESENTATIVE

(COR) DELEGATION AND AUTHORITY (DEC 2013)

(a) The contracting officer's representative will be identified via separate letter to the contractor.

(b) Performance of work under this contract is subject to the technical direction of the COR, as delegated in writing. The term "technical direction" includes, without limitation, 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 specification(s)/work statement.

The COR does NOT have authority to issue technical direction that:

(1) changes any of the terms, conditions, or specification(s)/work statement of the contract;

(2) in any manner causes an increase or decrease in the contract price, or the time required for contract performance;

(3) interferes with the contractor's right to perform under the terms and conditions of the contract; or,

(4) directs, supervises or otherwise controls the actions of the contractor's employees.

(d) Technical direction may be oral or in writing. The COR shall confirm oral direction in writing within five work days, with a copy to the contract administrator.

(e) The contractor shall proceed promptly with performance resulting from the technical direction issued by the COR. If, in the opinion of the contractor, any direction of the COR, 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".

G.2 OCC 1052.215-8003 KEY PERSONNEL (APR 2014)

(a) The Contractor shall assign to this contract the following key personnel: account manager.

(b) During the first ninety (90) days of performance, the Contractor shall make no substitutions of key personnel unless the substitution is necessitated by illness, death, or termination of employment. The Contractor shall notify the Contracting Officer within 15 calendar days after the occurrence of any of these events and provide the information required by paragraph (c) below. After the initial 90-day period, the contractor shall submit the information required by paragraph (c) to the Contracting Officer at least 15 days prior to making any permanent substitutions.

(c) The Contractor shall provide a detailed explanation of the circumstances necessitating the proposed substitutions complete résumés for the proposed substitutes, and any in additional information requested by the contracting Officer. Proposed substitutes shall have comparable qualifications to those of the persons being replaced. The Contracting Officer will notify the Contractor within 15 calendar days after receipt of all required information of the decision on substitutions. The contract will be modified to reflect any approved changes of key personnel.

G.3 OCC 1052.232-8000 SUPPLEMENTAL INVOICING REQUIREMENTS (FEB

2014)

(a) The contractor shall ensure all invoices adhere to the requirements as stated in either FAR 52.212-4(g) or FAR 52.232-25(a)(3), whichever is referenced in the award.

(b) The contractor shall ensure the OCC award number (beginning with "TCC") is on the face sheet of all invoices.

(c) The contractor shall include any Prompt Payment Discount terms on the face sheet of all invoices.

(d) The contractor shall submit invoices in a format that replicates the contract line item number(s) (CLIN) and subCLIN structure of the contractual document.

(e) If the contract allows for the submission of partial or periodic invoices, the contractor shall include a “Cumulative Invoiced Amount” column. In this column, the contractor shall enter the total amount that has been billed for each CLIN to date.

(f) The contractor shall submit an electronic invoice to

i. OCC’s Accounts Payable at OMAPVendorInvoice@occ.treas.gov,

ii. The POC or COR (email provided under separate letter), and

iii. The Contract Administrator (email provided under separate letter)

(g) If the contractor does not have the means to submit an electronic invoice, a hardcopy invoice shall be sent to:

Comptroller of the Currency Accounts Payable, MS #5W-3 400 7th Street SW Washington, DC 20219

(h) The OCC may deem any invoice that does not fully comply with the invoicing requirements specified in this clause as an improper invoice and return the invoice to the contractor for correction and resubmission.

G.4 OCC 1052.242-8000 EVALUATION OF CONTRACTOR PERFORMANCE

(DEC 2010)

A. The OCC will evaluate the contractor’s performance after contract award. If this contract has option periods, interim evaluations will be conducted at the end of each option period and then a final evaluation report will be prepared at the completion of the entire contract. 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 Contractor Performance Assessment Reporting System (CPARS), an internet-based database of contractor performance information. The OCC will enter the information, gathered from the evaluation, into the CPARS.

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 Past Performance Information Retrieval System (PPIRS) 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.

G.5 OCC 1052.243-8001 AUTHORIZED CHANGES ONLY BY THE

CONTRACTING OFFICER (SEP 2012)

(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 (CO), or is pursuant to specific authority otherwise included as a part of this contract.

(c) The CO 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 CO’s. In the event the Contractor effects any change at the direction of any person other than the CO, 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 CO will be identified via separate letter to the contractor.

SECTION H – SPECIAL CONTRACT REQUIREMENTS

H.1 OCC 1052.239-8000 ELECTRONIC AND INFORMATION TECHNOLOGY

ACCESSIBILITY (JUNE 2014)

(a) Pursuant to Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) products and services developed, acquired, maintained, or used under this contract/order must comply with the “Electronic and Information Technology Accessibility Provisions” set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board”) in http://www.law.cornell.edu/uscode/29/794d.html

36 CFR Part 1194. Information about Section 508 is available at http://www.section508.gov/. The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/sec508/standards.htm.

(b) The Section 508 accessibility standards applicable to this contract/order are identified in the Statement of Work/Specification/Performance Work Statement. If it is determined by the Government that EIT products and services provided by the Contractor do not conform to the described accessibility standards in the Product Assessment Template, remediation of the products or services to the level of conformance specified in the Contractor’s Product Assessment Template will be the responsibility of the Contractor at its own expense.

(c) In the event of a modification(s) to this contract/order, which adds new EIT products or services or revises the type of, or specifications for, products or services the Contractor is to provide, including EIT deliverables such as electronic documents and reports, the Contracting Officer may require that the contractor submit a completed Voluntary Product Accessibility Template found at http://www.itic.org/public-policy/accessibility, to assist the Government in determining that the EIT products or services support Section 508 accessibility standards.

H.2 OCC 1052.245-8003 CONFIDENTIAL OR SENSITIVE INFORMATION (JAN

2014)

(a) Because of the proprietary nature of such information, the contractor understands that work performed by and information released to the contractor is sensitive in nature and shall not be disclosed to anyone other than the Office of the Comptroller of the Currency (OCC) (Government) employees assigned to the contract and other contractor personnel the Government authorizes 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.

(b) 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 “Conditional Access to Sensitive but Unclassified Information Non-Disclosure Agreement.”, hereafter referred to as an NDA, provided as Attachment 10. This NDA provides that sensitive but unclassified information provided to the contractor or its employees, subcontractors, 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 Government.

(c) Contractor employees processed in the Personnel and Administration Security System (PASS), will complete the NDA electronically.

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title36/36cfr1194_main_02.tpl http://www.section508.gov/ http://www.access-board.gov/sec508/standards.htm http://www.itic.org/public-policy/accessibility http://www.itic.org/public-policy/accessibility

(d) Contractor employees processed outside of PASS, will complete the attached hard copy NDA and submit to the Contracting Officer (CO).

(e) Executed copies of the NDA are required by each contractor employee, subcontractor employee or agent who will perform work on the contract before they can begin actual performance under the contract.

H.3 OCC 1052.245-8004, GENERAL REQUIREMENTS FOR BACKGROUND

INVESTIGATIONS (JAN 2014)

All contractor personnel assigned to this contract who would have access to OCC facilities or systems, shall submit to a background investigation before beginning work under this contract

The number and type of investigations will depend on factors including, but not limited to, the length of time the individual will work on a contract, the individual’s role, the sensitivity of information the individual will have access to, and the results of past investigations on that individual. Investigations typically conducted by the OCC include an FBI criminal check and/or a suitability investigation.

Contractor personnel must submit information for background investigations electronically through the e-QIP system (http://www.opm.gov/e-QIP/). The Office of Security (OS) will notify contractor personnel when e-QIP is ready to receive their information. After submitting their information, contractor personnel must print required security forms from e-QIP. Printed forms must be signed by the employee and provided to OS.

For background investigation purposes, contractor personnel are required to provide a set of fingerprints. Contractor personnel must appear in-person to provide fingerprints. See OCC Clause 1052.245-8007 for requirements regarding in-person appearances for security purposes.

The results of all background investigations will be reviewed and adjudicated by OS.

Based on investigation results, the OCC has the unilateral right to bar an individual from working under a contract or otherwise restrict the individual’s role under a contract.

The costs for all investigations required under this contract will be borne by the OCC.

H.4 OCC 1052.245-8008 INFORMATION SECURITY REQUIREMENTS

FOR UNCLASSIFIED OCC INFORMATION TECHNOLOGY

RESOURCES (JAN 2014)

I. DEFINITIONS – Definitions, as used in this clause, generally refer to the Code of Federal Regulations (CFR) unless a more specific provision is noted below.

Adequate Security Security that is commensurate with the risk and magnitude of harm resulting from the loss, misuse, or unauthorized access to or modification of information. This includes assuring that systems and applications in use operate effectively and provide appropriate confidentiality, integrity, and availability through the use of managerial, operational, and technical security controls.

Availability To ensure the timely and reliable access to, and use of, information.

Confidentiality Preserving authorized restrictions on access and disclosure, including means for protecting personal privacy and proprietary information.

Information Assurance Information Assurance (IA) are the measures that protect and defend information and information systems by ensuring their availability, integrity, authentication, confidentiality, and non-repudiation. This includes providing for restoration of information systems by incorporating protection, detection, and reaction capabilities.

Information Resource An information resource encompasses both information and information related resources such as personnel, equipment, data, and information technology.

Information System A discrete set of information resources organized for the collection, processing, maintenance, transmission, and dissemination of information, in accordance with defined procedures, whether automated or manual.

Information Technology With respect to the Office of the Comptroller of the Currency (OCC), information technology means any equipment or interconnected system or subsystem of equipment, used in the automatic acquisition, storage, analysis, evaluation, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the OCC, if the equipment is used by the OCC directly or is used by a contractor under a contract with the OCC that requires the use:

(i) of that equipment; or

(ii) of that equipment to a significant extent in the performance of a service or the furnishing of a product.

Information technology includes computers, ancillary equipment (including imaging peripherals, input, output, and storage devices necessary for security and surveillance), peripheral equipment designed to be controlled by the central processing unit of a computer, software, firmware and similar procedures, services (including support services), and related resources; but does not include any equipment acquired by a federal contractor incidental to a federal contract.

Integrity Guarding against improper information modification or destruction, and includes ensuring information non-repudiation and authenticity.

Service Provider Service Providers are non-OCC entities that support the OCC mission and information systems. These are any individual or other legal entity that (1) directly or indirectly (e.g., through an affiliate), submits offers for or is awarded, or reasonably may be expected to submit offers for or be awarded, a Government contract, including a contract for carriage under Government or commercial bills of lading, or a subcontract under a Government contract; or (2) conducts business, or reasonably may be expected to conduct business, with the Government as an agent or representative of another service provider.

Service providers are classified one of two ways: contracted or shared.

• Contracted Service Provider

A Contracted Service Provider (CSP) is a general term used to refer to outsourced business processes supported by private sector information systems, outsourced information technologies, or outsourced information services. A CSP performs clearly defined functions for which there are readily identifiable security considerations and needs that are addressed in both acquisition and operations.

• Shared Service Provider

A Shared Service Provider (SSP) is another federal agency functioning as a service provider for the OCC.