RFP_CC15HQR0010.pdf

SEE ADDENDUMIS CHECKED

CODE 18a. PAYMENT WILL BE MADE BY

CODE

FACILITYCODE

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

CODE 16. ADMINISTERED BYCODE

X

X

524298

SIZE STANDARD:

% FOR:SET ASIDE:UNRESTRICTED OROCC

RFPIFB

10. THIS ACQUISITION ISCODE

RFQ

14. METHOD OF SOLICITATION

13b. RATING

SMALL BUSINESS

05/18/2015 1000 ET

04/27/2015

DARRYLE BROWN

(No collect calls)

INFORMATION CALL:

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

4. ORDER NUMBER3. AWARD/ 6. SOLICITATION

CC15HQR0010

5. SOLICITATION NUMBER

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

1 60 OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

TELEPHONE NO.

17a. CONTRACTOR/

15. DELIVER TO

Washington DC 20219

400 7TH STREET SW

Acquisitions Management

9. ISSUED BY

7.

2. CONTRACT NO.

EFFECTIVE DATE

$15.0

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

ISSUE DATE

DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

11.

SEE SCHEDULE

12. DISCOUNT TERMS

THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

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

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

The Office of the Comptroller of the Currency (OCC) requires a Contractor to administer its Federal Flexible Spending Account (FSA) program in accordance with the PWS. Note, Section L contains proposal instructions to Offerors.

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

HEREIN, IS ACCEPTED AS TO ITEMS:

X

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

ARE

31c. DATE SIGNED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (Type or print)

ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL

SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

26. TOTAL AWARD AMOUNT (For Govt. Use Only)

OFFER

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

ARE NOT ATTACHED.

ARE NOT ATTACHED.

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

30b. NAME AND TITLE OF SIGNER (Type or print)

30a. SIGNATURE OF OFFEROR/CONTRACTOR

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

25. ACCOUNTING AND APPROPRIATION DATA

29. AWARD OF CONTRACT:

REF.

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32c. DATE 32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

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

37. CHECK NUMBER

FINALPARTIAL

36. PAYMENT

FINALPARTIAL

35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER33. SHIP NUMBER

COMPLETE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

42d. TOTAL CONTAINERS42c. DATE REC'D (YY/MM/DD)

42b. RECEIVED AT (Location)

42a. RECEIVED BY (Print)

41c. DATE41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

STANDARD FORM 1449 (REV. 2/2012) BACK

24.

AMOUNT

23.

UNIT PRICE

22.

UNIT

21.

QUANTITY

20.

SCHEDULE OF SUPPLIES/SERVICES

19.

ITEM NO.

32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE

60 2 of

Request for Proposal CC15HQR0010 Page 3 of 60

PART I: THE SCHEDULE

SECTION B: SUPPLIES OR SERVICES AND PRICES / COSTS

B.1 GENERAL

The contractor shall furnish all management, supervision, labor, and materials (except as specified herein to be furnished by the Government) necessary to perform the requirements described in the Performance Work Statement.

B.2 CONTRACT LINE ITEM DESCRIPTION

The fully burdened cost applies to all direct labor hours, which includes labor performed by all personnel actually engaged in the direct performance of work required under this contract. All prices must be fully loaded, including but not limited to, items such as overhead, transaction fees, and shipping.

CLIN 0001 Open Enrollment Set-Up- Date of award through December 31, 2015: Shall include all cost and services associated with participant set-up to include, but is not limited to, the following: Online Internet enrollment capabilities, participation at the OCC annual benefit fair, enrollment materials, and all other cost associated with assisting the OCC in its enrollment efforts for Flexible Spending Accounts (FSA) management administration services.

CLIN 0002a-d, 0003a-d, 0004a-d, 0005a-d, and 0006a-d - Firm Fixed Rate Per Participant: The contractor shall provide firm fixed rate(s) per participant/account for FSA management administration services for the base period and four, twelve-month option periods. FSA services shall include all cost associated with administering the OCC FSA program including but not limited to claims processing and reimbursements, check stock, direct deposit of claims reimbursements, quarterly benefits statements, toll-free customer service, interactive voice response system, on-going reports, debit cards, administrative operating manual, mobile application, quarterly newsletters, and non-discrimination testing (including pre-tax premium integration), and IRS 5500 filing (if applicable). The contractor shall provide enrollment kits on an as needed basis throughout the life of the contract. The pricing provided shall be inclusive of the six-month run-out period for each plan year.

Note, the OCC’s annual benefit schedule and open season period will occur each year for four weeks between November 1 and December 31, but participation in these activities, to include travel to OCC headquarters, shall be Not Separately Priced (NSP) after initial transition (CLIN 0001).

CLIN 0002e, 0003e, 0004e, 0005e and 0006e – Non-Discrimination Tests:

The contractor shall price the service of providing non-discrimination testing for the base period and any option periods.

CLIN 0002f, 0003f, 0004f, 0005f and 0006f – Annual Fee: The contractor shall price services that are not included in the other CLINs for the base period and any option periods. This includes cost to personalize communication materials, if applicable. If this fee(s) is not separately priced, the contract shall list as NSP.

Request for Proposal CC15HQR0010 Page 4 of 60

Contract Line Item Number

Description Unit (per) *Estimated Quantity Unit Price Estimated

Total Price

CLIN 0001 Transition Period: October 1, 2015 – December 31, 2015; FSA Administration Services

CLIN 0001a Transition & Open Enrollment Period Month 3

CLIN 0002 Base Period: January 1, 2016 – December 31, 2016; FSA Administration Services

CLIN 0002a Health Care Account FSA Services Account 1800

CLIN 0002b Dependent Care FSA Services Account 125

CLIN 0002c

Joint Health Care & Dependent Care FSA Services (for an employee enrolled in both Health and Dependent care)

Account 200

CLIN 0002d Parking FSA Services Account 200 CLIN 0002e Non-Discrimination Tests Test 3 CLIN 0002f Annual Fee Year 1 Base Period Total CLIN 0003 Option Year 1: January 1, 2017- December 31, 2017; FSA Administration Services

CLIN 0003a Health Care Account FSA Services Account 1800

CLIN 0003b Dependent Care FSA Services Account 125

CLIN 0003c

Joint Health Care & Dependent Care FSA Services (for an employee enrolled in both Health and Dependent care)

Account 200

CLIN 0003d Parking FSA Services Account 200 CLIN 0003e Non-Discrimination Tests Test 3 CLIN 0003f Annual Fee Year 1 Option Year 1 Total

CLIN 0004 Option Year 2: January 1, 2018 - December 31, 2018; FSA Administration Services

CLIN 0004a Health Care Account FSA Services Account 1800

CLIN 0004b Dependent Care FSA Services Account 125

Request for Proposal CC15HQR0010 Page 5 of 60

CLIN 0004c

Joint Health Care & Dependent Care FSA Services (for an employee enrolled in both Health and Dependent care)

Account 200

CLIN 0004d Parking FSA Services Account 200 CLIN 0004e Non-Discrimination Tests Test 3 CLIN 0004f Annual Fee Year 1 Option Year 2 Total

CLIN 0005 Option Year 3: January 1, 2019 - December 31, 2019; FSA Administration Services

CLIN 0005a Health Care Account FSA Services Account 1800

CLIN 0005b Dependent Care FSA Services Account 125

CLIN 0005c

Joint Health Care & Dependent Care FSA Services (for an employee enrolled in both Health and Dependent care)

Account 200

CLIN 0005d Parking FSA Services Account 200 CLIN 0005e Non-Discrimination Tests Test 3 CLIN 0005f Annual Fee Year 1 Option Year 3 Total

CLIN 0006 Option Year 4: January 1, 2020-December 31, 2020; FSA Administration Services

CLIN 0006a Health Care Account FSA Services Account 1800

CLIN 0006b Dependent Care FSA Services Account 125

CLIN 0006c

Joint Health Care & Dependent Care FSA Services (for an employee enrolled in both Health and Dependent care)

Account 200

CLIN 0006d Parking FSA Services Account 200 CLIN 0006e Non-Discrimination Tests Test 3 CLIN 0006f Annual Fee Year 1 Option Year 4 Total

Total Contract Value/Ceiling

*’Estimated Quantity’ based on historical figures and future projections to aid the Contractor in submitting an appropriate proposal.

End of Section B

Request for Proposal CC15HQR0010 Page 6 of 60

SECTION C: DESCRIPTION / SPECIFICATIONS / STATEMENT OF OBJECTIVES

C.1 The requirements are described in the Performance Work Statement (PWS) referenced in Section J, Attachment 2.

End of Section C

Request for Proposal CC15HQR0010 Page 7 of 60

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

End of Section D

Request for Proposal CC15HQR0010 Page 8 of 60

SECTION E: INSPECTION AND ACCEPTANCE

See the PWS referenced in Section J, Attachment 2.

End of Section E

Request for Proposal CC15HQR0010 Page 9 of 60

SECTION F: DELIVERIES OR PERFORMANCE

F.1 1052.242.8002 (OCC) PERIOD OF PERFORMANCE (SEP 2012)

The transition period of this contract is from October 1, 2015 through December 31, 2015. The base period of performance of this contract is from January 1, 2016 through December 31, 2016.

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

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

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

If exercised, the fourth option period/year will extend the contract period of performance from January 1, 2020 through December 31, 2020.

(End of Clause)

F.2 DELIVERABLES

Deliverables are specified in the Call PWS in Section J, Attachment 2.

F.3 LEGAL HOLIDAYS

The following legal holidays are observed:

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.

F.4 PLACE OF PERFORMANCE

This work will primarily be performed from the contractor’s facility, with the exception of the OCC annual benefits fair located at the OCC headquarters in Washington, DC.

End of Section F

Request for Proposal CC15HQR0010 Page 10 of 60

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 1052.201-8000 (OCC) 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 1052.215-8003 (OCC) KEY PERSONNEL (APR 2014)

(a) The Contractor shall assign to this contract the following key personnel listed below

(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

Request for Proposal CC15HQR0010 Page 11 of 60 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.

Title Name FSA Account Manager

G.3 1052.232-8000 (OCC) 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 OMAPContractorInvoice@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

Request for Proposal CC15HQR0010 Page 12 of 60

(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 1052.242-8000 (OCC) 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 1052.243-8001 (OCC) 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

Request for Proposal CC15HQR0010 Page 13 of 60

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.

End of Section G

Request for Proposal CC15HQR0010 Page 14 of 60

SECTION H: SPECIAL CONTRACT REQUIREMENTS

H.1 RELEASE OF CLAIMS

After completion of the BPA and prior to final payment, the Contractor shall furnish to the Contracting Officer, a release of claims against any outstanding balances or claims arising out of the contract. These are claims other than those specifically resulting from work that is reasonably anticipated by the Contractor when originally estimating the contract.

H.2 GOVERNMENT FURNISHED ITEMS

The OCC will provide, to the extent necessary, all information necessary to satisfy the PWS requirements.

H.3 NOTICE OF DELAYS

In the event the Contractor encounters difficulty in meeting performance requirements, or whenever difficulty is anticipated in complying with delivery schedules(s) or whenever the Contractor has knowledge that an actual or potential situation has delayed or threatens to delay the timely performance of any work, the Contractor shall immediately notify that COR and the Contracting Officer in writing, giving pertinent details. Notice of delays shall be provided at least five (5) business days in advance of the due date or deadline. Any notice of delay that is not provided in accordance with this provision, shall be documented in writing with the explanation for not meeting the advance notification requirement.

H.4 1052.210–70 (DTAR) CONTRACTOR PUBLICITY (AUG 2011)

The Contractor, or any entity or representative acting on behalf of the Contractor, shall not refer to the equipment or services furnished pursuant to the provisions of this contract in any news release or commercial advertising, or in connection with any news release or commercial advertising, without first obtaining explicit written consent to do so from the Contracting Officer. Should any reference to such equipment or services appear in any news release or commercial advertising issued by or on behalf of the Contractor without the required consent, the Government shall consider institution of all remedies available under applicable law, including 31 U.S.C. 333, and this contract. Further, any violation of this provision may be considered during the evaluation of past performance in future competitively negotiated acquisitions.

(End of clause)

H.5 1052.224-1 (DTAR) CONTRACT PUBLICATION (APR 2013)

The contractor shall submit, within ten business (10) days from the date of award of the contract or any order hereunder (exclusive of Saturdays, Sundays, and federal holidays), a .pdf file of the fully executed contract or order with all proposed necessary redactions, including redactions of any trade secrets or any commercial or financial information that it believes to be privileged or confidential business information, suitable for public disclosure at the sole discretion of the United States Department of the Treasury. The contractor shall provide a detailed written statement specifying the basis for

Request for Proposal CC15HQR0010 Page 15 of 60 each of its proposed redactions, including the applicable exemption under the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and, in the case of FOIA Exemption 4, 5 U.S.C. § 552(b)(4), shall demonstrate why the information is considered to be a trade secret or commercial or financial information that is privileged or confidential. Information provided by the contractor in response to this requirement may itself be subject to disclosure under the FOIA. The Treasury will carefully consider all of the contractor’s proposed redactions and associated grounds for nondisclosure prior to making a final determination as to what information may be properly withheld.

H.6 1052.232-8002 (OCC) AVAILABILITY OF FUNDS (APR 2014)

Funds are not presently available for this contract. The Government’s obligation under this contract is contingent upon the availability of non-appropriated funds from which payment for contract purposes can be made. No legal liability on the part of the Government for any payment may arise until funds are made available to the Contracting Officer for this contract and until the Contractor receives notice of such availability, to be confirmed in writing by the Contracting Officer.

H.7 1052.239-8000 (OCC) ELECTRONIC AND INFORMATION TECHNOLOGY

ACCESSIBILITY (JUN 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 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 http://www.law.cornell.edu/uscode/29/794d.html 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.access-board.gov/sec508/standards.htm

Request for Proposal CC15HQR0010 Page 16 of 60 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.8 1052.245-8003 (OCC) 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 1 to this contract. 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.

(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.9 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 http://www.itic.org/public-policy/accessibility

Request for Proposal CC15HQR0010 Page 17 of 60 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.10 1052.245-8007 (OCC) IN-PERSON APPEARANCES FOR SECURITY

PURPOSES (JAN 2014)

Contractor personnel must appear in person to:

1. Have their fingerprints taken for a background investigation

2. Have their photograph taken for HSPD-12-compliant security badge (referred to as a SmartID) or an Office of the Comptroller of the Currency- (OCC) issued security badge.*

3. Receive and activate a SmartID or an OCC-issued security badge.*

Generally, items 1. and 2.above are normally completed during a single in-person appearance. An individual typically requires two in-person appearances to complete all tasks, but more in-person appearances may be required under some circumstances.

The location at which contractor personnel must appear depends on the contract place of performance and security badge requirements. Generally, contractor personnel performing work in the Washington, DC area will be required to appear at the OCC Headquarters, located at 400 7th Street SW, Washington, DC 20219.

Contractor personnel working elsewhere will generally be required to appear at a USAccess credentialing center operated by the General Services Administration (GSA). (A list of GSA-operated credentialing centers can be found at http://www.fedidcard.gov/deployoss.aspx.)

Contractor personnel requiring in-person appearances at an OCC facility will schedule their appearance with the OCC Office of Security (OS). Appointments http://www.fedidcard.gov/deployoss.aspx

Request for Proposal CC15HQR0010 Page 18 of 60 can be made by contacting OS at OCCSecurityProcessing@occ.treas.gov or calling the Help Desk at 202-649-6600.

*Contractor personnel who require regular access (access lasting greater than 180 days) to an OCC (Government) facility or require access to Government information systems, either from a Government facility or remotely, will require a SmartID. Contractor personnel whose access is infrequent or less than 180 days in duration are required to obtain an OCC-issued security badge.

(End of Clause)

H.11 1052.245-8008 (OCC) 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.

mailto:OCCSecurityProcessing@occ.treas.gov

Request for Proposal CC15HQR0010 Page 19 of 60

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

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A Shared Service Provider (SSP) is another federal agency functioning as a service provider for the OCC. The OCC and other federal agency would sign a Memorandum of Understanding (MOU), Interagency Agreement (IAA) or Data Exchange Agreement.

II. GENERAL REQUIREMENTS

(1) The service provider shall be responsible for adhering to OCC information technology (IT) security requirements for all information systems connected to an OCC network or operated by the service provider for, or on behalf of, the OCC, regardless of location. This clause applies to all or any part of the contract that includes information technology, information resources or services for which the service provider must have physical or electronic access to OCC information.

(2) OCC information technology and information assigned to service providers shall remain in the United States. The maintenance, operation, and/or processing of said technology and information shall take place, and originate from, within the United States.

(3) The service provider shall maintain a complete and accurate inventory of all OCC-provided information resources. The inventory shall be made available for inspection immediately upon request by the OCC.

(4) The service provider facility hosting OCC information resources shall meet all applicable federal, state, and local zoning, environmental, and building laws and regulations. The facility shall include protection against unauthorized access at all hours, including alarms and notification systems should such protection be breached.

(5) Confirmed security compromises to OCC information shall be reported to the Contracting Officer (CO), the Contracting Officer’s Representative (COR), and the Officer of Security (OS) within 60 minutes of discovery by the service provider.

(6) The service provider shall ensure that its employees, in the performance of the contract, receive and document annual information security awareness training (see Clause No. 1052.245-8001) in accordance with Office of Management and Budget (OMB) Circular A-130 and Federal Information Security Management Act of 2002 (FISMA) requirements.

(7) The service provider shall grant the Government access to any and all facilities and information resources used in support of the contract. The OCC will conduct annual reviews to ensure that the security requirements in the contract are implemented, enforced, effective, and operating as intended. These reviews include, but are not limited to, comprehensive technical testing of the control environment used to safeguard OCC information resources.

(8) At the expiration of the contract, the service provider shall return all OCC information resources provided to, or generated by, the service provider during the period of the contract. The service provider shall provide certification that all OCC information has been sanitized from any non-GFE information system in accordance with OCC standards and procedures. All equipment sanitization

Request for Proposal CC15HQR0010 Page 21 of 60 procedures must be environmentally sound as outlined by the U.S.

Environmental Protection Agency (EPA).

(9) The service provider shall comply with the terms of the Government furnished property clauses in this contract for any OCC-issued IT that is lost, stolen, missing, unaccounted for, or damaged.

(10) For the purposes of application development, the OCC encourages and prefers the use of web-based, commercial-off-the-shelf solutions. Web-based applications must be configured to work with multiple browser and operating system types and may not favor one browser type over another.

(11) The service provider shall adhere to OCC common security configurations and practices. Security configurations and practices include:

A. The provider of information technology shall certify applications are fully functional and operate as intended on systems using the Federal Desktop Core Configuration (FDCC) and other operating system and application standards.

B. Final acceptance of the product will be based on the OCC interpretation of the National Institute of Standards and Technology, National Checklist Program Repository (NIST, NCPR). Checklists are available at the NIST, NCPR website.

In situations where security configurations are not available for proposed technologies, the OCC will provide instruction.

C. The installation, operation, maintenance, and update of software shall not alter any OCC-accepted or established security configuration.

D. Applications designed for users shall run in standard user context without elevated system administrator privileges.

E. Products specifically designed for the purpose of Information Assurance (IA), and designated as such by the OCC, are exempt from these common security configuration requirements. Non-GFE IT is exempted by the OCC on a case-by-case basis.

(12) The service provider shall notify the CO and the COR of any organizational change or impact that may interfere with the full execution of the contract immediately upon identification.

(13) Throughout the term of the contract, should the service provider deliver a product or provide a service that does not meet (and maintain) these requirements, the service provider, at their own expense, shall correct issues within 90 days of notification by the CO.

III. ADDITIONAL REQUIREMENTS

(1) The service provider shall have fully completed, attested to, and submitted to the CO the OCC’s Service Provider Self Assessment (OCC Form CC 9070-02) provided as Attachment 5 of the contract, prior to the execution of the contract.

(2) All service providers who conduct formal reviews of their internal controls over the services, systems, and facilities supporting the OCC shall provide the resultant reports to the CO immediately upon contract award and on an annual

Request for Proposal CC15HQR0010 Page 22 of 60 basis thereafter to be used as part of the OCC’s Service Provider Review and Office of Management and Budget Circular A-123 compliance processes. Examples of such reports would include but are not limited to SAS- 70 or SSAE-16 Type II audit reports performed by independent third parties. If not available, internal reviews of a similar nature will be acceptable. OCC will adhere to the requirements of a mutually acceptable Non-Disclosure Agreement with regard to the contents of these reports.

(3) The service provider shall maintain a computing environment with adequate security at all times. This includes, but is not limited to, the description and documentation of the processes and procedures that will be followed to ensure the security of IT resources that are developed, processed, transmitted, used, or maintained under this contract and comprehensive technical testing of the contractor’s computing environment by the OCC.

(4) Prior to the execution of the contract, the OCC may validate adequate security controls in the contractor’s environment. When a validation is required, the validation will be conducted by the OCC as part of an on-site inspection process.

(A) The service provider agrees to demonstrate, to personnel authorized by the OCC, the technical, operational, and management safeguards that protect the confidentiality, integrity, and availability of OCC information that it develops, processes, transmits, uses, or maintains during the execution of this contract.

(B) The on-site inspection serves to ensure the computing environment complies with Federal laws that include, but are not limited to, the Federal Information Security Management Act of 2002 (FISMA); and with Federal policies and procedures that include, but are not limited to, OMB Circular A-130, FIPS Publications 199 and 200, Department of the Treasury Directive 85-01, and OCC Policy and Procedures Manual 4000-1 (REV). Copies of these documents are maintained by the OCC Information Risk Management and are available upon request.

(C) The service provider shall maintain an active information security program.

The program shall specifically address methods regarding handling and protecting OCC information at the contractor’s site (including any information stored, processed, or transmitted using the contractor’s computer systems), and the secure management, operation, maintenance, programming, and system administration of computer systems, networks, and telecommunications systems.

(D) The service provider may use additional safeguards to prevent use or disclosure of OCC information other than as provided for by this contract as deemed necessary.

(E) The service provider shall, at their own expense, take action to mitigate any harmful effect that is known to the service provider of a use or disclosure of OCC information by the contractor in violation of the requirements of this clause.

IV. OBLIGATIONS OF THE OCC

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(1) OCC Security and Compliance Services (SCS) maintains information on current information security requirements and standards and will provide details upon request. The service provider will be notified of any substantive changes to information security requirements that have a significant impact on the Service Provider’s information security obligations under this contract.

(2) The OCC will evaluate the need for a new on-site inspection at a minimum once each year. The OCC in its sole discretion may determine that a new on-site inspection is necessary.

(End of Clause)

H.12 1052.245-8009 (OCC) CITIZENSHIP OR RESIDENCY REQUIREMENTS OF

CONTRACTOR PERSONNEL (APR 2015)

The Contractor shall ensure that all employees, agents, and subcontractors having unescorted access to the Office of the Comptroller of the Currency’s facilities or access to information systems, security items, or sensitive but unclassified information are United States citizens or have lawful permanent resident status. Contractors who require elevated permissions shall be U.S.

citizens and shall complete the Privileged User training prior to receiving elevated permissions.

H.13 1052.342-8000 (OCC) CONTRACTOR’S COMMITMENT TO EQUAL

OPPORTUNITY IN EMPLOYMENT AND CONTRACTING (APR 2012)

Contractor confirms its commitment to equal opportunity in employment and contracting. To implement this commitment, the Contractor shall ensure, to the maximum extent possible consistent with applicable law, the fair inclusion of minorities and women in its workforce. The Contractor shall insert the substance of this clause in all subcontracts under this Contract when the dollar value exceeds $150,000.

Within ten (10) business days of a written request from the OCC’s Office of Minority and Women Inclusion (OMWI), or such longer time as the OMWI determines, and without any additional consideration required from the Agency, the Contractor shall provide documentation, satisfactory to the Agency, of the actions it (and, as applicable, its subcontractors) has undertaken to demonstrate its good-faith efforts to comply with the aforementioned provisions.

For purposes of this contract, “good-faith efforts” may include actions by the contractor intended to identify and, if present, remove barriers to minority and women employment or expansion of employment opportunities for minorities and women within its workforce. Efforts to remove such barriers may include, but are not limited to, recruiting minorities and women, providing job-related training, or engaging in other activities that could lead to those results.

The documentation requested by the OMWI may include, but is not limited to, one or more of the following:

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1. A written affirmative action plan or other written program designed to ensure the fair inclusion of minorities and women in the contractor’s workforce, including outreach, recruitment, and training efforts whereby the contractor sets forth specific, results-oriented policies and procedures.

2. A list of subcontract awards under the Contract categorized by dollar, date of award, and the subcontractor’s ownership status, including whether the subcontractor is minority-owned (by race and/or ethnicity) or women-owned.

3. Documentation similar to that described in paragraph 1 with respect to each subcontractor.

4. Any other actions demonstrating the contractor’s or subcontractor’s good-faith efforts to include minorities and women in its workforce.

Consistent with Section 342(c)(3) of the Dodd–Frank Wall Street Reform and Consumer Protection Act (PL 111-203) (Dodd–Frank), a failure to demonstrate to the Director of the OMWI such good-faith efforts to include minorities and women in the Contractor’s workforce (and, as applicable, the workforce of its subcontractors) may result in termination of the Contract for default, referral to the Office of Federal Contract Compliance Programs,…