CC15HQR0017 _Life_Insurance _RFP.pdf

CC15HQR0017

Group Life 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 fifteenth-month base period (one-year base plus a three-month not-separately-priced transition 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) Group Life Insurance Program for its active and retired employees and their eligible dependents.

B.1.1 Premium Cost

B.1.1.1 Basic Life

The OCC and the employee share in the premium cost for Basic Life, except in the case of Basic Life for executives, which the OCC pays 100 percent of the premium. If the employee has elected basic life coverage under both the OCC Group Life Insurance Program and the Federal Employees Group Life Insurance Program (FEGLI), then the employee will pay a larger portion of the OCC Basic Life premium.

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

B.1.1.2 Optional Life Insurance Coverage

Employees pay 100 percent of the premium for all optional coverage. The premium rate for all optional coverage is age based.

B.1.1.3 Premium Remittance

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

Premium for retirees is remitted to the Contractor on a monthly basis. OCC sends payment through its Financial Management Department for processing. Payment is sent to the Contractor via a wire transfer process. OCC pays the full cost of the premium for the retirees that are not part of the Frozen Group (see Section C for details on the Frozen Group). The Contractor shall provide a monthly premium for the retiree coverage.

For the Frozen Group of retirees, retirees that are under age 65 and have also continued their FEGLI coverage into retirement, will share in the Basic Life monthly premium cost. In addition, the retirees age 65 and older who have elected to retain 100% or 50% of their Basic Life coverage will also pay a portion of the monthly premium cost.

The Frozen Group of retirees pays 100% of the monthly premium for the optional spousal coverage.

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 life insurance 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 at the performance period’s fixed unit rate.

Funds for the OCC’s share of life insurance 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 December 31, 2015) to enroll employees into the life insurance plan, which will not be separately priced and will be included in the base year.

B.2.1 PRICING STRUCTURE

Please see Attachment 1, Pricing Structure, for the pricing structure.

SECTION C – PERFORMANCE WORK STATEMENT (PWS)

C.1. INTRODUCTION

The Office of the Comptroller of the Currency (OCC) is a non-appropriated federal financial regulatory independent bureau of the Department of the Treasury. The OCC charters, regulates, and supervises all national banks and federal savings associations as well as federal branches and agencies of foreign banks. The OCC is headquartered in Washington, DC with primary locations in Chicago, Dallas, Denver and New York. The OCC employs approximately 4,000 employees in 70 cities nationwide and in London, UK.

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

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

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 life insurance plan. Currently, the OFR employs approximately 202 of which 95 are participant of the OCC life insurance program. The OFR employees are located in Washington, DC and New York.

OFR being part of the OCC life insurance plan is exempted from Title I and ERISA.

C.2. SCOPE OF WORK

C.2.1. General

The Contractor shall underwrite and administer OCC’s group life insurance program for its active and retired employees and their eligible dependents as well as the active employees and eligible dependents of the OFR. The retirees of OFR are not eligible to continue this life insurance benefit into retirement. OCC has been offering its own group term life insurance program since the early 1980’s, in addition to the federal group term life program known as the Federal Employees Group Life Insurance (FEGLI). There are approximately 2,767 employees and 2101 retirees (of which 763 are part of a frozen group, please see Plan Design for more details on this group) enrolled in the OCC Group Life Insurance Program.

The current Contractor has delivered and OCC has accepted Group Policy # 146410-1-G and related Certificates of Insurance (together, the "Policy"). The Policy provides the benefits described in this section C.2. Scope of Work except for the following provisions:

• Due to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), the addition of the Office of Thrift Supervision (OTS) employees, their eligible dependents and retirees as well as the OFR employees and eligible dependents have been added to the OCC life insurance program;

• The Supplemental (Optional Employee) maximum coverage will increase from $300,000 to the lesser of $500,000 or 5 times the employee’s annual salary; and,

• Enrollment or enrollment changes due to a salary increase has changed to increasing from one level ($25,000) to two levels ($50,000). This change can now be made within 31 days (as opposed to the current 60 days) of the effective date of the change in salary.

In the event, the Contractor finds any inconsistencies between the Policy and section C.2. Scope of Work, the Contractor shall seek guidance from the OCC.

The OCC Group Life Insurance Program is currently being administered by Metropolitan Life whose current 5-year term contract is scheduled to end on December 31, 2015.

C.2.2. Plan Design

The OCC Group Life Insurance Program consists of a Basic Life and three additional options.

An employee must elect Basic Life in order to elect any optional coverage. A description of Basic Life and each of the options is as follows:

C.2.2.1. Basic Life for Active Employees

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

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

Also, included with Basic Life is an additional Basic Life Benefit which is age based. The additional Basic Life Benefit is applicable to employees up to age 45.

C.2.2.2. Basic Life for Retirees

The Contractor shall provide Basic Life for an OCC retiree (OFR retirees are not eligible to continue this benefit into retirement) in the same amount, as it was when the retiree was an employee, with the exception of AD&D and the additional benefit becoming no longer applicable. The amount of coverage reduces to 25 percent of the Basic Life Amount once the retiree attains age 65. However, a retiree can elect to reduce, at any time, their Basic Life Amount to $50,000 to avoid imputed income. In that event, once the retiree attains age 65, the coverage will be the lesser of 25 percent of the original Basic Life Amount or $50,000.

Due to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), the Office of Thrift Supervision (OTS) was merged into the OCC in July 2011. Due to this merger and the protection of the OTS benefits for one year after the merger to July 2012, there is a frozen group of former OTS retirees whose retiree plan design is different from the OCC retiree plan design. This group of 763 retirees has a plan design as follows:

Basic Life Coverage: Two times annual pay at the time of retirement rounded up to the next higher thousand dollars to a maximum of $300,000 for all retirees except for those that were Executives or Senior Managers. Executives have the same calculation but to a maximum of $800,000 and Senior Managers have a maximum of $600,000.

Spousal/Domestic Partner Coverage: 50% or 100% of the retiree’s Basic Life Benefit.

Retiree pays the full cost of this optional retiree coverage.

Age 65 Reduction Levels: Upon retirement, the retiree must elect the age 65 reduction level for their Basic coverage and their Spousal/Domestic partner coverage, if applicable. The reduction level chosen for the Basic coverage will be the same for the Spousal/Domestic partner coverage.

The reduction levels are as follows:

a) 75 percent reduction in the amount of Basic Insurance; the OCC will pay for 100 percent of the OCC life benefit cost. The retiree is responsible for 100 percent of the Spousal/Domestic Partner coverage, if applicable.

b) 50 percent reduction; the OCC will pay for 25 percent of the premium, and the retiree will be responsible for the remainder. The retiree is responsible for 100 percent of the Spousal/Domestic Partner coverage, if applicable.

c) No reduction in coverage; the OCC will pay for 25 percent of the premium and the retiree will be responsible for the remainder. The retiree is responsible for 100 percent of the Spousal/Domestic Partner coverage, if applicable.

The retiree may reduce their coverage at any time but cannot increase the coverage. A decrease in coverage is irrevocable.

C.2.2.3. Option 1 – Optional Employee Coverage

The Contractor shall provide term life coverage, which can be elected in an amount from $25,000 to $500,000 in units of $25,000. The maximum is the lesser of 5 times the employee’s salary or $500,000. Optional Employee Coverage is life insurance coverage only for employees (not dependents). In addition, the Contractor shall provide Estate Resolution Services to employees enrolled in the Optional Employee Coverage.

C.2.2.4. Option 2 – Spouse/Domestic Partner Coverage

The Contractor shall provide term life coverage which can be elected as 50 percent or 100 percent of the employee’s Basic Life Amount. This option provides coverage for an employee’s lawful spouse or domestic partner.

C.2.2.5. Option 3 – Family Coverage

The Contractor shall provide term life coverage which can be elected in five different units of coverage. Each unit is in multiples of $5,000 for a spouse or domestic partner and $2,500 for children. The maximum coverage amount is $25,000 for a spouse or domestic partner and $12,500 for children.

C.2.3. Eligibility

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

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

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

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

• Dependent Child – An unmarried child up to age 22 who relies on the employee for support or under age 25 who is a full time student at an accredited school, college or university, who is unmarried and not employed on a full time basis. In addition, a dependent child is also a child who is 22 or more years old and incapable of self-support due to a physical or mental handicap. A dependent child includes a natural born child of the employee, a step, foster or legally adopted child of the employee, or a dependent child of the domestic partner who lives with and is financially dependent upon the employee.

C.2.4. Enrollments and Effective Dates

C.2.4.1. New Hire Enrollments

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

C.2.4.2. Late Enrollments

Employees who fail to enroll during their new hire enrollment period can only enroll during an open enrollment period or by providing evidence of insurability (EOI). Open enrollment elections become effective the first full pay period in July the following year of the open enrollment. EOI elections become effective the first day of the pay period following notification of approval from the Contractor.

OCC will hold a one-time open enrollment in the fall of 2015 when employees may elect to add OCC Life Coverage without EOI. This open enrollment will be without restriction. The effective date of this open enrollment will be on July 11, 2016.

C.2.4.3. Enrollment Changes

If an employee is currently participating in the OCC Group Life Insurance Program, he/she can increase their coverage as a result of a qualifying life event, i.e., marriage or acquisition of a domestic partner or a child. Employees are limited on the increase to their coverage by two units.

An employee has 31 days from the date of the qualifying life event to initiate an enrollment change. The change in enrollment will become effective the first day of the pay period following receipt of the enrollment change form by Human Resources.

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

In addition to permitting a change in coverage to be made due to a qualifying life event change, OCC permits an enrollment change to Option 1 – Optional Employee Coverage, at any time, due to an increase in the employee’s salary. Employees, regardless of age, may enroll in or increase their coverage in Option 1 – Optional Employee Coverage by two units due to an increase in salary. This change can be made within 31 days of the effective date of the change in salary and will become effective on the first day of the pay period following receipt of the form by Human Resources.

C.2.5. Workload Requirements

The Contractor shall provide services in accordance with this Performance Work Statement (PWS) regardless of the actual amount of services or fluctuation in services. There is no guaranteed minimum amount of services to be provided. The Contractor shall keep OCC abreast of any life insurance industry changes in accordance with applicable rules and regulations. The Contractor shall notify OCC immediately of any changes.

C.2.6. Special Plan Provisions

C.2.6.1. Dual Enrollment

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

C.2.6.2. Terminally Ill Benefit Option

An employee can apply for an Accelerated Benefit Option (ABO) which allows them to receive a portion of their Basic Life Amount if he/she is terminally ill and has a documented medical prognosis life expectancy of 12 months or less. The medical prognosis must be certified by a doctor and accepted by the Contractor.

C.2.6.3. Conversion/ Portability

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

C.3. PERSONNEL REQUIREMENTS

The Contractor shall provide a single point of contact that shall serve as a liaison to the OCC to address day-to-day matters. The individual shall have a minimum of five years of account management experience in the insurance industry. In addition, an alternate point of contact shall be identified in case of absence. The Account Manager shall maintain an automated calendar system to ensure that the OCC:

• Receives an annual accounting (detailing the financial experience) for the contract

(assumed January 1, through December 31).

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

C.4 HEALTH FAIR ATTENDANCE

In support of the OCC’s efforts to educate employees on healthy living and their benefit options, the Contractor shall attend an onsite health benefits fair that is generally held in November of every year at the 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 life insurance program.

C.4 CLAIMS EXPERIENCE

The contractor shall process all claims accurately and in accordance with the timeframe listed in Appendix A, Performance Requirement Summary. The contractor shall provide OCC employees with written notification of its claims appeal process. The contractor shall also ensure that employees have access to an online system where they can view the status of a claim and print copies of the explanation of benefit statements for previous filed and adjudicated claims.

C.5 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.6 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 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. Please see Appendix A at the end of this PWS for the PRS.

C.7 DELIVERABLES

See Appendix B at the end of this PWS for the list of deliverables and their due dates.

C.7.1 ACCEPTANCE CRITERIA

The 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 (10) 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.7.2 REJECTION PROCEDURES

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

C.7.2.1 After notification that the deliverable did not meet the acceptance criteria, the contractor shall re-submit an updated/corrected version within five 5 business days after receipt of Government comments.

C.8 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 Web based Intranet and Internet Information and Applications 36 CFR 1194.31 Functional Performance Criteria 36 CFR 1194.41 Information, Documentation and Support

APPENDIX A

PERFORMANCE REQUIREMENTS SUMMARY

PWS

Section

PWS

Performance Requirement

Standard (Objective)

Method of Surveillance (Measurement)

Frequency Acceptable Quality Level

(AQL)

Disincentive

C.2.2 Adjudicate claims, process claim payments, provide financial reports reflecting loss claim data.

Ensure that benefit claims are processed within ten

(10) business days from date of receipt of a completed claim.

Evaluation of loss claim report from Contractor by the COR.

Bi-annually 85% of all claims filed during a 6-month period must be adjudicated within ten (10) business days of receipt.

Disincentive: If Contractor fails to meet the AQL, the Contractor will pay OCC, by check, an amount equal to 1% of the total annual premium.

C.2.4.3 Process Evidence of Insurability (EOI) forms and notify OCC of the determination

EOI forms are reviewed and that a determination is made within fifteen

(15) business days from date of receipt. The determination can be either of the following: 1) approved; 2) denied; or 3) pending for additional information.

Evaluation of EOI report from the Contractor by the COR.

Annually 90% of all EOI forms are handled within fifteen (15) business days of receipt.

Disincentive: If Contractor fails to meet the AQL, the Contractor will pay OCC, by check, $1,000.

PWS

Section

PWS

Performance Requirement

Standard (Objective)

Method of Surveillance (Measurement)

Frequency Acceptable Quality Level

(AQL)

Disincentive

C.3 Respond to COR and CO emails, telephone calls and faxes.

information provided is accurate, detailed, clear and concise.

Log maintained by COTR.

Monthly

98% of all communication by the COR or CO/CS to the Contractor is responded to within 24 hours.

Disincentive: If Contractor fails to meet the AQL three times, the Contractor will assign another liaison to address day-to-day matters.

C.3 Send a representative to attend OCC’s annual health benefits fair held in Washington, DC in November.

Ensure availability of representative at OCC annual health benefits fair.

Monitored by COR the day of the event

Annually 100% (a representative is to be present at the benefits fair every year).

Disincentive: If Contractor fails to meet the AQL, the Contractor will pay OCC, by check, $500.

APPENDIX B

REQUIRED REPORTS/LETTERS/DOCUMENTS LISTING

Reports/Letters/Deliverables Submission Date

Implementation Project Plan Five (5) business following the contract kick-off meeting

Insurance Policies or Certificates Six weeks after date of contract award

Forms and Brochures November 12, 2015

Administration Manual (4 copies) November 12, 2015

Detailed Claims Report Bi-annually

Evidence of Insurability Report 10th of each month

Annual Summary Premium/Claims Loss Ratio Report March 1st following the end of each calendar year

Open Enrollment Materials/Communication October 15, 2015

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 and FAR 52.212-4(a), Inspection/Acceptance.

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.

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

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

If exercised, the first option 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 1 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.

*There will be a not-separately-priced transition period from date of award through December 31, 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 - 7:00 PM ET, Monday through Friday.

F.5 LEGAL HOLIDAYS

The following legal holidays are observed:

New Year’s Day* January 1 http://www.acquisition.gov/far/

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 DTAP 1052.224-1 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 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.

(End of clause)

H.2 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 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.

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

H.3 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 9. 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.4 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.5 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. 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…